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Lessons from Personhood’s Defeat: Abortion Restrictions and Side Effects on Women’s Health
MAYA MANIAN*
State personhood laws pose a puzzle. These laws would establish fertilized eggs as persons and, by doing so, would ban all abortions. Many states have consistently supported laws restricting abortion care. Yet, thus far no personhood laws have passed. Why? This Article offers a possible explanation and draws lessons from that explanation for understanding and resisting abortion restrictions more broadly. I suggest that voters’ recognition of the implications of personhood legislation for health issues other than abortion may have led to personhood’s defeat. In other words, opponents of personhood proposals appear to have successfully reconnected abortion to pregnancy care, contraception, fertility, and women’s health in general. Public concern over the “side effects” of personhood laws seems to have persuaded even those opposed to abortion to reject personhood legislation. If this is so, personhood opponents may have struck on a strategy that could apply more broadly. As this Article explains, various anti-abortion regulations—not just personhood laws—have deleterious “side effects” on women’s health. Focusing the public’s attention on these side effects could not only create stronger support for access to abortion care but could also better promote the full spectrum of women’s healthcare needs.
TABLE OF CONTENTS
I. INTRODUCTION ................................................................. 76
II. A BRIEF HISTORY OF THE PERSONHOOD MOVEMENT .............. 78
A. State Ballot Initiatives .................................................. 79
B. State Legislative Proposals ............................................. 81
C. Federal Legislative Proposals .......................................... 82
D. The Rise of Restrictive Abortion Regulations ....................... 83
*Copyright © 2013 by Maya Manian. Professor, University of San Francisco School of Law. B.A., 1995, University of Michigan; J.D., 1998, Harvard Law School. For their helpful comments on prior drafts, I am grateful to Josh Davis, Tristin Green, Peter Honigsberg, and Mary Ziegler. This Article also benefited from feedback from participants at the University of San Francisco Faculty Scholarship Workshop, Santa Clara Law School Faculty Workshop, and the Conference on Liberty/Equality: The View from Roe’s 40th and Lawrence’s 10th Anniversaries at UCLA School of Law. Thanks to Amy Wright for her always outstanding services as Research Librarian. For excellent research assistance, I thank Karen Majovski.
III. THE SIDE EFFECTS OF PERSONHOOD LEGISLATION .......................... 86
A. The Implications of Treating Zygotes as Legal Persons .................. 86
1. Abortion and Pregnancy Care ........................................... 87
2. Contraception ..................................................................... 89
3. Infertility Treatment ......................................................... 91
4. Broader Implications for Women’s Liberty and Equality in Healthcare Decision-Making .............................................. 93
B. The Defeat of Personhood Proposals ....................................... 99
IV. THE SIDE EFFECTS OF EXISTING ABORTION RESTRICTIONS ............ 101
A. “Partial-Birth” Abortion Bans and Miscarriage Management .......... 102
B. Information Control and Prenatal Care .................................... 104
C. “Conscience” Legislation and Pregnancy-Related Care in Sectarian Hospitals ................................................................. 108
V. ROE v. WADE AND ABORTION AS HEALTH CARE ............................. 115
VI. CONCLUSION: THE PERSONHOOD OF PREGNANT WOMEN ............ 120
I. INTRODUCTION
Over the last several decades, as part of the movement against abortion rights, abortion has become increasingly stigmatized and isolated in women’s health.\(^1\) The current segregation of abortion from the rest of women’s medical needs brings us full circle back to questions raised by *Roe v. Wade*.\(^2\) Although *Roe* was rightly criticized as over-medicalizing the abortion decision and empowering doctors rather than women, we have now shifted to the opposite extreme of severing abortion completely from the realm of women’s health.\(^3\) A number of scholars have argued for reconnecting abortion with women’s health and framing abortion care as an aspect of healthcare.\(^4\) This Article sits within that line of scholarship urging a connection between abortion and healthcare, but does so through the unique lens of personhood legislation.
\(^1\) See Lori Freedman, Uta Landy, Philip Darney & Jody Steinauer, *Obstacles to the Integration of Abortion into Obstetrics and Gynecology Practice*, 42 PERSP. ON SEXUAL & REPROD. HEALTH 146, 146 (2010) (“Since legalization, abortion services have increasingly become consolidated into the socially insulated settings of specialized abortion clinics. These clinics, which provide 93% of abortions, are largely segregated from other medical settings . . . Many members of the reproductive rights community have advocated for integrating abortion into full-spectrum obstetrics and gynecology and primary care settings, to take the burden off the clinics and to normalize abortion as a standard component of reproductive health care.” (footnote omitted)).
\(^2\) Roe v. Wade, 410 U.S. 113 (1973).
\(^3\) See infra Part V (discussing criticisms of *Roe* and disassociation of abortion care from women’s healthcare).
\(^4\) See infra Part V (discussing scholarship arguing for a greater understanding of abortion as a key component of women’s healthcare).
Recently, a series of ballot initiatives and legislative proposals, primarily at the state level, have sought to declare that legally protectable human life begins at the moment of fertilization. “Personhood” laws would ban all abortions, which is their primary aim. Strikingly, despite a recent surge in support for severe restrictions on abortion, thus far no personhood laws have passed. The uniform failure in the push for zygote personhood appears to lie in reproductive rights advocates’ success in linking personhood proposals to health issues other than abortion. Personhood legislation’s likely “side effects” are wide ranging, including limits on women’s access to a broad range of healthcare and infringements on women’s right to liberty and equality in numerous contexts. Ironically, the personhood movement’s attempt to vilify abortion by personifying the fetus may serve as an opportunity to educate the public about the importance of preserving access to abortion care in order to preserve access to less stigmatized forms of healthcare.
This Article examines the recent movement to establish fertilized eggs as legal persons (the movement for “personhood” legislation) and seeks to draw lessons from the defeat of those laws for resisting abortion restrictions more broadly. It argues that voters’ recognition of the implications of personhood legislation for health issues other than abortion likely led to personhood’s defeat. In other words, opponents of personhood proposals seem to have successfully reconnected abortion to pregnancy care, contraception, fertility, and women’s health in general. Public concern over the “side effects” of personhood laws seems to have persuaded even those opposed to abortion to reject personhood legislation. If this is so, personhood opponents may have struck on a line of reasoning that could apply more broadly. As this Article explains, various anti-abortion regulations—not just personhood laws—have deleterious “side effects” on women’s health. Focusing the public’s attention on the side effects of abortion restrictions on women’s healthcare could help to build a greater understanding of the links between abortion care and women’s health. Uncovering these links could create stronger support for access to abortion and thereby better promote full healthcare access for women.
In Part II, I summarize the history of the recent movement to establish personhood for fertilized eggs. Personhood USA, a group that has been a leader in the current charge for personhood, has helped to push numerous ballot initiatives and legislative proposals at the state level, articulating its key goal as putting an end to abortion. Federal proposals for personhood have also surfaced, but neither federal nor state initiatives have yet met with any success. The personhood movement’s nationwide failure is remarkable given the climate of hostility to abortion rights in many states. This Part also contrasts the failures of personhood proposals with the success of ever more invasive abortion restrictions, such as biased “informed consent” laws, forced ultrasounds, bans on later abortion, and burdensome regulations designed to shut down abortion clinics.
In Part III, I survey the wide range of implications if a personhood law were successfully passed and upheld by the courts. Personhood legislation would ban
all abortion care, including in cases of rape and incest. In addition, these laws would limit access to other types of healthcare as well as impinge upon women’s right to liberty and equality in areas ranging from criminal law to family law and employment law. Part III also argues that these implications, particularly on women’s healthcare choices other than abortion, appear to be a key reason for the overwhelming failure of the current personhood movement, despite the extreme hostility to abortion rights across many states.
In Part IV, I demonstrate that, as a matter of medical reality, abortion cannot be isolated from the continuum of women’s healthcare. Thus far, the public appears to have recognized this reality in the context of personhood legislation, but has otherwise failed to understand the interconnectedness of abortion with women’s health generally. In fact, existing anti-abortion laws and policies already impinge upon women’s healthcare outside the abortion context, but these effects remain obscured. Part IV examines how current abortion restrictions harm women’s health even for women not actively seeking abortion care. In particular, existing restrictions targeted at abortion have spillover effects on miscarriage management, prenatal care, and the treatment of ectopic pregnancies.
Finally, in Part V, I suggest that the battles over personhood legislation provide an example to learn from and an opportunity for public education. In particular, focusing the public’s attention on the deleterious consequences for women’s health of various anti-abortion laws—not just personhood laws—could help make visible the links between abortion and healthcare. I also note that, as other scholars have argued, framing abortion as a healthcare issue offers a potentially useful strategy for increasing support for access to abortion care.
Abortion cannot be segregated from women’s healthcare more broadly. We can see this by unmasking the “side effects” of abortion restrictions such as personhood proposals and other existing anti-abortion policies. It appears likely that the public has rejected personhood legislation because these laws would impede the provision of basic healthcare other than abortion. Other types of anti-abortion laws have “side effects” on women’s health similar to personhood laws, but the public has failed to discern these impacts. Educating the public about the full healthcare consequences of abortion restrictions could be one key means to preserving access to abortion care. Repositioning the law to recognize access to abortion care as part of the continuum of women’s medical needs is critical to protecting women’s health.
II. A BRIEF HISTORY OF THE PERSONHOOD MOVEMENT
Although the “personhood movement” has garnered much attention in recent years, its history goes back at least to *Roe v. Wade*. Following *Roe*, anti-abortion groups sought to amend the Constitution to declare that life begins at
conception.\textsuperscript{5} Anti-abortion advocates introduced many versions of a Human Life Amendment in Congress, but none succeeded.\textsuperscript{6}
After years of an incremental approach to restricting access to abortion care, the movement to establish legal personhood at the moment of conception has recently revived. Since 2008, numerous personhood initiatives have sprung up throughout the United States. While the language and form of these proposals vary from state to state (legislative bills in some states versus ballot initiatives voted on directly by the public in others), each essentially attempts to secure legal rights for pre-born human beings starting from the moment of fertilization or conception.\textsuperscript{7} Personhood USA, a religious, pro-life group, and its president and founder Keith Mason, are active leaders of the personhood movement.\textsuperscript{8} Throughout the nation, Personhood USA has helped spark the introduction of ballot initiatives and personhood bills in fifteen states.\textsuperscript{9} The movement is also supported by proposed federal legislation.\textsuperscript{10}
A. State Ballot Initiatives
The Personhood USA coalition group has launched numerous ballot initiatives in fifteen different states for the purpose of adding personhood amendments to state constitutions.\textsuperscript{11} These amendments attempt to legally
\textsuperscript{5} See Mary Ziegler, \textit{Roe’s Road Not Taken: The Lost History of the Abortion Debate, 1973–1983} (forthcoming); Mary Ziegler, \textit{Ways to Change: A Reevaluation of Article V Campaigns and Legislative Constitutionalism}, 2009 BYU L. REV. 969, 970 n.5 (discussing history of human-life amendments).
\textsuperscript{6} Glen A. Halva-Neubauer & Sara L. Zeigler, \textit{Promoting Fetal Personhood: The Rhetorical and Legislative Strategies of the Pro-Life Movement After Planned Parenthood v. Casey}, 22 FEMINIST FORMATIONS 101, 102–03 (2010).
\textsuperscript{7} The Personhood USA website defines the movement as follows: “Personhood is a movement working to respect the God-given right to life by recognizing all human beings as persons who are ‘created in the image of God’ from the beginning of their biological development, without exceptions.” \textit{About Us}, PERSONHOOD USA, http://www.personhoodusa.com/about?source=button (last visited Dec. 14, 2012).
\textsuperscript{8} See generally PERSONHOOD USA, http://www.personhoodusa.com/ (last visited Jan. 13, 2013) (discussing Personhood USA and its objectives).
\textsuperscript{9} Alabama, Arkansas, California, Colorado, Florida, Kansas, Montana, Nevada, New Hampshire, Ohio, Oklahoma, Oregon, Virginia, Washington, and Wisconsin. \textit{See Personhood Bills and Ballot Initiatives}, RESOLVE: THE NAT’L INFERTILITY ASS’N, http://www.resolve.org/get-involved/personhood-bills-and-ballot-initiatives.html (last visited Jan. 13, 2013) (listing states and the status of their legislative initiatives).
\textsuperscript{10} See generally Sanctity of Human Life Act, H.R. 212, 112th Cong. (2011). \textit{See also H.R. 212 (112th): Sanctity of Human Life Act}, GOVTRACK.us, http://www.govtrack.us/congress/bills/112/hr212 (last visited Jan. 13, 2013) (providing the proposed Act’s history and an overview).
\textsuperscript{11} Alabama, Arkansas, Mississippi, Oklahoma, Ohio, Nevada, California, Colorado, Oregon, Montana, Florida, Kansas, New Hampshire, Virginia, Washington, and Wisconsin. \textit{See Personhood Bills and Ballot Initiatives}, supra note 9 (listing states and ballot initiative progress); see also Get Involved, PERSONHOOD USA, http://www.personhoodusa.com/map
define human embryos as people with legal rights from the moment of fertilization. Voters have opposed these personhood measures, which have proved overwhelmingly unsuccessful both in the past and in their more recent incarnations.\textsuperscript{12} This lack of success has held even in Personhood USA’s home state of Colorado, where in 2008 and 2010 Colorado voters shut down personhood initiatives.\textsuperscript{13} Despite previous voter opposition, Mason was vocal about his nationwide push for states to add personhood amendments to their 2012 ballots.\textsuperscript{14} The ability for states to do so has clearly been a challenge.\textsuperscript{15}
As of June 2012, the only active states collecting signatures for personhood initiatives to appear on November 2012 ballots were Colorado, Montana, Ohio, and Oregon.\textsuperscript{16} Initiative efforts in Montana and Ohio failed by wide margins, while initiative backers in Oregon chose not to submit any signatures for tallying due to low numbers.\textsuperscript{17} Colorado was the only state in the nation able to gather enough signatures that if valid would have placed the personhood
\textsuperscript{12} Abigail Pesta, ‘Personhood’ Movement Stumbles in Colorado Ballot Initiative, DAILY BEAST (Aug. 29, 2012, 7:03 PM), http://www.thedailybeast.com/articles/2012/08/29/pro-life-personhood-movements-hits-snag-in-colorado-ballot-initiative.html.
\textsuperscript{13} In 2008, 73% of voters rejected the personhood measure, and again in 2010, 71% of voters did the same. Peter Marcus, Personhood Proposal Disqualified from Ballot, COLO. STATESMAN, Aug. 31, 2012, at 5.
\textsuperscript{14} Abigail Pesta, War of the Wombs: Keith Mason’s Campaign for Embryo Rights, DAILY BEAST (June 25, 2012, 1:00 AM), http://www.thedailybeast.com/newsweek/2012/06/24/personhood-usa-s-keith-mason-eyes-election-day-2012.html.
\textsuperscript{15} Ballot initiatives failed to make ballots in Nevada, Ohio, and Florida. Personhood Florida failed to collect enough signatures for its amendment to appear on the 2012 ballot. Only about 20,000 signatures were collected—a total far short of the 676,811 signatures needed. Personhood Florida will try again for the 2014 ballot. Tara Culp-Ressler, Radical Personhood Initiatives Fail in States Across the Country, THINKPROGRESS (July 5, 2012, 2:15 PM), http://thinkprogress.org/health/2012/07/05/511421/radical-personhood-initiatives-fail-in-states-across-the-country/; see Florida, PARENTS AGAINST PERSONHOOD, http://parentsagainstpersonhood.com/legislation/florida/ (last visited Dec. 16, 2012) (discussing Personhood Florida’s proposed amendment).
\textsuperscript{16} Efforts to gather sufficient signatures in California and Nevada failed as well. Initial Efforts Fail in NV, CA, and OK, PARENTS AGAINST PERSONHOOD (June 19, 2012), http://parentsagainstpersonhood.com/category/legislation/california/.
\textsuperscript{17} Personhood Ohio only gathered about 30,000 of the 385,000 signatures needed. Culp-Ressler, \textit{supra} note 15. Montana gathered only 23,512 signatures of 48,674 needed. Charles Johnson, Marijuana, Abortion Measures Won’t Be on Ballot, INDEP. REC. (Helena), July 21, 2012, at A9, available at http://helenair.com/news/local/govt-and-politics/marijuana-legalization-anti-abortion-personhood-measures-fail-to-make-ballot/article_1cabef85c-d2f1-11e1-a312-0014abcf887a.html. Oregon Personhood initiative required 116,283 signatures to appear on the November ballot. However, no signatures were submitted to the Secretary of State for consideration. Oregon, PARENTS AGAINST PERSONHOOD, http://parentsagainstpersonhood.com/legislation/oregon/ (last visited Dec. 16, 2012).
measure on the November 2012 ballot.\textsuperscript{18} After the Secretary of State’s examination of the signatures, however, it was determined that the number of valid signatures fell short of the amount required for the initiative to make the ballot.\textsuperscript{19} Personhood Colorado had thirty days to challenge the decision and expressed its intent to file an appeal.\textsuperscript{20} As of September 2012, the nation’s only pending personhood ballot measure was in Colorado and appeared unlikely to reach voters. Thus, not a single personhood initiative seemed likely to make the 2012 ballots.
In addition to voter rejection of personhood measures and lack of ballot-initiative support, state courts have struck down personhood legislation.\textsuperscript{21} Despite this opposition, the movement to define a fertilized egg as a human with legal rights continues, as Personhood USA has expressed it will push for ballot initiatives in 2014.\textsuperscript{22}
On October 29, 2012, the Supreme Court declined, without providing reason, to review an abortion-related appeal regarding the Oklahoma Supreme Court’s holding that Initiative Petition 395 is unconstitutional.\textsuperscript{23} Initiative Petition 395 is a proposed ballot measure that would amend Oklahoma’s state constitution to define fertilized human eggs as persons with legal rights.\textsuperscript{24}
\textbf{B. State Legislative Proposals}
In 2011, a number of state legislatures introduced various personhood measures, although none of them were passed into law.\textsuperscript{25} For example, in
\textsuperscript{18} Electa Draper, \textit{Signatures Turned in for Colorado Anti-Abortion Measure}, DENVERPOST.COM (Aug. 6, 2012, 7:38 PM), http://www.denverpost.com/breakingnews/ci_21249998/personhood-coalition-turns-signatures-ballot-measure.
\textsuperscript{19} A total of 106,119 signatures were submitted to the Secretary of State in support of Colorado’s Personhood initiative. 86,105 signatures were required to make the fall ballot. However, state officials found that only 82,246 signatures were valid. The Secretary of State’s disqualification of the initiative made it unlikely that the personhood initiative would make the November ballot. Electa Draper & Lynn Bartels, \textit{Colorado Anti-Abortion Initiative Misses Ballot, Backers Hire Lawyer}, DENVERPOST.COM (Aug. 29, 2012, 5:47 PM), http://www.denverpost.com/breakingnews/ci_21426365/colorado-anti-abortion-initiative-misses-ballot-by-3; see Pesta, \textit{supra} note 12 (discussing the Colorado Secretary of State’s finding and Personhood USA’s plans to fight it in court).
\textsuperscript{20} Marcus, \textit{supra} note 13.
\textsuperscript{21} Nevada and Oklahoma courts have struck down proposed personhood measures. Personhood Nevada v. Bristol, 245 P.3d 572, 576 (Nev. 2010); \textit{In re} Initiative Petition No. 395, State Question No. 761, 286 P.3d 637, 637 (Okla. 2012).
\textsuperscript{22} Pesta, \textit{supra} note 14.
\textsuperscript{23} Bill Mears, \textit{Supreme Court Rejects Abortion-Related Appeal}, CNN (Oct. 29, 2012, 10:09 AM), http://www.cnn.com/2012/10/29/justice/court-abortion/index.html?hpt=ju-c2.
\textsuperscript{24} Initiative Petition No. 395, State Question No. 761 (Okla. 2012), available at http://www.sos.ok.gov/documents/questions/761.pdf.
\textsuperscript{25} Pesta, \textit{supra} note 14. In 2011, North Dakota, Iowa, Kansas, Texas, Georgia, and Montana all introduced personhood legislation. Rebecca Millette, \textit{Personhood Bills}
February 2011, the North Dakota House passed The Defense of Human Life Act, which defines a human being as “an individual member of the species homo sapiens at every stage of development,”\textsuperscript{26} but the bill failed to pass the Senate.\textsuperscript{27}
In 2012, “eleven states—more than in any previous year—have introduced personhood bills . . . .”\textsuperscript{28} However every single piece of proposed legislation failed to pass into law.\textsuperscript{29} Virginia and Oklahoma are two states that illustrate the difficulty personhood legislation faces today. Lawmakers passed recent personhood bills in Virginia in the House of Delegates, and in Oklahoma through the Senate,\textsuperscript{30} however both bills failed to become law.\textsuperscript{31} The Virginia Senate declined to vote on the personhood bill by sending it back to committee,\textsuperscript{32} and the Oklahoma House failed to bring the Senate-passed personhood legislation to a vote.\textsuperscript{33} Thus, both effectively “killed” the bills for the 2012 session. Other personhood bills were stalled at committee and remained undecided.\textsuperscript{34}
C. Federal Legislative Proposals
Federal personhood legislation has also been recently proposed. In 2011, Vice-Presidential nominee Paul Ryan co-sponsored H.R. 212, the Sanctity of Human Life Act, which declares, “[T]he life of each human being begins with fertilization . . . .”\textsuperscript{35} Currently, however, there is no federal legislation in place.
\textsuperscript{26}H.B. 1450, 62d Leg. Assem., at 3 (N.D. 2011), \textit{available at} http://www.legis.nd.gov/assembly/62-2011/documents/11-0665-02000.pdf.
\textsuperscript{27}A similar personhood bill failed to pass the senate in 2009. H.B. 1572, 61st Leg. Assem. (N.D. 2009), \textit{available at} http://www.legis.nd.gov/assembly/61-2009/bill-text/JRDS0200.pdf.
\textsuperscript{28}Lee Rubin Collins & Susan L. Crockin, \textit{Fighting ‘Personhood’ Initiatives in the United States}, 24 REPROD. BIO MED. ONLINE 689, 690 (2012).
\textsuperscript{29}Personhood legislation failed to pass in the 2012 state legislature sessions of Alabama, Iowa, Kansas, Mississippi, Oklahoma, South Carolina, Virginia, and Wisconsin. \textit{See Legislation, PARENTS AGAINST PERSONHOOD}, http://parentsagainstpersonhood.com/legislation/ (last visited Feb. 14, 2013) (describing personhood legislation throughout the nation).
\textsuperscript{30}Aliyah Shahid, \textit{‘Personhood’ Bills Being Pushed in U.S. as Abortion, Social Issues Come to Fore in GOP Presidential Contest}, NYDAILYNEWS.COM (Feb. 21, 2012), http://articles.nydailynews.com/2012-02-16/news/31069300_1_personhood-usa-abortion-gay-marriage.
\textsuperscript{31}Culp-Ressler, \textit{supra} note 15.
\textsuperscript{32}\textit{Id}. The Virginia Senate voted to allow the bill to carry over to the next term, where its sponsor may offer it for additional consideration. \textit{Id}.
\textsuperscript{33}\textit{Id}.
\textsuperscript{34}Bills in Alabama and Iowa are stalled at committee. \textit{Id}.
\textsuperscript{35}The proposed statute states, “[T]he life of each human being begins with fertilization, cloning, or its functional equivalent, irrespective of sex, health, function or disability, defect,
that operates to determine the legal status of embryos, but a personhood statute like the Sanctity of Human Life Act, if enacted, could regulate to this effect.\textsuperscript{36}
D. The Rise of Restrictive Abortion Regulations
The failure of personhood proposals contrasts sharply with the success of ever more invasive abortion restrictions in recent years. For example, in 2011, state legislators introduced more than 1,100 reproductive health-related provisions, and fully 68% of those new provisions restricted access to abortion services (up from 26% in 2010).\textsuperscript{37} This flurry of anti-abortion sentiment resulted in ninety-two new abortion restrictions enacted into law, shattering the previous record high of thirty-four abortion restrictions adopted in 2005.\textsuperscript{38} In the past several years, both state and federal legislation have reduced access to abortion care using a wide variety of regulatory methods, including: reducing funding for abortion services; banning types of abortion procedures; controlling information surrounding abortion care; banning later abortions; and imposing burdensome regulations targeted solely at abortion providers and abortion facilities.\textsuperscript{39} Below, I discuss a few examples of popular abortion restrictions to illustrate the contrast with the failure of personhood laws in the same recent time period.
One key method of regulating abortion has been controlling information surrounding abortion care. So-called “informed consent” laws, which are in fact biased laws aimed at discouraging abortion, have proliferated since the Supreme Court’s 2007 decision in \textit{Gonzales v. Carhart}.\textsuperscript{40} As of today, sixteen states mandate misinformation for women seeking abortion care—such as that abortion has lasting negative mental health consequences—although that claim
\textsuperscript{36} Nadia Kounang, \textit{Could ‘Personhood’ Bills Outlaw IVF?}, CNN.COM (Aug. 30, 2012, 5:00 PM), http://www.cnn.com/2012/08/30/health/ivf-outlawed/index.html.
\textsuperscript{37} \textit{Laws Affecting Reproductive Health and Rights: 2011 State Policy Review}, GUTTMACHER INST., http://www.guttmacher.org/statecenter/updates/2011/statetrends42011.html (last visited Feb. 14, 2013).
\textsuperscript{38} \textit{See id.}
\textsuperscript{39} See Rachel Rebouché & Karen H. Rothenberg, \textit{Mixed Messages: The Intersection of Prenatal Genetic Testing and Abortion}, 55 HOW. L.J. 983, 998–1005 (2011) (summarizing sharp increases in abortion restrictions at the federal and state levels in recent years and noting that legislation currently pending foretell additional restrictions); Halva-Neubauer & Zeigler, \textit{supra} note 6, at 118 (analyzing myriad incremental measures restricting access to abortion care and concluding that the data shows “growing pro-life success”).
\textsuperscript{40} Gonzales v. Carhart, 550 U.S. 124 (2007); see Maya Manian, \textit{The Irrational Woman: Informed Consent and Abortion Decision-Making}, 16 DUKE J. GENDER L. & POL’Y 223, 244–45 (2009) (demonstrating how abortion-specific “informed consent” legislation deviates from standard principles of informed consent for other medical care).
has been proven untrue.\textsuperscript{41} As part of these “informed consent” laws, twenty-six states mandate a twenty-four to forty-eight hour waiting period, and ten of these states require that the biased “counseling be provided in person,” which requires the woman to make two separate trips to the clinic.\textsuperscript{42} For example, South Dakota, which has only one abortion clinic in the entire state, enacted legislation requiring women to be told—falsely—that abortion could increase their risk of suicide and then face a seventy-two hour waiting period prior to receiving abortion care.\textsuperscript{43} Mandatory ultrasound laws further illustrate the extremes to which states have gone to control what information abortion patients must be given prior to receiving abortion care.\textsuperscript{44} Three states have passed laws forcing women seeking to terminate their pregnancies to undergo ultrasounds regardless of whether the physician would typically provide an ultrasound, and to hear the fetus’s heartbeat and descriptions of the sonogram “even if women ask not to see the images.”\textsuperscript{45}
Another trend in recent years has been the prohibition on pre-viability abortions at twenty weeks based on the theory that fetuses can feel pain at that point, although that theory is disputed by mainstream medical organizations.\textsuperscript{46} As of June 2011, six states passed twenty-week bans with exceptions only for the pregnant woman’s life or in cases of serious physical impairment of the
\textsuperscript{41} \textit{State Policies in Brief: Counseling and Waiting Periods for Abortion}, GUTTMACHER INST. (Feb. 1, 2013), available at http://www.guttmacher.org/statecenter/spibs/spib_MWPA.pdf [hereinafter \textit{Counseling and Waiting Periods for Abortion}]; see Heather D. Boonstra, \textit{Comprehensive Evidence Review Concludes Abortion Does Not Harm Women’s Mental Health}, 11 \textsc{GUTTMACHER POL’Y REV}. 4 (2008), available at http://www.guttmacher.org/pubs/gpr/11/4/gpr110420.html (discounting the claim that abortion has a negative effect on women’s mental health); \textit{see also} Am. PSYCHOLOGICAL ASS’N TASK FORCE REPORT ON MENTAL HEALTH & ABORTION, REPORT OF THE TASK FORCE ON MENTAL HEALTH AND ABORTION 92 (2008), available at http://www.apa.org/pi/women/programs/abortion/mental-health.pdf.
\textsuperscript{42} \textit{Counseling and Waiting Periods for Abortion}, supra note 41.
\textsuperscript{43} See Planned Parenthood Minn., N.D., S.D. v. Rounds, 686 F.3d 889, 906 (8th Cir. 2012) (holding that suicide advisory laws were not unconstitutional); Maya Manian, \textit{Perverting Informed Consent: The South Dakota Court Decision}, RH REALITY CHECK (Aug. 1, 2012, 10:08 PM), http://www.rhrealitycheck.org/article/2012/08/01/perverting-informed-consent-south-dakota.
\textsuperscript{44} Nine states require that patients be given the opportunity to view an ultrasound image if the provider would conduct an ultrasound, and “six states mandate that physicians give all patients opportunities to view ultrasound images regardless of whether the physician would typically conduct an ultrasound.” Rebouché & Rothenberg, \textit{supra} note 39, at 1015; \textit{see Laws Affecting Reproductive Health and Rights: 2012 State Policy Review}, GUTTMACHER INST., http://www.guttmacher.org/statecenter/updates/2012/statetrends42012.html (last visited Feb. 14, 2013) [hereinafter \textit{Laws Affecting Reproductive Health and Rights: 2012 State Policy Review}]; \textit{see also} Carol Sanger, \textit{Seeing and Believing: Mandatory Ultrasound and the Path to a Protected Choice}, 56 UCLA L. REV. 351, 376 (2008).
\textsuperscript{45} Rebouché & Rothenberg, \textit{supra} note 39, at 1015–16 (describing mandatory ultrasound laws enacted in North Carolina, Oklahoma, and Texas).
\textsuperscript{46} I. Glenn Cohen & Sadeth Sayeed, \textit{Fetal Pain, Abortion, Viability, and the Constitution}, 39 J.L. MED. \& ETHICS 235, 238–39 (2011).
woman’s “bodily function.”\textsuperscript{47} Generally, these bans have no exemption for other physical health risks, mental health, rape and incest, or fetal anomaly. In defending these twenty-week bans on abortion with no health exception for fetal anomalies, one Georgia state legislator compared women to farm animals stating that, like pigs and cows, women should be forced to carry nonviable fetuses to term.\textsuperscript{48} In Nebraska, which has such a twenty-week ban in effect, one woman went public with her story of the impact of this type of law. Thirty-four-year-old Danielle Deaver described how, at twenty-two weeks, her water broke prematurely.\textsuperscript{49} She learned that her fetus would not be able to develop lungs and would die at birth.\textsuperscript{50} But because of Nebraska’s new law, Deaver’s doctor could not perform an abortion.\textsuperscript{51} Instead, she had to wait to give birth, then watch for fifteen agonizing minutes as her underdeveloped baby gasped for breath and died.\textsuperscript{52}
Finally, targeted regulation of abortion providers (TRAP legislation) has also been a method of restricting access to abortion care. State laws regulating abortion facilities and providers vary, and include requirements such as admitting privileges at hospitals, regulations of facility design, ambulatory surgical requirements, and detailed record keeping.\textsuperscript{53} These burdensome regulations often go beyond what is medically necessary for abortion providers and, in some cases, are designed to shut down abortion clinics. Mississippi recently passed a law that illustrates the impact of TRAP legislation.
\textsuperscript{47} \textit{State Policies in Brief: State Policies on Later Abortion}, GUTTMACHER INST. (Mar. 21, 2013), http://www.guttmacher.org/statecenter/spibs/spib_PLTA.pdf. A few of these twenty-week bans have recently been challenged in court. See Emily Bazelon, \textit{Why Arizona’s 20-Week Abortion Ban Is Unconstitutional}, SLATE (Nov. 5, 2012, 4:52 PM), http://www.slate.com/articles/news_and_politics/politics/2012/11/arizona_s_20_week_abortion_ban_is_unconstitutional.html (discussing challenge to Arizona law which bans abortions after twenty weeks); \textit{Ga. Judge Grants Injunction Against 20-Week Abortion Ban}, NAT’L PARTNERSHIP FOR WOMEN & FAMILIES (Jan. 3, 2013), http://www.nationalpartnership.org/site/News2?page=NewsArticle&id=37269&security=3161_n_news_iv_ctl=3164 (discussing challenge to Georgia’s H.B. 954, which bans twenty-week abortions without “exceptions for rape or incest, most cases of severe fetal anomaly or danger to a woman’s health”).
\textsuperscript{48} See Leigh Owens, \textit{Terry England, Georgia Republican Lawmaker, Compares Women to Farm Animals}, HUFFINGTON POST (Mar. 9, 2012, 6:32 PM), http://www.huffingtonpost.com/2012/03/09/terry-england-farm-animals_n_1335976.html.
\textsuperscript{49} Id.
\textsuperscript{50} Id.
\textsuperscript{51} Id.
\textsuperscript{52} See \textit{Abortion Law: Mother Denied Abortion, Then Had to Watch Baby Die}, NEBRASKASTATEPAPER.COM (Mar. 7, 2011), http://nebraska.statepaper.com/vnews/display.v/ART/2011/03/07/4d746bd70eb25.
\textsuperscript{53} See \textit{Laws Affecting Reproductive Health and Rights: 2012 State Policy Review}, supra note 44 (detailing TRAP regulations enacted in Arizona, Michigan, and Virginia); Rebouché & Rothenberg, supra note 39, at 1002–03 (describing TRAP regulations); Gillian E. Metzger, \textit{Abortion, Equality, and Administrative Regulation}, 56 EMORY L.J. 865, 873–75 (2007) (discussing TRAP laws).
Mississippi has some of the country’s strictest abortion laws and only one remaining abortion clinic.\textsuperscript{54} In 2012, state legislators put into effect a law requiring “all abortion providers to be board certified in obstetrics and gynecology and have admitting privileges at a local hospital.”\textsuperscript{55} The lone clinic’s providers are already board-certified ob-gyns, but local hospitals denied privileges to the two physicians who provide the majority of procedures “after a months-long effort by the clinic to obtain them.”\textsuperscript{56} Although claiming the law serves to protect women’s health, some advocates of the law have openly expressed the goal of shutting down the last abortion clinic and making Mississippi an abortion free state.\textsuperscript{57} Yet, even Mississippi—shockingly—failed to pass a personhood ballot initiative.\textsuperscript{58}
The personhood movement’s failure in Mississippi and nationwide is remarkable given this climate of hostility to abortion rights in many states during the same time period. The uniform failure in the push for zygote personhood appears rooted, at least in part, in reproductive rights advocates’ success in linking personhood proposals to health issues other than abortion for which the public has much more sympathy. These other implications of personhood legislation are examined further below.
III. THE SIDE EFFECTS OF PERSONHOOD LEGISLATION
Since U.S. law has never granted legal personhood from the moment of fertilization, the full implications of personhood legislation remain uncertain. In this Part, I show several of the likely implications for women’s access to healthcare and rights to liberty and equality in healthcare decision-making under a personhood regime. I also argue that the likely reason for the failure of personhood proposals even in states extremely hostile to abortion rights lies in this link between personhood legislation and healthcare.
A. The Implications of Treating Zygotes as Legal Persons
The potential effects of personhood laws are wide ranging, from restrictions on women’s healthcare to bans on stem cell research. This section briefly
\textsuperscript{54} See State Facts About Abortion: Mississippi, GUTTMACHER INST., http://www.guttmacher.org/pubs/sfa/mississippi.html (last visited Jan. 20, 2013).
\textsuperscript{55} Emily Le Coz, Mississippi’s Last Abortion Clinic Faces Closure, CHI. TRIB. (Nov. 28, 2012), http://www.chicagotribune.com/health/sns-rt-us-usa-abortion-mississippibre8ar18v-20121128,0,6829531.story.
\textsuperscript{56} Id.
\textsuperscript{57} See Rich Phillips, Law Could Force Mississippi’s Only Abortion Clinic to Close, CNN.COM (June 30, 2012, 6:50 PM), http://www.cnn.com/2012/06/30/us/mississippi-abortion-clinic/index.html (noting that when Gov. Phil Bryant signed the bill, he stated it was a step towards ending abortion in Mississippi).
\textsuperscript{58} See Denise Grady, Medical Nuances Drove ‘No’ Vote in Mississippi, N.Y. TIMES, Nov. 15, 2011, at D1.
summarizes likely implications for access to abortion, pregnancy care, contraception, fertility treatments, and broader implications for the legal regulation of women’s behavior during pregnancy. Proponents of personhood legislation claim that discussion of these implications amounts to “fear mongering.”\textsuperscript{59} Keith Mason and other leaders of the personhood movement deliberately obfuscate the full spectrum of a personhood law’s impacts, claiming that such a law would only ban abortion.\textsuperscript{60} Although the complete extent of a personhood law’s likely impact remains uncertain, evidence of the effects of personhood-type laws in other countries and analysis by many scholars and commentators suggest that concerns about the “side effects” of personhood laws are valid.\textsuperscript{61}
1. \textit{Abortion and Pregnancy Care}
In 1973, the United States Supreme Court issued its landmark decision in \textit{Roe v. Wade} granting women a constitutional right to seek abortion care.\textsuperscript{62} In \textit{Planned Parenthood of Southeastern Pennsylvania v. Casey}, the Court reaffirmed a woman’s constitutional right to choose to have an abortion, but rejected \textit{Roe’s} trimester framework and adopted the much less stringent “undue burden” test.\textsuperscript{63} Under \textit{Casey}, a woman has a right to choose to have an abortion before viability, but the State has legitimate interests in both the health of the mother and the life of the fetus from the moment of conception.\textsuperscript{64} In \textit{Roe}, the Supreme Court held that the word “person” in the Constitution “does not include the unborn,” and thus constitutional rights only apply postnatally.\textsuperscript{65} Personhood activists have seized on this language and seek to redefine “person” to include the unborn from the moment of fertilization. There is no question that personhood laws are a direct attempt to ban abortion and deny women the right to reproductive choice established in \textit{Roe} and \textit{Casey}.\textsuperscript{66}
\textsuperscript{59} Jonathan F. Will, \textit{Measure 26: Fear Mongering, Self-Execution & Potential Implications for Birth Control}, 81 Miss. L.J. Supra 63, 64 (2011), http://mississippilawjournal.org/wp-content/uploads/2012/04/Supra-81-Prop-26-Symposium-Essay-Will.pdf.
\textsuperscript{60} See Abigail Pesta, \textit{War of the Wombs: The Battle for ‘Personhood’ Heats Up}, NEWSWEEK, July 9, 2012, at 20–21 (describing Mason’s statement that he is not against contraception or fertility treatments, but admits that personhood laws would alter IVF procedures and ban IUDs and emergency contraception which he views as abortifacients); Julie Rovner, \textit{Abortion Foes Push to Redefine Personhood}, NPR (June 1, 2011, 3:23 PM), http://www.npr.org/2011/06/01/136850622/abortion-foes-push-to-redefine-personhood (describing Mason’s view regarding the effect of personhood legislation on abortion and birth control).
\textsuperscript{61} \textit{See infra} Part III.A.1–4.
\textsuperscript{62} \textit{Roe v. Wade}, 410 U.S. 113, 155 (1973).
\textsuperscript{63} \textit{Planned Parenthood of Se. Pa. v. Casey}, 505 U.S. 833, 876 (1992).
\textsuperscript{64} \textit{Id.} at 876–77.
\textsuperscript{65} \textit{Roe}, 410 U.S. at 157–58.
\textsuperscript{66} For example, federal personhood legislation, known as The Sanctity of Human Life Act, H.R. 212, if passed and upheld by the Supreme Court, would give Congress the power,
Under a personhood regime, all abortions could be banned including in cases of rape and incest. Abortions would be a crime, since a fertilized egg would be a citizen with legal rights, and the loss of that citizen’s right to life would constitute murder.\textsuperscript{67} Traditionally, the common law did not consider abortion a crime because a live birth had not yet occurred.\textsuperscript{68} As legislatures developed criminal abortion statutes, they specifically provided for protections for the unborn without penalizing the pregnant woman or holding her criminally liable as an offender or accomplice.\textsuperscript{69} However, by statutory change in the definition of the word “person,” personhood laws may have the effect of subjecting women to criminal prosecution and liability for the harm or death of her embryos.\textsuperscript{70}
It remains unclear whether abortion would be permitted in a situation where a pregnancy threatened a woman’s life or health. Personhood laws would make physicians liable for providing abortion care and “could make any effort to terminate a pregnancy a criminal act, [and] it could also bar doctors from saving the lives of women with ectopic pregnancies, which are never viable and need to be terminated as soon as possible.”\textsuperscript{71} Personhood laws may also limit the
\textsuperscript{67} Valena Beety, \textit{Mississippi Initiative 26: Personhood and the Criminalization of Intentional and Unintentional Acts by Pregnant Women}, 81 MISS. L.J. SUPRA 55, 55–58 (2011), available at http://mississippilawjournal.org/wp-content/uploads/2012/04/Supra-81-Prop-26-Symposium-Essay-Beety.pdf.
\textsuperscript{68} Id. at 57 (citing \textit{Roe}, 410 U.S. at 161–62, which described how U.S. law had only accorded legal rights to unborn children in inheritance and tort law, and then only when a pregnancy resulted in a live birth were unborn children deemed to have recognized legal rights).
\textsuperscript{69} See, e.g., MISS. CODE ANN. § 41-41-45(4) (West Supp. 2012) (“Any person, except the pregnant woman, who purposefully, knowingly or recklessly performs or attempts to perform or induce an abortion in the State of Mississippi, except in the case where necessary for the preservation of the mother’s life or where the pregnancy was caused by rape, upon conviction, shall be punished by imprisonment in the custody of the Department of Corrections for not less than one (1) year nor more than ten (10) years.”); see also \textit{Roe}, 410 U.S. at 158 n.54 (commenting that abortion statutes typically did not hold the mother liable as a principal or accomplice to the abortion performed upon her).
\textsuperscript{70} See, e.g., Beety, \textit{supra} note 67, at 57–58 (commenting on the effect that Mississippi’s Personhood Initiative 26 could have on criminal liability and prosecutions of mothers for harm to or death of a fetus by abortion).
\textsuperscript{71} Marie Diamond, \textit{Anti-Abortion Groups Push to Outlaw Contraceptives by Redefining Personhood}, THINKPROGRESS (June 3, 2011, 2:40 PM), http://thinkprogress.org/justice/2011/06/03/235552/personhood-bills-attack-contraception/; see also L. Lewis Wall & Douglas Brown, \textit{Regarding Zygotes as Persons: Implications for Public Policy}, 49 PERSP. BIOLOGY & MED. 602, 606–09 (2006) (noting that 75% of human conceptions die spontaneously before reaching viability and that recognizing zygote personhood would change the definition of pregnancy and dramatically alter the healthcare system).
ability of physicians to provide care for pregnant women with cancer, as a recent incident from the Dominican Republic illustrates. In 2010, the Dominican Republic adopted a new constitution recognizing personhood from the moment of conception.\textsuperscript{72} This law led to tragic consequences for “Esperanza,” a sixteen-year-old pregnant girl who died in August 2012 from complications due to acute leukemia. Esperanza needed chemotherapy, but the doctors refused to provide the treatment due to fear of prosecution for causing the death of the fetus. By the time the government intervened and ordered chemotherapy be provided, it was too late—the cancer had progressed and Esperanza eventually died.\textsuperscript{73}
\textit{2. Contraception}
According to the Guttmacher Institute, every year in the United States sixty-two million women are of childbearing age, of which 62% use contraception.\textsuperscript{74} Contraception has many benefits, both for pregnancy and non-pregnancy purposes.\textsuperscript{75} Attempts to ban contraception are not new, and anti-contraception legislation was common prior to the Supreme Court’s decision in \textit{Griswold v. Connecticut}. In 1965, \textit{Griswold} held that a Connecticut law forbidding the use of contraceptives violated the right to privacy protected by the Due Process Clause for married couples.\textsuperscript{76} In 1972, in \textit{Eisenstadt v. Baird}, the Supreme Court extended protection of the right to access contraceptives to unmarried persons.\textsuperscript{77}
In addition to banning abortion, personhood laws could also give government the authority to prohibit some of the most effective methods of
\textsuperscript{72} \textsc{Constitución Política de la República Dominicana} (2010) art. 37 (Dom. Rep.).
\textsuperscript{73} The girl’s name was withheld by the hospital in order to protect her identity, but the local press has referred to her as Esperanza. \textit{See} Rafael Romo, \textit{Pregnant Dominican Teen at Center of Abortion Debate Dies}, CNN.COM (Aug. 17, 2012), http://articles.cnn.com/2012-08-17/americas/world_americas_dominican-republic-abortion_1_abortion-debate-abortion-ban-dominican-republic.
\textsuperscript{74} Women of “childbearing age” include women ages fourteen to forty-four. The Guttmacher Institute reported that 63% of women who use contraception use nonpermanent methods, primarily hormonal methods (the pill, patch, implant, injectable, and vaginal ring), the intrauterine device (IUD), and condoms. The remainder of those who use contraception rely on female or male sterilization. \textit{Fact Sheet}, GUTTMACHER INST., http://www.guttmacher.org/pubs/fb_contr_use.html (last visited Mar. 28, 2013) [hereinafter GUTTMACHER Fact Sheet].
\textsuperscript{75} Contraceptives are used to assist couples in having healthier pregnancies by being able to control the timing and spacing of pregnancies—pregnancies that occur too early, late, or close together have negative effects on maternal health and increase the risk of prematurity and low birth weight. Contraceptives provide a number of health benefits in addition to preventing unwanted pregnancies, such as treatment for excessive menstrual bleeding, menstrual pain, acne, and endometriosis. \textit{Id.}
\textsuperscript{76} \textit{Griswold v. Connecticut}, 381 U.S. 479, 485 (1965).
\textsuperscript{77} \textit{Eisenstadt v. Baird}, 405 U.S. 438, 447 (1972); see also \textit{Carey v. Population Servs. Int’l}, 431 U.S. 678, 678 (1977).
contraception.\textsuperscript{78} If legal personhood began at the moment of fertilization, a woman’s use of many common forms of birth control—such as intrauterine devices—could become the legal equivalent of a homicide.\textsuperscript{79} Personhood laws could ban the use of “morning-after” pills, since scientists debate whether emergency contraception prevents implantation of a fertilized egg.\textsuperscript{80} Keith Mason of Personhood USA claims that his personhood proposals would not restrict most forms of birth control, but acknowledges that personhood laws would prohibit contraceptives that “would kill a unique human individual.”\textsuperscript{81}
Birth control pills could be viewed as, or effectively become, murder weapons, if fertilization occurs and these contraceptives prevent the fertilized egg from implanting in a woman’s uterus.\textsuperscript{82} Dan Grossman, M.D., an obstetrician-gynecologist at the University of California, San Francisco, expressed similar concern with defining fertilized eggs as persons with legal rights—“[t]his redefinition really could end up reclassifying all of these effective and safe birth control methods as abortifacients, or agents that induce abortions.”\textsuperscript{83}
In sum, personhood proposals carry serious threats to women’s constitutional right to access contraceptives.\textsuperscript{84} By prohibiting the most effective and commonly used forms of contraception, personhood laws would hinder a woman’s ability to make family-planning decisions and deny her safe and effective methods to protect her health.\textsuperscript{85}
\textsuperscript{78} For example, Mississippi’s Personhood Initiative 26 would have banned all abortions, barred morning-after pills and other forms of contraception such as intrauterine devices, and limited IVF procedures. \textit{See} Katharine Seelye, \textit{Voters Defeat Many G.O.P.-Sponsored Measures}, N.Y. TIMES, Nov. 9, 2011, at A20; \textit{see also} Diamond, \textit{supra} note 71 (describing how personhood legislation could place women who use contraceptives in legal jeopardy because many forms of contraceptives prevent the implantation of fertilized eggs).
\textsuperscript{79} Diamond, \textit{supra} note 71.
\textsuperscript{80} Pam Belluck, \textit{Abortion Qualms on Morning-After Pill May Be Unfounded}, N.Y. TIMES, June 5, 2012, http://www.nytimes.com/2012/06/06/health/research/morning-after-pills-dont-block-implantation-science-suggests.html?pagewanted=all&_r=0.
\textsuperscript{81} Julie Rovner, \textit{Abortion Foes Push to Redefine Personhood}, NPR (June 1, 2011), http://www.npr.org/2011/06/01/136850622/abortion-foes-push-to-redefine-personhood.
\textsuperscript{82} Diamond, \textit{supra} note 71. About 11 million American women use birth control pills and around 2 million use IUDs. \textit{See} GUTTMACHER \textit{Fact Sheet}, \textit{supra} note 74. The morning-after pill and copper IUD would arguably “kill a unique human being,” i.e. a fertilized egg, because according to the FDA, both could prohibit an egg from implanting to the womb after fertilization. \textit{Newsweek Story on ‘Personhood’ Leaders Fuels Abortion Debate}, DAILY BEAST (June 27, 2012, 7:50 PM), http://www.thedailybeast.com/articles/2012/06/27/newsweek-story-on-personhood-leaders-fuels-abortion-debate.html.
\textsuperscript{83} Rovner, \textit{supra} note 81 (statement of Dr. Dan Grossman, ob-gyn at the University of California, San Francisco).
\textsuperscript{84} Eisenstadt v. Baird, 405 U.S. 438, 453 (1972) (“If the right of privacy means anything, it is the right of the \textit{individual}, married or single, to be free from unwarranted governmental intrusion into matters so fundamentally affecting a person as the decision whether to bear or beget a child.”).
\textsuperscript{85} Forty-three million women of childbearing age that are sexually active and capable of becoming pregnant, but do not want to become pregnant, are at risk of unintended
3. Infertility Treatment
Personhood proposals present serious threats to in vitro fertilization (IVF), a form of assisted reproductive technology (ART).\textsuperscript{86} If personhood laws were passed, they would very likely prevent a significant number of Americans from conceiving children through IVF.\textsuperscript{87} Under a personhood regime, physicians and patients who participate in IVF treatment may be subject to legal liability and face potential criminal charges for murder, abandonment, neglect, and conspiracy based on the nature of IVF procedures and embryo treatment.
Fertility centers either: (1) “freshly” implant, donate, or discard fertilized eggs; or (2) freeze fertilized eggs, which are stored for future implantation use, future donation to patients or for research, or are eventually discarded.\textsuperscript{88} In a study published in 2010 by the \textit{Journal of Fertility and Sterility}, researchers surveyed 1,020 IVF patients at nine fertility clinics in the United States. Among the responses, 54% of respondents with frozen embryos indicated that they were “very likely” to use them for reproduction; 21% said that they were “very likely” to donate them for research; only 7% indicated that they were “very likely” to donate embryos to another couple trying to conceive, and 6% said that they were “very likely” to thaw and dispose of the embryos.\textsuperscript{89}
\textsuperscript{86} See generally \textit{In Vitro Fertilization (IVF)}, MEDLINEPLUS, http://www.nlm.nih.gov/medlineplus/ency/article/007279.htm (last visited Jan. 13, 2013) (defining IVF).
\textsuperscript{87} According to the Centers for Disease Control and Prevention, fertility impairment affects 6.7 million women, ages fourteen to forty-four, in the United States. \textit{Infertility}, CTRS. FOR DISEASE CONTROL & PREVENTION, http://www.cdc.gov/nchs/fastats/fertile.htm (last visited Jan. 13, 2013). Around 58,000 American IVF babies are born each year, constituting more than 1% of all births in the United States. Christine Russell, \textit{Four Million Test-Tube Babies and Counting}, ATLANTIC (Oct. 7, 2010, 11:55 AM), http://www.theatlantic.com/technology/archive/2010/10/four-million-test-tube-babies-and-counting/64198/.
\textsuperscript{88} The Centers for Disease Control and Prevention published a survey in 1999, which reported various treatment procedures used by IVF fertility clinics in the United States. Lab treatment of embryos and zygotes that are not implanted or frozen for future use included: 49.6% immediately discarded; 46.1% cultured to demise and discarded; 23.7% donated for research; 11.6% donated for diagnostic purposes; 22.4% donated for training purposes; and 18.5% donated to another patient/couple. ANALYTICAL SCIENCES, INC., CTRS. FOR DISEASE CONTROL & PREVENTION, FINAL REPORT: SURVEY OF ASSISTED REPRODUCTIVE TECHNOLOGY: EMBRYO LABORATORY PROCEDURES AND PRACTICES 31 (1999), available at http://www.cdc.gov/dls/pdf/art/ARTsurvey.pdf.
\textsuperscript{89} Anne Drapkin Lyerly et al., \textit{Fertility Patients’ Views About Frozen Embryo Disposition: Results of a Multi-Institutional U.S. Survey}, 93 \textit{FERTILITY & STERILITY} 499, 499, 503 (2010); Karen Springen, \textit{Agonizing Dilemma: A Psychologist on the Complicated Reasons Couples Are Reluctant to Donate or Destroy Stored Embryos After Their Fertility Treatments End}, DAILY BEAST (Dec. 3, 2008, 7:00 PM), http://www.thedailybeast.com/newsweek/2008/12/03/agonizing-dilemma.html.
Personhood laws will have a significant impact on IVF procedures, costs, and success rates.\textsuperscript{90} Current IVF practices would likely be restricted or even banned, since to achieve successful IVF outcomes, doctors fertilize more eggs than they intend to implant and implant more embryos than can successfully survive.\textsuperscript{91} Physicians who perform IVF do not implant all the eggs that they fertilize because this can lead to risky multiple pregnancies.\textsuperscript{92} If personhood legislation limited physicians and patients to fertilizing only as many eggs as they plan to implant, multiple treatments to extract eggs would have to be performed, which could expose women to greater health risks, lower pregnancy rates, and potentially increase pregnancies with multiples.\textsuperscript{93} Under a personhood regime, physicians and their patients could be liable for the resulting harm caused to each fertilized egg that they implant and those they do not, which are usually frozen or never used.\textsuperscript{94} Fertility centers and patients may even be held legally responsible for finding a “willing uterus” to allow for implantation, as failure to do so could be considered negligence, abandonment, or murder. Such increased liability would also hinder a doctor’s ability to perform IVF in the safest and most effective way.\textsuperscript{95} Fertility specialist Daniel Shapiro, M.D., expressed concern that “[a]t one extreme, [doctors] could be accused of homicide, or negligent homicide, because we’re not taking care of an embryo. At the more reasonable level, we could be considered negligent in general.”\textsuperscript{96}
\textsuperscript{90} See Kounang, \textit{supra} note 36; Russell, \textit{supra} note 87.
\textsuperscript{91} See \textit{Assisted Reproductive Technology (ART) Report: National ART Success Rates: 2010 National Summary}, CTRS. FOR DISEASE CONTROL & PREVENTION, http://apps.nccd.cdc.gov/art/Apps/NationalSummaryReport.aspx (last updated Jan. 6, 2012). In 2010, the percentage of “fresh,” non-frozen embryos that were transferred and resulted in implantation included: 36.5% in women under 35; 26.9% in women 35–37; 17.7% in women 38–40; 9.6% in women 41–42; and 4.2% in women 43–44. The average number of embryos transferred ranged from: 2.0 for women under 35; 2.2 for women 35–37; 2.6 for women 38–40; 3.0 for women 41–42; and 3.2 for women 43–44. Cycles which resulted in pregnancies included: 47.6% of women under 35, 38.8% of women 35–37; 29.9% of women 38–40; 19.9% of women 41–42; and 10.6% of women 43–44. \textit{Id.}
\textsuperscript{92} Michelle Goldberg, \textit{Will Mississippi Ban IVF?}, DAILY BEAST (Oct. 24, 2011, 10:25 PM), http://www.thedailybeast.com/articles/2011/10/24/personhood-ballot-initiative-in-mississippi-could-ban-some-ivf-practices.html (noting the position of Dr. Randall Hines, a physician who performs IVF procedures in Mississippi, on how personhood laws would affect IVF).
\textsuperscript{93} See \textit{id}. Fertility clinics may be required to perform only single-embryo implantation to ensure the most viable opportunity and environment for successful implantation and pregnancy. \textit{See id.}
\textsuperscript{94} See Kounang, \textit{supra} note 36.
\textsuperscript{95} \textit{Id.} (describing a spokesman for the American Society of Reproductive Medicine’s opinion that giving legal and constitutional rights to an egg from the moment of fertilization will not necessarily ban IVF, but it will ban doctors from doing it in the safest and most effective way).
\textsuperscript{96} \textit{Id.}
Personhood USA founder Keith Mason told *Newsweek* that he does not think IVF should be banned, but rather “reformed.”\textsuperscript{97} The full extent of IVF reform that would be required by personhood legislation remains unresolved. Based on Mason’s comments, it is reasonable to conclude that personhood laws would attach legal consequences to the creation of multiple embryos if all were not implanted, would require fair use and treatment of all embryos created, and would likely prohibit embryo freezing and destruction.\textsuperscript{98} If human embryos were considered to be people with legal rights, then certainly freezing and storing embryos could form a basis for civil liability, criminal charges, and constitutional violations like deprivation of life and liberty without due process of the law.
In sum, personhood laws will significantly affect how embryos are created and treated at fertility centers and may hinder the quality and types of fertility treatments available to patients. Hampering access to IVF in particular may have a disparate impact on women’s healthcare and assistance with female fertility concerns. For example, cryopreservation of eggs or embryos for later use with IVF is the only method for preserving fertility for women needing cancer treatment or women with other medical indications of premature ovarian failure.\textsuperscript{99}
4. Broader Implications for Women’s Liberty and Equality in Healthcare Decision-Making
Personhood laws would do much more than ban all abortion care, hinder access to medical care for pregnant women, bar some of the most effective methods of contraception, and impede fertility treatments such as IVF. If the law declared that legal personhood begins at fertilization and thus a zygote has equal or similar rights to the woman carrying it, pregnant women could be regulated in any number of ways. The implications for women’s liberty and equality, particularly in their healthcare decision-making during pregnancy, are wide ranging—from criminalization of behavior during pregnancy, to family-law implications for spousal control over pregnant women’s medical treatment decisions, to employment-law practices regarding pregnancy discrimination. This section briefly sketches out a few of these potential implications.
Personhood laws would authorize much more extensive regulation of pregnant women and their healthcare decisions. The policing of pregnant
\textsuperscript{97} Pesta, \textit{supra} note 60, at 21. Mason also told CNN.com that “[i]n creating 30 to 60 embryos, and then choosing three or four embryos, that’s selective reduction. I think these practices would be affected.” Kounang, \textit{supra} note 36 (internal quotation marks omitted). In response to Mason’s position, Dr. Daniel Shapiro, a fertility specialist, noted that women under thirty-five usually generate only eight to ten embryos in a cycle, where one or two are transferred for possible implantation, and about three embryos are usually frozen. \textit{Id.}
\textsuperscript{98} See Kounang, \textit{supra} note 36; Pesta, \textit{supra} note 60, at 21.
\textsuperscript{99} See Jack Yu Jen Huang et al., \textit{In Vitro Fertilisation Treatment and Factors Affecting Success}, 26 \textsc{Best Prac. & Res. Clinical Obstetrics & Gynaecology} 777, 780 (2012).
women’s behavior through miscarriage investigations, court-ordered Caesarean sections, punishment for drug use during pregnancy, and other regulation of behavior during pregnancy all could be justified under a zygote personhood regime. In fact, even without personhood laws in place, criminal sanctions or the threat of criminal sanctions have been used to control pregnant women’s conduct in violation of their rights to bodily integrity, autonomous decision-making, and equal treatment under the law.\footnote{100}
Under personhood laws, the State could have the power to investigate and prosecute women who have miscarriages if they suspect homicide.\footnote{101} A woman’s doctor may be inclined, if not required, to report a woman’s harmful conduct to the police.\footnote{102} Even a woman who is unaware that she is pregnant, but acts in a way that results in a miscarriage, could also be charged with involuntary manslaughter. Any of the following actions could result in prosecution of a pregnant woman if she induces or contributes to a miscarriage: (1) drinking too much alcohol;\footnote{103} (2) falling down the stairs;\footnote{104} (3) failing to wear a seatbelt and then getting in an accident;\footnote{105} (4) smoking;\footnote{106} (5) drug
\footnote{100}{See Lynn M. Paltrow & Jeanne Flavin, \textit{Arrests of and Forced Interventions on Pregnant Women in the United States, 1973–2005: Implications for Women’s Legal Status and Public Health}, 38 J. HEALTH POL., POL’Y & L. 299, 300, 303 (2013) (analyzing 413 cases in which pregnancy was a key factor in the deprivation of a woman’s physical liberty); Lynn M. Paltrow, \textit{Roe v. Wade and the New Jane Crow: Reproductive Rights in the Age of Mass Incarceration}, 103 AM. J. PUB. HEALTH 17, 18–19 (2013) (discussing cases criminalizing behavior during pregnancy and implications for women’s constitutional rights).}
\footnote{101}{See Rep. Carl Wimmer’s HB 12, “Abortion Amendments” Could Impact Pregnant Women Who Aren’t Even Seeking an Abortion, AM. CIVIL LIBERTIES UNION OF UTAH, http://www.acluutah.org/HB12.htm (last visited Jan. 4, 2013) [hereinafter Rep. Carl Wimmer’s HB 12].}
\footnote{102}{Such laws already exist. See, e.g., MINN. STAT. §§ 626.5561, 626.5562 (2012) (requiring doctors to report pregnant patients’ use of alcohol and controlled substances during pregnancy and mandating toxicology testing of mothers and newborns shortly after delivery if there is reason to believe the mother has used harmful substances).}
\footnote{103}{Carolyn B. Ramsey, \textit{Restructuring the Debate Over Fetal Homicide Laws}, 67 OHIO ST. L.J. 721, 735 (2006).}
\footnote{104}{See, e.g., Amie Newman, \textit{Pregnant? Don’t Fall Down the Stairs}, RH REALITY CHECK (Feb. 15, 2010, 5:07 PM), http://www.rhrealitycheck.org/blog/2010/02/15/its-illegal-37-states-for-a-pregnant-woman-fall-down-stairs. This article describes the story of Christine Taylor, a pregnant mother of two from Iowa who fell down a flight of stairs after becoming light-headed and subsequently went to the hospital to make sure her fetus had not been harmed. Taylor told the treating nurse that she was not sure if she wanted to continue the pregnancy since her husband left her once he found out she was pregnant for the third time. The nurse communicated this information to the doctor who then called the police. The police came to the hospital, arrested Taylor, and put her in jail. \textit{Id.}}
\footnote{105}{See Nathan Black, \textit{Utah Bill Criminalizing Illegal Abortions Sparks Debate}, CHRISTIAN POST: CP POLITICS (Mar. 1, 2010, 5:50 PM), http://www.christianpost.com/news/utah-bill-criminalizing-illegal-abortions-sparks-debate-44026/.}
\footnote{106}{Ramsey, \textit{supra} note 103, at 735.}
use; and (6) missing prenatal care appointments. Personhood laws could lead to criminalization of a pregnant woman’s actions that are perceived as harmful or reckless acts towards her fetus and would prejudice pregnant women who are victims of domestic violence, who by returning to an abuser would arguably place the fetus in harm’s way. In most cases, it is not medically possible to accurately identify the cause of a miscarriage or stillbirth. This medical fact is troubling, when personhood laws could arguably impose liability on pregnant women for any actions that could potentially result in a miscarriage. In other countries with laws akin to personhood legislation, miscarriage investigations are common.
If physicians and state officials view a pregnant woman’s healthcare choices as a danger to her fetus, courts may order a pregnant woman to be detained until she gives birth or undergo medical treatment to protect the fetus. “[C]ourt-ordered detentions and medical interventions are contrary to the prevailing view of medical professionals that medical treatment against the pregnant woman’s wishes is rarely, if ever, appropriate.” However, personhood laws seem likely to instigate increased investigation, prosecution,
107 Lisa McLennan Brown, Feminist Theory and the Erosion of Women’s Reproductive Rights: The Implications of Fetal Personhood Laws and In Vitro Fertilization, 13 AM. U. J. GENDER SOC. POL’Y & L. 87, 95 (2005) (“In May 2001, a South Carolina jury after fourteen minutes of deliberation convicted Regina McKnight of homicide by child abuse, after she gave birth to a stillborn baby and admitted to crack-cocaine use while pregnant.”); see also Dana Page, Note, The Homicide by Child Abuse Conviction of Regina McKnight, 46 HOW. L.J. 363, 363–69 (2003) (describing South Carolina’s criminal prosecution and conviction of Regina McKnight and the state’s trend of criminally prosecuting poor pregnant black women who are addicted to crack).
108 Rep. Carl Wimmer’s HB 12, supra note 101.
109 Brandon Loomis, Measure on Illegal Abortions Heads to Governor, SALT LAKE TRIB. (Feb. 18, 2010, 6:18 PM), http://www.sltrib.com/news/ci_14429070.
110 Miscarriage, AM. PREGNANCY ASS’N, http://www.americanpregnancy.org/pregnancycomplications/miscarriage.html (last updated Nov. 2011).
111 See Michele Stopera Freyhauf, Criminalizing Miscarriages: Latin America’s Zero Tolerance Policy on Abortion, FEMINISM & RELIGION, http://feminismandreligion.com/2011/10/06/criminalizing-miscarriages-latin-americas-zero-tolerance-policy-on-abortion-by-michele-stopera-freyhauf/ (last visited Oct. 6, 2011) (describing Latin America’s criminalization of miscarriages and imprisonment of women who suffer spontaneous abortions).
112 See, e.g., Linda C. Fentiman, The New “Fetal Protection”: The Wrong Answer to the Crisis of Inadequate Health Care for Women and Children, 84 DENY. U. L. REV. 537, 567–68 (2006) (describing the case of “Rebecca Corneau, a pregnant woman who rejected all medical care” and was believed to be a danger to her fetus due to her suspected membership in a religious cult). A Massachusetts family court judge ordered Ms. Corneau to be sent to a prison hospital and ordered her to submit to medical examination to determine the health of her fetus. Ms. Corneau was imprisoned up until her child’s birth, where the child was deemed neglected and Corneau stripped of her parental rights. Id.
113 Id. at 569.
regulation, and control over a pregnant woman’s autonomy for the sake of protecting her fetus.\textsuperscript{114}
Concern over the criminalization of pregnant women is not overstated, as evidenced by existing case law punishing or threatening criminal punishment of pregnant women. These legal actions attempt to control women’s “reproductive capability by raising the specter of civil or criminal liability if they engage in potentially risky activities before or during pregnancy.”\textsuperscript{115} For example, in two different cases prosecutors brought murder charges against women who delivered stillborn infants, one based on a woman’s drug use during her pregnancy\textsuperscript{116} and the other based on a woman’s refusal to have a Caesarean section.\textsuperscript{117} Both cases illustrate that prosecutors and the courts are already adamant about regulating the behavior of pregnant women because of their pregnant status and choices made during their pregnancy. Even under existing law that allegedly protects pregnant women’s autonomy in medical decision-making, forced C-section cases are surprisingly common.\textsuperscript{118} In light of these
\textsuperscript{114} See Beety, \textit{supra} note 67, at 60–61 (describing how the death of an embryo or fetus, considered to be a citizen under a personhood law, would affect pregnant women). “In states that neither constitutionally nor statutorily recognize a fetus as a citizen, there are cases of pregnant women facing charges of harming the fetus. This evidences heightened surveillance in general, and criminal investigation in particular, of acts that may harm an unborn child.” \textit{Id.} at 60 (footnote omitted).
\textsuperscript{115} Fentiman, \textit{supra} note 112, at 540.
\textsuperscript{116} In 1999, Regina McKnight, a homeless, arguably mentally retarded pregnant woman addicted to cocaine, was charged with murder after giving birth to a stillborn child. The Supreme Court of South Carolina affirmed her murder conviction and upheld the twenty-year sentence imposed. State v. McKnight, 576 S.E.2d 168, 171 (S.C. 2003); Page, \textit{supra} note 107, at 368–69.
\textsuperscript{117} Pamela Manson, \textit{Mother Is Charged in Stillborn Son’s Death}, \textit{SALT LAKE TRIB.}, Mar. 12, 2004, at A1; see also Fentiman, \textit{supra} note 112, at 554–55 (noting that when charging the mother with murder, prosecutors argued that the mother’s failure to follow the advice of doctors and undergo a C-section constituted a culpable omission which demonstrated “depraved indifference to human life”; the mother spent three months in jail and under a plea bargain pleaded guilty to two counts of felony child endangerment due to her drug use during pregnancy).
\textsuperscript{118} See Lisa L. Chalidze, \textit{Misinformed Consent: Non-medical Bases for American Birth Recommendations as a Human Rights Issue}, 54 N.Y.L. Sch. L. REV. 59, 77 (2010). There is an extensive literature critiquing the practice of forced Caesarean sections and, relatedly, punishment aimed at pregnant women who refuse medical treatment. \textit{See, e.g.}, Lisa C. Ikemoto, \textit{Furthering Inquiry: Race, Class, and Culture in the Forced Medical Treatment of Pregnant Women}, 59 TENN. L. REV. 487, 502–04 (1992) (analyzing forced medical treatment cases); Michelle Oberman, \textit{Mothers and Doctors’ Orders: Unmasking the Doctor’s Fiduciary Role in Maternal-Fetal Conflicts}, 94 NW. U. L. REV. 451, 451 n.4 (2000) (noting the rich literature on “maternal-fetal” conflicts); Nancy K. Rhoden, \textit{The Judge in the Delivery Room: The Emergence of Court-Ordered Cesareans}, 74 CALIF. L. REV. 1951, 1951–52, 1962, 1965 (1986) (discussing Jefferson v. Griffin Spalding Cnty. Hosp. Auth., 274 S.E.2d 457, 458–61 (Ga. 1981), where the Supreme Court of Georgia upheld a trial judge’s order for a pregnant woman to undergo a Caesarean section, despite her religious objections to the procedure, based on doctors’ concerns for the fetus’ health). Notably, many
cases, criminal prosecution of pregnant women under a personhood regime would likely increase for instances where such women fail to act in ways that would benefit their fetus,\textsuperscript{119} as well as when pregnant women act in ways that could risk harm to, does harm, or terminates their pregnancy.\textsuperscript{120}
Personhood laws could also have implications in family law. Family law generally grants fit parents equal rights to custody and control of their born children’s upbringing.\textsuperscript{121} In \textit{Planned Parenthood of Southeastern Pennsylvania v. Casey}, the Court reviewed the constitutionality of a state spousal-notification law to abortion.\textsuperscript{122} \textit{Casey} opined that “[t]he husband’s interest in the life of the child that his wife is carrying does not permit the State to empower him with this troubling degree of authority over his wife.”\textsuperscript{123} The Court discussed the slippery slope that would result if a husband’s interest in the life of the fetus his wife is carrying would require that his wife give him notice to any action of hers that would potentially harm the fetus.\textsuperscript{124} Under a personhood regime, if the embryo constitutes a legal person with the same status as a born child, fathers could have the very rights of dominion over pregnant women that \textit{Casey} rejected. Custody battles between men and women under a personhood regime could also be altered. For example, if a woman acts in a harmful way to the embryo while pregnant, the father may offer evidence of such acts against the
\textsuperscript{119} See, e.g., Beety, \textit{supra} note 67, at 56 (noting that the state of Mississippi, even without a personhood law, prosecutes pregnant women for “unintentional, harmful acts toward a fetus”).
\textsuperscript{120} See, e.g., \textit{id.} at 55–56 (“[Alabama] prosecutes pregnant women who test positive for drugs while at the hospital, even if they are giving birth to apparently healthy newborns.”); see also Michele Goodwin, \textit{Prosecuting the Womb}, 76 GEO. WASH. L. REV. 1657, 1661 (2008) (describing how fetal drug laws are ineffective and exempt behaviors of affluent groups); Matt Elofson, \textit{Defining a Crime: Treatment or Prosecution for Moms When Newborns Test Positive for Drugs?}, SUNDAY DOTHAN EAGLE (Ala.), Oct. 24, 2010, at 1A.
\textsuperscript{121} See D. Kelly Weisberg & Susan Frelich Appleton, \textit{MODERN FAMILY LAW: CASES AND MATERIALS} 683–89 (2010) (discussing child custody rights and best interests of the child standard).
\textsuperscript{122} Planned Parenthood of Se. Pa. v. Casey, 505 U.S. 833, 844–45 (1992).
\textsuperscript{123} \textit{Id.} at 898.
\textsuperscript{124} \textit{Id.} (“If a husband’s interest in the potential life of the child outweighs a wife’s liberty, the State could require a married woman to notify her husband before she uses a postfertilization contraceptive. Perhaps next in line would be a statute requiring pregnant married women to notify their husbands before engaging in conduct causing risks to the fetus. After all, if the husband’s interest in the fetus’ safety is a sufficient predicate for state regulation, the State could reasonably conclude that pregnant wives should notify their husbands before drinking alcohol or smoking. Perhaps married women should notify their husbands before using contraceptives or before undergoing any type of surgery that may have complications affecting the husband’s interest in his wife’s reproductive organs.”).
mother’s interest in retaining her parental rights and custody of the child at the custody hearing, as states already do in dependency proceedings.\textsuperscript{125}
Finally, personhood laws also raise implications for women’s decisions about their health in the workplace and fair employment practices. Federal law prohibits pregnancy discrimination in the workplace.\textsuperscript{126} In \textit{UAW v. Johnson Controls}, the U.S. Supreme Court held that employers cannot deny women jobs in order to protect their future fetuses.\textsuperscript{127} The employer in that case refused to employ women of childbearing age for certain jobs because of potential hazards from chemical exposure.\textsuperscript{128} The \textit{Johnson Controls} Court emphasized that embryos would not be recognized as third parties whose safety was essential to the business.\textsuperscript{129} If embryos are accorded the same legal status as women, personhood laws “threaten[] to limit women’s ability to participate in the workforce . . . .”\textsuperscript{130} Under a personhood regime, employers may institute similar exclusion policies as the policy challenged in \textit{Johnson Controls} simply because of women’s capacity to become pregnant. Given the risk of substantial tort liability under a legal regime granting personhood to embryos, employers may argue that embryo-protection policies are justified to ensure that female workers
\textsuperscript{125} See, e.g., Fentiman, \textit{supra} note 112, at 581 (“[A]ll states agree that a woman’s use of alcohol or other drugs while pregnant is a proper trigger for taking custody of a child as ‘neglected,’ and may be the basis for terminating her parental rights.”). Some state statutes explicitly authorize courts to consider prenatal substance abuse. See, e.g., COLO. REV. STAT. § 19-3-102(1)(g) (2012) (declaring that a child is neglected or dependent if it is born with controlled substances in its system); OKLA. STAT. tit. 10A, § 1-1-105(20)(e) (Supp. 2012) (declaring that a child born dependent on controlled substance is a “deprived child”). Other states have achieved the same result through judicial interpretation of more general child neglect criteria. See, e.g., \textit{In re Troy D.}, 263 Cal. Rptr. 869, 872 (Cal. Ct. App. 1989) (applying CAL. WELF. & INST. CODE § 300(a) (West 2008) to a child born to a mother who ingested drugs during pregnancy); \textit{In re Baby Boy Blackshear}, 736 N.E.2d 462, 465 (Ohio 2000) (holding that a newborn with a positive toxicology screen is per se an abused child under the Ohio civil child abuse statute); see also \textit{In re Stefanel Tyesha C.}, 556 N.Y.S.2d 280, 282–83 (N.Y. App. Div. 1990) (quoting N.Y. FAM. CT. ACT § 1046(a)(iii) (1975)) (holding that allegations that a mother admitted drug use while pregnant and that her infant had a positive toxicology test are sufficient to permit a child neglect proceeding to go forward).
\textsuperscript{126} In 1978, Congress amended Title VII of the Civil Rights Act of 1964 to enact the Pregnancy Discrimination Act (PDA). \textit{The Pregnancy Discrimination Act}, Am. ASS’N OF UNIV. WOMEN, http://www.aauw.org/act/laf/library/pda.cfm (last visited Jan. 11, 2013); see also 42 U.S.C. § 2000e(k) (2006).
\textsuperscript{127} \textit{UAW v. Johnson Controls}, 499 U.S. 187, 190–92, 210–11 (holding that an employer could not refuse to employ women who were of childbearing age for certain jobs because of potential hazards to a fetus that might result from exposure to chemicals in the workplace).
\textsuperscript{128} \textit{Id.} at 191–92.
\textsuperscript{129} \textit{Id.} at 203–04.
\textsuperscript{130} See Fentiman, \textit{supra} note 112, at 540.
do not cause injury to their future children while performing the functions of their jobs.\textsuperscript{131}
* * *
The implications of personhood legislation reach far beyond the particular context of abortion. As I discuss below, concerns over these side effects, particularly on women’s healthcare other than abortion, appear to be one key reason for the overwhelming failure of the current personhood movement in spite of strong support for abortion restrictions across many states.
B. The Defeat of Personhood Proposals
Given the wide variety of contexts in which personhood proposals have been put forward, it is difficult to reach a definitive conclusion on why the personhood movement has yet to succeed in enacting any laws despite hostility to abortion rights in many jurisdictions and among many state legislators. However, observers of the personhood movement have suggested that personhood laws have failed because of the broader implications of such legislation described above. In other words, it was not support for abortion but concern over allegedly “unintended consequences” on women’s health and healthcare decision-making that has doomed personhood proposals.\textsuperscript{132} In contrast, laws that appear to only target abortion are much more politically acceptable due to the stigma surrounding abortion.\textsuperscript{133}
For example, legislators in Virginia, although eager to push through other types of stringent abortion restrictions such as mandatory ultrasounds and burdensome clinic regulations, rejected the Virginia Personhood Bill.\textsuperscript{134} It appears that the Virginia personhood proposal failed because a coalition of
\textsuperscript{131} See, e.g., Wendy W. Williams, \textit{Firing the Woman to Protect the Fetus: The Reconciliation of Fetal Protection with Employment Opportunity Goals Under Title VII}, 69 GEO. L.J. 641, 641–43 (1981).
\textsuperscript{132} See Patrik Jonsson, \textit{Mississippi ‘Personhood’ Measure: Why Support Waned as Election Day Nared}, CHRISTIAN SCI. MONITOR, Nov. 8, 2011, at 13. Of course, not all of these “side effects” are unintended. Some proponents of personhood laws are in favor of limiting access to contraception and IVF. Furthermore, numerous scholars have argued that limitations on reproductive rights are one component of a worldview in favor of enforcing traditional gender roles and traditional limits on sexuality and the family. See, e.g., KRISTIN LUKER, \textit{ABORTION AND THE POLITICS OF MOTHERHOOD} 161–62 (1984).
\textsuperscript{133} See generally Jenny O’Donnell, Tracy A. Weitz & Lori R. Freedman, \textit{Resistance and Vulnerability to Stigmatization in Abortion Work}, 73 SOC. SCI. & MED. 1357 (2011) (discussing stigma surrounding abortion for both patients and providers).
\textsuperscript{134} See John Celock, \textit{Virginia Personhood Bill: State Senate Defeats Bill}, HUFFINGTON POST (Feb. 23, 2012, 6:40 PM), http://www.huffingtonpost.com/2012/02/23/virginia-personhood-bill-defeated-senate_n_1297463.html; \textit{Monthly State Update: Major Developments in 2012}, GUTTMACHER INST. (Dec. 31, 2012), http://www.guttmacher.org/statecenter/updates/index.html.
patients, medical associations, and women’s organizations convinced legislators that the law would result in the ban of IVF infertility treatment in Virginia and also put at risk the legality of terminating life-threatening ectopic pregnancies.\textsuperscript{135}
The failure of the personhood ballot initiative in Mississippi—“arguably the most conservative state in the Union”\textsuperscript{136}—illustrates the importance of linking personhood laws to medical issues other than abortion. Measure 26, as the proposal was known in Mississippi, would have amended the Bill of Rights of the Mississippi Constitution to define the term “person” or “persons” to “include every human being from the moment of fertilization, cloning, or the functional equivalent thereof.”\textsuperscript{137} A month before the election, the personhood initiative was polling at 80% approval. Yet, “Mississippi voters ultimately rejected the personhood measure in an upset vote of 58 to 41%.”\textsuperscript{138} Commentators identified several explanations for the surprising failure of Measure 26, but “the two most common reasons indicated for voting against the initiative had to do with potential implications for (a) the medical treatment of pregnant women (28%), and (b) the availability of IVF (31%).”\textsuperscript{139} One report noted that “[i]n Mississippi, concerns that the measure would empower the government to intrude in intimate medical decisions far afield from abortion—involving not just infertility, but also birth control, potentially deadly ectopic pregnancies and the treatment of pregnant women with cancer—were decisive in its defeat.”\textsuperscript{140} Ironically, the personhood movement’s attempt to vilify abortion by personifying the fetus may have educated the public about the importance of preserving access to abortion care in order to preserve access to less stigmatized forms of healthcare.
\textsuperscript{135} See Martin H. Johnson, Gedis Grudzinkas & Jacques Cohen, \textit{Personhood: To Be or When to Be—Is that the Question?}, 24 REPROD. BIOMEDICINE ONLINE 687, 687 (2012).
\textsuperscript{136} Burns Strider, \textit{6 Reasons Mississippians Said No to “Personhood” Amendment}, HUFFINGTON POST (Nov. 8, 2011, 10:46 PM), http://www.huffingtonpost.com/burns-strider/personhood-amendment-_b_1083079.html.
\textsuperscript{137} Initiative Measure No. 26 (Miss. 2010), available at http://www.sos.ms.gov/page.aspx?s=7&s1=1&s2=50.
\textsuperscript{138} Collins & Crockin, \textit{supra} note 28, at 690.
\textsuperscript{139} Jonathan F. Will, \textit{Beyond Abortion: Why the Personhood Movement Implicates Reproductive Choice} 18 (Miss. Coll. Sch. of Law, Legal Studies Research Paper No. 2012-05, 2012) (footnote omitted), available at http://ssrn.com/abstract=2139072; see also Irin Carmon, \textit{How Mississippi Beat Personhood}, SALON (Nov. 9, 2011, 7:30 AM), http://www.salon.com/2011/11/09/how_mississippi_beat_personhood/ (noting that one of the most visible activists opposed to Initiative 26 was Atlee Breland, whose efforts focused on the measure’s effective prohibition of IVF); Strider, \textit{supra} note 136.
\textsuperscript{140} Denise Grady, \textit{Medical Nuances Drove ‘No’ Vote in Mississippi}, N.Y. TIMES, Nov. 15, 2011, at D1; see also Jonsson, \textit{supra} note 132, at 13 (stating that “the greatest drag on support for the measure . . . may be misgivings from the state’s medical community about potential unintended consequences” including that “lawyers and judges would be making decisions about women’s health”).
Similar concerns were raised in Colorado regarding the potential impact of a personhood measure on medical “treatment of pregnant women, restrictions on contraception, and restrictions on IVF.”\textsuperscript{141} In Colorado, the birthplace of Personhood USA, voters have twice rejected personhood ballot initiatives.\textsuperscript{142} Opponents of the Colorado personhood amendments believed that their anti-personhood campaigns succeeded because they “educat[ed] voters on the far-reaching consequences” of the measure on issues other than abortion, such as “treatment for miscarriages, tubal pregnancies and infertility.”\textsuperscript{143} Pro-choice advocates fighting personhood measures are aware of the risks in presenting personhood proposals purely as abortion measures and instead frame the problem more broadly as implicating other women’s health issues—a strategy that appears to have been widely successful.
Thus, these ongoing battles over personhood laws have provided a useful opportunity for reproductive rights advocates to re-link abortion with other aspects of women’s health and to elucidate how attacks purportedly targeted at abortion negatively affect women’s access to healthcare in a broader sense. In fact, existing anti-abortion laws and policies already impinge upon women’s health beyond the abortion context, but these “side effects” remain masked. In the next Part, I examine how current abortion restrictions detrimentally impact women’s healthcare even for those women not actively seeking abortion care.
IV. THE SIDE EFFECTS OF EXISTING ABORTION RESTRICTIONS
While legislators and the public (even in strongly anti-abortion states) have expressed concern about anti-abortion laws that impede women’s healthcare in the context of personhood proposals, a similar understanding of the healthcare implications of other types of abortion restrictions has not yet developed. Part of the popularity of anti-abortion measures rests on the faulty belief that those laws affect only the “bad” women who seek abortions. This belief rests on the false assumption that abortion can be isolated from other aspects of women’s health. In this Part, I demonstrate that, as a matter of medical reality, abortion cannot be isolated from the continuum of women’s healthcare. Thus far, the public appears to have recognized this reality in the context of personhood legislation, but has otherwise failed to understand the interconnectedness of abortion care with women’s health generally. In fact, various existing abortion restrictions already obstruct women’s healthcare, but these harmful “side effects” remain hidden from view. Below, I describe how existing anti-abortion government regulation detrimentally affects care for women in the context of miscarriage management, prenatal care, and treatment of ectopic pregnancies.
\textsuperscript{141} See Will, \textit{supra} note 139, at 17.
\textsuperscript{142} See Steven Ertelt, \textit{Colorado Personhood Amendment Fails to Qualify for Third Vote}, LIFE NEWS.COM (Aug. 29, 2012, 1:36 PM), http://www.lifenews.com/2012/08/29/colorado-personhood-amendment-fails-to-qualify-for-third-vote/.
\textsuperscript{143} Electa Draper, “Personhood” Initiative Sinks by 3-1 Margin, DENVER POST, Nov. 3, 2010, at 2B.
A. "Partial-Birth" Abortion Bans and Miscarriage Management
In 2003, Congress enacted the first federal abortion regulation, a ban on "partial-birth" abortion, which does not contain an exception to protect women's health.\textsuperscript{144} The statute purports to ban a method of second trimester abortion called "partial-birth" abortion by its opponents, but known medically as "intact D&E."\textsuperscript{145} "Partial-birth" abortion is not a medical term, but a political one.\textsuperscript{146} Although the federal "partial-birth" abortion ban received much attention when the Supreme Court upheld the law in \textit{Gonzales v. Carhart}, the public has heard little about the effects of this ban since its implementation. The discussion of the law during the years of litigation gave the impression that a ban on intact D&E would only affect a small number of women seeking abortions late in their pregnancy. In fact, research on the consequences of the federal "partial-birth" abortion ban for women's health suggests a much wider impact not only on abortion care, but also in the management of miscarriages.\textsuperscript{147}
Lori Freedman, a leading researcher on the effects of anti-abortion policies on physicians, found that some physicians who do not routinely provide
\textsuperscript{144} See Partial-Birth Abortion Ban Act of 2003, Pub. L. No. 108-105, § 1531(a), 117 Stat. 1201, 1206 (2003); Nat'l Abortion Fed'n v. Ashcroft, 330 F. Supp. 2d 436, 492 (S.D.N.Y. 2004) (holding the ban unconstitutional for lack of an exception for women's health); Cynthia Dailard, Courts Strike 'Partial-Birth' Abortion Ban: Decisions Presage Future Debates, GUTTMACHER REP. ON PUB. POL'Y, Oct. 2004, at 1–2 (discussing the federal ban and three district court decisions that struck down the statute).
\textsuperscript{145} See Gonzales v. Carhart, 550 U.S. 124, 136–37, 150–51 (2007). \textit{Carhart} concluded that the federal abortion ban criminalizes the intentional use of only one method of second-trimester abortion, "intact D&E," but the medical literature labels this same procedure with various names: "intact D&E," "intact D&X," or "D&X." Id. This Article will refer to the procedure as "intact D&E." In a D&E procedure, the physician evacuates the fetus and placenta using forceps. In an intact D&E procedure, the physician evacuates the fetus, but accomplishes the evacuation with the fetus largely intact. See Carhart v. Ashcroft, 331 F. Supp. 2d 805, 852–99 (D. Neb. 2004), aff'd sub nom. Carhart v. Gonzales, 413 F.3d 791 (8th Cir. 2005), rev'd 550 U.S. 124 (2007) (detailing district court findings of fact describing doctor's testimony regarding abortion procedures).
\textsuperscript{146} See Cynthia Gorney, Gambling with Abortion: Why Both Sides Think They Have Everything to Lose, HARPER'S MAG., Nov. 2004, at 33–34.
\textsuperscript{147} For research on the effects of the ban on abortion care, see Lisa Haddad et al., Changes in Abortion Provider Practices in Response to the Partial-Birth Abortion Ban Act of 2003, 79 CONTRACEPTION 379, 381–383 (2009) (finding changes in abortion practices reflecting adherence to legal mandates rather than new scientific evidence), and Tracy A. Weitz & Susan Yanow, Implications of the Federal Abortion Ban for Women's Health in the United States, 16 REPRODUCTIVE HEALTH MATTERS 99, 103 (2008) (noting that medical experts have stated that adequate dilation is "a critical factor in the safety of any D&E" and the Court's emphasis on dilation as proof of intent to perform the banned intact D&E procedure "may lead some providers not to dilate adequately for fear of appearing to induce an intact D&E").
abortions are nevertheless impacted by the ban.\textsuperscript{148} She related the story of one physician who attempted to care for a patient who was miscarrying a previable pregnancy but felt unable to treat her patient in the safest manner she thought possible for fear of violating the law. The physician, who told this story confidentially, explained how the patient was losing a twenty-two-week pregnancy due to ruptured membranes and her treatment as follows:
Dr. B: “[The patient] was kind of in the process of delivering but it wasn’t coming fast enough and she’s trying to hemorrhage to death. . . . So I took her to the OR to basically do a D&E . . . so I could get her to quit hemorrhaging. Well, you know the whole thing about the partial birth abortion. I mean, [it’s] being born breach, it’s still kicking, it still has a heartbeat, its head is stuck in her cervix. What would make sense would be to punch a hole in the back of its skull, collapse its brain, get it out of there and save the patient. But you’ve got all these people in the OR that don’t know what the background situation [is]. . . . And it’s just like that would’ve made perfect sense to do that but I didn’t primarily because I was worried that all these, you know, the techs and circulating nurses in the OR are going to think, ‘Oh, Dr. B is a baby killer,’ you know, ‘And she just did a partial birth abortion and doesn’t everybody know that’s illegal?’”\textsuperscript{149}
In fact, technically this situation would not fall within the scope of the federal “partial-birth” abortion ban, since the physician did not start the procedure with an intent to perform an intact D&E.\textsuperscript{150} Nevertheless, regardless of the technicalities of the law, the law’s effect has been to create a system in which doctors feel circumscribed in the exercise of their medical judgment.\textsuperscript{151} Professor Tracy Weitz argues that the law has become its own “Panopticon,” a perpetual surveillance system where “physicians make decisions in the operating room based on their fears about who might be watching, worried that onlookers will misinterpret the situation.”\textsuperscript{152} As with personhood laws, the federal “partial-birth” abortion ban has side effects, inhibiting not just abortion care but also the care of pregnant women suffering from miscarriages.
In this particular case, the physician completed a disarticulation D&E (non-intact D&E) and was able to save the patient’s life.\textsuperscript{153} However, we do not know how often circumstances like these arise and at what risks to patients, because these stories are rarely told.\textsuperscript{154} The federal “partial-birth” abortion ban
\textsuperscript{148} See Tracy A. Weitz, \textit{Lessons for the Prochoice Movement from the 'Partial Birth Abortion' Fight}, XXXIII CONSCIENCE, no. 1, 2012, at 26, 28.
\textsuperscript{149} \textit{Id.} at 28 (quoting from a presentation by Lori Freedman) (alteration in original).
\textsuperscript{150} \textit{See id.}
\textsuperscript{151} \textit{See id.}
\textsuperscript{152} \textit{Id.}
\textsuperscript{153} \textit{See id.}
\textsuperscript{154} See Weitz, \textit{supra} note 148; see also Lori R. Freedman, Uta Landy & Jody Steinauer, \textit{When There’s a Heartbeat: Miscarriage Management in Catholic-Owned Hospitals}, 98 AM. J. PUB. HEALTH 1774, 1777–78 (2008) [hereinafter Freedman et al., \textit{When There’s a
and similar state bans leave physicians with a Hobson’s choice—even in medical situations where abortion care was not intended or sought—pitting physicians’ medical judgment of what procedures would best protect their patients’ health against the threat of criminal sanction.
B. Information Control and Prenatal Care
The regulation of information surrounding abortion care also has spillover effects on women’s prenatal care. As described earlier, one increasingly popular method of regulating abortion has been the control of information in the context of abortion care.\textsuperscript{155} The law effectuates information control as reproductive control not only with biased information and forced information such as mandatory ultrasounds, but also with denials of information. Surprisingly little attention has been paid to laws denying information to pregnant women, which affects all women seeking prenatal care rather than just women seeking abortion care.\textsuperscript{156}
Oklahoma provides one stark example of information control as reproductive control. On the same day that Oklahoma passed legislation mandating that abortion patients undergo a forced ultrasound, it also passed a law protecting from tort liability physicians who fail to disclose fetal anomalies to prenatal patients.\textsuperscript{157} In other words, Oklahoma law forces unwanted information on some pregnant patients, while at the same time empowering physicians to conceal wanted information from others.\textsuperscript{158} Furthermore, under this liability-preclusion law, physicians have no duty to disclose to their patients that they would intentionally hide information about fetal anomalies.\textsuperscript{159} Proponents of this law claim that precluding liability for doctors who fail to
\textit{Heartbeat} (stating that it may be difficult to assess how often physicians alter their medical judgment to accommodate anti-abortion policies, or violate hospital policies to ensure safe care for patients, “because most physicians are not likely to discuss such behavior even in a confidential interview”).
\textsuperscript{155} \textit{See supra} Part II.D (discussing rise in abortion restrictions such as biased “informed consent” regulations and mandatory ultrasounds).
\textsuperscript{156} An Oklahoma law permitting physicians to conceal material information from prenatal patients has not yet been subject to challenge in the courts; however, Oklahoma’s mandatory ultrasound law has been struck down as unconstitutional by the Oklahoma Supreme Court. \textit{See Nova Health Sys. v. Pruitt}, 292 P.3d 28, 28–29 (Okla. 2012).
\textsuperscript{157} \textit{See} 2010 Okla. Sess. Law Serv. ch. 173 (West); 2010 Okla. Sess. Law Serv. ch. 171 (West).
\textsuperscript{158} \textit{See id}. A small number of other states also have similar limitations on “wrongful birth” claims. \textit{See} Julie Gantz, Note, \textit{State Statutory Preclusion of Wrongful Birth Relief: A Troubling Re-Writing of a Woman’s Right to Choose and the Doctor-Patient Relationship}, 4 VA. J. SOC. POL’Y & L. 795, 812–20 (1997) (summarizing statutory law and case law on wrongful birth claims); Jillian T. Stein, Comment, \textit{Backdoor Eugenics: The Troubling Implications of Certain Damages Awards in Wrongful Birth and Wrongful Life Claims}, 40 SETON HALL L. REV. 1117, 1131–35 (2010) (summarizing law on wrongful birth claims).
\textsuperscript{159} \textit{See} OKLA. STAT. tit. 63, § 1-741.12 (Supp. 2012).
reveal material information that they otherwise would have a duty to disclose under standard principles of informed consent only thwarts women who would seek an abortion if they knew of a fetal anomaly.\textsuperscript{160} Thus, proponents argue that liability preclusion laws of this sort are only anti-abortion measures.\textsuperscript{161}
In reality, laws that permit denying information in the context of prenatal care affect not only those women who may consider terminating a pregnancy, but also those who would not choose an abortion but could use the information to plan for their families. Dr. Rina Anderson’s story illustrates this point.\textsuperscript{162} Dr. Anderson worked in private practice after her ob-gyn residency.\textsuperscript{163} Her practice allowed her to provide pregnancy terminations in cases of fetal anomalies.\textsuperscript{164} Dr. Anderson regularly performed second-trimester abortions in these circumstances.\textsuperscript{165} Unfortunately, she found herself faced with making the same difficult decision as her patients when, during her second trimester of pregnancy, she discovered that her baby had a fatal diagnosis.\textsuperscript{166} Describing her own loss, Dr. Anderson explained how she made a choice that surprised even her:
Actually, with our daughter we were faced with the same decision. And in the end we actually ended up choosing perinatal hospice. Kind of funny, how life takes you. We got all of her diagnoses . . . And I called my [practice] partner and my friend and I’m like, “Okay, I’m coming to the hospital tomorrow. I’m signing the forms. We’ll induce over the weekend.”
And then I changed my mind. You know, for me there was no—I don’t really know, you know, it was kind of the inner voice that said, “Don’t do it. Maybe you might get time with her or something.” And we ultimately, we did, we got ten days with her.\textsuperscript{167}
\textsuperscript{160} See Sherry F. Colb, \textit{An Oklahoma Abortion Law Raises New and Different Rights Questions}, FINDLAW (July 21, 2010), http://writ.news.findlaw.com/colb/20100721.html (analyzing liability preclusion law). As with any medical intervention, physicians are generally expected to engage in counseling that should be non-directive and should err on the side of disclosure. \textit{See} AM. MED. ASS’N COUNCIL ON ETHICAL & JUDICIAL AFFAIRS, OP. 8.082: WITHHOLDING INFORMATION FROM PATIENTS (2006), \textit{reprinted in} CODE OF MEDICAL ETHICS: CURRENT OPINIONS WITH ANNOTATIONS 253–54 (2008); Sonia M. Suter, Note, \textit{Whose Genes Are These Anyway?: Familial Conflicts Over Access to Genetic Information}, 91 MICH. L. REV. 1854, 1894 (1993).
\textsuperscript{161} \textit{See} Mary Alice Carr, \textit{Oklahoma What Have You Done?}, CNN.COM (Apr. 29, 2010, 9:15 AM), http://www.cnn.com/2010/OPINION/04/28/carr.abortion.oklahoma/.
\textsuperscript{162} \textit{See} Lori Freedman, \textit{Willing and Unable: Doctors’ Constraints in Abortion Care} 86–89 (2010) [hereinafter FREEDMAN, WILLING AND UNABLE].
\textsuperscript{163} \textit{See id.} at 90.
\textsuperscript{164} \textit{See id.}
\textsuperscript{165} \textit{See id.} at 77–78.
\textsuperscript{166} \textit{See id.} at 86–87.
\textsuperscript{167} \textit{Id.} at 87 (footnotes omitted).
At the time Dr. Anderson received the diagnosis, she still had more than four months remaining in her pregnancy.\textsuperscript{168} She further explained her feelings about her decision and the time she had left as follows:
We just waited to see whatever would happen [and] I actually thought she was probably going to die in utero but she didn’t . . . And then we ended up going into labor and having a regular labor up here [in the hospital] . . . They had said with one of the birth defects that she had, only about 3 percent make it to term, so we felt pretty lucky from that respect.\textsuperscript{169}
In telling her story, Dr. Anderson emphasized that “people can be pro-choice and still choose other options,”\textsuperscript{170} as she did, but it’s only a \textit{choice} if patients have the information to make that decision. As stated in \textit{Canterbury v. Spence}, a landmark case on the law of informed consent, “the patient’s right of self-decision . . . can be effectively exercised only if the patient possesses enough information to enable an intelligent choice.”\textsuperscript{171} Without information, women and their families who would choose to keep the pregnancy as Dr. Anderson did will not have the opportunity to prepare emotionally for an infant’s serious illness or death and thus, as in her case, appreciate the time they might have; or to arrange appropriate care such as perinatal hospice; or to take financial steps to provide for a disabled child.\textsuperscript{172} Furthermore, certain fetal conditions require special care in utero. Early knowledge, decision-making, and intervention “is key to a positive outcome.”\textsuperscript{173} In addition, in some cases testing can reveal information about fetal characteristics that could threaten the
\textsuperscript{168} See FREEDMAN, WILLING AND UNABLE, supra note 162, at 87.
\textsuperscript{169} Id. (second alteration in original) (internal quotation marks omitted).
\textsuperscript{170} Id. at 88 (internal quotation marks omitted).
\textsuperscript{171} Canterbury v. Spence, 464 F.2d 772, 786 (D.C. Cir. 1972).
\textsuperscript{172} See Jaime Staples King, Not This Child: Constitutional Questions in Regulating Noninvasive Prenatal Genetic Diagnosis and Selective Abortion, 60 UCLA L. Rev. 2, 65 (2012) [hereinafter King, Not This Child] (“Early prenatal screening information] could help inform prospective parents’ decisionmaking regarding how best to care for their children both while they are in the womb and after they are born. . . . Advanced knowledge regarding a child’s medical or behavioral conditions can enable a parent to prepare for a child’s medical, nutritional, educational, and social needs as early as possible.”); see also Sujatha Jesudason & Julia Epstein, Editorial, The Paradox of Disability in Abortion Debates: Bringing the Pro-Choice and Disability Rights Communities Together, 84 CONTRACEPTION 541, 541–43 (2011) (arguing for a reproductive justice approach to protecting disability rights and reproductive rights which includes access to information). Jesudason and Epstein argue: “In the context of a prenatal diagnosis of disability, this means ensuring that women have the most accurate and comprehensive information possible, including realistic perspectives from individuals with the disability in question. A woman in this situation requires access to abortion services in a timely manner if she decides to terminate her pregnancy, and the supports necessary to sustain her family if she decides to carry the pregnancy to term.” Id. at 542.
\textsuperscript{173} See King, Not This Child, supra note 172, at 65.
mother’s health.\textsuperscript{174} Once again, as with personhood legislation, this assertedly anti-abortion law affects far more than simply abortion decisions.
Liability-preclusion laws that provide an incentive for physicians to withhold material information and deviate from standards of care do little to address substantive concerns about disability discrimination. Anti-abortion proponents of these laws claim that they protect against disability discrimination in the womb.\textsuperscript{175} Yet, laws like Oklahoma’s obfuscate more substantive conversation about the need for government resources to support families with disabled children so that real choices can be made.\textsuperscript{176} The economic harm caused by a failure to disclose is a consequence of the state’s failure to provide adequate healthcare coverage for parents of disabled children during the child’s minority and for disabled adults.\textsuperscript{177} A disability rights approach would “highlight[] the social stigma attached to disability and the lack of environmental, social, political, and economic supports for families raising children with disabilities and for adults with disabilities.”\textsuperscript{178} Such an approach calls for more information, not less,\textsuperscript{179} and for “[s]hift[ing] the overall strategy from fetal anomaly, rape, and incest as the messaging platform for abortion to ensuring that government provides the supportive and enabling conditions for families to make the best decisions for themselves.”\textsuperscript{180}
\textsuperscript{174} See Jaime S. King, \textit{And Genetic Testing for All . . . The Coming Revolution in Non-Invasive Prenatal Genetic Testing}, 42 \textsc{Rutgers L.J.} 599, 605–06 (2011) [hereinafter King, \textit{Genetic Testing}].
\textsuperscript{175} See Jesudason & Epstein, \textit{supra} note 172, at 541–42; see also Samuel R. Bagenstos, \textit{Disability, Life, Death, and Choice}, 29 \textsc{Harv. J.L. \& Gender} 425, 425–28 (2006) (discussing intersection of disability rights and abortion rights). However, increased prenatal screening may not necessarily correspond with higher abortion rates. See Rebouché & Rothenberg, \textit{supra} note 39, at 1019.
\textsuperscript{176} See Jesudason & Epstein, \textit{supra} note 172, at 541–42 (noting that “[a]nti-choice advocates tend to idealize disability while opposing the entitlement programs and government funding of social services, such as state developmental disability programs . . . that would make raising a child with a disability more possible”).
\textsuperscript{177} See Stein, \textit{supra} note 158, at 1166–68 (arguing that healthcare reform and nominal damages for denying a parent’s right to choose are a better solution to medical malpractice in the context of negligence surrounding prenatal diagnoses of disabilities).
\textsuperscript{178} Jesudason & Epstein, \textit{supra} note 172, at 542.
\textsuperscript{179} See \textit{id.} at 542–43 (arguing that the role of government in helping families with prenatal disability diagnoses should be “to ensure the provision of comprehensive, unbiased, evidence-based information, not to force families to make certain, fixed, and limited decisions”); see also Bagenstos, \textit{supra} note 175, at 441 (noting that some disability-rights advocates call for more accurate information rather than regulating abortion in the context of prenatal testing and selective abortion).
\textsuperscript{180} Jesudason & Epstein, \textit{supra} note 172, at 543; see also Rebouché & Rothenberg, \textit{supra} note 39, at 987 (noting the need to take seriously the concern that pairing genetic testing and abortion “may suggest that disability is an appropriate rationale for termination of a pregnancy, further marginalizing individuals with certain genetic and physical conditions” and arguing for richer discussion of the intersection between prenatal genetic screening and abortion decision-making).
As early genetic screening becomes easier and more effective, we are likely to see more efforts towards information control as a method of regulating abortion.\textsuperscript{181} These information prohibitions targeted at abortion inevitably will affect all women and their families making decisions in the context of prenatal care, regardless of what may be their ultimate choice.\textsuperscript{182} As with personhood laws, the implications of information restrictions on a wide array of pregnant women’s healthcare options may raise concerns for the public, if these side effects were made visible.
C. “Conscience” Legislation and Pregnancy-Related Care in Sectarian Hospitals
Both federal and state laws—known as “conscience clauses”—protect the right of institutions and individuals to refuse to provide abortion care and other medical care to which they conscientiously object.\textsuperscript{183} Conscience legislation shields institutional and individual actors from liability for their refusal to provide care even if it contravenes accepted medical standards.\textsuperscript{184} Although claiming to restrict only abortion provision, the refusal policies of many privately owned sectarian hospitals, ensured protection by conscience legislation, impede physicians’ ability to provide appropriate care for pregnant women who are not actively seeking abortion care. In particular, pregnant women with emergent conditions such as a miscarriage or an ectopic pregnancy face risks to their health due to abortion restrictions.
Although other types of hospitals may also prohibit or limit reproductive health services, Catholic-owned hospitals represent the largest percentage of religiously affiliated hospitals, “operating 15.2% of the nation’s hospital beds, and increasingly they are the only hospitals in certain regions within the United States.”\textsuperscript{185} This market share results in both Catholic and non-Catholic patients
\textsuperscript{181} See Rebouché & Rothenberg, \textit{supra} note 39, at 987–1022 (analyzing the collision course between increasing access to prenatal genetic testing and decreasing access to abortion); King, \textit{Genetic Testing}, \textit{supra} note 174 (explaining advances in prenatal genetic screening and discussing implications for patient care and potential ethical issues); King, \textit{Not This Child}, \textit{supra} note 172 (arguing that women should possess the constitutional right to terminate a pregnancy for any reason, and states have a legitimate interest in only very limited circumstances for regulating access to information available through prenatal genetic testing).
\textsuperscript{182} For example, a number of states have already passed bans on abortion if the reason for seeking the abortion is because of the fetus’ sex. If states choose to ban access to information on the sex of the fetus, such an information ban could also affect health issues since some genetic diseases are sex-linked. See King, \textit{Not This Child}, \textit{supra} note 172, at 26–29.
\textsuperscript{183} See generally Elizabeth Sepper, \textit{Taking Conscience Seriously}, 98 VA. L. REV. 1501, 1503 (2012) (describing and critiquing conscience legislation).
\textsuperscript{184} See id.
\textsuperscript{185} Freedman et al., \textit{When There’s a Heartbeat}, \textit{supra} note 154, at 1774 (footnote omitted); see FREEDMAN, WILLING AND UNABLE, \textit{supra} note 162, at 119–20. Freedman notes
depending on Catholic hospitals for their care. However, patients often remain unaware of how Catholic hospitals curtail their care options.\textsuperscript{186} This section examines how Catholic hospital refusal policies based on “conscience” negatively impact pregnant women’s healthcare.
Catholic hospitals must follow the medical practice guidelines contained in the “Ethical and Religious Directives for Catholic Health Care Services” (Directives), a document drafted by the Committee on Doctrine of the National Conference of Catholic Bishops.\textsuperscript{187} The Directives prohibit abortion, although some language in the Directives appears to allow a narrow exception for protecting the woman’s health.\textsuperscript{188} In practice, Catholic hospital ethics committees—who ultimately make the decisions on the provision of abortion care—rely on a separate manual that interprets the Directives.\textsuperscript{189} The manual provides that abortion is permitted if the physician intends to treat a “lethal pathology” in the pregnant woman when the treatment cannot be postponed until the fetus is viable.\textsuperscript{190} The exception to protect the woman’s health outlined in the Directives and the manual are vague and contested, and hospital ethics committees’ effectuation of Catholic doctrine has led to delays in care resulting in psychological trauma, physical injury, and, in one recent case in Ireland, death.\textsuperscript{191}
\textsuperscript{186} See Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1774.
\textsuperscript{187} U.S. CONFERENCE OF CATHOLIC BISHOPS, ETHICAL AND RELIGIOUS DIRECTIVES FOR CATHOLIC HEALTH CARE SERVICES 15 (2001) [hereinafter CATHOLIC BISHOPS, DIRECTIVES]; see also Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1774–75. The Directives prohibit contraception, emergency contraception, infertility treatment, sterilization, and abortion. See CATHOLIC BISHOPS, DIRECTIVES, supra, at 23–28.
\textsuperscript{188} See CATHOLIC BISHOPS, DIRECTIVES, supra note 187, at 23–28. Directive 47 provides: “Operations, treatments, and medications that have as their direct purpose the cure of a proportionately serious pathological condition of a pregnant woman are permitted when they cannot be safely postponed until the unborn child is viable, even if they will result in the death of the unborn child.” \textit{Id.} at 27. In other words, abortion is permitted as “a secondary consequence of actions intended to preserve the health of the pregnant woman.” Freedman et al., \textit{When There’s A Heartbeat}, supra note 154, at 1775; see also FREEDMAN, WILLING AND UNABLE, supra note 162, at 122–27 (discussing history of the Directives, vagueness on whether the exception only protects life or also health, and debates in implementing the Directives).
\textsuperscript{189} See NAT’L CATHOLIC BIOETHICS CTR., CATHOLIC HEALTH CARE ETHICS: A MANUAL FOR ETHICS COMMITTEES (Peter J. Cataldo & Albert S. Moraczewski eds., 2001).
\textsuperscript{190} \textit{Id.} at 7A/3; see also Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1775.
\textsuperscript{191} See Shawn Pogatchnik, \textit{Savita Halappanavar Dead: Irish Woman Denied Abortion Dies from Blood Poisoning}, HUFFINGTON POST (Nov. 14, 2012, 4:20 PM), http://www.huffingtonpost.com/2012/11/14/savita-halappanavar-death-irish-woman-deniedResearch indicates that pregnant women who are miscarrying, even long before viability, may face serious risks to their health due to anti-abortion policies at some hospitals. Physicians in one study reported that “Catholic doctrine, as interpreted by their hospital administrations, interfered with their medical judgment.”\textsuperscript{192} For example, “Catholic-owned hospital ethics committees [have] denied approval of uterine evacuation while fetal heart tones were still present, forcing physicians to delay care or transport miscarrying patients to non-Catholic-owned facilities.”\textsuperscript{193} In a few cases, physicians even admitted to intentionally violating protocol “because they felt patient safety was compromised.”\textsuperscript{194}
The increased risks are primarily due to delays in care, in contravention to the accepted standards of care in miscarriage management.\textsuperscript{195} For previable fetuses (less than approximately twenty-three weeks old), “little can be done to save the pregnancy if the membranes of the amniotic sac are ruptured.”\textsuperscript{196} After that point, infection can threaten the health of the pregnant woman in a matter of hours. Therefore, physicians are trained to evacuate the contents of the uterus using the same procedures used in abortion care “when a woman show[s] up at the hospital who [is] less than twenty-three weeks pregnant, bleeding, and cramping, and [having] ruptured membranes”—because the pregnancy is over and the fetus is not viable.\textsuperscript{197}
\textsuperscript{192} Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1774. For additional research on the effects of conscience legislation and Catholic hospital policy, see, for example, Stephane P. Fabus, \textit{Religious Refusal: Endangering Pregnant Women and Professional Standards}, 13 MARQ. ELDER’S ADVISOR 219 (2012); Steph Sterling & Jessica L. Waters, \textit{Beyond Religious Refusals: The Case for Protecting Health Care Workers’ Provision of Abortion Care}, 34 HARV. J.L. & GENDER 463, 472–74 (2011); NAT’L WOMEN’S LAW CTR., \textit{BELOW THE RADAR: HEALTH CARE PROVIDERS’ RELIGIOUS REFUSALS CAN ENDANGER PREGNANT WOMEN’S LIVES AND HEALTH} 7–15 (2011), available at http://www.nwlc.org/sites/default/files/pdfs/nwlcbelowtheradar2011.pdf.
\textsuperscript{193} Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1774.
\textsuperscript{194} \textit{Id.}
\textsuperscript{195} \textit{See id.} at 1775 (“According to the generally accepted standards of care in miscarriage management, abortion is medically indicated under certain circumstances in the presence of fetal heart tones. Such cases include first-trimester septic or inevitable miscarriage, previable premature rupture of membranes and chorioamnionitis, and situations in which continuation of the pregnancy significantly threatens the life or health of the woman.”).
\textsuperscript{196} FREEDMAN, \textit{WILLING AND UNABLE}, supra note 162, at 120.
\textsuperscript{197} \textit{Id.} The woman can then choose either to undergo a labor induction termination or a surgical termination; the surgical option is often seen as easier and more comfortable for a woman experiencing a miscarriage. \textit{See id.} at 132 (“In the medical literature, ruptured membranes at fourteen weeks mean only one thing: spontaneous abortion is inevitable. Intravenous antibiotics might be able to delay infection for a while, but eventually the uterus would start prolonged cramping to expel the fetus and placental tissue. Such cramping with bleeding can last for an unpredictable amount of time, with continued risk of infection or
In contrast, the standards of medical care at some Catholic hospitals “are at variance with those generally recognized in other medical settings, particularly regarding care at the beginning and ending of life.”\textsuperscript{198} In the context of miscarriage, the manual relied upon by Catholic hospital ethics committees declares: “The mere rupture of membranes, without infection, is not serious enough to sanction interventions that will lead to the death of the child.”\textsuperscript{199} In other words, the authoritative source of medical guidance at Catholic hospitals approves of uterine evacuation “only after a woman becomes sick,” even in cases of inevitable miscarriage.\textsuperscript{200} In contrast, standard medical practice advises against delay during a miscarriage or if the pregnancy presents health risks, although ultimately the decision is left to the woman through a process of informed consent.\textsuperscript{201} Yet, Catholic hospitals neither inform women of the full extent of the limits of their care, nor do they leave the decision of whether and when to terminate the pregnancy to the patient even in the context of a dire emergency.\textsuperscript{202} Although execution of Catholic doctrines at hospitals throughout the United States varies at both the institutional and individual level,\textsuperscript{203} the anti-abortion policies of some hospitals have resulted in patients receiving delayed care and patients being transported to a nonsectarian hospital for treatment while miscarrying.
A few examples, told by physicians working in Catholic hospitals in the United States, illustrate the effects of sectarian hospitals’ conscience-based refusal policies on pregnant patients seeking care for a miscarriage. In one case, Dr. Tiffany Howell, an obstetrician-gynecologist at a Catholic hospital in the Midwest, was forced to send her miscarrying patient by ambulance ninety miles to the nearest hospital that could perform the abortion, even though the patient was only fourteen weeks pregnant and the fetus had no chance of surviving. Dr. Howell explained:
\textsuperscript{198} Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1775; see also Lori R. Freedman & Debra B. Stulberg, \textit{Conflicts in Care for Obstetric Complications in Catholic Hospitals}, AM. J. ON BIOETHICS (forthcoming 2013), available at http://www.tandfonline.com/doi/full/10.1080/21507716.2012.751464 (qualitative study finding that Catholic hospital policies detrimentally impacted physicians’ ability to provide the standard of care in a variety of obstetric emergencies including cancer treatment for pregnant women, molar pregnancies, previable premature rupture of membranes, and miscarriages).
\textsuperscript{199} NAT’L CATHOLIC BIOETHICS CTR., \textit{supra} note 189, at 10A/2; see also Freedman et al., \textit{When There’s a Heartbeat}, \textit{supra} note 154, at 1775.
\textsuperscript{200} Freedman et al., \textit{When There’s a Heartbeat}, \textit{supra} note 154, at 1776.
\textsuperscript{201} See \textit{id.} at 1775 (describing informed consent process “which requires that the patient understand all appropriate medical options, as well as the relevant risks and benefits of each, before choosing and consenting to a course of management”).
\textsuperscript{202} See \textit{id.}
\textsuperscript{203} \textit{Id.} at 1776.
Clearly, the membranes had ruptured and she was trying to deliver . . . There was a heart rate and [we called] the ethics committee and they [said], “Nope, can’t do anything.” So we had to send her to [the university hospital] . . . You know, these things don’t happen that often, but from what I understand it, it’s pretty clear. Even if mom is very sick, you know, potentially life-threatening, [you] can’t do anything.\textsuperscript{204}
Another physician explained that her Catholic-owned hospital rarely approved termination of pregnancy if a fetal heartbeat was present even for “people who are bleeding, they’re all the way dilated, and they’re only 17 weeks unless it looks like she’s going to die if we don’t do it.”\textsuperscript{205}
The effects of sectarian hospitals’ anti-abortion policies spill over to area hospitals that perform the medical care that sectarian hospitals refuse. Dr. Carrie Becker, an obstetrician-gynecologist working in an academic medical center, described how a Catholic hospital in her area engaged in “patient dumping” by denying treatment and transporting patients in unstable conditions based on the hospital’s anti-abortion doctrine.\textsuperscript{206} Dr. Becker received a request from a Catholic hospital to accept the transfer of a miscarrying patient who was already very sick from sepsis.\textsuperscript{207} Dr. Becker initially refused and advised that the Catholic hospital perform a uterine evacuation immediately to avoid risking the health of the woman any further.\textsuperscript{208} She described her conversation with the physician at the Catholic institution as follows:
Because the fetus was still alive, they wouldn’t intervene. And she was hemorrhaging and they called me and wanted to transport her, and I said, “It sounds like she’s unstable, and it sounds like you need to take care of her there.” . . . And the physician [said], “This isn’t something that we can take care of.” And I [said], “Well, if I don’t accept her, what are you going to do with her?” [He answered], “We’ll put her on a floor [i.e., admit her to a bed in the hospital instead of keeping her in the emergency room]; we’ll transfuse her as much as we can, and we’ll just wait ‘til the fetus dies.”\textsuperscript{209}
Dr. Becker felt that the intention to perform multiple blood transfusions to address the patient’s blood loss and infection was bad medical practice.\textsuperscript{210} She felt good medical practice would be to surgically evacuate the contents of the uterus, the source of the infection.\textsuperscript{211} Dr. Becker ultimately accepted the patient
\textsuperscript{204} Freedman, Willing and Unable, supra note 162, at 128 (alterations in original).
\textsuperscript{205} Freedman et al., When There’s a Heartbeat, supra note 154, at 1776 (internal quotation marks omitted).
\textsuperscript{206} Freedman, Willing and Unable, supra note 162, at 129.
\textsuperscript{207} See id.
\textsuperscript{208} See id.
\textsuperscript{209} Freedman et al., When There’s a Heartbeat, supra note 154, at 1776–77 (alterations in original).
\textsuperscript{210} See Freedman, Willing and Unable, supra note 162, at 129.
\textsuperscript{211} See id.
to spare her the unnecessary suffering and risks to her health.\textsuperscript{212} A few months later, a similar incident repeated from the same hospital and “demonstrated that this Catholic hospital was not doing terminations for even life-threatening medical indications.”\textsuperscript{213}
A number of physicians employed at Catholic hospitals have even confessed to subterfuge in the aim of protecting their patients’ health.\textsuperscript{214} In one case, Dr. Brian Smits, a perinatologist, reported resigning his position at a Catholic hospital rather than be subject to ethics committee decisions that harmed his patients.\textsuperscript{215} Dr. Smits described the situation that instigated his resignation and his surreptitious violation of protocol in order to save his patient’s life:
I’ll never forget this; it was awful—I had one of my partners accept this patient at 19 weeks. The pregnancy was in the vagina. It was over. . . . I’m on call when she gets septic, and she’s septic to the point that I’m. . . . trying to keep her blood pressure up, and I have her on a cooling blanket because she’s 106 degrees. And I needed to get everything out [of the uterus]. And so I put the ultrasound machine on and there was still a heartbeat, and [the ethics committee] wouldn’t let me because there was still a heartbeat. This woman is dying before our eyes. I went in to examine her, and I was able to find the umbilical cord through the membranes and just snapped the umbilical cord and so that I could put the ultrasound—“Oh look. No heartbeat. Let’s go.” She was so sick she was in the [intensive care unit] for about 10 days and very nearly died. . . . Her bleeding was so bad that the sclera, the white of her eyes, were red, filled with blood. . . . And I said, “I just can’t do this. This is not worth it to me.” That’s why I left.\textsuperscript{216}
Dr. Smits had assumed that the prohibition of abortion at his Catholic hospital would only affect his ability to offer abortions to patients with fetal anomalies or medical contraindications to pregnancy who would actively seek abortion care, which he could readily refer to abortion clinics outside the hospital. He had not expected “a disjuncture between what he considered to be the standard of care in miscarriage management and what was acceptable to his
\textsuperscript{212} See id.
\textsuperscript{213} Id. In an opinion piece in the Journal of the American Medical Association, another physician described how a patient was transferred from a religiously affiliated to a nonsectarian hospital for abortion care in the context of ruptured membranes because the religious hospital would not allow the procedure until after the patient became septic. See Ramesh Raghavan, \textit{A Question of Faith}, 297 JAMA 1412, 1412 (2007).
\textsuperscript{214} See Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1776–77 (detailing several stories of physicians who circumvented ethics committee dictates in order to follow the standards of care they had learned in residency).
\textsuperscript{215} See FREEDMAN, WILLING AND UNABLE, supra note 162, at 118–21; see also Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1777 (telling the same story of Dr. S).
\textsuperscript{216} Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1777 (alterations in original).
hospital’s ethics committee.”217 This disjuncture, which in an emergency threatened his patients’ life, led to his resignation.218 When asked what eventually happened to his patient, Dr. Smits stated: “She actually had pretty bad pulmonary disease and wound up being chronically oxygen-dependent, and as far as I know, [she] still is, years later. But, you know, she’s really lucky to be alive.”219
Similar deviations from standards of medical care may also occur in the context of ectopic pregnancies. An ectopic pregnancy occurs when a fertilized egg implants outside the uterus, such as in the fallopian tube. An ectopic pregnancy has no chance of survival and threatens the life of the pregnant woman.220 The generally accepted standard of care dictates termination of the pregnancy, which can be done directly with medication that ends the pregnancy but preserves the fallopian tube. However, strict interpretation of Catholic doctrine would require the entire fallopian tube be removed so the physician only indirectly kills the fetus. Assuming two functioning fallopian tubes, the woman would lose fifty percent of her fertility.221
In sum, research indicates that the refusal policies of at least some Catholic hospitals, which are sheltered by conscience legislation, “require physicians to act contrary to the current standard of care” and therefore compromises “the private patient–physician relationship, patient safety, and patient comfort.”222 These examples also belie the claim that a “health exception” to abortion restrictions will be sufficient to preserve women’s health in the case of medically necessary pregnancy terminations. Medicine, particularly in the context of prenatal care, is not an exact science.223 The overlay of vague legal
217 FREEDMAN, WILLING AND UNABLE, supra note 162, at 121.
218 See id. at 120–21.
219 Id. at 133 (alteration in original).
220 See NAT’L HEALTH LAW PROGRAM, HEALTH CARE REFUSALS: UNDERMINING QUALITY CARE FOR WOMEN 15, 40, 57 (2010), available at http://www.healthlaw.org/images/stories/Health_Care_Refusals_Undermining_Quality_Care_for_Women.pdf (discussing conscience clauses and restrictions on the use of emergency contraception and certain treatments for ectopic pregnancies).
221 See FREEDMAN, WILLING AND UNABLE, supra note 162, at 170 n.5; see also Angel M. Foster et al., Do Religious Restrictions Influence Ectopic Pregnancy Management? A National Qualitative Study, 21 WOMEN’S HEALTH ISSUES 104, 106–07 (2011).
222 Freedman et al., When There’s a Heartbeat, supra note 154, at 1778; see also FREEDMAN, WILLING AND UNABLE, supra note 162, at 128–37 (further examining miscarriage management at Catholic-owned hospitals). The findings in these studies do not indicate how widespread the problem of delay and transport in miscarriage management is in Catholic hospitals; they do indicate that “Catholic medical practices reflect confusion and disagreement about how far to extend the Catholic Church’s prohibition of abortion.” Id. at 136.
223 See Maria Manriquez et al., Commentary, Abortion Bills Out of Line with Accepted Standards of Prenatal Care, ARIZ. CAPITOL TIMES, Apr. 6, 2012, at 7 (“The practice of medicine is as much an art as it is a science.”). This opinion piece by three ob-gyns also discusses the side effects of bans on abortion at twenty weeks, stating that Arizona’s twenty-week ban on abortion would affect all physicians practicing obstetrics even if they do not
rules on complex and time sensitive medical decision-making remains insufficient to protect women’s health.
Given the market share of sectarian hospitals and their dominance in some regions, as well as the protection from liability granted by federal and state conscience legislation, refusal policies affect more than a population that believes in religious doctrine on women’s healthcare. Although patients may be aware that they cannot obtain abortion care at certain sectarian hospitals, “few prenatal patients conceive of themselves as potential abortion patients and therefore they are not aware of the risks involved in being treated there,” including the risks of physical and psychological trauma due to delayed care.\footnote{Freedman et al., \textit{When There’s a Heartbeat}, supra note 154, at 1778.} Some of the side effects of protecting “conscience” refusals are directly analogous to the implications of personhood laws, such as interference with appropriate treatment of ectopic pregnancies, but these effects on women’s healthcare remain largely unrecognized.
* * *
All of the above stories illustrate that abortion care cannot be isolated from women’s healthcare as a whole. Any pregnant woman is a \textit{potential} abortion patient. Similarly to personhood legislation, various existing limits on access to abortion care potentially place pregnant women’s health and personal decision-making at risk.
\textbf{V. ROE V. WADE AND ABORTION AS HEALTH CARE}
Laws and policies that seem to only target abortion are much more politically acceptable due to abortion stigma, even though these restrictions have detrimental side effects on women’s health analogous to personhood proposals.\footnote{\textit{See} Anuradha Kumar et al., \textit{Conceptualising Abortion Stigma}, 11 CULTURE, HEALTH & SEXUALITY 625, 625–35 (2009) (analyzing abortion stigma); O’Donnell et al., \textit{supra} note 133, at 135–63 (discussing stigma surrounding abortion for both patients and providers).} As discussed above in Part III, personhood laws appear to have failed because of the potential implications for women’s health beyond the particular context of abortion. Even in Mississippi, where state officials with the support of the people have expressed the desire to be an abortion-free state, a majority of the public has demonstrated concern for ensuring continued access to medical care for pregnant women and for access to reproductive healthcare other than abortion.\footnote{\textit{See supra} Part III.B on failure of Mississippi initiative.} In this Part, I suggest that the battles over personhood legislation—and personhood’s defeat—deserve further exploration. Debates over personhood proposals provide an example to learn from and an opportunity for public education. In particular, focusing attention on the side effects of provide abortions since the twenty-week timeline “is simply not in line with routine prenatal care” and may even instigate abortions “because of the arbitrary time constraints.” \textit{Id}.
various anti-abortion laws—not just personhood laws—could help to unmask the links between abortion and women’s healthcare. I also note that, as other scholars have argued, framing abortion as a healthcare issue offers a potentially useful strategy for preserving access to abortion care.
There are, of course, important differences between personhood laws and other types of abortion regulations. Nevertheless, the skirmishes over personhood proposals could be instructive for reproductive rights advocates. A key strategic opportunity may lie in erasing the artificial line between abortion care and other women’s health issues. The public needs more education about how attacks on abortion affect women along a spectrum of healthcare needs. Debates about personhood initiatives have provided an opportunity to generate a public conversation that links abortion to the full range of interconnected women’s healthcare issues. These debates could be used to explain to the public and to legislators that many types of abortion restrictions have unintended consequences which impede the provision of basic healthcare. Efforts in this direction could help bring back “a whole body, experience-based understanding of women’s health that is predicate to gender equality and civic participation”—a view of women’s health that Professor Lisa Ikemoto argues is being eroded under current health policies.\footnote{227}{Lisa C. Ikemoto, \textit{Abortion, Contraception and the ACA: The Realignment of Women’s Health}, 55 How. L.J. 731, 732 (2011).}
The current segregation of abortion from women’s healthcare brings us back to questions that have long been raised by \textit{Roe v. Wade}. One oft-heard criticism of \textit{Roe} is that it overemphasized abortion as a medical decision and the physician’s role in that decision.\footnote{228}{See, e.g., Susan Frelich Appleton, \textit{Doctors, Patients and the Constitution: A Theoretical Analysis of the Physician’s Role in “Private” Reproductive Decisions}, 63 Wash. U. L.Q. 183, 197–201 (1985); Reva Siegel, \textit{Reasoning from the Body: A Historical Perspective on Abortion Regulation and Questions of Equal Protection}, 44 Stan. L. Rev. 261, 273–79 (1992); see also Jack M. Balkin, \textit{Roe v. Wade: An Engine of Controversy}, in \textit{WHAT ROE V. WADE SHOULD HAVE SAID: THE NATION’S TOP LEGAL EXPERTS REWRITE AMERICA’S MOST CONTROVERSIAL DECISION} 3, 22 (Jack M. Balkin ed., 2005).} For example, \textit{Roe} claimed to “vindicate[] the right of the \textit{physician} to administer medical treatment according to his professional judgment up to the points where important state interests provide compelling justifications for intervention.”\footnote{229}{\textit{Roe v. Wade}, 410 U.S. 113, 165–66 (1973) (emphasis added).} The Court described the abortion decision as “in all its aspects . . . inherently, and primarily, a \textit{medical decision}, and basic responsibility for it must rest with the \textit{physician}.”\footnote{230}{\textit{Id.} at 166 (emphasis added).} Feminist scholars have amply and compellingly critiqued \textit{Roe}’s medical model of abortion as undermining women’s agency and reinforcing gender inequalities.\footnote{231}{B. Jessie Hill, \textit{Reproductive Rights as Health Care Rights}, 18 Colum. J. Gender & L. 501, 510–15 (2009) [hereinafter Hill, \textit{Reproductive Rights}] (summarizing feminist critiques of \textit{Roe}’s medical model of abortion and critiques of medicalization of reproductive healthcare more broadly).}
Although *Roe* was rightly criticized as over-medicalizing the abortion decision and empowering doctors rather than women, we have now shifted to the opposite extreme. Today, abortion is hardly considered medical care at all.\textsuperscript{232} The Supreme Court’s most recent abortion decision, *Gonzales v. Carhart*, bears a striking contrast to *Roe* in this regard.\textsuperscript{233} In *Carhart*, the Supreme Court described the abortion decision as purely political in nature and one that is made as a matter of “convenience.”\textsuperscript{234} The Court ignored extensive medical evidence on the health reasons for employing the banned procedure, leaving it to legislatures and courts, rather than physicians and their patients, to determine how best to protect women’s health.\textsuperscript{235}
Other laws and policies also illustrate the isolation of abortion from the rest of women’s healthcare, which has contributed to its stigmatization.\textsuperscript{236} For example, excluding abortion from healthcare coverage, as the Affordable Care Act (ACA) does, “underscores the perception that abortion services, unlike [prenatal] testing services, have no relation to protecting women’s physical or mental health.”\textsuperscript{237} The ACA has also spawned new state laws that prevent private insurers from offering abortion coverage on state exchanges.\textsuperscript{238} The Hyde Amendment similarly prohibits federal Medicaid funding for abortion care for poor women, except where the pregnancy resulted from rape, incest, or will endanger the woman’s life.\textsuperscript{239} Abortion is the only medical procedure exempted from federal Medicaid funding.\textsuperscript{240} In addition, a series of other
\textsuperscript{232} See Rebouché & Rothenberg, \textit{supra} note 39, at 1006 (noting that the ACA typifies this view, covering prenatal screening and testing as essential healthcare but excluding and segregating abortion coverage).
\textsuperscript{233} See Gonzales v. Carhart, 550 U.S. 124, 164–68 (2007).
\textsuperscript{234} See id. at 186–87 (Ginsburg, J., dissenting).
\textsuperscript{235} See id. at 164–68; see also B. Jessie Hill, \textit{What Is the Meaning of Health? Constitutional Implications of Defining “Medical Necessity” and “Essential Health Benefits” Under the Affordable Care Act}, 38 Am. J.L. & MED. 445, 454–55 (2012) (analyzing \textit{Gonzales v. Carhart’s} reasoning on health exception).
\textsuperscript{236} See Carole Joffe & Willie J. Parker, Editorial, \textit{Race, Reproductive Politics and Reproductive Health Care in the Contemporary United States}, 86 CONTRACEPTION 1, 2 (2012) (noting that isolation of abortion from healthcare contributes to its stigmatization and to conspiracy theories of racial eugenics).
\textsuperscript{237} Rebouché & Rothenberg, \textit{supra} note 39, at 1007; see also Ikemoto, \textit{supra} note 227, at 755 (“As a matter of federal health law and policy, abortion and the women who choose it barely exist.”).
\textsuperscript{238} See Ikemoto, \textit{supra} note 227, at 761.
\textsuperscript{239} The Hyde Amendment was first passed in 1976 as the Departments of Labor and Health, Education, and Welfare Appropriations Act, Pub. L. No. 94-439, § 209, 90 Stat. 1434 (1976), and it has been reauthorized by each Congress since then, although the exact scope and wording of the exceptions have shifted over time. For a recent version of the Hyde Amendment, see Consolidated Appropriations Act, 2010, Pub. L. No. 111-117, §§ 507–08, 123 Stat. 3280 (2009).
\textsuperscript{240} See NAT’L NETWORK OF ABORTION FUNDS, \textit{What Is the Hyde Amendment?}, FUNDABORTIONNOW.ORG, http://www.fundabortionnow.org/learn-hyde (last visited Feb. 11, 2013) (explaining the Hyde Amendment’s effect on Medicaid coverage for abortion).
federal laws allow healthcare providers and entities to refuse to perform or assist with abortion care, to provide or arrange training for such care, or to refer patients to abortion care.\textsuperscript{241} In sum, “[a]s a matter of national health policy, abortion services have been severed and isolated from women’s health.”\textsuperscript{242}
As illustrated by the failure of personhood proposals, reproductive rights advocates should consider highlighting the medical aspects of abortion to awaken the public to the ripple effects of anti-abortion regulations on women’s health. Surfacing the spillover effects of abortion restrictions could help the public to better see and understand the links between abortion and women’s healthcare. In the personhood context, coalitions that included a wider swath of the medical community seem to have successfully connected abortion care with other healthcare through public education. In other words, by emphasizing the relationship between abortion care and pregnancy care, contraception, fertility, and women’s health in general, opponents of personhood defeated this type of abortion ban with support from those who otherwise favor restricting or banning abortion. Perhaps this strategy could apply more broadly.\textsuperscript{243} Further public education on the “side effects”—the arguably unintended consequences—of various types of abortion restrictions may cause people to perceive a similar connection between abortion care and women’s health in the context of other abortion laws, leading to less sympathy for at least more extreme restrictions on access to abortion care.
Realigning abortion with healthcare and repositioning the law to recognize access to abortion care as a critical part of the continuum of women’s medical needs is essential to protecting women’s health.\textsuperscript{244} As Professor Jessie Hill has argued, “describing abortion as an aspect of health care may get members of the public to recognize the intrusive and harmful nature of anti-choice legislation, much of which . . . directly regulates the intimate relationship between
\textsuperscript{241} See Ikemoto, \textit{supra} note 227, at 759 (describing a variety of federal laws and policies that allow for refusals by institutions and providers, including the Church Amendments and the Weldon Amendment).
\textsuperscript{242} Id. at 762. Professor Ikemoto notes that this narrowing of the scope of women’s health will have devastating consequences because federal health policy omits a procedure that an estimated three in ten American women will have by age forty-five. \textit{Id.} at 763.
\textsuperscript{243} It would be useful to have further empirical research analyzing more thoroughly why personhood proposals failed in various jurisdictions and what might be the relevant distinctions between the public’s perceptions of personhood laws versus other abortion restrictions. For example, it may be helpful to know what kinds of side effects, for example, restrictions on IVF versus restrictions on healthcare for pregnant women, swayed opinion more; which advocacy groups, for example, coalition medical groups versus groups focused on women’s health, swayed opinion more; and what kinds of public education by opponents of personhood served best to persuade the public.
\textsuperscript{244} See Rebouché & Rothenberg, \textit{supra} note 39, at 1022 (“It is critical to women’s health and well-being that abortion is part of a continuum of health care.”).
physician and patient."245 The public appears to be sympathetic to criticism of government intrusion into healthcare decision-making, even where abortion may be an aspect of those decisions.246 To be clear, I am not arguing that abortion is only a medical issue, as Roe incorrectly claimed. Rather, seeing and understanding abortion as healthcare offers one important and useful approach for bolstering access to safe and legal abortion, along with emphasis on the importance of abortion rights for preserving women's equality and liberty.247 Recasting abortion as a normal aspect of women's medical care could be accomplished without returning to Roe's medical model of abortion that portrayed women as passive receivers of care determined by their physicians.248 For example, informed consent law, which emphasizes the patient's right to bodily integrity and self-determination, provides a medical model that respects patient autonomy.249
Of course, there are difficulties in discussing the medical realities of abortion and related healthcare issues. Professor Tracy Weitz has noted that even abortion rights advocates find it difficult "to talk about abortion as a medical service rather than in legal terms."250 Describing the medical realities of abortion is highly unpleasant, as is describing the medical realities of miscarriage or other pregnancy related health issues, since these all involve "private and intimate parts of the female anatomy and blood, mucus and other
---
245 B. Jessie Hill, Abortion as Health Care, 10 AM. J. BIOETHICS 48, 49 (2010) [hereinafter Hill, Abortion]; see also Hill, Reproductive Rights, supra note 231, at 502 (arguing for embracing a strategy that emphasizes abortion as a form of healthcare).
246 For example, the defeat of Measure 26 in Mississippi appeared due at least in part to "concerns that the measure would empower the government to intrude in intimate medical decisions" related to pregnancy care and reproductive healthcare. Denise Grady, Medical Nuances Drove 'No' Vote in Mississippi, N.Y. TIMES, Nov. 15, 2011, at D1.
247 See Hill, Reproductive Rights, supra note 231, at 504 (arguing that framing abortion as part of a negative right to medical care is one useful way to frame abortion rights and "should be deployed alongside existing arguments about privacy, autonomy, equality, and dignity."); Ikemoto, supra note 227, at 763 (arguing for importance of linking women's health with rights to self-determination and equality).
248 Yvonne Lindgren, The Rhetoric of Choice: Restoring Healthcare to the Abortion Right, HASTINGS L.J. (forthcoming 2013), available at http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2124844, at p.46 (arguing for restoring a view of abortion as a healthcare right while also rejecting the notion of women as passive recipients of care).
249 See Manian, supra note 40, at 235–42 (describing the common law origins and core principles of the law of informed consent).
250 Weitz, supra note 148, at 27.
bodily secretions."251 Yet, as other scholars have argued, focusing on abortion as an aspect of healthcare is potentially a powerful strategy.252
VI. CONCLUSION: THE PERSONHOOD OF PREGNANT WOMEN
Abortion is both a social and a medical issue.253 To establish fetal personhood by law would not only deprive pregnant women of their legal personhood, but also would place women’s health in jeopardy whether or not they are actively seeking abortion care.254 The public has been supportive of legislation that appears to target only abortion, even though many of these laws impinge upon women’s healthcare similarly to personhood legislation. Although there are important differences between personhood proposals and other types of abortion restrictions, personhood laws offer insight into larger problems with abortion restrictions. As a practical matter, abortion cannot be isolated from women’s health more broadly. We can see this by analyzing the “side effects” of anti-abortion legislation such as personhood laws and existing restrictions on abortion care. Reproductive rights advocates should aim to erase the artificial boundary between abortion care and women’s healthcare. Public education, unwittingly spurred on by personhood proposals, could help to increase awareness that laws attacking abortion inevitably have wider consequences for women’s health.
251 Id. (“Abortion is indeed a medical procedure . . . For years, prochoice advocates could avoid any discussion of the unpleasant side of abortion techniques, pivoting instead to the horrific and graphic stories of illegal abortion. Consequently, when confronted with the ‘partial birth abortion’ fight abortion rights activists were unprepared for talking about the medical realities of abortion.”).
252 See, e.g., Hill, Abortion, supra note 245, at 49; Lindgren, supra note 248 (arguing that uncoupling abortion from healthcare leaves access to abortion vulnerable to erosion by courts and legislatures).
253 See Weitz, supra note 148, at 28 (“Abortions are socially complicated and medically unpleasant to describe...but advocates for abortion rights are best served by acknowledging rather than trying to ignore this dimension.”).
254 See Dawn E. Johnsen, The Creation of Fetal Rights: Conflicts with Women’s Constitutional Rights to Liberty, Privacy, and Equal Protection, 95 YALE L.J. 599, 620 (1986) (“To deprive women of their right to control their actions during pregnancy is to deprive women of their legal personhood.”). |
I.
SCHOOL NURSING
Lucille Ayres.
SCHOOL NURSING
1. History of school nursing.
A. In Europe.
1. William Rathbone, 1859.
2. Amy Hughes, 1891.
3. Other developments.
B. In United States.
1. Lillian Wald, 1902.
2. Lina Rogers.
2. Trends in school nursing.
3. Health service.
A. Definition.
B. Need.
C. Aim.
D. Function of the teacher.
4. Planning the program.
A. With the co-operation of the superintendent and teachers.
B. Plan for one year and five years.
5. Physical examination by doctor.
A. Nurses part.
B. Correction of defects and follow up.
C. Importance of examinations and the value.
6. Dental program.
7. School lunches.
8. Healthful school living.
A. Relation of the nurse to the environment.
B. Environment.
1. Ventilation.
2. Lighting.
3. Seating.
4. Water supply.
5. Facilities for washing hands.
C. School day.
D. Promotion of eye health.
E. Special classes.
9. Health instruction.
A. Definition.
B. Health instruction through everyday school experiences.
C. Teaching principles of health.
D. Sex education.
E. What the teachers need to teach health.
10. Duties and qualification of a school nurse.
A. Responsibility of the school nurse.
B. Co-operation of the nurse and teacher.
C. Teacher's health.
D. Home visits.
E. Records.
F. Preparation.
School nursing is an outgrowth of the Visiting Nursing Movement. Modern public health nursing had its inception in Liverpool in 1859. It was under the able leadership of William Rathbone, but it was a direct outcome of the work and teachings of Florence Nightingale. It was her hope that the nurse be associated with health rather than disease. She wanted the health nurse not only nurse the sick, but for the most part teach the principles of healthful living.
Brussels, in 1874, established the modern type of school inspection by an appointed school physician.
In 1887 the British Empire celebrated the 50th anniversary of Queen Victoria accession to the throne. A popular subscription fund of 76,000 lbs. ($380,000) raised by the women of England was presented to the Queen as a token of respect and affection. 7000 lbs. ($35,000) of this Her Majesty decided to use for the establishment of an Institute for the Training and Supervision of District Nurses with which any nursing association already established might affiliate.
It was deemed wise to utilize so far as possible all the valuable experience already gained by various existing nursing associations throughout the country by inviting them to affiliate with the Institute and co-operate in working out the plans and ideals of its founders.
All the principal associations of the country at once
sought affiliation with the Queen's Institute as there were many advantages. The greatest being regular inspection of a supervisor from the Institute, which assured a standard of efficiency and training.
Medical inspections in the schools of the United States were inaugurated in 1894.
School nursing was the first type of specialization of public health service.
School nursing first developed in England in 1892. Miss A. Hughes, then Superintendent of Queen's Nurses in Bloomsberry Square was asked her advice concerning a feeding problem by a teacher in a small school. Miss Hughes answered the call herself. Seeing the great need made weekly visits to the school showing what could be accomplished in prevention of absences due to minor ailments and their complications. In 1904 because of her successful work 70 nurses were employed by the London County Council. By 1918 there was created a Ministry of Health for England, Scotland and Wales. The scope of this work included bedside nursing, infant welfare, prenatal and school nursing.
As the Henry Street workers went about their work they found many children who were out of school because of illness. These children were staying out too long, were playing in the streets, and were not receiving proper care. Miss Wald persuaded the Health Commissioner of New York to permit the placement of a Visiting Nurse and her salary by Visiting Nurses Association for an experiment. The
school nurse was Miss Rogers.
The nurse was to treat in the schools children suffering from minor diseases such as impetigo, scabies, ringworm and to visit the homes to interest the parents in taking better care of their children. This experiment was so successful that 25 nurses were appointed by the Commissioner of Health.
The attendance of the children increased 50% as a result of the tact and skill of Miss Lina Rogers in her school nursing.
It was found that with a few qualified nurses available, more children in need of care could be reached by utilizing the public school. Access to the school children has made the control of communicable diseases possible and also a close relationship between the school and the home.
In the old concept of school nursing the program was set up and fitted as best as possible into the school program. In the new concept the health program is a part of the school program.
The teacher who applies the principles of progressive education is attempting a more careful appraisal of the child as a personality and considering the child as a whole child.
Emphasis is changing in education from subject matter to growth and development of the whole child. Every activity becomes an integral part of the entire curriculum.
In this new concept the school nurse is:
1. To interpret the school nursing program to the educators.
2. To develop an active relationship with other school personnel.
3. To present standards for guiding school administrators in the employment of school nurses.
The trend now is from correction to education. If an increasing number of children are going regularly to their own physician the medical examinations in the schools have been of great value. If all regular classroom are sight-saving rooms the need for glasses would not be so great. A concentrated effort of the school, home and community toward raising the nutritional status of each child may eliminate much worry over provisions for dental correction and nutritional defects.
An increase in the number of partents coming to the school for consultation should cause more elation than a large number of home visits.
Visits to the nurse for first aid and minor ailments should decrease as the children, teachers and parents are taught to take responsibility for such matters.
The number of children immunized at school will decrease if the community agencies and doctors urge immunization during babyhood.
The number of children kept at home by parents because of signs of communicable disease is far more significant in judging accomplishment than the number of children excluded at school for the same reason.
If our goal is prevention of defects rather than correction our emphasis must change from correction to education. We must increase the responsibility of children, parents and teachers for recognizing and caring for health problems and the participation of the school in the whole community program.
What we are accomplishing:
1. Keeping a group of normal children normal, happy, and help them to be successful.
2. Establishing habits in health, in safety and also good mental habits.
3. Teaching facts upon which the habits are based.
4. Building attitudes that will help the children to want to do things which he is taught.
5. Giving the child healthful environment and keeping them healthy.
6. Controlling communicable diseases.
7. Correcting remedial defects.
Society looks particularly to the school for leadership in the health education of its children. This includes:
1. The presentation of knowledge about health.
2. The building up of desirable health habits.
3. The formation of favorable attitudes and worthy ideas of health.
By guiding pupils in the activities which make up living as children, the school is laying a foundation for sound living practices.
Health habits should grow out of and be an integral part of the child experiences in the school, home and
community.
School health service is the term employed to include:
1. Those things which we do for the child to protect his health.
2. Individual health teaching in response to which the child, by self-activity conserves and improves his health.
3. Education of the parent in regard to child health, home and community hygiene, and parental responsibility.
The work done with the majority of the boys and girls is chiefly preventive.
Health service in the schools is inspecting and examination of the children for the purpose of determining the health status. These examinations are of little value if the remediable defects are not corrected.
Health service is needed because children of school age have many communicable diseases. They have various defects of growth and development, teeth defects, poor vision and defective tonsils. About 5-10% of school children are free from remediable health handicaps.
The teacher is very important as she is the only one who is with the children all day and if she is alert and well informed she can readily detect deviations from the normal.
The early signs of all the communicable diseases are the symptoms of a cold which are often ignored, because colds are so common. The teacher should refer every child with a cold, headache, sore throat to the nurse.
Try to impress upon the teacher:
1. When in doubt send child to the nurse.
2. It is better to be careful than sorry in the morning inspections.
The morning inspection is to appraise the condition of each child and should not be for inspection of cleanliness. The child should face the window and open his mouth and say "a" and "a", put hands out to teacher spreading fingers apart and have sleeves rolled to elbows, also collar opened at neck for inspection of his chest. The teacher should not touch the child during the inspection. It is a good idea for the nurse to watch the teacher to help her and to give constructive criticism.
The teacher should not regard her health service function as ending when the morning inspection is complete. She is to be constantly alert to detect variation from the normal.
If the teacher will observe informally and without a critical attitude, child may be encouraged to report promptly to her any symptoms of illness. If pupils are in school who seem unable to undertake the day's work or to be a menace to the health of the other children, they should be sent to the principal, or the school nurse. The nurse can send them to the school physician for further consideration if necessary.
Children should be taught to remain away from school if they are not well. Efforts to secure 100% attendance
may jeopardize proper health service in the school. When children are taught about the prevention of communicable diseases emphasis should be made upon individual responsibility for social welfare and the health of the community.
All the children who have been absent from school for 2 or more days should be examined by the health officer, or in his absence, by the nurse, before being admitted to the classroom. These children should go to a special room for inspection and not to the classroom.
If the nurse finds out that the child has returned to school with a permit signed by a private physician, but who shows objective symptoms of a disease she should call his attention to the fact and he will likely take care of the situation. He may not have examined the patient on that day.
The nurse should make routine inspections of all children in the schools once every 2 months, or oftener if possible. The eyelids, throat, skin, and hair of each pupil should be carefully checked and the general condition as regards to cleanliness, nutrition and remediable defects.
Through careful inspection of all children in the schools at regular intervals evidences of contagion are discovered, and the child under suspicion is excluded before the other children are further exposed. By prompt reports to the Department of Health of all suspected contagious cases, quarantine can be instituted at the home, and the dangers of contagious diseases are greatly reduced. This reporting of suspected communicable diseases by the school nurse is one of the most important factors in the prevention of
contagion in the schools.
For the contagious skin diseases, treatment should be given by a private physician at his office or in minor conditions by the nurse at school under the direction of the school physician.
The prevalence of contagious diseases among school children was the principal factor involved in the conditions which resulted in calling the school nurse into existence. The prevention of these diseases is still her main task.
Two types of school nursing seem to be emerging; health service type, which deals largely with the control of contagion and the correction of defects and the health education type which aims at the fullest development of personality through supervision of the emotional and social aspects of health as well as of the physical.
There has been a definite change in emphasis in the program of the school nurse, due to the changed concept of health education and to a more enlightened public. At first the nurse attempted to fit her program into that of the teacher's; and now teacher and nurse together plan for a health program, which includes parent education. In the larger school systems all of the specialists who have a definite contribution to make to health, work with the classroom teacher toward a unified program. And not only must the school have a unified program, but the home and the community must also share in the healthful environment of the child.
Our program is preventive, positive and constructive. Our health attitude is scientific. Our mental attitude
is one of confidence and our working attitude is one of reasoning.
Our health program emphasizes the interdependence of the physical, social, emotional and mental characteristics and ideals in the development of a well rounded individual. It also emphasizes the social motive in relation to community and racial health as well as personal motive.
The best school health program is that which makes most effective provision for the conservation and improvement of the health of all children attending school. It seeks to assist the child in coming any existing barriers in growth and development. The needs of the child must be studied and each given an opportunity for the best environment.
A definite practicable program for the year saves time, makes for more and better work, and a uniformity of service. In planning the program the things to be considered are: what needs to be done and what can be done, what is to be attempted and how to obtain the best results in meeting the needs and overcoming obstacles.
A well balanced school health program should include:
1. Elimination of physical handicaps through examinations with correction of defects.
2. The control of communicable diseases.
3. Attention should be given to the child's environment at school and home in the interest of his health.
4. Health education in the school curriculum.
The nurse and health officer meet with the county superintendent of the school to work out co-operatively the health program. The superintendent should present
the program to the teachers at their first meeting. The health officer and the nurse should be present to discuss any problems which might come up in the minds of the teachers.
A well balanced school nursing service is seldom attained in a year. The ideal service is the result of the nurse and the teachers constructively thinking and planning. A program planned for 3 to 5 years in advance provides for continuous growth and expansion. It should be checked and analyzed annually.
The ideal way would be having the nurse available every day to all the teachers and pupils, but this is not possible in most school especially in the rural districts. The more frequently the nurse can visit each school the more she will be able to understand the local situations and special problems, and the more helpful and productive her work.
The success of a school health program necessarily depends on the co-operation of the homes, where most of the health habits in which the school is interested must be put into practice. Confidence in the health program may often be promoted by contacts with parents which further wider understanding of the school activities.
Putting over even a practicable school health program is not a one-man job. Though one man must assume the responsibility of finding its place in the curriculum, and give every special worker the necessary administrative support, satisfactory results can be achieved only through the enthusiastic, conscientious effort of every person concerned with the life of the children in school.
The best work of all must be so unified that it shall be like the work of one whose high purpose is to guide healthy, happy, buoyant childhood into socially efficient adulthood.
Since health is an objective of education, the school must know the health status of every child in order to set up a program which shall meet the needs of all, handicapped or normal. Elementary education is compulsory. Therefore, the school must safeguard the child from injury to himself and others while group education is carried on.
Because of defects the logical starting point for any school work is with a medical examination.
The health examination accurately set up and conducted affords an opportunity to secure on the part of parent and child valuable information about better health practices and a more hygienic regime of living. Through the examination many causes of retardation have been discovered. The examinations offer an opportunity to form constructive attitudes on the part of the parents. Through a helpful contact they should develop a scientific attitude toward diseases and illness, free from superstition, taboo and whims which have no basis of fact. The public is sorely in need of such information.
Health examination leads to the correction of physical defects which provide practical and effective means through which children can be taught right ways of living. It provides teachers with definite knowledge of the child's health status and furnishes them an opportunity to help in correction of discovered defects. The nurse can contact
the parents and explain objectives of the school health program and obtain the co-operation of the parents. The health examination gives the child an opportunity to learn that the physician is his friend, and to develop in him confidence in the scientific attitude of the physician and nurse which can be of service to him all through life. This should help him to develop a freedom from morbid curiosity and fear. If he learns the value of an annual physical examination he will seek them all through life.
It is estimated that there are in the United States approximately 45,000,000 school children; 10,000,000 with defects. Examinations of children reveal large numbers of children suffering from poor nutrition, disease of the heart and lungs, in addition to large numbers temporarily or permanently handicapped by impaired hearing, vision, speech and diseases complications.
In the schools of Portland physical examinations are given to the 1st, 3rd, 6th and 8th. At some time during the year each child in these grades is given an examination during which defects are detected by the physician. Parents are sent invitations and urged to be present. This enables them to consult with the doctor concerning their child's defects or any problems they wish to discuss. If they are not present a notice is sent to them regarding their child's condition.
The height, weight, vision and hearing are tested before the examination so that the doctor may know the results. Sufficient time should be allotted for each examination that is at least 15 minutes. Hurried examination are of little value educationally.
Education toward immunization should be a definite part of the examination. The doctor can explain the importance and value to the mothers. Very often the immunization is done after the examination.
For treatment the children are referred to private physician or specialist. For the indigents corrective care is provided through public or private health agencies.
The examinations are very important and very valuable as a part of the program if the remediable defects are corrected. The nurse should follow up the cases to give advice and help that is needed.
In recent years a great deal of attention has been focused upon the teeth of school children, largely since surveys have shown the great prevalence of dental decay. It is estimated that from 50-90% of school children have defective teeth and that 10-25% of elementary children have abscessed teeth. It is generally believed that much damage can be done to organs of the body by drainage of pus into the blood stream from these diseased mouths. Tonsils may early become infected in this way.
Because of high prevalence of dental caries and the widespread lack of dental care the nurse has dental education as part of her program.
Dental program includes:
1. Health education for the children.
2. Parent education through home visits and group meetings.
3. Getting patients to dental clinics.
4. Follow up in the classroom of the dental care and caries.
5. Individual conferences with the children.
The nurse can win the interest of the teacher in good dental care and she can provide the teacher with the material for attitude training in regard to dental care. Effective instruction in the home, care of the teeth, and the use of a proper diet to build good teeth depend upon teachers interest and what she teaches. The child must learn to want and to obtain proper care from a dentist. He will not learn to want dental care merely by being told he should see his dentist twice a year. But to influence attitudes the teacher must have the information about the actual condition of her children's teeth. If children are to appreciate the preventive value of early dental attention in the control of dental caries the teacher must understand the everyday problems that arise in meeting the needs of her pupils. This requires team work between the nurse and the teacher. The nurse can only see the individual child at infrequent intervals and dental health education, as well as all education, is a day by day process. The emphasis upon dental health education by the nurse is a co-operative effort.
There is no single activity in the school organization that offers greater opportunities for health education than does the school lunches. One of the main tasks is to teach children how to select suitable, adequate meals and to develop in them the desire to do so. When the noon lunch
is eaten at school the lunch room offers an ideal laboratory for the practical application of this teaching.
An adequate school lunch is important in the health and well-being of every child and teacher who must have their noon meal at school. For the child who is not adequately fed at home, the school lunch becomes an opportunity partly to make up for deficiencies of the other meals of the day.
The co-operation of parents and teachers is needed in the wise guidance and supervision of children if desirable eating habits are to become the general practice. In order to encourage the children to eat leisurely and correctly a teacher should be present to eat with the children.
The lunch room has helped to promote good health habits and desirable social behavior. It has developed in the pupils an ability to work together, sharing responsibility for some definite work and carrying it through to completion. It has aided in forming a good attitude toward housework of both girls and boys, and a willingness to take necessary directions. The opportunity is afforded for practicing good table manners. The pupils may acquire a knowledge about food values and skill in food preparation. The lunch room has become a place of relaxation and good fellowship.
Mid-morning luncheon increases the children's capacity for work and so valuable time is added to the day. Children who refuse milk learn to enjoy milk with the other children. The mid-morning milk should be paid for by the children whenever possible, but a fund can often be arranged.
so that each child can have the it.
The relation between the luncheons and increase in weight is interesting. In most cases the children have gained steadily in weight and they have more concentration and ability to work. Because of this it seems to be reasonable that every school child should have milk in the morning instead of the ones underweight or below normal physically.
The relation of the nurse to proper school environment. She must be ready to render such assistance to the school authorities as her background of science can contribute. She must be familiar with the literature on healthful school equipment, so as to refer people to the proper sources for help when requested. Her responsibility toward the teacher who has not had the advantages of instruction in health education, is to furnish her with a background of science and a body of sources of materials which will help her to provide, and use intelligently facilities for health conservation. Her responsibility toward the child is to help him to become so intelligent with respect to his environment that he shall know what to do to secure for himself the healthful surroundings which contribute to his efficiency.
Since the school attendance is compulsory it must provide a good environment which enables the child to live safely and happily during the six hours of each school day.
A restful, homelike environment works on both teacher
and pupil and makes a cheerful relationship. Cleanliness adds considerably to the attractiveness and cheerfulness of a room.
The appearance of the school grounds should not be neglected. Scraps of food and bits of paper should not be scattered over the school yard. A covered garbage can may be provided in which such waste may be deposited.
A merely physically attractive room will not necessarily mean a happy place. The teacher's attitude is largely reflected by the children. A healthy teacher goes far towards creating a healthy atmosphere.
At one time, ventilation was regarded as a chemical problem—the control of CO₂ in the air. To-day it is known fact that the chemical factor is not so important and that good ventilation is to be secured by three important physical factors. There are air movement, temperature and humidity. If the physical factors are controlled properly the ventilation will be adequate and without control unsatisfactory regardless of the CO₂.
Air movement is usually secured by open windows. This is the responsibility of the teacher.
Where window ventilation is used, windows are opened at top and bottom and the radiators are placed beneath the windows. This will help to keep the air moving across the room. Glass or board deflectors attached at an angle to the window will send the incoming air upward and also keep a direct draft away from the children who sit near the window. Temperature and humidity are also controlled by the opened window. Each room should have a thermometer.
Schools located in communities with supervised water supplies do not have to be concerned with the purity of the water themselves as it is taken care of. If an outside well is used make sure it is well constructed. Always be sure of the source and purity of the water supply.
The health habit of washing hands after going to lavatory and before eating should be encouraged and time given definitely for this activity.
Where there are wash basins the children should be encouraged to keep clean and if no wash basins a bucket or large can may be substituted.
Soap and towels must be provided. Liquid soap can be made from pieces of soap brought from home by the pupils. If the equipment is not accessible we cannot expect the children to wash.
The school building in which every child attends school should be planned to safeguard him from fire and dangers. It should provide healthful, cheerful and sanitary surroundings and make possible an educational program which will meet his needs.
The walls should be painted light buff or very light green and ceiling white. This makes the rooms much lighter.
It is increasingly recognized by educational experts that school buildings should contain a health room where the school nurse and physician do their work. The room should be on the first floor in a convenient place.
The length of the school day should be graded to suit the age and the mental and physical resistance of the
child. There should be offered frequent opportunities for play and physical recreation if the child is to make the best of physical and mental growth and the best scholastic progress.
If the school teachers and superintendent remember that the whole child goes to school, the process of learning will take its proper but not superior place along with the other processes of the child. Growth, development and expressive functioning are not less important than learning certain traditional subject matter.
True eye conservation consists in prevention of impairment rather than conservation of whatever vision remains after the damage has been done. The school nurse should place her greatest emphasis upon helping schools and homes to provide the physical environment with the best possible natural and artificial light for conservation of the sight of the children.
In promoting eye conservation we can:
1. Instruct teachers to be constantly on the lookout for early symptom of communicable diseases.
2. Regular and reliable eye examination for the detection of visual errors and eye conditions.
3. Provision for medical service for all children having defects.
4. Securing and maintaining adequate conditions in the school that particularly affect vision such as lighting, color of wall, and print of books.
5. Teach children the proper use and care of their
6. Establishment of sight-saving classes for especially handicapped children.
Sight-saving classes originated in England in 1908 and in United States, in Boston in 1913 through the efforts of Mr. Edward Allen.
The aims of the classes are:
1. To educate pupils with the least possible eyestrain.
2. To teach them enough eye hygiene to conserve the vision they do have.
3. To provide vocational guidance for choosing an occupation which will not be injurious to their eyes.
The vision for eye-sight classes is 20/200. 1 out of every 500 children require the advantages of these classes.
Fresh air schools are for the benefit of anemic and undernourished children whose physical condition is such as to make attendance in an ordinary classroom a menace to their future health and welfare. Children also who need more and better food than their home can provide and who need frequent rest periods during the day.
Special desks may be built for the crippled child in the regular classroom, and also a place where he may rest. It is better for him to be with the normal children and to accept his handicap.
"Health education is the sum of all experience which favorably influence habits, attitudes, and knowledge."
relating to individual, community and racial health."
Health is a way of living. It is not to be sought as an end in itself but as a means to an end which is joyous play, efficient work, and helpful service. Health is more than physical well-being, it includes mental, emotional and social aspects as well.
From the standpoint of the school, the scope of health education must include such measures as conserves, protects, and safeguards the health of children and teachers; including healthful environment, nursing dental services, such experiences, guidance, and instruction as tend to develop in the child the habits, attitudes and knowledge necessary to insure the greatest satisfaction and usefulness in personal family and community life.
Since health is a way of living physically, mentally, emotionally and socially it follows that the scope of health education cannot be treated as a special subject in the curriculum, but it must grow out of and be a part of the child's experience.
One of the basic needs in health education is to sell values to such an extent that these values become emotionally accepted by the child and favorable emotional health behaviors result, which is our main goal.
Health must be presented on the level of the intelligence and interest of the people concerned. Health education requires simplicity, clarity, patience and repetition in explanation.
1. Williams and Shaw, "Methods and Materials of Health Education", page 2.
Direct instruction is to be given first then it should be correlated. Every fact should be first taught as a fact, as hygiene subject matter, and then allowed to assume its proper place in relation to other subjects.
The children after being taught the facts about health should be given an opportunity to do their own planning, to make their own decisions, and to take responsibility for their behavior.
Every lesson in health should bring about a definite progress toward the establishment of habits that are useful, the stimulation of attitudes that are wholesome, and appreciations that are valuable, and the mastery of knowledge that is meaningful and scientifically sound.
Hygienic personal habits of living, knowledge of the principles of health, and of disease prevention, and stimulating ideals of health are the factors which may be most readily affected by the teaching of the child at school.
Health teaching in the schools can only to a limited extent change the immediate present environment of the pupils. We need the co-operation of the parents in health teaching because the habits, attitudes and behaviors must be practice also at home.
The school nurse is now able to support the program the children are undertaking instead of disrupting their program by giving a speech on health. When she is asked to speak she should talk on the subject in which they are interested.
Weighing has been discontinued in many places but
the nurse and done by the teacher. It is valuable in affording the child with an opportunity to watch himself grow. If there is a failure to gain over a period of 3-4 months they should be referred to the nurse.
The real test of health education in the schools is in the health of the children. Habits of personal cleanliness established, freedom from physical defects, good posture, permanent teeth clean and in good condition, practicable health knowledge, a sense of physical well-being and partnership in the school, home and community are all necessary results of a good health education program.
It is ideally for the parents to give their children sex education. Unfortunately, most parents get their information here and there and are really unable to give the correct information. So the responsibility belongs to the public school, for it reaches all of the children. The average child acquires his first information around 6-7 years of age, and his curiosity reaches height about 11-12 years of age. Moreover, his interest at this age is still impersonal to the point that group instruction can be carried on quite successfully, with a minimum of emotional disturbance.
Most of the teaching of sex education is left until high school age group. It has always seemed wise to segregate boys and girls for teaching sex. The instruction meets with a better reaction from parents when this segregation is done, and in a majority of instances it causes less embarrassment to the children. It is very essential
that where such instruction is being carried on with boys and girls separately, it be made entirely clear to both classes that the actual instruction is essentially the same. Otherwise a certain amount of discussion will occur between the sexes in an endeavor to find out the differences in the subject matter.
The classes should be taught by a well poised, well informed adult with a satisfying personal life. A man may teach the boys and a woman teach the girls. A good teacher of either sex can handle either boys or girls with equal success.
A course in biology is an excellent place to teach sex education. Both the plant and animal kingdoms are studied, going in each case from the simpler to the more complex forms of life. All the normal functions should be studied. Reproduction is studied in plant and animal kingdom ending with human beings. The consideration of human beings is usually introduced by a study of the physiological functions of the human female, involving all the factors of pregnancy and birth. These are matters of intense interest to both boys and girls. After studying female then the male is studied and also social mores governing the sexual functions.
Sex should be explained in a simple, straightforward language, familiarizing the children with correct scientific terminology.
The problem is one which challenges not only our finest feelings, but our finest intelligence. The
happiness of a generation of young people depend in part on the wisdom of our solution.
"Three essentials for the teacher in health education:
1. A knowledge of functional biology of the human body.
2. An understanding of social movements as they relate to the health of the individual.
3. A comprehension and use of the best educational methods." 2.
Good judgment is most necessary in handling matters of sex hygiene, health habits, disease and disease transmission. Relative values must be known as to spend time on important things.
The teacher of hygiene must be careful not to want to diagnose and give health advice which should be given by the physician. There is plenty to do within the boundaries of the interpretation of hygiene and health.
The nurse must know her community; she must discover what the health shortages are and what the community is doing to meet them. Her knowledge must include not only the child health but child welfare, and her program should so articulate with the community's program as to make for a continuous health service and health education program extending from birth to maturity.
The nurse should if possible before starting her duties in a school should inform herself about the area covered by the system and district; about the shortest and quickest methods of transportation; about the density of the
---
2. Oberteuffer, "Who is Prepared to Teach Health?", American Journal of Nursing, October, 1937, page 604.
population, and the make-up of its people; how many and of what economic and cultural status are the people who comprise the various races and nationalities; what are the predominant religious groups; resources of the community and the social agencies.
The nurse is concerned with both problems of treatment and of prevention. Her main interest is the promotion of health.
The nurse must take the time to interpret to the teacher all the information on the condition and environment of the individual children that the nurse may have.
The recent emphasis on the mental and emotional aspects of health embodied in the new philosophy of education, is causing the principal and the teacher to seek guidance from the school physician and the nurse with respect to problems of emotional and social adjustments. The nurse who understands the emotional and social development of the child at different age levels is able to evaluate every aspect of her own program on the basis of its emotional and social appeal that will contribute to health. She will be able to detect those difficulties early which need the help of a specialist and will refer them early to proper sources.
The school nurse does not include beside nursing in her program. If such care is needed she refers the family to the agency giving the type of service required, and usually makes the contact with the organization.
To make the most of the learning processes while the child is at school, the nurse must indirectly share in the teaching since her contacts with pupils offer valuable opportunities. The formal instruction is the duty of the teacher. On the other hand, to best insure health conservation and protection, the teacher will have to concern herself, in some measure, with those factors which influence the health of the child, his own physical condition, his habits, and his environment at school and at home.
If these individual and joint responsibilities are not assumed by the teacher and the nurse, the pupil will miss something valuable in his school experience, which should contribute to his health knowledge, and influence his attitudes toward health and his present and future daily practice of health habits.
In health teaching, example is of primary importance. A large factor in the success of the school health program is the appearance and health of the teacher and nurse. Certainly, what they demand from the children in the practice of health habits, personal hygiene, and sickness prevention, the children have a right to expect of them.
Both teacher and nurse must have periodic physical and dental examinations with subsequent correction of defects; practice proper health habits of personal hygiene and cleanliness, diet, rest and recreation; and, acquire immunity from preventable diseases.
They must remember that their colds are just as
communicable as are those of their children, and that even though there is important work to be done, it is sometimes advancing the cause of public health further to practice what they preach and stay off duty, giving themselves proper care, than to work when they are unfit and thus expose a roomful of children.
The teachers should always be notified of the time the nurse plans to visit their school. The teacher can make special effort of having all the children present. If the nurse cannot make the planned schedule she must notify the school.
The home visit gives the parent a chance to get help, to arrange for proper medical attention, to secure detailed explanation of their children's conditions and needs, and to obtain a better understanding of the school health program, what it is doing for the child and what it is trying to teach. If they understand the program they can better co-operate actively with the school. The home visits give the nurse an opportunity to see the living conditions in the homes of the community, ill health of other members of the family, poverty, overcrowding, wrong dietary habits, over-work, lack of sleep, any or all of which may give a clue to the best way of helping the parents to improve faulty conditions.
Home visits build up a feeling of mutual understanding, sympathy, friendliness, of consciously working together for the welfare of the child. It is often helpful to leave literature with the family that emphasizes the points the
nurse has been making on her visit, asking parents to read it, and pointing out the important features for their attention. Such literature, if well chosen, adds to the authority of the nurse. Leaving poorly selected pamphlets on unrelated subjects, obviously cannot be productive of specific results.
There is much room for improvement in the home visits of the nurse. She often is lacking in professional information about the cases, and in the equipment necessary to make an effective home call, as well as, in the human interest material obtainable from the teacher.
Since the N. O. P. N. has such excellent records, these are used throughout the states.
Complete accurate school records which are kept up to date contribute to the care of the school child. These should follow the child from grade to grade or from school to school.
Records are necessary because they furnish data, can be studied to indicate changes in school and community health problems and physical conditions and defects are recorded on them.
The records include items to be checked during a physical examination such as the habitual health practices with regard to hygiene, a history of illness and immunization and space for remarks following home visits and parent consultations. During the examination the nurse and physician can note whether the child is happy, interested, attentive, confident, straightforward and
co-operative. Their opposites would be suggestive of need for intensive work toward correction of faulty attitudes.
A school nurse must be a graduate nurse from an accredited school of nursing and also she must have her Public Health Certificate. She should have at least one year experience on a well supervised public health nursing staff which offers systematic staff education. The nurse to be most successful needs at least 2 years experience in school nursing under adequate nursing.
"The school nurse is already a vital part of one of the most important of our national institutions. Through her work American children are physically fitted to make use of the education that in its turn fits them for the responsibilities of citizenship. May she long play her part in making of the American school an institution where bodies as well as brains are developed for a life of usefulness."3.
3. Gardner, Mary, "Public Health Nursing", page, 365.
BIBLIOGRAPHY
Chayer, *School Nursing*.
Dresslar, *School Hygiene*.
Gardner, Mary, *Public Health Nursing*.
Grout, Ruth, *Handbook of Health Education*.
Hoag, *Health Work in the Schools*.
Parrish, *Health, the Paramount Asset*.
Struthers, *The School Nurse*.
Turner, C., *Principles of Health Education*.
Williams and Shaw, *Methods and Materials of Health Education*.
Wood, *Health Education*.
American Red Cross, *Rural School Nursing*.
American Child Health Association, *Advances in Health Education*, *An Evaluation of School Health Procedures*, No. 5, *A World Panorama of Health Education*, *Principles and Practices in Health Education*, *School Health Progress*.
Metropolitan Life, *A Practicable School Health Program*, *A School Health Study of Newton, Massachusetts*.
National Tuberculosis Association, *Pointers on Health Assets*, *School Health Education*.
*Public Health Nursing*, January, 1931, September, 1933, January, June July, 1935, May, September, October, November, December, 1937. |
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Railway Rolling Stocks Manufacturer
Interim Head of System Integration WMA (Western Europe, Middle East and Africa) Region
Organise and launch the WMA Regional function and take care of starting up team and activities, including selection, assessment and appointment of candidates for N-4 roles.
FROM OCTOBER, 2008
Bombardier Transportation Italy S.p.A. – 2, Via Tecnomasio, I-17047, VADO LIGURE (SV)
Railway Rolling Stocks Manufacturer
Head of Engineering Italy (Passenger Division, then Mainline&Metros Division, then WMA Region)
• Main activities and responsibilities
Managing the engineering activities carried out in Italy, relevant to development and manufacturing of products and solutions for passengers transportation.
Main activities carried out within my team:
**HS/VHS**
2008, today – V300ZEFIRO/Frecciarossa1000 (VHS ~ 360kph)
- Partnership with AnsaldoBreda with BT as technical leader
- Joint Platform Definition and Planning
- Product Definition for Trenitalia Tender (50 trains)
- Pre-Bid and Bid preparation
- Bid submission & Contract award (October 2010)
- Project Launch and Execution
- Testing&Authorisation Campaign (on-going)
- First delivery to customer June 2015
2012 – V300ZEFIRO/Turkey (VHS ~ 300kph)
- Partnership with AnsaldoBreda with BT as technical leader
- Product Definition for TCDD Tender (6 trains, 3kV Traction removal, Restaurant car concept, changes to Layout, Multimedia, PIS/CCTV, Homologation in Turkey)
- Pre-Bid and Bid preparation
- Bid submission (November 2012, tender lost)
2013 – V300ZEFIRO/Frecciarossa1000 France-Belgium Option (300kph)
- Partnership with AnsaldoBreda with BT as technical leader
- Product Definition for France-Belgium Option (10 trains)
- Bid preparation
- Bid submission (November 2013, on hold)
2012, 2013 – HS/VHS Turkey (HS/VHS ~ 250kph/300kph)
- HS/VHS BT Products Maturity Assessment
- Product Selection and Assessment
- Product Definition for expected tenders for HS and VHS
**DMU Single Deck**
2010 AGC 3-cars for FNM
- Product Selection and Assessment
- Product Definition for FNM Tender (11 trains)
- Product Adaptation to customer and IT authorization requirements (Signalling, fire Protection, Layout)
- Bid preparation
- Bid submission (April 2010, tender lost)
**EMU Single Deck**
2011, 2012 – Polis 4/5-cars for Trenitalia
- Product Selection and Assessment
- Product Definition for Trenitalia Tender (70 trains)
- Product Adaptation to customer, IT authorization and TSI requirements
- Main changes: IT systems installation, TCMS upgrade, Layout variants, carbody extension, 3kV Traction, adaptation to TSI compliance (crash resistance and absorption mainly)
- Pre-Bid and Bid preparation
- Bid submission (June 2012, tender lost)
**EMU Double Deck**
2013, today – SBB TWINDEXX
- Electrical Design, including wiring diagrams and electrical integration
**Regional Trains Single/Double Deck**
2014, today – Regional Train Product for Italian market
- Product Selection and Assessment for suitability for Italian application (Signalling, Fire Protection, Gauge, 3kV Traction, Functions and Operability)
- Support to International Platform Team for Product Definition
**FROM MAY, 2007 TO OCTOBER, 2008**
D’Appolonia Spa, Via San Nazaro, 19, Genoa-16145, Italy
Engineering and Consulting in Industry, Energy and Transport fields
Manager
Manager of the Business Unit Transport Systems. The mandate of the B.U. was to provide services of technical consultancy and assistance to clients in the transport engineering field, including railways, urban transport systems and roads. Among the others, such services include:
- Safety and conformity certification processes for systems, fixed installations, rolling stocks and relevant technologies
- Safety, security and risk analyses, including risk analyses of tunnels
- Fire Risk and Fire Protection
- RAMS and LCC
- System Engineering, including interface management and O&M
- Test&Commissioning programs for systems, plants, products and rolling stocks.
The B.U. was composed of about 25 people for an annual turnover of about 2,5 M€
**FROM JANUARY, 2006 TO MAY, 2007**
D’Appolonia Spa, Via San Nazaro, 19, Genoa-16145, Italy
Engineering and Consulting in Industry, Energy and Transport fields
Manager
Manager of the Business Unit Railway Systems and Technologies. The mandate of the B.U. was to provide services of assistance to clients in the railway field on safety and conformity certification processes, on risk analyses and on test&commissioning programs for systems, plants, products and rolling stocks.
**FROM MARCH 2004 TO DECEMBER 2005**
D’Appolonia Spa, Via San Nazaro, 19, Genoa-16145, Italy
Engineering and Consulting in Industry, Energy and Transport fields
Manager
Manager of the Verification and Validation Area within the Transport Division. Namely, I took care of the Start-Up of the new area performing market analysis, strategic planning and recruiting. The technical activities dealt with V&V, Risk Analysis, RAMS and assistance to certification processes for technologies applied in railway safety-critical applications (e.g. signalling and command and control systems). During this period I achieved and managed a service contract with CESIFER about the definition of technical rules for the homologation of rolling stocks on the national railway network, according to international standards and in view of the RS TSI full application.
**FROM SEPTEMBER 2001 TO FEBRUARY 2004**
Consortio SciroTÜV – 256a, Via Fieschi, I-16121, GENOVA
Notified Body for Railway Interoperability Certification according to the Directive 96/48/EC
Member of Board of Directors and Managing Director
Setting up of the consortium (associates Sciro S.p.A., TÜV Rheinland Italia s.r.l. and TÜv InterTraffic GmbH), preparation of the industrial plan, achievement of the appointment as Notified Body for the subsystems rolling stock, infrastructure, control, command and signalling, energy and maintenance and all the constituents of the Trans-european High Speed Railway Network, by the Italian Ministry of Transport and Infrastructures, Start-up of operation. In particular, during this period SciroTÜV achieved contracts from RFI about the safety assessment of the ERTMS based Signalling System for the Italian High Speed Railway Lines and from rolling stocks manufacturers for assessment and certification of rolling stocks (Alstom for Pendolino and ANSLADOBREDA for Double Deck Intercity Trains supplied to Morocco Railways).
**FROM JULY 1998 TO FEBRUARY 2004**
Sciro S.p.A. – 5/6, Via Gavotti, I-16128, GENOVA
Consulting Company in the Transport Field
Consultant
RAMS Area Manager. During this period I managed many relevant to Hazard&Risk Analysis, RAM Planning and Analysis, Verification&Validation and Assessment of safety-critical systems for railway applications, according to the CENELEC standards EN50126, EN50128, EN50129 and other related norms. The most important applications dealt with were related to signalling and command and control systems like Italian ATC, ERTMS/ETCS, SCC (Sistema di Comando e Controllo), ACS (Solid State Interlocking) and PAI-PL (Automatic Protection of Level Crossings). Main clients were Railittrack, Italierr, Ferrovie dello Stato, General Electric Transportation Systems, Ansaldo and Alstom.
**FROM JULY 1994 TO JUNE 1998**
Sciro S.p.A. – 25/6a, Via Fieschi, I-16121, GENOVA
Consulting Company in the Transport Field
Consultant
Project Engineer for Activities relevant to Electronic Design, development of SW Applications for Control of Electric Machines and, subsequently, Project Manager for RAMS Activities in the Railway Transport Field. During this period, I worked for two years as RAM Expert (consultant) in the EEIG ERTMS Users Group, based in Brussels, and collaborated to draw-up the ERTMS/ETCS RAMS Specifications.
**FROM 1991 TO 1994**
University of Genova, Faculty of Engineering, Via all’Opera Pia 13a, Genoa-16145, Italy
Education
Ph. D. Student and Assistant Researcher
Research activities on development of Electromechanical Simulators for Railway and Metro-rail systems and development and application of innovative methodologies and tools for RAMS analysis of Guided Transport Systems.
EDUCATION AND TRAINING
• Dates (from – to)
• Name and type of organisation providing education and training
• Principal subjects/occupational skills covered
2013
Ashridge Business Management School – Management Training Academy
Leadership/Business Management
2011
BT Training – Making Great Leaders
Leadership
FROM 1991 TO 1994
University of Genoa – Department of Electrical Engineering
Electromechanical Simulators for Railway and Metro-rail Systems.
Ph. D. in Electrical Engineering
FROM 1985 TO 1991
University of Genoa, Faculty of Engineering
Industrial Electronics
Graduated in Electronics Engineering
PERSONAL SKILLS AND COMPETENCES
MOTHER TONGUE
ITALIAN
OTHER LANGUAGES
• Reading skills
• Writing skills
• Verbal skills
ENGLISH
Excellent
Excellent
Excellent
FRENCH
Good
Basic
Basic
GERMAN
Basic
Basic
Basic
SOCIAL SKILLS AND COMPETENCES
Working experiences in International contexts, related to positions covered within Bombardier Transportation and, formerly, in European projects and working groups (ERTMS Users Group, ESROG), to scientific activity and to participation at a considerable number of international conferences interfacing people of several nationalities, allowed me to develop an attitude to face multicultural environments and to emphasize my communication ability.
ORGANISATIONAL SKILLS AND COMPETENCES
Business Management (as Managing Director of SciroTUV for more than 3 years)
Management and coordination of international teams.
Outline Product Strategy vs market demand and Manage and Plan Product Lifecycle in the field of Railway applications, especially concerning Rolling Stock and Signalling fields.
TECHNICAL SKILLS AND COMPETENCES
Expert user of standard computer tools such as the Microsoft Office suite.
As Engineering Manager, high level knowledge of PDM, CATIA V5, E3, SysML, etc.
The use of many specific tools for RAMS modeling and analysis is an important part of my background, as well as the development and use of models and simulators for railway and metrorail systems (Matlab, Fortran, C and C++ languages in UNIX, DOS and Windows environments).
ARTISTIC SKILLS AND COMPETENCES
interior and exterior architecture, playing bass guitar.
OTHER SKILLS AND COMPETENCES
Since June until November 1994 I joined the Project "Hosting and Training of Researchers on the Study and Testing of Components and Systems for Urban and Rail Electrical Transport" of the European Community, working at C.R.I.S. Ansaldo Via Nuova delle Brecce 260 – Napoli, within the program "Human Capital and Mobility - Access to Large Installations" on the research subject "Control of Motor Drive Systems: Modelling and Testing".
DRIVING LICENCE(S)
Car and Motorbike
Major Projects – Selected List
Project description:
Development of the Platform Concept of the new Very High Speed Train V300Zefiro in partnership with AnsaldoBreda. The platform V300Zefiro, conceived for the international market, is the basis for the train jointly proposed by Bombardier and AnsaldoBreda to Trenitalia within the Tender for 50 New Generation High Speed Trains, for operation in Italy and in other seven european countries (France, Germany, Spain, Belgium, Netherlands, Austria and Switzerland) at a maximum speed of 360km/h.
The project included platform concept development, preparation of the Bid for the Trenitalia Tender and start up of the development activities after the joint venture Bombardier/AnsaldoBreda resulted the winner of such Tender in august 2010.
Period: 2008-today
Organisation: Bombardier Transportation
Role in Project: Direct, up to the tender phase, as strategic and coordination support to Product Management and Platform Project Engineering especially focussing on technical relationships with the customer Trenitalia and with the National railway Safety Agency (ANSF).
Indirect, from project startup phase, as line manager of the Vado Ligure Team in charge to design driver cabin, to take care of Requirements and Homologation issues and to develop the Train to Wayside communication system and Telediagnostics.
Direct, ad interim from the project startup phase, as coordinator of the Vehicle and Production Engineering with the task of starting up the activities with an appropriate distribution of tasks between Hennigsdorf, Vasteraas and Vado Ligure sites.
Project description:
Development and application of a dynamic system, including models of the railway process and appropriate SW tools, for global risk assessment of the Italian railway network traffic and operation. The system will support the assessment and verification of the global safety performance of the italian railway network, in order to lead identifying measures to improve the overall safety level and to plan and prioritise investments accordingly. The final client is the italian railway infrastructure manager RFI, namely the structure responsible for the Safety Management System. The project is organised in two phases: development of a functional model and development of a methodology for the risk assessment and analysis. In particular, D’Appolonia works in partnership with the Notified Body SciroTUV, who has been appointed as group leader by the final client, and has in charge the development of the methodology for risk assessment and analysis.
Period: 2006-2008
Organisation: D’Appolonia
Role in Project: Direct, as Project Technical Advisor within the responsibility of Managing the B.U. Transport Systems
Project description:
Functional Model of the Rolling Stock Subsystem within the Feasibility Study for the Apportionment of Safety Targets and Safety Requirements in the relevant Technical Specification of Interoperability undertaken by the Safety Unit of the European Railway Agency (ERA) as foreseen by the Mandate received by ERA itself from the European Commission. D’Appolonia has been contracted upon assignment of the relevant European Tender launched by ERA.
Period: 2006-2007
Organisation: D’Appolonia
Role in Project: Direct, as Project Technical Advisor within the responsibility of Managing the B.U. Transport Systems
**Project description:**
Residual Risk Assessment for the ERTMS Level 2 Signalling System (SSAV) installed on the Rome-Naples High Speed/Capacity Railway Line, as resulting from the Final Design, Commissioning and pre-revenue service phases. The project includes the start-up of the risk monitoring process during the revenue service, targeted to the continuous improvement of the overall safety level, as required by the national law, defined by the national infrastructure owner (Disp. 13/2001 and 15/2004), relevant to the RFI Safety Management System. As a further development it is foreseen to extend the assessment and the monitoring process from the SSAV to the overall railway system on the HS/HC Rome-Naples Line and, subsequently on all the other lines of the Italian HS/HC System.
**Period:** 2006-2007
**Organisation:** D’Appolonia
**Role in Project:** Direct, as Project Technical Advisor within the responsibility of Managing the B.U. Railway Systems and Technologies
---
**Project description:**
Definition, Classification and Tracing of the Requirements for Technical Approval of Motor and Hauled Rolling Stocks: support to CESIFER structure within RFI, for the definition of a Technical Specification in acuation of the “Disposizione n. 1/2003 del Gestore dell’Infrastruttura Nazionale”, national regulation relevant to the Technical Approval of Motor and Hauled Rolling Stocks for running on the Italian railway infrastructure. The activity includes setting up and commissioning of a Requirements Management System based on a suitable software tool.
**Period:** 2005-2007
**Organisation:** D’Appolonia
**Role in Project:** Direct, as Project Technical Advisor within the responsibility of Managing the B.U. Railway Systems and Technologies
---
**Project description:**
Feasibility Study for the start up of Railway Technological Products Certification activities within RFI: support to the Conformity Certification structure within RFI for assessing the technical, organisational and financial aspects relevant to the realisation and EN17025 accreditation of an Integrated Testing Laboratory to perform qualification, homologation, acceptance and certification tests on electrical, electromechanical, mechanical or electronic technologies for railway applications.
**Period:** 2005
**Organisation:** D’Appolonia
**Role in Project:** Direct, as Project Manager and Technical Advisor within the responsibility of Managing the Verification and Validation Area
---
**Project description:**
V&V and Test&Commissioning activities for the Signalling and Automation System of the Italian High Speed/High Capacity Railway System. Activity includes services in support to the Satumo Consortium, responsible for the supply of all the technologies, and to Alstom, on the Rome-Naples Line application, responsible for the realization of the Train Separation Subsystem and for the Yard Equipment. The Project dealt with the Rome-Naples and Turin-Novara Lines commissioning, occurred respectively in December 2005 and April 2006, and is currently in progress for the Milano-Bologna Line.
**Period:** 2004-2005
**Organisation:** D’Appolonia
**Role in Project:** Direct, as Support/Tutoring to the Alstom Safety Manager, to take care and to manage the external relationships and interfaces with the Final Client, with the Assessor and with the Consortium of Technologies suppliers for the Italian High Speed System (Consorzio Satumo) during the activation of the Train Separation System on the Rome-Naples Line and indirect, as Manager of the Area/B.U. of competence for the activities in support to Satumo.
**Project description:**
Several Independent Safety Assessment Projects including manufacturer’s Safety and Quality Management auditing and Technical Assessment of Technologies: Bombardier Interlocking (client RFI), General Electric LX Protection (client RFI), Alstom 83,3 Hz Generator (client RFI), TERFER Remote Axle Counter Clearance (client RFI), Track Warning AG Working Sites Protection (client RFI), D145 Shunting Locomotives Remote Control (client ANSALDOBREDA), Signalling Systems of the Italian High Speed Railway – Rome-Naples G.A (client RFI).
**Period:** 2002-2004
**Organisation:** SciroTÜV
**Role in Project:** Indirect, as Managing Director of the SciroTÜV Consortium.
---
**Project description:**
Constitution, organization, start-up and Notification Procedure, as Notified Body for Railway Interoperability Certification, of the SciroTÜV Consortium, including organisation and preparation of the Dossier of the Documentation necessary for the presentation of the application for Notification to the Italian Infrastructure and Transport Ministry and coordination of the ministry inspections at the SciroTÜV premises (appointment achieved in march 2003).
**Period:** 2001-2003
**Organisation:** SciroTÜV
**Role in Project:** Direct, as Managing Director of the SciroTÜV Consortium.
Publications – Top15 out of more than 50
Firpo, P., M. Fraccia and S. Savio, 1993, "Locomotive Drive Harmonic Pollution in AC Traction Systems", IEEE International Conference ISIE '93, 1-3 June, Budapest, Hungary.
Firpo, P., S. Savio and G. Sciutto, 1994, "Fail Safe Digital Systems in Railway Applications: a Comparative Analysis", WCRR '94 World Congress on Railway Research, 14-16 November, Paris, France.
Firpo, P. and S. Savio, 1995, "Optimized Train Running Curve for Electrical Energy Saving in Autotransformer Supplied AC Railway Systems", IEE International Conference on "Electric Railways in a United Europe" RAILINK '95, 27-30 March, Amsterdam, Netherlands.
Firpo, P., G. Cosulich and S. Savio, 1995, "RAM Related Performances of High Speed Railway Multivoltage Vehicles: a Probabilistic Approach Based on Stochastic Reward Nets", IEEE International Conference on Electric Power Engineering Stockholm Power Tech, 18-22 June, Stockholm, Sweden.
Firpo, P., G. Cosulich and S. Savio, 1996, "RAMS Targets Allocation: State of the Art and Innovation", WCRR '96 World Congress on Railway Research, 17-19 June, Colorado Springs, USA.
Firpo, P., G. Cosulich and S. Savio, 1996, "Power Electronics Reliability Impact on Service Dependability for Railway Systems: a Real Case Study", IEEE International Conference on Industrial Electronics ISIE '96, 17-20 June, Warsaw, Poland.
Firpo, P., G. F. D'Addio and S. Savio, 1997, "Optimized Reliability Centered Maintenance of Vehicles Electrical Drives for High Speed Railway Applications", IEEE International Symposium on Industrial Electronics ISIE '97, 7 -11 July, Guimarães, Portugal.
Firpo, P., M. Berieau and G. F. D'Addio and U. Foschi, 1997, "Overview on the RAMS Process for the ERTMS Control/Command System Special Focus on Specification Phase ", WCRR '97 World Congress on Railway Research, 16 -19 November, Firenze, Italia.
Firpo, P., G.F. D'Addio and S. Savio, 1998, "Reliability Centered Maintenance: a solution to optimise mass transit system cost effectiveness", IEE International Conference on Developments in Mass Transit Systems, 20 - 23 April, London, UK.
Firpo, P., M. Berieau and U. Foschi, T. Freneaux, 1999, "La Fase di Specifica nel Processo RAMS del Sistema ERTMS/ETCS ", Ingegneria Ferroviaria, Numero 1-2 January-February.
Firpo, P., G. Cosulich and M. Scordato, E. Stafferini, 1999, "Probabilistic Risk Assessment for Track Invasion and Breakdown Events in Railway Lines", WCRR '99 World Congress on Railway Research, 18 - 22 November, Tokio, Japan.
Firpo, P., V. Fazio and S. Savio, 2000, "An Innovative Procedure for Reliability Assessment of Power Electronics Equipped Systems: a Real Case Study", IEEE International Symposium on Industrial Electronics ISIE 2000, 4 – 8 December, Puebla, Mexico.
Firpo, P., E. M. El Koursi, H. Krebs and B. Le Trung, 2001, "Minimale Endogene Mortalität (MEM) – Ein Universelles Sicherheitskriterium", ETR (Eisenbahntechnische Rundschau/RTR Railway Technical Review), Issue 12/2000
Firpo, P., V. Fazio and S. Savio, 2001, "Impact of signalling and automation failure modes on railway operation: assessment by simulation" WCRR 2001, 25-29 November, Cologne, Germany.
Firpo, P., G. Pietronave, C. Quaglierini, S. Savio and R. Vom Hövel, 2003, "The use of complementary technologies for ensuring system safety in railway systems with high degree of automation", WCRR '03 World Congress on Railway Research, 28 September - 1 October, Edinburgh, Scotland.
Mobility
Available for commuting on weekly basis across Europe, within Italian employment contract
No limitations regarding business travels
Family Status
Married with two daughters
Hobbies and interests
Playing volley and beach volley, playing bass guitar, playing and listening good music (I like to say: let your feelings make some noise)
N.A.
I hereby authorise the use of my personal details solely for circulation within the receiving organisation. |
Dear Lauren,
Thank you very much for reviewing the GRAS Notice No. 000965, as well as your questions.
Please find the attachment for our responses to your questions.
Should you have further questions, please do not hesitate to reach out to me.
Yours sincerely,
Nobuo Okado
Quality Assurance
Shin Nihon Chemical Co., Ltd.
19-10, Showa-cho, Anjo, Aichi 446-0063, Japan
Tel: +81-566-75-5555 Fax: +81-566-75-0010
Mail; firstname.lastname@example.org
2021年5月1日(土) 2:36 Viebrock, Lauren <email@example.com>:
Dear Mr. Okado,
During our review of GRAS Notice No. 000965, we noted questions that need to be addressed. Please find the questions attached to this email.
We respectfully request a response within **10 business days**. If you are unable to complete the response within that time frame, please contact me to discuss further options.
If you have questions or need further clarification, please feel free to contact me. Thank you in advance for your attention to our comments.
Regards,
Lauren
**Lauren VieBrock**
*Regulatory Review Scientist/Microbiology Reviewer*
Center for Food Safety and Applied Nutrition
Office of Food Additive Safety
U.S. Food and Drug Administration
Tel: 301-796-7454
firstname.lastname@example.org
Responses to the U.S. FDA’s Questions Related to GRAS Notice No. GRN 000965
In response to the United States Food and Drug Administration’s questions (dated 30 April 2021) pertaining to GRAS Notice No. GRN 000965, as submitted by Shin Nihon for arabinase enzyme preparation produced by *Aspergillus tubingensis*, below please find the additionally requested information.
**Question 1**
*Please clarify if wheat bran, an ingredient in the fermentation medium, is removed from the final enzyme preparation.*
**Response to Question 1**
Yes, the wheat bran, which is used as an ingredient in the fermentation medium, is removed from the final enzyme preparation.
The wheat bran provides a source of nutrition for the production organism during the fermentation. The wheat bran is utilized by the microorganism, with a progressive decrease in levels during the course of the fermentation. After fermentation, produced arabinase is extracted from the fermented medium with water. Wheat bran remains in the fermented medium.
In order to confirm the removal of wheat bran, samples of both the final arabinase enzyme concentrate and the finished (formulated) enzyme preparation were tested for presence of residual levels of protein, including gluten, and gliadin specifically, as derived from wheat bran. The testing was performed using enzyme-linked immunosorbent assay (ELISA)-based methods (limits of quantification: 1 ppm). As presented in Table 1, no quantifiable levels of wheat protein residues were identified in any of the tested samples.
**Table 1** Levels of Wheat Protein/Gluten in Samples of Arabinase Concentrate and Arabinase Final Preparation Obtained using *Aspergillus tubingensis* GPA41
| Samples (Lot No.) | Levels of Wheat Protein and/or Gluten (Gliadin) (ppm) |
|------------------|------------------------------------------------------|
| | ELISA Method 1<sup>a</sup> | ELISA Method 2<sup>b</sup> |
| **Enzyme Concentrate** | | |
| 190313T4 | <1 | <1 |
| 191206T1 | <1 | <1 |
| 210129T4 | <1 | <1 |
| **Final Formulated Product** | | |
| 200128-08 | <1 | <1 |
| 210402-01 | <1 | <1 |
| 200220-01 | <1 | <1 |
| 210421-10 | <1 | <1 |
ELISA = enzyme-linked immunosorbent assay; ppm = parts per million.
<sup>a</sup> ELISA Kit II (Morinaga Institute of Biological Science, Inc.) – tests for gliadin specifically.
<sup>b</sup> FASTKIT ELISA ver. III (NIHON HAM) – tests for whole wheat protein, including gluten.
Question 2
Please provide an updated reference for FCC 11th Edition.
Response to Question 2
The references from the 11th Edition of the Food Chemicals Codex (FCC, 2019a; FCC, 2019b) are replaced by the 12th Edition. The updated references are provided in Appendix A. In summary:
FCC (2021a). Enzyme preparations. In: *Food Chemicals Codex, 12th edition*. (Suppl. 1). Rockville (MD): United States Pharmacopeial Convention.
replaces:
FCC (2019a). Enzyme preparations. In: *Food Chemicals Codex, 11th edition, 2nd Supplement*. Rockville (MD): United States Pharmacopeia Convention (USP).
and
FCC (2021b). Appendix V. Enzyme preparations used in food processing. In: *Food Chemicals Codex, 12th edition*. (Suppl. 2). Rockville (MD): United States Pharmacopeial Convention.
replaces:
FCC (2019b). Appendix V: Enzyme preparations used in food processing. In: *Food Chemicals Codex, 11th edition, 2nd Supplement*. Rockville (MD): United States Pharmacopeia Convention (USP).
Question 3
Please provide a narrative to clarify the statement on Page 67 of the notice, “A large margin of safety exists between the NOAEL and the estimated level of exposure to Sumizyme AG from foods (1.35 mg TOS/kg body weight/day)”.
Response to Question 3
The results of the 90-day toxicity study in which the ultra-filtered concentrate of arabinase was administered to male and female rats by gavage at doses providing 0, 15, 153, or 1,530 mg total organic solids (TOS)/kg body weight/day are summarized in Part 6, Section 220.127.116.11 of the GRAS Notice (pp. 33-34). Under the conditions of this study, the highest dose tested of 1,530 mg TOS/kg body weight/day was determined to be the no-observed-adverse-effect level (NOAEL) for the arabinase concentrate.
As presented in Part 3, Section 3.2 of the GRAS Notice (p. 27), a theoretical maximum daily intake (TMDI) of 1.35 mg TOS/kg body weight/day was calculated for the arabinase enzyme preparation under the intended conditions of use and considering a number of conservative assumptions.
Therefore, in comparison to the human exposure estimate of 1.35 mg TOS/kg body weight/day, the NOAEL of 1,530 mg TOS/kg body weight/day in the 90-day study is 1,133-fold greater (a margin of safety of $\geq 1,000$ exists between the intake estimated for the arabinase enzyme preparation under proposed conditions, and the NOAEL derived from the 90-day study).
Appendix A
Updated References from the Food Chemicals Codex, 12th Edition (2021)
Enzyme Preparations
Published in: FCC 12 1S, FCC 12 2S
First Published: Prior to FCC 6
Last Revised: FCC 9, Second Supplement
DESCRIPTION
Enzyme Preparations used in food processing are derived from animal, plant, or microbial sources (see Classification, below). They may consist of whole cells, parts of cells, or cell-free extracts of the source used, and they may contain one active component or, more commonly, a mixture of several, as well as food-grade diluents, preservatives, antioxidants, and other substances consistent with good manufacturing practices. The individual preparations usually are named according to the substance to which they are applied, such as Protease or Amylase. Traditional names such as Malt, Pepsin, and Rennet also are used, however. The color of the preparations—which may be liquid, semiliquid, or dry—may vary from virtually colorless to dark brown. The active components consist of the biologically active proteins, which are sometimes conjugated with metals, carbohydrates, and/or lipids. Known molecular weights of the active components range from approximately 12,000 to several hundred thousand. The activity of enzyme preparations is measured according to the reaction catalyzed by individual enzymes (see below) and is usually expressed in activity units per unit weight of the preparation. In commercial practice (but not for Food Chemicals Codex purposes), the activity of the product is sometimes also given as the quantity of the preparation to be added to a given quantity of food to achieve the desired effect. Additional information relating to the nomenclature and the sources from which the active components are derived is provided under Appendix V: Enzyme Assays.
FUNCTION: Enzyme (see discussion under Classification, below)
PACKAGING AND STORAGE: Store in well-closed containers in a cool, dry place.
IDENTIFICATION
CLASSIFICATION
- ANIMAL-DERIVED PREPARATIONS
Catalase, Bovine Liver: Produced as partially purified liquid or powdered extracts from bovine liver. Major active principle: catalase. Typical application: used in the manufacture of certain cheeses.
Chymotrypsin: Obtained from purified extracts of bovine or porcine pancreatic tissue. Produced as white to tan, amorphous powders soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: chymotrypsin. Typical application: used in the hydrolysis of protein.
Lipase, Animal: Obtained from the edible forestomach tissue of calves, kids, or lambs; and from animal pancreatic tissue. Produced as purified edible tissue preparations or as aqueous extracts dispersible in water, but insoluble in alcohol. Major active principle: lipase. Typical applications: used in the manufacture of cheese and in the modification of lipids.
Lysozyme: Obtained from extracts of purified chicken egg whites. Generally prepared and used in the hydrochloride form as a white powder. Major active principle: lysozyme. Typical application: used as an antimicrobial in food processing.
Pancreatin: Obtained from porcine or bovine (ox) pancreatic tissue. Produced as a white to tan, water-soluble powder. Major active principles: (1) α-amylase; (2) protease; and (3) lipase. Typical applications: used in the preparation of precooked cereals, infant foods, and protein hydrolysates.
Pepsin: Obtained from the glandular layer of hog stomach. Produced as a white to light tan, water-soluble powder; amber paste; or clear, amber to brown, aqueous liquids. Major active principle: pepsin. Typical applications: used in the preparation of fishmeal and other protein hydrolysates and in the clotting of milk in the manufacture of cheese (in combination with rennet).
Phospholipase A₂: Obtained from porcine pancreatic tissue. Produced as a white to tan powder or pale to dark yellow liquid. Major active principle: phospholipase A₂. Typical application: used in the hydrolysis of lecithins.
Rennet, Bovine: Aqueous extracts made from the fourth stomach of bovines. Produced as a clear, amber to dark brown liquid or a white to tan powder. Major active principle: protease (pepsin). Typical application: used in the manufacture of cheese. Similar preparations may be made from the fourth stomach of sheep or goats.
Rennet, Calf: Aqueous extracts made from the fourth stomach of calves. Produced as a clear, amber to dark brown liquid or a white to tan powder. Major active principle: protease (chymosin). Typical application: used in the manufacture of cheese. Similar preparations may be made from the fourth stomach of lambs or kids.
Trypsin: Obtained from purified extracts of porcine or bovine pancreas. Produced as white to tan, amorphous powders soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: trypsin. Typical applications: used in baking, in the tenderizing of meat, and in the production of protein hydrolysates.
• PLANT-DERIVED PREPARATIONS
Amylase: Obtained from extraction of ungerminated barley or extraction from grains of wheat. Produced as a clear, amber to dark brown liquid or a white to tan powder. Major active principle: β-amylase. Typical applications: used in the production of alcoholic beverages and sugar syrups.
Bromelain: The purified proteolytic substance derived from the pineapples *Ananas comosus* and *Ananas bracteatus* L. (Fam. Bromeliaceae). Produced as a white to light tan, amorphous powder soluble in water (the solution is usually colorless to light yellow and somewhat opalescent), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: bromelain. Typical applications: used in the chillproofing of beer, in the tenderizing of meat, in the preparation of precooked cereals, in the production of protein hydrolysates, and in baking.
Ficin: The purified proteolytic substance derived from the latex of *Ficus* sp. (Fam. Moraceae), which includes a variety of tropical fig trees. Produced as a white to off-white powder completely soluble in water. (Liquid fig latex concentrates are light to dark brown.) Major active principle: ficin. Typical applications: used in the chillproofing of beer, in the tenderizing of meat, and in the conditioning of dough in baking.
Malt: The product of the controlled germination of barley. Produced as a clear amber to dark brown liquid preparation or as a white to tan powder. Major active principles: (1) α-amylase and (2) β-amylase. Typical applications: used in baking, in the manufacture of alcoholic beverages and of syrups.
Papain: The purified proteolytic substance derived from the fruit of the papaya *Carica papaya* L. (Fam. Caricaceae). Produced as a white to light tan, amorphous powder or a liquid soluble in
water (the solution is usually colorless or light yellow and somewhat opalescent), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *papain* and (2) *chymopapain*. Typical applications: used in the chillproofing of beer, in the tenderizing of meat, in the preparation of precooked cereals, and in the production of protein hydrolysates.
**MICROBIALLY-DERIVED PREPARATIONS**
**α-Acetolactatedecarboxylase:** (*Bacillus subtilis* containing a *Bacillus brevis* gene) Produced as a brown liquid by controlled fermentation using the modified *Bacillus subtilis*. Soluble in water (the solution is usually a light yellow to brown). Major active principle: *decarboxylase*. Typical application: used in the preparation of beer.
**Aminopeptidase, Leucine:** (*Aspergillus niger* var., *Aspergillus oryzae* var., and other microbial species) Produced as a light tan to brown powder or as a brown liquid by controlled fermentation using *Aspergillus niger* var., *Aspergillus oryzae* var., or other microbial species. The powder is soluble in water (the solution is usually light yellow to brown). Major active principles: (1) *aminopeptidase*, (2) *protease*, and (3) *carboxypeptidase* activities in varying amounts. Typical applications: used in the preparation of protein hydrolysates and in the development of flavors in processed foods.
**Carbohydrase:** (*Aspergillus niger* var., including *Aspergillus aculeatus*) Produced as an off-white to tan powder or a tan to dark brown liquid by controlled fermentation using *Aspergillus niger* var. (including *Aspergillus aculeatus*). Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *α-amylase*, (2) *pectinase* (a mixture of enzymes, including *pectin depolymerase*, *pectin methyl esterase*, *pectin lyase*, and *pectate lyase*), (3) *cellulase*, (4) *glucoamylase* (amyloglucosidase), (5) *amylo-1,6-glucosidase*, (6) *hemicellulase* (a mixture of enzymes, including poly(galacturonate) hydrolase, arabinosidase, mannosidase, mannanase, and xylanase), (7) *lactase*, (8) *β-glucanase*, (9) *β-D-glucosidase*, (10) *pentosanase*, and (11) *α-galactosidase*. Typical applications: used in the preparation of starch syrups and dextrose, alcohol, beer, ale, fruit juices, chocolate syrups, bakery products, liquid coffee, wine, dairy products, cereals, and spice and flavor extracts.
**Carbohydrase:** (*Aspergillus oryzae* var.) Produced as an off-white to tan, amorphous powder or a liquid by controlled fermentation using *Aspergillus oryzae* var. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *α-amylase*, (2) *glucoamylase* (amyloglucosidase), and (3) *lactase*. Typical applications: used in the preparation of starch syrups, alcohol, beer, ale, bakery products, and dairy products.
**Carbohydrase:** (*Bacillus acidopullulyticus*) Produced as an off-white to brown, amorphous powder or a liquid by controlled fermentation using *Bacillus acidopullulyticus*. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *pullulanase*. Typical applications: used in the hydrolysis of amylopectins and other branched polysaccharides.
**Carbohydrase:** (*Bacillus stearothermophilus*) Produced as an off-white to tan powder or a light yellow to dark brown liquid by controlled fermentation using *Bacillus stearothermophilus*. Soluble in water, but practically insoluble in alcohol, in ether, and in chloroform. Major active principle: *α-amylase*. Typical applications: used in the preparation of starch syrups, alcohol, beer, dextrose, and bakery products.
**Carbohydrase:** (*Candida pseudotropicalis*) Produced as an off-white to tan, amorphous powder or a liquid by controlled fermentation using *Candida pseudotropicalis*. Soluble in water (the solution is usually light yellow to dark brown) but insoluble in alcohol, in chloroform, and
in ether. Major active principle: *lactase*. Typical applications: used in the manufacture of candy and ice cream and in the modification of dairy products.
**Carbohydrase:** *(Kluyveromyces marxianus* var. *lactis)* Produced as an off-white to tan, amorphous powder or a liquid by controlled fermentation using *Kluyveromyces marxianus* var. *lactis*. Soluble in water (the solution is usually light yellow to dark brown), but insoluble in alcohol, in chloroform, and in ether. Major active principle: *lactase*. Typical applications: used in the manufacture of candy and ice cream and in the modification of dairy products.
**Carbohydrase:** *(Mortierella vinaceae* var. *raffinoseutilizer)* Produced as an off-white to tan powder or as pellets by controlled fermentation using *Mortierella vinaceae* var. *raffinoseutilizer*. Soluble in water (pellets may be insoluble in water), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *α-galactosidase*. Typical application: used in the production of sugar from sugar beets.
**Carbohydrase:** *(Rhizopus niveus)* Produced as an off-white to brown, amorphous powder or a liquid by controlled fermentation using *Rhizopus niveus*. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *α-amylase* and (2) *glucoamylase*. Typical application: used in the hydrolysis of starch.
**Carbohydrase:** *(Rhizopus oryzae* var. *)* Produced as a powder or a liquid by controlled fermentation using *Rhizopus oryzae* var. Soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *α-amylase*, (2) *pectinase*, and (3) *glucoamylase* (amyloglucosidase). Typical applications: used in the preparation of starch syrups and fruit juices, vegetable purees, and juices and in the manufacture of cheese.
**Carbohydrase:** *(Saccharomyces species)* Produced as a white to tan, amorphous powder by controlled fermentation using a number of species of *Saccharomyces* traditionally used in the manufacture of food. Soluble in water (the solution is usually light yellow), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *invertase* and (2) *lactase*. Typical applications: used in the manufacture of candy and ice cream and in the modification of dairy products.
**Carbohydrase:** [(Trichoderma longibrachiatum* var. *)* (formerly reesei)] Produced as an off-white to tan, amorphous powder or as a liquid by controlled fermentation using *Trichoderma longibrachiatum* var. Soluble in water (the solution is usually tan to brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *cellulase*, (2) *β-glucanase*, (3) *β-D-glucosidase*, (4) *hemicellulase*, and (5) *pentosanase*. Typical applications: used in the preparation of fruit juices, wine, vegetable oils, beer, and baked goods.
**Carbohydrase:** *(Bacillus subtilis* containing a *Bacillus megaterium* *α-amylase* gene) Produced as an off-white to brown, amorphous powder or liquid by controlled fermentation using the modified *Bacillus subtilis*. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *α-amylase*. Typical applications: used in the preparation of starch syrups, alcohol, beer, and dextrose.
**Carbohydrase:** *(Bacillus subtilis* containing a *Bacillus stearothermophilus* *α-amylase* gene) Produced as an off-white to brown, amorphous powder or a liquid by controlled fermentation using the modified *Bacillus subtilis*. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *maltogenic amylase*. Typical applications: used in the preparation of starch syrups, dextrose, alcohol, beer, and baked goods.
Carbohydrase and Protease, Mixed: (Bacillus licheniformis var.) Produced as an off-white to brown, amorphous powder or as a liquid by controlled fermentation using Bacillus licheniformis var. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) α-amylase and (2) protease. Typical applications: used in the preparation of starch syrups, alcohol, beer, dextrose, fishmeal, and protein hydrolysates.
Carbohydrase and Protease, Mixed: (Bacillus subtilis var. including Bacillus amyloliquefaciens) Produced as an off-white to tan, amorphous powder or as a liquid by controlled fermentation using Bacillus subtilis var. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) α-amylase, (2) β-glucanase, (3) protease, and (4) pentosanase. Typical applications: used in the preparation of starch syrups, alcohol, beer, dextrose, bakery products, and fishmeal, in the tenderizing of meat, and in the preparation of protein hydrolysates.
Catalase: (Aspergillus niger var.) Produced as an off-white to tan, amorphous powder or as a liquid by controlled fermentation using Aspergillus niger var. Soluble in water (the solution is usually tan to brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: catalase. Typical applications: used in the manufacture of cheese, egg products, and soft drinks.
Catalase: (Micrococcus lysodeikticus) Produced by controlled fermentation using Micrococcus lysodeikticus. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: catalase. Typical application: used in the manufacture of cheese, egg products, and soft drinks.
Chymosin: (Aspergillus niger var. awamori, Escherichia coli K-12, and Kluyveromyces marxianus, each microorganism containing a calf prochymosin gene) Produced as a white to tan, amorphous powder or as a light yellow to brown liquid by controlled fermentation using the above-named genetically modified microorganisms. The powder is soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: chymosin. Typical application: used in the manufacture of cheese and in the preparation of milk-based desserts.
Glucose Isomerase: (Actinoplanes missouriensis, Bacillus coagulans, Streptomyces olivaceus, Streptomyces olivochromogenes, Microbacterium arborescens, Streptomyces rubiginosus var., or Streptomyces murinus) Produced as an off-white to tan, brown, or pink amorphous powder, granules, or liquid by controlled fermentation using any of the above-named organisms. The products may be soluble in water, but practically insoluble in alcohol, in chloroform, and in ether; or if immobilized, may be insoluble in water and partially soluble in alcohol, in chloroform, and in ether. Major active principle: glucose (or xylose) isomerase. Typical applications: used in the manufacture of high-fructose corn syrup and other fructose starch syrups.
Glucose Oxidase: (Aspergillus niger var.) Produced as a yellow to brown solution or as a yellow to tan or off-white powder by controlled fermentation using Aspergillus niger var. Soluble in water (the solution is usually light yellow to brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) glucose oxidase and (2) catalase. Typical applications: used in the removal of sugar from liquid eggs and in the deoxygenation of citrus beverages.
Lipase: (Aspergillus niger var.) Produced as an off-white to tan, amorphous powder by controlled fermentation using Aspergillus niger var. Soluble in water (the solution is usually light yellow), but practically insoluble in alcohol, in chloroform, and in ether. Major active
principle: *lipase*. Typical application: used in the hydrolysis of lipids (e.g., fish oil concentrates and cereal-derived lipids).
**Lipase:** *(Aspergillus oryzae* var.) Produced as an off-white to tan, amorphous powder or a liquid by controlled fermentation using *Aspergillus oryzae* var. Soluble in water (the solution is usually light yellow), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *lipase*. Typical applications: used in the hydrolysis of lipids (e.g., fish oil concentrates) and in the manufacture of cheese and cheese flavors.
**Lipase:** *(Candida rugosa; formerly Candida cylindracea)* Produced as an off-white to tan powder by controlled fermentation using *Candida rugosa*. Soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *lipase*. Typical applications: used in the hydrolysis of lipids, in the manufacture of dairy products and confectionery goods, and in the development of flavor in processed foods.
**Lipase:** *[Rhizomucor (Mucor) miehei]* Produced as an off-white to tan powder or as a liquid by controlled fermentation using *Rhizomucor miehei*. Soluble in water (the solution is usually light yellow to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *lipase*. Typical applications: used in the hydrolysis of lipids, in the manufacture of cheese, and in the removal of haze in fruit juices.
**Phytase:** *(Aspergillus niger* var.) Produced as an off-white to brown powder or as a tan to dark brown liquid by controlled fermentation using *Aspergillus niger* var. Soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principles: (1) *3-phytase* and (2) *acid phosphatase*. Typical applications: used in the production of soy protein isolate and in the removal of phytic acid from plant materials.
**Protease:** *(Aspergillus niger* var.) Produced by controlled fermentation using *Aspergillus niger* var. The purified enzyme occurs as an off-white to tan, amorphous powder. Soluble in water (the solution is usually light yellow), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *protease*. Typical application: used in the production of protein hydrolysates.
**Protease:** *(Aspergillus oryzae* var.) Produced by controlled fermentation using *Aspergillus oryzae* var. The purified enzyme occurs as an off-white to tan, amorphous powder. Soluble in water (the solution is usually light yellow), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *protease*. Typical applications: used in the chillproofing of beer, in the production of bakery products, in the tenderizing of meat, in the production of protein hydrolysates, and in the development of flavor in processed foods.
**Rennet, Microbial:** *(nonpathogenic strain of Bacillus cereus)* Produced as a white to tan, amorphous powder or a light yellow to dark brown liquid by controlled fermentation using *Bacillus cereus*. Soluble in water, but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *protease*. Typical application: used in the manufacture of cheese.
**Rennet, Microbial:** *(Endothia parasitica)* Produced as an off-white to tan, amorphous powder or as a liquid by controlled fermentation using nonpathogenic strains of *Endothia parasitica*. The powder is soluble in water (the solution is usually tan to dark brown), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *protease*. Typical application: used in the manufacture of cheese.
**Rennet, Microbial:** *[Rhizomucor (Mucor)* sp.] Produced as a white to tan, amorphous powder by controlled fermentation using *Rhizomucor miehei*, or *pusillus* var. Lindt. The powder is soluble in water (the solution is usually light yellow), but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: *protease*. Typical application: used in the manufacture of cheese.
Transglutaminase: (Streptoverticillium mobaraense var.) Produced as an off-white to weak yellow-brown, amorphous powder by controlled fermentation using Streptoverticillium mobaraense var. Soluble in water but practically insoluble in alcohol, in chloroform, and in ether. Major active principle: transglutaminase. Typical applications: used in the processing of meat, poultry, and seafood; production of yogurt, certain cheeses, and frozen desserts; and manufacture of pasta products and noodles, baked goods, meat analogs, ready-to-eat cereals, and other grain-based foods.
● Reactions Catalyzed
[Note—The reactions catalyzed by any given active component are essentially the same, regardless of the source from which that component is derived.]
α-Acetolactatedecarboxylase: Decarboxylation of α-cetolactate to acetoin
Aminopeptidase, Leucine: Hydrolysis of N-terminal amino acid, which is preferably leucine, but may be other amino acids, from proteins and oligopeptides, yielding free amino acids and oligopeptides of lower molecular weight
α-Amylase: Endohydrolysis of α-1,4-glucan bonds in polysaccharides (starch, glycogen, etc.), yielding dextrins and oligo- and monosaccharides
β-Amylase: Hydrolysis of α-1,4-glucan bonds in polysaccharides (starch, glycogen, etc.), yielding maltose and betalimit dextrins
Bromelain: Hydrolysis of polypeptides, amides, and esters (especially at bonds involving basic amino acids, leucine, or glycine), yielding peptides of lower molecular weight
Catalase: $2\text{H}_2\text{O}_2 \leftrightarrow \text{O}_2 + 2\text{H}_2\text{O}$
Cellulase: Hydrolysis of β-1,4-glucan bonds in such polysaccharides as cellulose, yielding β-dextrins
Chymosin (calf and fermentation derived): Cleaves a single bond in kappa casein
Ficin: Hydrolysis of polypeptides, amides, and esters (especially at bonds involving basic amino acids, leucine, or glycine), yielding peptides of lower molecular weight
α-Galactosidase: Hydrolysis of terminal nonreducing α-D-galactose residues in α-D-galactosides
β-Glucanase: Hydrolysis of β-1,3- and β-1,4-linkages in β-D-glucans, yielding oligosaccharides and glucose
Glucoamylase (amyloglucosidase): Hydrolysis of terminal α-1,4- and α-1,6-glucan bonds in polysaccharides (starch, glycogen, etc.), yielding glucose (dextrose)
Glucose Isomerase (xylose isomerase): Isomerization of glucose to fructose, and xylose to xylulose
Glucose Oxidase: $\beta$-D-glucose + $\text{O}_2 \rightarrow \beta$-D-glucono-δ-lactone + $\text{H}_2\text{O}_2$
β-D-Glucosidase: Hydrolysis of terminal, nonreducing β-D-glucose residues with the release of β-D-glucose
Hemicellulase: Hydrolysis of β-1,4-glucans, α-L-arabinosides, β-D-mannosides, 1,3-β-D-xylans, and other polysaccharides, yielding polysaccharides of lower molecular weight
Invertase (β-fructofuranosidase): Hydrolysis of sucrose to a mixture of glucose and fructose (invert sugar)
Lactase (β-galactosidase): Hydrolysis of lactose to a mixture of glucose and galactose
Lysozyme: Hydrolysis of cell-wall polysaccharides of various bacterial species leading to the breakdown of the cell wall most often in Gram-positive bacteria
Maltogenic Amylase: Hydrolysis of α-1,4-glucan bonds
Lipase: Hydrolysis of triglycerides of simple fatty acids, yielding mono- and diglycerides, glycerol, and free fatty acids
Pancreatin
α-Amylase: Hydrolysis of α-1,4-glucan bonds
Protease: Hydrolysis of proteins and polypeptides
Lipase: Hydrolysis of triglycerides of simple fatty acids
Pectinase
Pectate lyase: Hydrolysis of pectate to oligosaccharides
Pectin depolymerase: Hydrolysis of 1,4 galacturonide bonds
Pectin lyase: Hydrolysis of oligosaccharides formed by pectate lyase
Pectinesterase: Demethylation of pectin
Pepsin: Hydrolysis of polypeptides, including those with bonds adjacent to aromatic or dicarboxylic L-amino acid residues, yielding peptides of lower molecular weight
Phospholipase A₂: Hydrolysis of lecithins and phosphatidylcholine, producing fatty acid anions
Phytase
3-Phytase: myo-Inositol hexakisphosphate + H₂O ↔ 1,2,4,5,6-pentakisphosphate + orthophosphate
Acid Phosphatase: Orthophosphate monoester + H₂O ↔ an alcohol + orthophosphate
Protease (generic): Hydrolysis of polypeptides, yielding peptides of lower molecular weight
Pullulanase: Hydrolysis of 1,6-α-D-glycosidic bonds on amylopectin and glycogen and in α- and β-limit dextrins, yielding linear polysaccharides
Rennet (bovine and calf): Hydrolysis of polypeptides; specificity may be similar to pepsin
Transglutaminase: Binding of proteins
Trypsin: Hydrolysis of polypeptides, amides, and esters at bonds involving the carboxyl groups of L-arginine and L-lysine, yielding peptides of lower molecular weight
ASSAY
• PROCEDURE
Analysis: The following procedures, which are included under Appendix V: Enzyme Assays, are provided for application as necessary in determining compliance with the declared representations for enzyme activity¹: α-Acetolactatedecarboxylase Activity, Acid Phosphatase Activity, α-Amylase Activity (Nonbacterial); Bacterial α-Amylase Activity (BAU); Catalase Activity; Cellulase Activity; Chymotrypsin Activity; Diastase Activity (Diastatic Power); α-Galactosidase Activity, β-Glucanase Activity; Glucoamylase Activity (Amyloglucosidase Activity); Glucose Isomerase Activity; Glucose Oxidase Activity; β-D-Glucosidase Activity; Hemicellulase Activity; Invertase Activity; Lactase (Neutral) (β-Galactosidase) Activity; Lactase (Acid) (β-Galactosidase) Activity; Lipase Activity; Lipase/Esterase (Fore stomach) Activity; Maltogenic Amylase Activity; Milk-Clotting Activity; Pancreatin Activity; Pepsin Activity; Phospholipase Activity; Phytase Activity; Plant Proteolytic Activity; Proteolytic Activity, Bacterial (PC); Proteolytic Activity, Fungal (HUT); Proteolytic Activity, Fungal (SAP); Pullulanase Activity; and Trypsin Activity.
Acceptance criteria: NLT 85.0% and NMT 115.0% of the declared units of enzyme activity
IMPURITIES
• LEAD, Lead Limit Test, Appendix IIIB
Control: 5 µg Pb (5 mL of Diluted Standard Lead Solution)
Acceptance criteria: NMT 5 mg/kg
SPECIFIC TESTS
• MICROBIAL LIMITS
[Note—Current methods for the following tests may be found in the Food and Drug Administration's Bacteriological Analytical Manual online at www.fda.gov/Food/default.htm.]
Acceptance criteria
Coliforms: NMT 30 CFU/g
Salmonella: Negative in 25 g
OTHER REQUIREMENTS
Enzyme preparations are produced in accordance with good manufacturing practices. Regardless of the source of derivation, they should cause no increase in the total microbial count in the treated food over the level accepted for the respective food.
Animal tissues used to produce enzymes must comply with the applicable U.S. meat inspection requirements and must be handled in accordance with good hygienic practices.
Plant material used to produce enzymes or culture media used to grow microorganisms consist of components that leave no residues harmful to health in the finished food under normal conditions of use.
Preparations derived from microbial sources shall be obtained using a pure culture fermentation of a non-pathogenic and non-toxigenic strain and are produced by methods and under culture conditions that ensure a controlled fermentation, thus preventing the introduction of microorganisms that could be the source of toxic materials and other undesirable substances.
The carriers, diluents, and processing aids used to produce the enzyme preparations shall be substances that are acceptable for general use in foods, including water and substances that are insoluble in foods but removed from the foods after processing.
Although limits have not been established for mycotoxins, appropriate measures should be taken to ensure that the products do not contain such contaminants.
1 Because of the varied conditions under which pectinases are employed, and because laboratory hydrolysis of a purified pectin substrate does not correlate with results observed with the natural substrates under use conditions, pectinase suppliers and users should develop their own assay procedures that would relate to the specific application under consideration.
Please check for your question in the FAQs before contacting USP.
| Topic/Question | Contact | Expert Committee |
|----------------|---------|------------------|
| ENZYME PREPARATIONS | Tongtong Xu
Associate Scientific Liaison
+1 (301) 692-3659 Ext.3659 | FI2020 Food Ingredients |
Page Information
- FCC 12 - page 406
- FCC 12 - page 405
- FCC 12 - page 404
APPENDIX V: ENZYME ASSAYS
Published in: FCC 12 2S
First Published: Prior to FCC 6
Last Revised: FCC 12, Second Supplement
ENZYME PREPARATIONS USED IN FOOD PROCESSING
A list of the enzymes covered by the general monograph on *Enzyme Preparations* is shown in Table 1. Also incorporated in the table are the trivial names by which each is commonly known, as well as the systematic names of the major components or of the enzyme for which the preparation is standardized, in accordance with the Recommendations (1992) of the Nomenclature Committee of the International Union of Biochemistry and Molecular Biology on the Nomenclature and Classification of Enzymes.
Table 1. Enzyme Preparations Used in Food Processing
| TRIVIAL NAME | CLASSIFICATION | SOURCE | NAMES (IUB)* |
|-------------------------------|----------------|-------------------------|--------------------------------------------------|
| α-Acetolactatedecarboxylase | Lyase | *Bacillus subtilis* | (2S)-2-Hydroxy-2-methyl-3-oxobutanoate carboxylyase[(3R)-3-hydroxybutan-2-one-forming] |
| Aminopeptidase, Leucine | Protease | (1) *Aspergillus niger* | None |
| | | (2) *Aspergillus oryzae*| |
| | | (3) *Rhizopus oryzae* | |
| | | (4) *Rhizopus arrhizus* | |
| | | (5) *Lactococcus lactis*| |
| | | (6) *Trichoderma reesei*| |
| | | (7) *Trichoderma* | |
| TRIVIAL NAME | CLASSIFICATION | longibrachiatum SOURCE | NAMES (IUB) |
|--------------|----------------|------------------------|-------------|
| | | (8) Aeromonas caviae | |
| | | (9) Lactobacillus casei| |
| α-Amylase | Carbohydrase | (1) Aspergillus niger var. | 1,4-α-D-Glucan glucanohydrolase |
| | | (2) Aspergillus oryzae var. | |
| | | (3) Rhizopus oryzae var.| |
| | | (4) Bacillus subtilis var.| |
| | | (5) Barley malt | |
| | | (6) Bacillus licheniformis var.| |
| | | (7) Bacillus stearothermophilus | |
| | | (8) Bacillus subtilis* (d-Bacillus megaterium) | |
| | | (9) Bacillus subtilis* (d-Bacillus stearothermophilus) | |
| | | (10) Bacillus licheniformis* (d-Bacillus stearothermophilus) | |
| β-Amylase | Carbohydrase | (1) Barley malt | 1,4-α-D-Glucan maltohydrolase |
| | | (2) Barley | |
| | | (3) Wheat | |
| Bromelain | Protease | Pineapples: Ananas comosus Ananas bracteatus (L.) | None |
2/56
| TRIVIAL NAME | CLASSIFICATION | SOURCE | NAMES (IUB) |
|--------------|----------------|--------|-------------|
| Catalase | Oxidoreductase | (1) Aspergillus niger var. | Hydrogen peroxide: hydrogen peroxide oxidoreductase |
| | | (2) Bovine liver | |
| | | (3) Micrococcus lysodeikticus | |
| Cellulase | Carbohydrase | (1) Aspergillus niger var. | endo-1,4-(1,3;1,4)-β-d-Glucan 4-glucanohydrolase |
| | | (2) Trichoderma longibrachiatum (formerly reesei) | |
| Chymosin | Protease | (1) Aspergillus niger var. awamori* (d-calf prochymosin gene) | |
| | | (2) Escherichia coli K-12* (d-calf prochymosin gene) | |
| | | (3) Kluyveromyces marxianus var. lactis* (d-calf prochymosin gene) | |
| Chymotrypsin | Protease | Bovine or porcine pancreatic extract | None |
| Ficin | Protease | Figs: Ficus sp. | None |
| α-Galactosidase | Carbohydrase | (1) Mortierella vinacea var. raffinoseutilizer | α-d-Galactoside galactohydrolase |
| | | (2) Aspergillus | |
| TRIVIAL NAME | CLASSIFICATION | niger SOURCE | NAMES (IUB) |
|--------------|----------------|--------------|-------------|
| β-Glucanase | Carbohydrase | (1) Aspergillus niger var. | 1,3-(1,3;1,4)-β-D-Glucan 3(4)-glucanohydrolase |
| | | (2) Bacillus subtilis var. | |
| | | (3) Trichoderma longibrachiatum | |
| Glucoamylase (Amyloglucosidase) | Carbohydrase | (1) Aspergillus niger var. | 1,4-α-D-Glucan glucohydrolase |
| | | (2) Aspergillus oryzae var. | |
| | | (3) Rhizopus oryzae var. | |
| | | (4) Rhizopus niveus | |
| Glucose Isomerase | Isomerase | (1) Actinoplanes missouriensis | D-Xylose ketoisomerase |
| | | (2) Bacillus coagulans | |
| | | (3) Streptomyces olivaceus | |
| | | (4) Streptomyces olivochromogenus | |
| | | (5) Streptomyces rubiginosus | |
| | | (6) Streptomyces murinus | |
| | | (7) Microbacterium arborescens | |
| Glucose Oxidase | Oxidoreductase | Aspergillus niger var. | β-D-Glucose: oxygen 1-oxidoreductase |
| **β-D-Glucosidase** | **Carbohydrase CLASSIFICATION** | **SOURCE** | **β-D-Glucoside glucohydrolase NAMES (IUB)** |
|---------------------|---------------------------------|------------|---------------------------------------------|
| | | (1) *Aspergillus niger* var. | (1) α-L-Arabinofuranoside arabinofuranohydrolase |
| | | (2) *Trichoderma longibrachiatum* | (2) 1,4-β-D-Mannan mannanohydrolase |
| | | | (3) 1,3-β-D-Xylan xylanohydrolase |
| | | | (4) 1,5-α-L-Arabinan arabinanohydrolase |
| Hemicellulase | Carbohydrase | (1) *Aspergillus niger* var. | (1) α-L-Arabinofuranoside arabinofuranohydrolase |
| | | (2) *Trichoderma longibrachiatum* | (2) 1,4-β-D-Mannan mannanohydrolase |
| | | | (3) 1,3-β-D-Xylan xylanohydrolase |
| | | | (4) 1,5-α-L-Arabinan arabinanohydrolase |
| Invertase | Carbohydrase | *Saccharomyces* sp. (*Kluyveromyces*) and *Saccharomyces* sp. (*cerevisiae*) | β-D-Fructofuranoside fructohydrolase |
| Lactase | Carbohydrase | (1) *Aspergillus niger* var. | β-D-Galactoside galactohydrolase |
| | | (2) *Aspergillus oryzae* var. | |
| | | (3) *Saccharomyces* sp. | |
| | | (4) *Candida pseudotropicalis* | |
| | | (5) *Kluyveromyces marxianus* var. *lactis* | |
| Lipase | Lipase | (1) Edible forestomach tissue of calves, kids, and lambs | (1) Carboxylic-ester hydrolase |
| | | (2) Animal pancreatic tissues | (2) Triacylglycerol acylhydrolase |
| TRIVIAL NAME | CLASSIFICATION | (3) SOURCE | NAMES (IUB) |
|--------------|----------------|------------|-------------|
| | | (3) *Aspergillus oryzae* var. | |
| | | (4) *Aspergillus niger* var. | |
| | | (5) *Rhizomucor miehei* | |
| | | (6) *Candida rugosa* | |
| Lysozyme | Lysozyme | Egg white | Peptidoglycan N-acetyl-muramoylhydrolase |
| Maltogenic Amylase | Carbohydrase | *Bacillus subtilis* *(d-Bacillus stearothermophilus)* | 1,4-α-D-Glucan α-maltohydrolase |
| Pancreatin | Mixed carbohydrate, protease, and lipase | Bovine and porcine pancreatic tissue | (1) 1,4-α-D-Glucan glucanohydrolase |
| | | | (2) Triacylglycerol acylhydrolase |
| | | | (3) Protease |
| Papain | Protease | Papaya: *Carica papaya* (*L*) | None |
| Pectinase<sup>b</sup> | Carbohydrase | (1) *Aspergillus niger* var. | (1) Poly(1,4-α-D-galacturonide) glycanohydrolase |
| | | (2) *Rhizopus oryzae* var. | (2) Pectin pectylhydrolase |
| | | | (3) Poly(1,4-α-D-glacturonide) lyase |
| | | | (4) Poly(methoxy-L- |
| TRIVIAL NAME | CLASSIFICATION | SOURCE | galacturonide lyase NAMES (IUB) |
|------------------|----------------|---------------------------------------------|---------------------------------|
| Pepsin | Protease | Porcine or other animal stomach tissue | None |
| Phospholipase A₂ | Lipase | Animal pancreatic tissue | Phosphatidylcholine 2-acylhydrolase |
| Phytase | Phosphatase | *Aspergillus niger* var. | (1) myo-Inositol-hexakisphosphate-3-phosphohydrolase |
| | | | (2) Orthophosphoric-mono ester phosphohydrolase |
| Protease (general)| Protease | (1) *Aspergillus niger* var, | None |
| | | (2) *Aspergillus oryzae* var, | |
| | | (3) *Bacillus subtilis* var, | |
| | | (4) *Bacillus licheniformis* var. | |
| Pullulanase | Carbohydrase | *Bacillus acidopullulyticus* | α-Dextrin-6-glucanohydrolase |
| Rennet | Protease | (1) Fourth stomach of ruminant animals | None |
| | | (2) *Endothia parasitica* | |
| | | (3) *Rhizomucor miehei* | |
| | | (4) *Rhizomucor pusillus* (Lindt) | |
| | | (5) *Bacillus cereus* | |
| TRIVIAL NAME | CLASSIFICATION | SOURCE | NAMES (IUB)\(^a\) |
|--------------|----------------|-----------------|-------------------|
| Trypsin | Protease | Animal pancreas | None |
\(^a\) *Enzyme Nomenclature: Recommendations (1992) of the Nomenclature Committee of the International Union of Biochemistry and Molecular Biology*, Academic Press, New York, 1992.
* The asterisk indicates a genetically modified organism. The donor organism is listed after “d-”, (d-*Bacillus brevis*).
\(^b\) Usually a mixture of pectin depolymerase, pectin methyl esterase, pectin lyase, and pectate lyase.
The following procedures are provided for application as necessary in determining compliance with the vendor’s declared representations for enzyme activity. For all of the procedures use filtered, ultra-high purity water with a resistivity of 16–18 megohms. [Note—The enzyme assay procedures contained in Appendix V are not intended to be used solely with enzymes derived from any source organisms that may be listed in the individual assays, including those indicated by the title of the tests. Applicability of these enzyme assays is intended to be broad, and titles that designate an assay as “Fungal” or “Bacterial” are historical titles and not meant to be used to indicate that the test may be used only for fungally or bacterially derived enzymes, respectively. Where such designations are made in assay titles, or where individual organisms are listed in the assays themselves, such information should be considered informational and not a requirement.]
- **Acid Phosphatase Activity**
**Application and Principle:** This procedure is used to determine acid phosphatase activity in preparations derived from *Aspergillus niger* var. The test is based on the enzymatic hydrolysis of \(p\)-nitrophenyl phosphate, followed by the measurement of the released inorganic phosphate.
**Reagents and Solutions**
**Glycine buffer (0.2 M, pH 2.5):** Dissolve 15.014 g of glycine (Merck, Catalog No. 4201) in about 800 mL of water. Adjust the pH to 2.5 with 1 M hydrochloric acid (consumption should be about 80 mL), and dilute to 1000 mL with water.
**Substrate (30 mM):** Dissolve 1.114 g of \(p\)-nitrophenyl phosphate (Boehringer, Catalog No. 738 352) in Glycine buffer, and adjust the volume to 100 mL with the buffer. Prepare a fresh substrate solution daily.
**TCA solution:** Dissolve 15 g of trichloroacetic acid in water, and dilute to 100 mL.
**Ascorbic acid solution:** Dissolve 10 g of ascorbic acid in water, and dilute to 100 mL. Store under refrigeration. The solution is stable for 7 days.
**Ammonium molybdate solution:** Dissolve 2.5 g of ammonium molybdate \([(NH_4)_6MoO_{24} \cdot 4H_2O]\) (Merck, Catalog No. 1182) in water, and dilute to 100 mL.
**1 M Sulfuric acid:** Stir 55.6 mL of concentrated sulfuric acid \((H_2SO_4)\) (Merck, Catalog No. 731) into about 800 mL of water. Allow to cool, and make up to 1000 mL with water.
**Reagent C:** Mix 3 volumes of 1 M Sulfuric acid with 1 volume of Ammonium molybdate solution, then add 1 volume of Ascorbic acid solution, and mix well. Prepare fresh daily.
**Standard phosphate solution:** Prepare a 9.0-mM phosphate stock solution. Dissolve and dilute 612.4 mg of potassium dihydrogen phosphate \((KH_2PO_4)\) (dried in desiccator with silica) to 500 mL with water in a volumetric flask. Make the following dilutions in water from the stock solution, and use these as standards (see Table 2).
**Table 2**
| Dilution | Phosphorus Concentration (nmol/mL) | Acid Phosphatase Activity (HFU/mL) |
|----------|-----------------------------------|-----------------------------------|
| 1:100 | 90 | 2400 |
| 1:200 | 45 | 1200 |
| 1:400 | 22.5 | 600 |
Pipet 4.0 mL of each dilution into two test tubes. Also pipet 4.0 mL of water into one tube (reagent blank). Add 4.0 mL of *Reagent C*, and mix. Incubate at 50° for 20 min, and cool to room temperature. Measure the absorbances at 820 nm against that of the reagent blank. Prepare a standard curve by plotting the absorbances against acid phosphatase activity [HFU (acid phosphatase unit)/mL]. Construct a new standard curve with each series of assays.
**Test preparation:** Prepare a solution of the enzyme preparation in the *Glycine buffer* so that 1 mL will contain between 600 and 2400 HFU/mL.
**Procedure:** Pipet 1.9 mL of *Substrate* in two test tubes. Add 2.0 mL of *TCA solution* to one of the tubes (blank), and mix. Put the tubes without *TCA Solution* in a water bath at 37° and let them equilibrate for 5 min. While using a stopwatch, start the hydrolysis by adding sequentially at proper intervals 0.1 mL of *Test preparation* to each tube, and mix. After exactly 15 min of incubation, stop the reaction by adding 2.0 mL of *TCA solution* to each tube. Mix, and cool to room temperature. Add 0.1 mL of *Test preparation* to the reagent blank tube (kept at room temperature), and mix. If precipitate occurs, separate it by centrifugation for 10 min at 2000 g. Pipet 0.4 mL of each sample after hydrolysis into separate test tubes. Add 3.6 mL of water to each tube. Add 4.0 mL of *Reagent C*, and mix. Incubate at 50° for 20 min, and cool to room temperature. Determine the absorbance against that of reagent blank at 820 nm.
**Calculation:** One acid phosphatase unit (HFU) is the amount of enzyme that liberates, under the conditions of the assay, inorganic phosphate from *p*-nitrophenyl phosphate at the rate of 1 nmol/min.
Subtract the blank absorbance from the sample absorbance (the difference should be between 0.100 and 1.000). Determine the acid phosphatase activity (HFU/mL) from the standard curve, and multiply by the dilution factor. For the activity of solid samples, use the following equation:
\[
\text{HFU/g} = \frac{(\text{HFU/mL} \times F)}{g}
\]
in which \(F\) is the dilution factor and \(g\) is the weight, in grams, of the sample.
- **Aminopeptidase (Leucine) Activity**
**Application and Principle:** This procedure is used to determine leucine aminopeptidase activity in enzyme preparations derived from *Lactococcus lactis*. The assay is based on the rate of absorbance change over 5 min at 30°; the change in absorbance is due to liberated *p*-nitroaniline from the hydrolysis of leucine *p*-nitroanilide.
**Apparatus**
**Spectrophotometer:** Use a spectrophotometer with temperature control, suitable for measuring absorbancies at 410 nm.
**Cuvette:** Use a 10-mm light path, quartz.
**Thermometer:** Use a partial immersion thermometer with a suitable range.
**Vortex mixer:** Use a standard, variable-speed mixer.
**Reagents and Solutions**
pH 7.0 phosphate buffer (100 mM): Dissolve 13.6 g of anhydrous potassium dihydrogen orthophosphate in water, and dilute to 1 L (Solution A). Dissolve 22.8 g of dipotassium hydrogen orthophosphate trihydrate in water, and dilute to 1 L (Solution B). Slowly add approximately 550 mL of Solution B to approximately 400 mL of Solution A until the pH of the buffer stabilizes at 7 ± 0.02.
Substrate solution: Dissolve 0.0200 g of leucine p-nitroanilide hydrochloride (Sigma Chemical Co., Catalog No. L2158) in 100 mL of pH 7.0 Phosphate buffer.
p-Nitroaniline stock solution: Transfer 156.9 mg of p-nitroaniline (Aldrich Chemical Co., Catalog No. 18,531-0) to a 1-L volumetric flask, and dilute to volume with water. This solution is 1.1136 mM.
[Caution—p-Nitroaniline is highly toxic. Avoid breathing its dust; avoid contact with skin, eyes, and clothing. Wash the affected area with water; for eyes seek medical attention.]
Standard p-nitroaniline solutions: Prepare the following dilutions of p-Nitroaniline stock solution: dilute 1 mL of p-Nitroaniline stock solution to 100 mL with pH 7.0 Phosphate buffer (Solution 1, 0.01136 mM); dilute 9 mL of Solution 1 with 3 mL of pH 7.0 Phosphate buffer (Solution 2, 0.00852 mM); and dilute 5 mL of Solution 1 with 5 mL of pH 7.0 Phosphate buffer (Solution 3, 0.00568 mM).
Sample solution: Prepare a solution in pH 7.0 Phosphate buffer that contains between 0.025 and 0.1 unit of aminopeptidase activity per mL.
Procedure
Determine the absorbance of each of the three standard p-nitroaniline dilutions (solutions 1, 2, and 3) at 410 nm using pH 7.0 Phosphate buffer as the blank.
Pipet 3 mL of Substrate solution into a cuvette, insert a thermometer in each to ensure that the temperature of the solution is correct, and equilibrate in the spectrophotometer to 30° ± 0.2°.
Add 150 μL of Sample Solution to the equilibrated Substrate Solution. Mix, and start recording the absorbance. Continue recording the absorbance for approximately 5 min; it should increase linearly with time. To determine the rate of change of absorbance, ignore the initial 0.5 min of the assay line, and use a period of at least 4 min to estimate the rate of change.
Calculation
One aminopeptidase activity unit (AP) is defined as the quantity of aminopeptidase required to liberate 1 μmol/min of leucine from leucine p-nitroanilide under the conditions of the assay at pH 7.0 and 30°.
For each of the diluted Standard solutions—1, 2, and 3—plot absorbance against p-nitroaniline mM concentration. The result is a straight line that passes through the origin. Calculate the millimolar extinction coefficient (ε) of each Standard p-nitroaniline solution using the following formula:
\[ \varepsilon = \frac{A_N}{C} \]
in which \( A_N \) is the absorbance of the Standard p-Nitroaniline Solution at 410 nm and \( C \) is the millimolar concentration of p-nitroaniline of that solution. Average the three calculated values; this should result in a value of approximately 8.8. Calculate the activity of each sample taken by the equation:
\[ AP/g = \frac{(\Delta A \times TCV \times 1000)}{(\varepsilon \times SV \times C)} \]
in which \( \Delta A \) is the rate of change of absorbance per min; \( TCV \) is the total cuvette volume (3.150 mL); \( SV \) is the sample volume (0.150 mL); and \( C \) is the concentration, in milligrams per milliliter, of the sample.
• α-Amylase Activity (Nonbacterial)
Application and Principle: This procedure is used to determine the α-amylase activity of enzyme preparations derived from *Aspergillus niger* var.; *Aspergillus oryzae* var.; *Rhizopus oryzae*
var.; and barley malt. The assay is based on the time required to obtain a standard degree of hydrolysis of a starch solution at 30° ± 0.1°. The degree of hydrolysis is determined by comparing the iodine color of the hydrolysate with that of a standard.
**Apparatus**
**Reference color standard:** Use a special Alpha-Amylase Color Disk (Orbeco Analytical Systems, 185 Marine Street, Farmingdale, NY 11735, Catalog No. 620-S5). Alternatively, prepare a color standard by dissolving 25.0 g of cobaltous chloride (CoCl₂·6H₂O) and 3.84 g of potassium dichromate in 100 mL of 0.01 N hydrochloric acid. This standard is stable indefinitely when stored in a stoppered bottle or comparator tube.
**Comparator:** Use either the standard Hellige comparator (Orbeco, Catalog No. 607) or the pocket comparator with prism attachment (Orbeco, Catalog No. 605AHT). The comparator should be illuminated with a 100-W frosted lamp placed 6 in. from the rear opal glass of the comparator and mounted so that direct rays from the lamp do not shine into the operator's eyes.
**Comparator tubes:** Use the precision-bored square tubes with a 13-mm viewing depth that are supplied with the Hellige comparator. Suitable tubes are also available from other apparatus suppliers (e.g., Thomas Scientific).
**Reagents and Solutions**
**Buffer solution (pH 4.8):** Dissolve 164 g of anhydrous sodium acetate in about 500 mL of water, add 120 mL of glacial acetic acid, and adjust the pH to 4.8 with glacial acetic acid. Dilute to 1000 mL with water, and mix.
**β-Amylase solution:** Dissolve into 5 mL of water a quantity of β-amylase, free from α-amylase activity (Sigma Chemical Co., Catalog No. A7005), equivalent to 250 mg of β-amylase with 2000° diastatic power.
**Special starch:** Use starch designated as “Starch (Lintner) Soluble” (Baker Analyzed Reagent, Catalog No. 4010). Before using new batches, test them in parallel with previous lots known to be satisfactory. Variations of more than ±3° diastatic power in the averages of a series of parallel tests indicate an unsuitable batch.
**Buffered substrate solution:** Disperse 10.0 g (dry-weight basis) of *Special starch* in 100 mL of cold water, and slowly pour the mixture into 300 mL of boiling water. Boil and stir for 1 to 2 min, then cool, and add 25 mL of *Buffer solution*, followed by all of the *β-Amylase solution*. Quantitatively transfer the mixture into a 500-mL volumetric flask with the aid of water saturated with toluene, dilute to volume with the same solvent, and mix. Store the solution at 30° ± 2° for NLT 18 h nor more than 72 h before use. (This solution is also known as “buffered limit dextrin substrate.”)
**Stock iodine solution:** Dissolve 5.5 g of iodine and 11.0 g of potassium iodide in about 200 mL of water, dilute to 250 mL with water, and mix. Store in a dark bottle, and make a fresh solution every 30 days.
**Dilute iodine solution:** Dissolve 20 g of potassium iodide in 300 mL of water, and add 2.0 mL of *Stock iodine solution*. Quantitatively transfer the mixture into a 500-mL volumetric flask, dilute to volume with water, and mix. Prepare daily.
**Sample preparation:** Prepare a solution of the sample so that 5 mL of the final dilution will give an endpoint between 10 and 30 min under the conditions of the assay. For barley malt, finely grind 25 g of the sample in a Miag-Seck mill (Buhler-Miag, Inc., P.O. Box 9497, Minneapolis, MN 55440). Quantitatively transfer the powder into a 1000-mL Erlenmeyer flask, add 500 mL of a 0.5% solution of sodium chloride, and allow the infusion to stand for 2.5 h at 30° ± 0.2°, agitating the contents by gently rotating the flask at 20-min intervals.
[Caution—Do not mix the infusion by inverting the flask. The quantity of the grist left adhering to the inner walls of the flask as a result of agitation must be as small as possible.]
Filter the infusion through a 32-cm fluted filter of Whatman No. 1, or equivalent, paper on a 20-cm funnel, returning the first 50 mL of filtrate to the filter. Collect the filtrate until 3 h have elapsed from the time the sodium chloride solution and the sample were first mixed. Pipet 20.0 mL of the filtered infusion into a 100-mL volumetric flask, dilute to volume with the 0.5% sodium chloride solution, and mix.
**Procedure**
Pipet 5.0 mL of *Dilute iodine solution* into a series of 13- × 100-mm test tubes, and place them in a water bath maintained at 30° ± 0.1°, allowing 20 tubes for each assay.
Pipet 20.0 mL of the *Buffered substrate solution*, previously heated in the water bath for 20 min, into a 50-mL Erlenmeyer flask, and add 5.0 mL of 0.5% sodium chloride solution, also previously heated in the water bath for 20 min. Place the flask in the water bath.
At zero time, rapidly pipet 5.0 mL of the *Sample preparation* into the equilibrated substrate, mix immediately by swirling, stopper the flask, and place it back in the water bath. After 10 min, transfer 1.0 mL of the reaction mixture from the 50-mL flask into one of the test tubes containing the *Dilute iodine solution*, shake the tube, then pour its contents into a *Comparator tube*, and immediately compare with the *Reference color standard* in the *Comparator*, using a tube of water behind the color disk.
[Note—Be certain that the pipet tip does not touch the iodine solution; carryback of iodine to the hydrolyzing mixture will interfere with enzyme action and will affect the results of the determination.]
In the same manner, repeat the transfer and comparison procedure at accurately timed intervals until the α-amylase color is reached, at which time record the elapsed time. In cases where two comparisons 30 s apart show that one is darker and the other lighter than the *Reference color standard*, record the endpoint to the nearest quarter min. Shake out the 13-mm *Comparator tube* between successive readings. Minimize slight differences in color discrimination between operators by using a prism attachment and by maintaining a 6- to 10-in. distance between the *Comparator* and the operator’s eye.
**Calculation**
One α-amylase dextrinizing unit (DU) is defined as the quantity of α-amylase that will dextrinize soluble starch in the presence of an excess of β-amylase at the rate of 1 g/h at 30°.
Calculate the α-amylase dextrinizing units in the sample as follows:
\[
\text{DU (solution)} = \frac{24}{(W \times T)}
\]
and
\[
\text{DU (dry basis)} = \text{DU (solution)} \times \frac{100}{(100 - M)}
\]
in which \( W \) is the weight, in grams, of the enzyme sample added to the incubation mixture in the 5-mL aliquot of the *Sample preparation* used; \( T \) is the elapsed dextrinizing time, in min; 24 is the product of the weight of the starch substrate (0.4 g) and 60 min; and \( M \) is the percent moisture in the sample, determined by suitable means.
---
**α-Amylase Activity (Bacterial)**
**Application and Principle:** This procedure is used to determine the α-amylase activity, expressed as bacterial amylase units (BAU), of enzyme preparations derived from *Bacillus subtilis* var., *Bacillus licheniformis* var., and *Bacillus stearothermophilus*. It is not applicable to products that contain β-amylase. The assay is based on the time required to obtain a standard degree of hydrolysis of a starch solution at 30° ± 0.1°. The degree of hydrolysis is determined by comparing the iodine color of the hydrolysate with that of a standard.
**Apparatus**
Use the Reference Color Standard, the Comparator, and the Comparator Tubes as described under $\alpha$-Amylase Activity (Nonbacterial), described in this Appendix, but use either daylight or daylight-type fluorescent lamps as the light source for the Comparator. (Incandescent lamps give slightly lower results.)
**Reagents and Solutions**
**pH 6.6 buffer:** Dissolve 9.1 g of potassium dihydrogen phosphate ($\text{KH}_2\text{PO}_4$) in sufficient water to make 1000 mL (*Solution A*). Dissolve 9.5 g of dibasic sodium phosphate ($\text{Na}_2\text{HPO}_4$) in sufficient water to make 1000 mL (*Solution B*). Add 400 mL of *Solution A* to 600 mL of *Solution B*, mix, and adjust the pH to 6.6, if necessary, by the addition of *Solution A* or *Solution B* as required.
**Dilute iodine solution:** Prepare as directed under $\alpha$-Amylase Activity (Nonbacterial).
**Special starch:** Use the material described under $\alpha$-Amylase Activity (Nonbacterial).
**Starch substrate solution:** Disperse 10.0 g (dry-weight basis) of *Special starch* in 100 mL of cold water, and slowly pour the mixture into 300 mL of boiling water. Boil and stir for 1 to 2 min, and then cool while continuously stirring. Quantitatively transfer the mixture into a 500-mL volumetric flask with the aid of water, add 10 mL of *pH 6.6 Buffer*, dilute to volume with water, and mix.
**Sample preparation:** Prepare a solution of the sample so that 10 mL of the final dilution will give an endpoint between 15 and 35 min under the conditions of the assay.
**Procedure:**
Pipet 5.0 mL of *Dilute iodine solution* into a series of 13- × 100-mm test tubes, and place them in a water bath maintained at $30^\circ \pm 0.1^\circ$, allowing 20 tubes for each assay.
Pipet 20.0 mL of the *Starch substrate solution* into a 50-mL Erlenmeyer flask, stopper, and allow to equilibrate for 20 min in the water bath at $30^\circ$.
At zero time, rapidly pipet 10.0 mL of the *Sample preparation* into the equilibrated mixture, and continue as directed in the *Procedure* under $\alpha$-Amylase Activity (Nonbacterial), beginning with “... mix immediately by swirling, stopper the flask. . . .”
**Calculation:**
One bacterial amylase unit (BAU) is defined as that quantity of enzyme that will dextrinize starch at the rate of 1 mg/min under the specified test conditions.
Calculate the $\alpha$-amylase activity of the sample, expressed as BAU, by the formula:
$$\text{BAU/g} = \frac{40F}{T}$$
in which 40 is a factor (400/10) derived from the 400 mg of starch (20 mL of a 2% solution) and the 10-mL aliquot of *Sample Preparation* used; $F$ is the dilution factor (total dilution volume/sample weight, in grams); and $T$ is the dextrinizing time, in min.
---
**Catalase Activity**
**Application and Principle:** This procedure is used to determine the catalase activity, expressed as Baker Units, of preparations derived from *Aspergillus niger* var., bovine liver, or *Micrococcus lysodeikticus*. The assay is an exhaustion method based on the breakdown of hydrogen peroxide by catalase and the simultaneous breakdown of the catalase by the peroxide under controlled conditions.
**Reagents and Solutions**
**Ammonium molybdate solution (1%):** Dissolve 1.0 g of ammonium molybdate $[(\text{NH}_4)_6\text{MoO}_2_4 \cdot 4\text{H}_2\text{O}]$ (Merck, Catalog No. 1182) in water, and dilute to 100 mL.
**0.250 N Sodium thiosulfate:** Dissolve 62.5 g of sodium thiosulfate ($\text{Na}_2\text{S}_2\text{O}_3 \cdot 5\text{H}_2\text{O}$) in 750 mL of recently boiled and cooled water, add 3.0 mL of 0.2 N sodium hydroxide as a stabilizer,
dilute to 1000 mL with water, and mix. Standardize as directed for *0.1N Sodium thiosulfate* (see *Solutions and Indicators*), and, if necessary, adjust to exactly 0.250 N.
**Peroxide substrate solution:** Dissolve 25.0 g of anhydrous dibasic sodium phosphate \((\text{Na}_2\text{HPO}_4)\), or 70.8 g of \(\text{Na}_2\text{HPO}_4 \cdot 12\text{H}_2\text{O}\), in about 1500 mL of water, and adjust to pH 7.0 ± 0.1 with 85% phosphoric acid. Cautiously add 100 mL of 30% hydrogen peroxide, dilute to 2000 mL in a graduate, and mix. Store in a clean amber bottle, loosely stoppered. The solution is stable for more than 1 week if kept at 5° in a full container. (With freshly prepared substrate, the blank will require about 16 mL of 0.250 *N Sodium thiosulfate*. If the blank requires less than 14 mL, the substrate solution is unsuitable and should be prepared fresh again. The sample titration must be between 50% and 80% of that required for the blank.)
**Procedure**
Pipet an aliquot of NMT 1.0 mL of the sample, previously diluted to contain approximately 3.5 Baker Units of catalase, into a 200-mL beaker. Rapidly add 100 mL of *Peroxide substrate solution*, previously adjusted to 25°, and stir immediately for 5 to 10 s. Cover the beaker, and incubate at 25° ± 1° until the reaction is completed. Stir vigorously for 5 s, and then pipet 4.0 mL from the beaker into a 50-mL Erlenmeyer flask. Add 5 mL of 2 N sulfuric acid to the flask, mix, then add 5.0 mL of 40% potassium iodide solution, freshly prepared, and 1 drop of *Ammonium molybdate solution* (1%), and mix. While continuing to mix, titrate rapidly to a colorless endpoint with 0.250 *N Sodium thiosulfate*, recording the volume, in milliliters, required as *S*. Perform a blank determination with 4.0 mL of *Peroxide substrate solution*, and record the volume required, in milliliters, as *B*.
[Note—When preparations derived from beef liver are tested, the reaction is complete within 30 min. Preparations derived from *Aspergillus* and other sources may require up to 1 h. In assaying an enzyme of unknown origin, run a titration after 30 min and then at 10-min intervals thereafter. The reaction is complete when two consecutive titrations are the same.]
**Calculation**
One Baker Unit is defined as the amount of catalase that will decompose 264 mg of hydrogen peroxide under the conditions of the assay.
Calculate the activity of the sample by the equation:
\[
\text{Baker Units/g or mL} = 0.4(B - S) \times (1/C)
\]
in which *C* is the milliliters of aliquot of original enzyme preparation added to each 100 mL of *Peroxide Substrate Solution*, or when 1 mL of diluted enzyme is used, *C* is the dilution factor; *B* is the volume, in milliliters, as defined above; and *S* is the milliliters of 0.250 *N Sodium thiosulfate*, as defined above.
---
**CELLULASE ACTIVITY**
**Application and Principle:** This assay is based on the enzymatic hydrolysis of the interior β-1,4-glucosidic bonds of a defined carboxymethyl cellulose substrate at pH 4.5 and at 40°. The corresponding reduction in substrate viscosity is determined with a calibrated viscometer.
**Apparatus**
**Calibrated viscometer:** Use a size 100 Calibrated Cannon-Fenske Type Viscometer, or its equivalent (Scientific Products, Catalog No. P2885-100).
**Constant-Temperature glass water bath (40° ± 0.1°):** Use a constant-temperature glass water bath, or its equivalent (Scientific Products, Catalog No. W3520-10).
**Stopwatches:** Use two stopwatches, *Stopwatch No. 1*, calibrated in \( \frac{1}{10} \) min for determining the reaction time (\( T_r \)), and *Stopwatch No. 2*, calibrated in \( \frac{1}{5} \) s for determining the efflux time (\( T_e \)).
Waring blender: Use a two-speed Waring blender, or its equivalent (Scientific Products, Catalog No. 58350-1).
Reagents and Solutions
Acetic acid solution (2 N): While agitating a 1-L beaker containing 800 mL of water, carefully add 116 mL of glacial acetic acid. Cool to room temperature. Quantitatively transfer the solution to a 1-L volumetric flask, and dilute to volume with water.
Sodium acetate solution (2 N): Dissolve 272.16 g of sodium acetate trihydrate in approximately 800 mL of water contained in a 1-L beaker. Quantitatively transfer to a 1-L volumetric flask, and dilute to volume with water.
Acetic acid solution (0.4 N): Transfer 200 mL of Acetic acid solution (2 N) into a 1-L volumetric flask, and dilute to volume with water.
Sodium acetate solution (0.4 N): Transfer 200 mL of Sodium acetate solution (2 N) into a 1-L volumetric flask, and dilute to volume with water.
Acetate buffer (pH 4.5): Using a standardized pH meter, add Sodium acetate solution (0.4 N) with continuous agitation to 400 mL of Acetic acid solution (0.4 N) in a suitable flask until the pH is 4.5 ± 0.05.
Sodium carboxymethylcellulose: Use sodium carboxymethylcellulose (Hercules, Inc., CMC Type 7HF).
Sodium carboxymethylcellulose substrate (0.2% w/v): Transfer 200 mL of water into the bowl of the Waring blender. With the blender on low speed, slowly disperse 1.0 g (moisture-free basis) of the Sodium carboxymethylcellulose into the bowl, being careful not to splash out any of the liquid. Using a rubber policeman, wash down the sides of the glass bowl with water. Place the top on the bowl and blend at high speed for 1 min. Quantitatively transfer to a 500-mL volumetric flask, and dilute to volume with water. Filter the substrate through gauze before use.
Sample preparation: Prepare an enzyme solution so that 1 mL of the final dilution will produce a relative fluidity change between 0.18 and 0.22 in 5 min under the conditions of the assay. Weigh the enzyme, and quantitatively transfer it to a glass mortar. Triturate with water and quantitatively transfer the mixture to an appropriate volumetric flask. Dilute to volume with water, and filter the enzyme solution through Whatman No. 1 filter paper before use.
Procedure
Place the Calibrated viscometer in the 40° ± 0.1° water bath in an exactly vertical position. Use only a scrupulously clean viscometer. (To clean the viscometer, draw a large volume of detergent solution followed by water through the viscometer by using an aspirator with a rubber tube connected to the narrow arm of the viscometer.)
Pipet 20 mL of filtered Sodium carboxymethylcellulose substrate and 4 mL of Acetate buffer into a 50-mL Erlenmeyer flask. Allow at least two flasks for each enzyme sample and one flask for a substrate blank. Stopper the flasks, and equilibrate them in the water bath for 15 min.
At zero time, pipet 1 mL of the enzyme solution into the equilibrated substrate. Start stopwatch no. 1, and mix the solution thoroughly. Immediately pipet 10 mL of the reaction mixture into the wide arm of the viscometer.
After approximately 2 min, apply suction with a rubber tube connected to the narrow arm of the viscometer, drawing the reaction mixture above the upper mark into the driving fluid head.
Measure the efflux time by allowing the reaction mixture to freely flow down past the upper mark. As the meniscus of the reaction mixture falls past the upper mark, start stopwatch no. 2. At the same time, record the reaction time, in min, from stopwatch no. 1 ($T_r$). As the meniscus of the reaction mixture falls past the lower mark, record the time, in seconds, from stopwatch no. 2 ($T_t$).
Repeat the final step until a total of four determinations is obtained over a reaction time ($T_r$) of NMT 15 min.
Prepare a substrate blank by pipetting 1 mL of water into 24 mL of buffered substrate. Pipet 10 mL of the reaction mixture into the wide arm of the viscometer. Determine the time ($T_s$) in seconds required for the meniscus to fall between the two marks. Use an average of five determinations for ($T_s$).
Prepare a water blank by pipetting 10 mL of equilibrated water into the wide arm of the viscometer. Determine the time ($T_w$) in seconds required for the meniscus to fall between the two marks. Use an average of five determinations for ($T_w$).
**Calculations**
One Cellulase Unit (CU) is defined as the amount of activity that will produce a relative fluidity change of 1 in 5 min in a defined carboxymethyl cellulose substrate under the conditions of the assay.
Calculate the relative fluidities ($F_r$) and the ($T_n$) values for each of the four efflux times ($T_t$) and reaction times ($T_r$) as follows:
$$F_r = \frac{(T_s - T_w)}{(T_t - T_w)}$$
$$T_n = \frac{1}{2}(T_t/60 \text{ s/min}) + T_r = \frac{T_t}{120} + T_r$$
in which $F_r$ is the relative fluidity for each reaction time; $T_s$ is the average efflux time, in seconds, for the substrate blank; $T_w$ is the average efflux time, in seconds, for the water blank; $T_t$ is the efflux time, in seconds, of reaction mixture; $T_r$ is the elapsed time, in min, from zero time, that is, the time from addition of the enzyme solution to the buffered substrate until the beginning of the measurement of efflux time ($T_t$); and $T_n$ is the reaction time, in min ($T_r$), plus one-half of the efflux time ($T_t$), converted to min.
Plot the four relative fluidities ($F_r$) as the ordinate against the four reaction times ($T_n$) as the abscissa. A straight line should be obtained. The slope of this line corresponds to the relative fluidity change per min and is proportional to the enzyme concentration. The slope of the best line through a series of experimental points is a better criterion of enzyme activity than is a single relative fluidity value. From the graph, determine the $F_r$ values at 10 and 5 min. They should have a difference in fluidity of NMT 0.22 or NLT 0.18. Calculate the activity of the enzyme unknown as follows:
$$\text{CU/g} = \frac{[1000(F_{r10} - F_{r5})]}{W}$$
in which $F_{r5}$ is the relative fluidity at 5 min of reaction time; $F_{r10}$ is the relative fluidity at 10 min of reaction time; 1000 is the milligrams per gram; and $W$ is the weight, in milligrams, of enzyme added to the reaction mixture in a 1-mL aliquot of enzyme solution.
**Chymotrypsin Activity**
**Application and Principle:** This procedure is used to determine chymotrypsin activity in chymotrypsin preparations derived from purified extracts of porcine or bovine pancreas.
**Reagents and Solutions**
**0.15 M Phosphate buffer (pH 7.0):** Dissolve 4.54 g of monobasic potassium phosphate in water, and dilute to 500 mL. Dissolve 4.73 g of anhydrous dibasic sodium phosphate in water, and dilute to 500 mL. Mix 38.0 mL of the monobasic potassium phosphate solution with 61.1 mL of the dibasic sodium phosphate solution. Adjust the pH of the mixture to 7.0 by the dropwise addition of the dibasic sodium phosphate solution, if necessary.
**Substrate solution:** Dissolve 23.7 mg of $N$-acetyl-$L$-tyrosine ethyl ester in about 50 mL of the 0.15 M Phosphate buffer with warming. When the solution has cooled, dilute to 100.0 mL with the 0.15 M Phosphate buffer.
Sample preparation: Dissolve a sufficient amount of sample, accurately weighed, in 0.001 N hydrochloric acid to produce a solution containing between 12 and 16 USP Chymotrypsin Units per milliliter. This solution should cause a change in absorbance between 0.008 and 0.012 in a 30-s interval.
Procedure
Conduct the assay in a suitable spectrophotometer equipped to maintain a temperature of $24^\circ \pm 0.1^\circ$ in the cell compartment. Determine the temperature before and after measuring the absorbance to ensure that the temperature does not change more than $0.5^\circ$ during the assay. Pipet 0.2 mL of the 0.001 N hydrochloric acid and 3.0 mL of the *Substrate solution* into a 1-cm cell. Place the cell in the spectrophotometer, and adjust the instrument so that the absorbance will read 0.200 at 237 nm. Pipet 0.2 mL of the *Sample preparation* into a second cell, add 3.0 mL of the *Substrate solution*, and place the cell in the spectrophotometer. Begin timing the reaction from the addition of the *Substrate solution*. Read the absorbance at 30-s intervals for at least 5 min. Repeat the procedure at least once. If the rate of change fails to remain constant for at least 3 min, repeat the test, and if necessary, use a lower sample concentration. The duplicate determinations at the same sample concentration should match the first determination in rate of absorbance change.
Calculations
One USP Chymotrypsin Unit is defined as the activity causing a change in absorbance at the rate 0.0075/min under the conditions of the assay. Determine the average absorbance change per min using only those values within the 3-min portion of the curve where the rate of change is constant. Plot a curve of absorbance against time. Calculate the number of Chymotrypsin Units per milligram by the formula:
$$\text{Result} = \frac{(A_2 - A_1)}{(0.0075TW)}$$
in which $A_2$ is the straight-line initial absorbance reading; $A_1$ is the straight-line final absorbance reading; $T$ is the elapsed time, in min; and $W$ is the weight, in milligrams, of the sample in the volume of solution used to determine the absorbance.
- **Diastase Activity (Diastatic Power)**
Application and Principle: This procedure is used to determine the amylase activity of barley malt and other enzyme preparations. The assay is based on a 30-min hydrolysis of a starch substrate at pH 4.6 and 20°. The reducing sugar groups produced on hydrolysis are measured in a titrimetric procedure using alkaline ferricyanide.
Apparatus
Mill: Use a laboratory mill of the type Miag-Seck, for fine grinding of malt (Buhler Miag, Inc.).
Reagents and Solutions
Acetate buffer solution:
Dissolve 68 g of sodium acetate ($\text{NaC}_2\text{H}_3\text{O}_2 \cdot 3\text{H}_2\text{O}$) in 500 mL of 1 N acetic acid in a 1000-mL volumetric flask, dilute to volume with water, and mix.
Special starch: Use the material described under $\alpha$-Amylase activity (nonbacterial).
Starch substrate solution: Disperse 20.0 g (dry-weight basis) of Special starch in 50 mL of water, mix to a fine paste, and pour slowly into 750 mL of boiling water. Boil and stir for 2 min, cool, add 20 mL of Acetate buffer solution, and mix. Quantitatively transfer into a 1000-mL volumetric flask, dilute to volume with water, and mix.
Acetic acid–potassium chloride–zinc sulfate solution (A-P-Z): Dissolve 70 g of potassium chloride and 20 g of zinc sulfate ($\text{ZnSO}_4 \cdot 7\text{H}_2\text{O}$) in 700 mL of water in a 1000-mL volumetric flask, add 200 mL of glacial acetic acid, dilute to volume with water, and mix.
Alkaline ferricyanide solution (0.05 N): Dissolve 16.5 g of potassium ferricyanide \([K_3Fe(CN)_6]\) and 22 g of anhydrous sodium carbonate in 800 mL of water in a 1000-mL volumetric flask, dilute to volume with water, and mix.
Potassium iodide solution: Dissolve 50 g of potassium iodide in 50 mL of water in a 100-mL volumetric flask, dilute to volume with water, and mix. Add 2 drops of 50% sodium hydroxide solution, and mix. The solution should be colorless.
Sample Preparation
Malt samples: Grind 30 g of the sample to a fine powder in a Maig-Seck mill. Accurately weigh 25 g of the powder, and transfer it into a 1000-mL Erlenmeyer flask. Add 500 mL of a 0.5% sodium chloride solution, and allow the infusion to stand for 2.5 h at 20° ± 0.2°, agitating the contents by gently rotating the flask at 20-min intervals.
[Note—Do not mix the infusion by inverting the flask. The quantity of grist left adhering to the inner walls of the flask as a result of agitation must be as small as possible. Gently swirl the contents of the flask without splashing them against the walls to mix sufficiently.]
Filter the infusion through a 32-cm fluted filter of Whatman No. 1, or equivalent, paper on a 20-cm funnel, returning the first 50 mL of filtrate to the filter. Place a watch glass over the funnel, and use a suitable cover around the stem and over the receiver to reduce evaporation losses during filtration. Collect the filtrate until 30 min of filtration time have elapsed. Pipet 20.0 mL of the filtrate into a 100-mL volumetric flask, dilute to volume with 0.5% sodium chloride solution, and mix.
Other enzyme preparations: Prepare a solution so that 10 mL of the final dilution will give a diastatic power (DP) value between 2° and 150°.
Procedure
Pipet 10.0 mL of the Sample preparation into a 250-mL volumetric flask, and at zero time, add 200 mL of Starch substrate solution, previously equilibrated for 30 min in a water bath maintained at 20° ± 0.2°. Start the stopwatch at zero time.
Place the mixture in the water bath at 20°, and allow it to cool for exactly 30 min, then add 20.0 mL of 0.5 N sodium hydroxide, dilute to volume with water, and mix.
Prepare a blank by adding 20.0 mL of 0.5 N sodium hydroxide to a 250-mL volumetric flask, followed by 10.0 mL of the Sample preparation. Swirl to mix, add 200 mL of Starch substrate solution, dilute to volume with water, and mix.
Pipet 5.0 mL of the sample digestion mixture into a 125-mL Erlenmeyer flask, add 10.0 mL of Alkaline ferricyanide solution, and swirl to mix. Heat the flask for exactly 20 min in a boiling water bath, and then cool to room temperature. Add 25 mL of A-P-Z solution, followed by 1 mL of Potassium iodide solution, and swirl to mix. Titrate with 0.05 N sodium thiosulfate to the complete disappearance of the blue color, recording the volume, in milliliters, of 0.05 N sodium thiosulfate required as S.
Treat the blank solution in the same manner as described for the sample, recording the volume, in milliliters, of 0.05 N sodium thiosulfate required as B.
Calculation
One unit of diastase activity, expressed as degrees diastatic power (DP°), is defined as that amount of enzyme contained in 0.1 mL of a 5% solution of the sample enzyme preparation that will produce sufficient reducing sugars to reduce 5 mL of Fehling's solution when the sample is incubated with 100 mL of the substrate for 1 h at 20°.
[Note—The definition of the unit does not correspond to the method of the determination.]
Calculate the diastase activity, expressed as DP°, of the sample by the formulas:
\[
DP°, \text{as-is basis} = (B - S) \times 23
\]
and
\[ \text{DP}^\circ, \text{dry basis} = \text{DP}^\circ, \text{as-is basis} \times 100/(100 - M) \]
in which 23 is a factor, determined by collaborative study, required to convert to the units of the definition, and \( M \) is the percent moisture of the sample, determined by suitable means.
- **α-Galactosidase Activity**
**Application and Principle:** Use this procedure to determine α-galactosidase activity in enzyme preparations derived from *Aspergillus niger* var. The assay is based on a 15-min hydrolysis of \( p \)-nitrophenyl-α-D-galactopyranoside followed by spectrophotometric measurement of the liberated \( p \)-nitrophenol.
**Reagents and Solutions**
**Acetate buffer:** Dissolve 11.55 mL of glacial acetic acid in water, and dilute to 1 L (*Solution A*). Dissolve 16.4 g of sodium acetate in water, and dilute to 1 L (*Solution B*). Mix 7.5 mL of *Solution A* and 42.5 mL of *Solution B*, and dilute to 200 mL with water. Adjust the pH of this solution to 5.5 with either *Solution A* or *Solution B* as necessary.
**Substrate solution:** Dissolve 0.210 g of \( p \)-nitrophenyl-α-D-galactopyranoside (Sigma Chemical Co., Catalog No. 877, or equivalent) in and dilute to 100 mL with *Acetate buffer*.
**Borax buffer:** Dissolve 47.63 g of sodium borate decahydrate in warm water. Cool to room temperature. Add 20 mL of 4 N sodium hydroxide solution, adjust the pH of the solution to 9.7 with 4 N sodium hydroxide, and dilute to 2 L with water.
**\( p \)-Nitrophenol stock solution:** Dissolve 0.0334 g of \( p \)-nitrophenol (Aldrich Chemical Co., Catalog No. 24,132-6, or equivalent) in and dilute to 1 L with water. This solution contains 0.24 \( \mu \text{mol} \) of \( p \)-nitrophenol per milliliter of water.
**Preparation of Standards and Samples**
**Standards:** Prepare the following dilutions of *p-Nitrophenol stock solution* with water: 100:50 (v/v) (0.16 \( \mu \text{mol/mL} \)); 50:100 (v/v) (0.08 \( \mu \text{mol/mL} \)); and 25:125 (v/v) (0.04 \( \mu \text{mol/mL} \)). Transfer 2.0 mL of the *Substrate solution* to each of five separate test tubes. Add 1 mL of the *p-Nitrophenol stock solution* to the first tube, 1.0 mL of each dilution to the next three tubes, and 1.0 mL of water to the fifth tube. Add 5.0 mL of *Borax buffer* to each tube, and mix.
**Samples:** Prepare a solution of α-galactosidase sample in *Acetate buffer* that contains between 0.008 and 0.024 galactosidase units of activity per milliliter.
**Procedure**
Equilibrate the *Substrate solution* in a water bath at 37° ± 0.2° for at least 15 min. For active samples, transfer 1.0 mL of each sample to separate test tubes and equilibrate in the 37° ± 0.2° water bath. At zero time, add 2.0 mL of *Substrate solution*, mix, and return to the water bath. After exactly 15.0 min, add 5.0 mL of *Borax buffer* to each tube, mix, and remove from the water bath.
For sample blanks, transfer, in sequence, 1.0 mL of each sample to separate test tubes, add 5.0 mL of *Borax Buffer*, and mix. Add 2.0 mL of *Substrate solution* to each tube, and mix. Measure the absorbance of each standard sample and blank at 405 nm versus that of water. Determine the absorbances of all solutions within 30 min of completing the tests.
**Calculations**
One galactosidase activity unit (GalU) is defined as the quantity of the enzyme that will liberate \( p \)-nitrophenol at the rate of 1 \( \mu \text{mol/min} \) under the conditions of the assay.
Calculate the factor \( \varepsilon \) for the \( p \)-nitrophenol standards using the following equation:
\[
\text{Result} = \varepsilon = A_N/C
\]
in which \( A_N \) is the absorbance of the \( p \)-nitrophenol standards at 405 nm, and \( C \) is the concentration, in millimoles per milliliter, of \( p \)-nitrophenol.
Because the averaged millimolar extinction coefficient of $p$-nitrophenol at 405 nm is 18.3, $\varepsilon$ should be approximately 2.29 [or $(18.3)/8]$.
$$\text{GalU/g} = \frac{(A_S - A_B) \times F}{(\varepsilon \times T \times M)},$$
in which $A_S$ is the sample absorbance; $A_B$ is the blank absorbance; $F$ is the appropriate dilution factor; $T$ is the reaction time, in min; $M$ is the weight, in grams, of the sample; and $\varepsilon$ is a factor calculated above for the $p$-nitrophenol standards (proportional to the millimolar extinction coefficient for $p$-nitrophenol).
**β-Glucanase Activity**
**Application and Principle:** This procedure is used to determine β-glucanase activity of enzyme preparations derived from *Aspergillus niger* var. and *Bacillus subtilis* var. The assay is based on a 15-min hydrolysis of lichenin substrate at 40° and at pH 6.5. The increase in reducing power due to liberated reducing groups is measured by the neocuproine method.
**Reagents and Solutions**
**Phosphate buffer:** Dissolve 13.6 g of monobasic potassium phosphate in about 1900 mL of water, add 70% sodium hydroxide solution until the pH is 6.5 ± 0.05, then transfer the solution into a 2000-mL volumetric flask, dilute to volume with water, and mix.
**Neocuproine solution A:** Dissolve 40.0 g of anhydrous sodium carbonate, 16.0 g of glycine, and 450 mg of cupric sulfate pentahydrate in about 600 mL of water. Transfer the solution into a 1000-mL volumetric flask, dilute to volume with water, and mix.
**Neocuproine solution B:** Dissolve 600 mg of neocuproine hydrochloride in about 400 mL of water, transfer the solution into a 500-mL volumetric flask, dilute to volume with water, and mix. Discard when a yellow color develops.
**Lichenin substrate:** Grind 150 mg of lichenin (Sigma Chemical Co., Catalog No. L-6133, or equivalent) to a fine powder in a mortar, and dissolve it in about 50 mL of water at about 85°. After solution is complete (20 to 30 min), add 90 mg of sodium borohydride and continue heating below the boiling point for 1 h. Add 15 g of Amberlite MB-3, or an equivalent ion-exchange resin, and stir continuously for 30 min. Filter with the aid of a vacuum through Whatman No. 1 filter paper, or equivalent, in a Büchner funnel, and wash the paper with about 20 mL of water. Add 680 mg of monobasic potassium phosphate to the filtrate, and refilter through a 0.22-μm Millipore filter pad, or equivalent. Wash the pad with 10 mL of water, and adjust the pH of the filtrate to 6.5 ± 0.05 with 1 N sodium hydroxide or 1 N hydrochloric acid. Transfer the filtrate into a 100-mL volumetric flask, dilute to volume with water, and mix. Store at 2° to 4° for NMT 3 days.
**Glucose standard solution:** Dissolve 36.0 mg of anhydrous dextrose in *Phosphate buffer* in a 1000-mL volumetric flask, dilute to volume with water, and mix.
**Test preparation:** Prepare a solution from the enzyme preparation sample so that 1 mL of the final dilution will contain between 0.01 and 0.02 β-glucanase units. Weigh the sample, transfer it into a volumetric flask of appropriate size, dilute to volume with *Phosphate buffer*, and mix.
**Procedure**
Pipet 2 mL of *Lichenin substrate* into each of four separate test tubes graduated at 25 mL, and heat the tubes in a water bath at 40° for 10 to 15 min to equilibrate.
After equilibration, add 1 mL of *Phosphate buffer* to tube 1 (substrate blank), 1 mL of *Glucose standard solution* to tube 2 (glucose standard), 4 mL of *Neocuproine sSolution A* and 1 mL of the *Test preparation* to tube 3 (enzyme blank), and 1 mL of the *Test preparation* to tube 4 (sample). Prepare a fifth tube for the buffer blank, and add 3 mL of *Phosphate buffer*.
Incubate the five tubes at 40° for exactly 15 min, and then add 4 mL of *Neocuproine solution A* to tubes 1, 2, 4, and 5. Add 4 mL of *Neocuproine solution B* to all five tubes, and cap each with a
suitably sized glass marble.
[Caution—Do not use rubber stoppers.]
Heat the tubes in a vigorously boiling water bath for exactly 12 min to develop color, then cool to room temperature in cold water, and adjust the volume of each to 25 mL with water. Cap the tubes with Parafilm, or other suitable closure, and mix by inverting several times. Determine the absorbance of each solution at 450 nm in 1-cm cells, with a suitable spectrophotometer, against the buffer blank in tube 5.
**Calculation**
One β-glucanase unit (BGU) is defined as that quantity of enzyme that will liberate reducing sugar (as glucose equivalence) at a rate of 1 μmol/min under the conditions of the assay. Calculate the activity of the enzyme preparation taken for analysis as follows:
\[
\text{BGU} = \frac{(A_4 - A_3) \times 36 \times 10^6}{(A_2 - A_1) \times 180 \times 15 \times \mu g \text{ sample}}
\]
in which \(A_4\) is the absorbance of the sample (tube 4), \(A_3\) is the absorbance of the enzyme blank (tube 3), \(A_2\) is the absorbance of the glucose standard (tube 2), \(A_1\) is the absorbance of the substrate blank (tube 1), 36 is the micrograms of glucose in the *Glucose standard solution*, \(10^6\) is the factor converting micrograms to grams, 180 is the weight of 1 μmol of glucose, and 15 is the reaction time, in min.
- **Glucomylase Activity (Amyloglucosidase Activity)**
**Application and Principle:** This procedure is used to determine the glucoamylase activity of preparations derived from *Aspergillus niger* var., but it may be modified to determine preparations derived from *Aspergillus oryzae* var. and *Rhizopus oryzae* var. (as indicated by the variations in the text below). The sample hydrolyzes \(p\)-nitrophenyl-\(\alpha\)-D-glucopyranoside (PNPG) to \(p\)-nitrophenol (PNP) and glucose at pH 4.3 and 50°.
Use the quantity of PNP liberated per unit of time to calculate the enzyme activity. Measure the PNP liberated against a quantity of a standard preparation of PNP by measuring the absorbance of the solutions at 400 nm after adjusting the pH of the reaction mixture to pH 8.0.
[Note—Use a pH of 5.0 when testing preparations derived from *Aspergillus oryzae* var. or *Rhizopus oryzae* var.]
**Apparatus**
**Water bath:** Use an open, circulating water bath with control accuracy of at least ±0.1°.
**Spectrophotometer:** Use a spectrophotometer suitable for measuring absorbances at 400 nm.
**Cuvettes:** Use 10-mm light-path fused quartz.
**Thermometer:** Use a partial immersion thermometer with a suitable range, graduated in 1/10°.
**Timer:** Use a solid-state timer, model 69240 (GCS Corporation, Precision Scientific Group), or equivalent, accurate to ±0.01 min in 240 min.
**Vortex mixer:** Use a standard variable-speed mixer.
**Reagents and Solutions**
**\(p\)-Nitrophenol stock solution (PNP) (0.001 M):** Dissolve 139.11 mg of \(p\)-nitrophenol previously dried (60°, maximum 4 h) into water, and dilute to 1000 mL.
[Caution—Avoid contact with skin. If contact occurs, wash the affected area with water. Work in a well-ventilated area.]
**Acetate buffer solution (0.1 M):** Dissolve 4.4 g of sodium acetate trihydrate (NaC₂H₃O₂·3H₂O) in approximately 800 mL of water, and add 4.5 mL of acetic acid (C₂H₄O₂). Adjust to a
pH of 4.5 ± 0.05 by adding either sodium acetate or glacial acetic acid as required. Dilute to 1 L.
[NOTE—Use a pH of 5.0 when testing preparations derived from *Aspergillus oryzae* var. or *Rhizopus oryzae* var.]
The pH optimum is 5.0 for *Aspergillus oryzae* var.—or *Rhizopus oryzae* var.—derived preparations.
**Sodium carbonate solution (0.3 M):** Dissolve 15.9 g of sodium carbonate ($\text{Na}_2\text{CO}_3$) in water, and dilute to 500 mL.
**p-Nitrophenyl-α-D-glucopyranoside solution (PNPG):** Dissolve 100.0 mg of PNPG (Sigma Chemical Co., Catalog No. N1377) in acetate buffer, and dilute to 100 mL.
**Preparation of Standards and Samples**
**Standards:** Dilute three portions of *PNP stock solution* to produce standards for the standard curve. Add 3 mL of the *PNP stock solution* to 125 mL of *Sodium carbonate solution*, and dilute with water to 100 mL to produce the second standard, containing 0.02 µmol/mL. Add 5 mL of *PNP stock solutions* to 25 mL of *Sodium carbonate solution*, and dilute with water to 100 mL to produce the third standard, containing 0.05 µmol/mL.
**Sample solution:** Dilute 1.00 ± 0.01 g of sample in sufficient *Acetate buffer solution* to produce a solution that contains between 0.05 and 0.15 glucoamylase units of activity per mL.
**Procedure**
Measure absorbances of each of the three *PNP standard solutions* to calculate the molar extinction coefficient. Equilibrate the *PNPG solution* in a 50° water bath for at least 15 min. For active samples, transfer 2.0 mL of the *Sample solution* to a test tube. Loosely stopper, and place the tube in the water bath to equilibrate for 5 min. At zero time, add 2.0 mL of *PNPG solution*, and mix at moderate speed on a vortex mixer. Return the mixture to the water bath. Exactly 10.0 min later, add 3.0 mL of the *Sodium carbonate solution*, mix on the vortex, and remove from the water bath.
For sample blanks, transfer 2.0 mL of the *Sample solution* and 3.0 mL of the *Sodium carbonate solution* into a test tube, and mix. Add 2.0 mL of *PNPG solution*, and mix. Measure the absorbance of each sample and the blank versus water in a 10-mm cell.
[NOTE—Determine the absorbance of the sample and blank solutions NMT 20 min after adding *Sodium carbonate solution.*]
**Calculations**
One unit of glucoamylase activity is defined as the amount of glucoamylase that will liberate 0.1 µmol/min of *p*-nitrophenol from the *PNPG solution* under the conditions of the assay.
Calculate the millimolar extinction of the PNP standards:
$$\varepsilon = \frac{A_n}{C}$$
in which $A_n$ is the absorbance of the *p*-nitrophenol standard, at 400 nm; and $C$ is the concentration, in µmol/mL, of *p*-nitrophenol.
The averaged millimolar extinction coefficient, $M$, should be approximately 18.2.
Glucoamylase U/g = $[(A_S - A_B) \times 7 \times F]/M \times 10 \times 0.10 \times W \times 2,$
in which $A_S$ is the sample absorbance; $A_B$ is the blank absorbance; $F$ is the appropriate dilution factor; $W$ is the weight of sample, in g; 7 is the final volume of the test solutions; 10 is the reaction time, in min; 0.10 is the amount of PNP liberated, in µmol/min/unit of enzyme; 2 is the sample aliquot, in mL; and $M$ is the millimolar extinction coefficient.
• **Glucose Isomerase Activity**
[Note—Glucose isomerase activity of the commercial enzyme is usually determined on the enzyme that has been immobilized by binding with a polymer matrix or other suitable material. The following method is designed for use with such preparations.]
**Application and Principle:** Use this procedure to determine glucose isomerase preparations derived from *Actinoplanes missouriensis*, *Bacillus coagulans*, *Microbacterium arborescens*, *Streptomyces murinus*, *Streptomyces olivaceus*, *Streptomyces olivochromogenes*, and *Streptomyces rubiginosus*. It is based on measurement of the rate of conversion of glucose to fructose in a packed-bed reactor. The procedure as outlined approximates an initial velocity assay method. Specific conditions are glucose concentration, 45% w/w; pH (inlet), measured at room temperature in the 7.0 to 8.5 range, as specified; temperature, 60.0°; and magnesium concentration, $4 \times 10^{-3}$ M.
The optimum conditions for enzymes from different microbial sources and methods of preparation may vary; therefore, if the manufacturer recommends different pH conditions, buffering systems, or methods of sample preparation, use such variations in the instructions given in the text.
**Apparatus**
**Column Assembly and Apparatus:**
[Note—Make all connections with inert tubing, glass, or plastic as appropriate.]
The column assembly is shown in *Figure 1*. Use a 2.5- × 40-cm glass column provided with a coarse, sintered-glass bottom and a water jacket connected to a constant-temperature water bath, maintained at 60.0°, by means of a circulating pump. Connect the top of the column to a variable-speed peristaltic pump having a maximum flow rate of 800 mL/h. The diameter of the tubing with which the peristaltic pump is fitted should permit variation of the pumping volume from 60 to 150 mL/h. Connect the outlet of the column with a collecting vessel.
*Figure 1. Column Assembly for Assay of Immobilized Glucose Isomerase.*
Reagents and Solutions
Glucose substrate: Dissolve 539 g of anhydrous glucose and 1.0 g of magnesium sulfate \((\text{MgSO}_4 \cdot 7\text{H}_2\text{O})\) in 700 mL of water or the manufacturer's recommended buffer, previously heated to 50° to 60°. Cool the solution to room temperature, and adjust the pH as specified by the enzyme manufacturer. Transfer the solution to a 1000-mL volumetric flask, dilute to volume with water or the specified buffer, and mix. Transfer to a vacuum flask, and de-aerate for 30 min.
Magnesium sulfate solution: Dissolve 1.0 g of magnesium sulfate \((\text{MgSO}_4 \cdot 7\text{H}_2\text{O})\) in 700 mL of water. Adjust the pH to 7.5 to 8.0 as specified by the manufacturer, using 1 N sodium hydroxide, dilute to 1000 mL with water, and mix.
Sample preparation: Transfer to a 500-mL vacuum flask an amount of the sample, accurately weighed in grams or measured in milliliters, as appropriate, sufficient to obtain 2000 to 8000 glucose isomerase units \((\text{GI}_c \text{U})\). Add 200 mL of Glucose substrate, stir gently for 15 s, and repeat the stirring every 5 min for 40 min. De-aerate by vacuum for 30 min.
Column Preparation
Quantitatively transfer the Sample preparation to the column with the aid of Magnesium sulfate solution as necessary. Allow the enzyme granules to settle, and then place a porous disk so that it is even with, and in contact with, the top of the enzyme bed. Displace all of the air from the disk. Place a cotton plug about 1 or 2 cm above the disk. (This plug acts as a filter. It ensures proper heating of the solution and traps dissolved gases that may be present in the Glucose substrate.) Connect the tubing from the peristaltic pump with the top of the column, and seal the connection by suitable means to protect the column contents from the atmosphere. Place the inlet tube of the peristaltic pump into the Glucose substrate solution, and begin a downward flow of the Glucose substrate into the column at a rate of at least 80 mL/h. Maintain the flow rate for 1 h at room temperature.
Assay
Adjust the flow of the Glucose substrate to such a rate that a fractional conversion of 0.2 to 0.3 will be produced, based on the estimated activity of the sample. Calculate the fractional conversion from optical rotation values obtained on the starting Glucose substrate and the sample effluent, as specified under Calculations, below. After establishing the correct flow rate, run the column overnight (16 h minimum), then check the pH of the Glucose substrate, and readjust if necessary to the specified pH. Measure the flow rate, and collect a sample of the column effluent. Cover the effluent sample, allow it to stand for 30 min at room temperature, and then determine the fractional conversion of glucose to fructose (see Calculations, below). If the conversion is less than 0.2 or more than 0.3, adjust the flow rate to bring the conversion into this range. If a flow rate adjustment is required, collect an additional effluent sample after allowing the column to re-equilibrate for at least 2 h, and then determine the fractional conversion. Measure the flow rate, and collect an effluent sample. Cover the sample, let it stand at room temperature for 30 min, and determine the fractional conversion.
Calculations
Specific rotation: Measure the optical rotation of the effluent sample and of the starting Glucose Substrate at 25.0°, and calculate their specific rotations [see Optical (Specific) Rotation, Appendix IIB] by the equation:
\[
[\alpha] = 100a/ldp
\]
in which \(a\) is the corrected observed rotation, in degrees; \(l\) is the length of the polarimeter tube, in decimeters; \(p\) is the concentration of the test solution, expressed as grams of solute per 100 g of solution; and \(d\) is the specific gravity of the solution at 25°.
Fractional conversion: Calculate the fractional conversion, \(X\), by the equation:
\[ X = \frac{(\alpha_E - \alpha_S)}{(\alpha_F - \alpha_S)} \]
in which \( \alpha_E \) is the specific rotation of the column effluent, \( \alpha_S \) is the specific rotation of the Glucose substrate, and \( \alpha_F \) is the specific rotation of fructose (which, in this case, has been calculated to be \(-94.54\)).
**Activity:** The enzyme activity is expressed in glucose isomerase units (GI\(_c\)U, the subscript c signifying column process). One GI\(_c\)U is defined as the amount of enzyme that converts glucose to fructose at an initial rate of 1 \( \mu \text{mol/min} \), under the conditions specified.
Calculate the glucose isomerase activity by the equation:
\[ \text{GI}_c \text{U/g or mL} = \left( \frac{FS}{W} \right) \times X_E \times \ln \left[ \frac{X_E}{(X_E - X)} \right] \]
in which \( F \) is the flow rate, in milliliters per min; \( S \) is the concentration of the Glucose substrate, in micromoles per milliliter; \( X \) is the fractional conversion, as determined above; \( X_E \) is the fractional conversion at equilibrium, or 0.51; and \( W \) is the weight or volume of the sample taken, in grams or milliliters, respectively.
- **Glucose Oxidase Activity**
**Application and Principle:** This procedure is used to determine glucose oxidase activity in preparations derived from *Aspergillus niger* var. The assay is based on the titrimetric measurement of gluconic acid produced in the presence of excess substrate and excess air.
**Reagents and Solutions**
**Chloride-acetate buffer solution:** Dissolve 2.92 g of sodium chloride and 4.10 g of sodium acetate in about 900 mL of water. Adjust the pH to 5.1 with either dilute acetic acid or dilute sodium hydroxide solution and dilute to 1000.0 mL.
**Sodium hydroxide solution (0.1 N)**
**Hydrochloric acid solution (0.05 N):** Standardized.
**Phenolphthalein solution (2% w/v):** Solution in methanol.
**Octadecanol solution:** Saturated solution in methanol.
**Substrate solution:** Dissolve 30.00 g of anhydrous glucose in 1000 mL of the Chloride-acetate buffer solution.
**Sample preparation:** Dissolve an accurately weighed amount of enzyme preparation in the Chloride-acetate buffer solution, and dilute in the buffer solution to obtain an enzyme activity of 5 to 7 activity units per milliliter.
**Procedure**
Transfer 25.0 mL of the Substrate solution to a 32- × 200-mm test tube. To a second 32- × 200-mm test tube transfer 25.0 mL of the Chloride-Acetate buffer solution (blank). Equilibrate both tubes in a 35° ± 0.1° water bath for 20 min. Add 3.0 mL of the Sample preparation to each test tube, mix, and insert a glass sparger into each tube with a preadjusted air flow of 700 to 750 mL/min. If excessive foaming occurs, add 3 drops of the Octadecanol solution to each tube. After exactly 15 min, remove the sparge and rinse any adhering reaction mixture back into the tube with water. Immediately add 10 mL of the Sodium hydroxide solution and 3 drops of the Phenolphthalein solution to each tube. Insert a small magnetic stirrer bar, stir, and titrate to the phenolphthalein endpoint with the standardized 0.05 N Hydrochloric acid solution.
**Calculation**
One Glucose Oxidase Titrimetric unit of activity (GOTu) is the quantity of enzyme that will oxidize 3 mg of glucose to gluconic acid under the conditions of the assay. Determine the enzyme activity using the following equation:
\[ \text{GOTu/g} = \frac{[(B - T) \times N \times 180 \times F]}{[3 \times W]} \]
in which $B$ is the titration volume, in milliliters, of the blank; $T$ is the titration volume, in milliliters, of the sample; $N$ is the normality of the titrant; 180 is the molecular weight of glucose; $F$ is the sample dilution factor; 3 is from the unit definition; and $W$ is the weight, in grams, of the enzyme preparation contained in each milliliter of the sample solution.
- **Hemicellulase Activity**
**Application and Principle:** This procedure is used to determine hemicellulase activity of preparations derived from *Aspergillus niger* var. The test is based on the enzymatic hydrolysis of the interior glucosidic bonds of a defined locust (carob) bean gum substrate at 40° and pH 4.5. Determine the corresponding reduction in substrate viscosity with a calibrated viscometer.
**Apparatus**
**Viscometer:** Use a size 100 calibrated Cannon-Fenske Type Viscometer, or equivalent (Scientific Products, Catalog No. 2885-100).
**Glass water bath:** Use a constant-temperature glass water bath, maintained at 40° ± 0.1° (Scientific Products, Catalog No. W3520-10).
**Stopwatches:** Use two stopwatches—*Stopwatch No. 1*, calibrated in $\frac{1}{10}$ min for determining the reaction time ($T_r$), and *Stopwatch No. 2*, calibrated in $\frac{1}{5}$ s for determining the efflux time ($T_e$).
**Reagents and Solutions**
**Acetate buffer (pH 4.5):** Add 0.2 N sodium acetate, with continuous agitation, to 400 mL of 0.2 N acetic acid until the pH is 4.5 ± 0.05, as determined by a pH meter.
**Locust bean gum:** Use Powdered Type D-200 locust bean gum, or its equivalent (Meer Corp.). Because the substrate may vary from lot to lot, test each lot in parallel with a previous lot known to be satisfactory. Variations of more than ±5% viscosity in the average of a series of parallel tests indicate an unsuitable lot.
**Substrate solution:** Place 12.5 mL of 0.2 N hydrochloric acid and 250 mL of warm water (72° to 75°) in the bowl of a power blender (Waring two-speed, or equivalent, Scientific Products, Catalog No. 58350-1), and set the blender on low speed. Slowly disperse 2.0 g of *Locust Bean Gum*, on a moisture-free basis, into the bowl, taking care not to splash out any of the liquid in the bowl. Wash down the sides of the bowl with warm water, using a rubber policeman, cover the bowl, and blend at high speed for 5 min. Quantitatively transfer the mixture to a 1000-mL beaker, and cool to room temperature. Using a pH meter, adjust the mixture to pH 6.0 with 0.2 N sodium hydroxide. Quantitatively transfer the mixture to a 1000-mL volumetric flask, dilute to volume with water, and mix. Filter the substrate through gauze before use.
**Sample preparation:** Prepare a solution of the sample in water so that 1 mL of the final dilution will produce a change in relative fluidity between 0.18 and 0.22 in 5 min under the conditions specified in the *Procedure*. Weigh the enzyme preparation, quantitatively transfer it to a glass mortar, and triturate with water. Quantitatively transfer the mixture to an appropriately sized volumetric flask, dilute to volume with water, and mix. Filter through Whatman No. 1 filter paper, or equivalent, before use.
**Procedure**
Scrupulously clean the viscometer by drawing a large volume of detergent solution, followed by water, through the instrument, and place the viscometer, previously calibrated, in the glass water bath in an exactly vertical position. Pipet 20.0 mL of *Substrate solution* and 4.0 mL of *Acetate buffer* into a 50-mL Erlenmeyer flask, allowing at least two flasks for each enzyme sample and one flask for a substrate blank. Stopper the flasks, and equilibrate them in the water bath for 15 min. At zero time, pipet 1.0 mL of the *Sample preparation* into the equilibrated substrate, start timing with stopwatch no. 1, and mix thoroughly. Immediately pipet 10.0 mL of this mixture into the
wide arm of the viscometer. After about 2 min, draw the reaction mixture above the upper mark into the driving fluid head by applying suction with a rubber tube connected to the narrow arm of the instrument. Measure the efflux time by allowing the reaction mixture to flow freely down past the upper mark. As the meniscus falls past the upper mark, start stopwatch no. 2, and at the same time, record the reaction time \((T_R)\), in min, from stopwatch no. 1. As the meniscus of the reaction mixture falls past the lower mark, record the time \((T_T)\), in seconds, from stopwatch no. 2.
Immediately re-draw the reaction mixture above the upper mark and into the driving fluid head. As the meniscus falls freely past the upper mark, restart stopwatch no. 2, and at the same time record the reaction time \((T_R)\), in min, from stopwatch no. 1. As the meniscus falls past the lower mark, record the time \((T_T)\), in seconds, from stopwatch no. 2.
Repeat the latter operation, beginning with “Immediately re-draw the reaction mixture...,” until a total of four determinations is obtained over a reaction time \((T_R)\) of NMT 15 min.
Prepare a substrate blank by pipetting 1.0 mL of water into a mixture of 20.0 mL of *Substrate solution* and 4.0 mL of *Acetate buffer*, and then immediately pipet 10.0 mL of this mixture into the wide arm of the viscometer. Determine the time \((T_S)\), in seconds, required for the meniscus to fall between the two marks. Use an average of five determinations as \(T_S\).
Prepare a water blank by pipetting 10.0 mL of water, previously equilibrated to 40° ± 0.1°, into the wide arm of the viscometer. Determine the time \((T_W)\), in seconds, required for the meniscus to fall between the two marks. Use an average of five determinations as \(T_W\).
**Calculation**
One hemicellulase unit (HCU) is defined as that activity that will produce a relative fluidity change of 1 over a period of 5 min in a locust bean gum substrate under the conditions specified.
Calculate the relative fluidities \((F_R)\) and \(T_N\) values (see definition below) for each of the four efflux times \((T_T)\) and reaction times \((T_R)\) as follows:
\[
F_R = \frac{(T_S - T_W)}{(T_T - T_W)}
\]
and
\[
T_N = \frac{1}{2}(T_T/60 \text{ s/min}) + T_R = \frac{T_T}{120} + T_R,
\]
in which \(F_R\) is the relative fluidity for each reaction time; \(T_S\) is the average efflux time, in seconds, for the substrate blank; \(T_W\) is the average efflux time, in seconds, for the water blank; \(T_T\) is the efflux time, in seconds, of the sample reaction mixture; \(T_R\) is the elapsed time, in min, from zero time, that is, the time from addition of the enzyme solution to the buffered substrate until the beginning of the measurement of the efflux time \((T_T)\); and \(T_N\) is the reaction time \((T_R)\), in min, plus one-half of the efflux time \((T_T)\) converted to min.
Plot the four relative fluidities \((F_R)\) as the ordinate against the four reaction times \((T_N)\) as the abscissa. This should result in a straight line. The slope of the line corresponds to the relative fluidity change per min and is proportional to the enzyme concentration. The slope of the best line through a series of experimental points is a better criterion of enzyme activity than is a single relative fluidity value. From the curve, determine the \(F_R\) values at 10 and 5 min. They should have a difference in fluidity of NMT 0.22 and NLT 0.18. Calculate the activity of the enzyme sample as follows:
\[
\text{HCU/g} = 1000(F_{R10} - F_{R5}/W)
\]
in which \(F_{R10}\) is the relative fluidity at 10 min reaction time; \(F_{R5}\) is the relative fluidity at 5 min reaction time; 1000 is milligrams per gram; and \(W\) is the weight, in milligrams, of the enzyme sample contained in the 1.0-mL aliquot of *Sample preparation* added to the equilibrated substrate in the *Procedure*.
• **INVERTASE SUMNER UNIT ACTIVITY**
**Application and Principle:** This procedure is used to measure the strength of invertase (sucrase) enzyme preparations from yeast *Saccharomyces* sp (*Kluyveromyces*) and *Saccharomyces* sp (*cerevisiae*). This assay is based on a 30-min hydrolysis of a 5.4% (w/v) solution of sucrose at pH 4.5 and 20°. The amount of monosaccharides produced is measured spectrophotometrically using a 3,5-Dinitrosalicylic Acid (DNS) acid–phenol reagent correlated to a glucose standard.
**Reagents and Solutions**
**3,5-DNS acid stock solutions:** Weigh 308 g of sodium potassium tartrate tetrahydrate and 19.4 g of sodium hydroxide into a 1000-mL volumetric flask. Dissolve in and dilute with deionized water to volume. In a second 1000-mL volumetric flask, transfer 10.7 g of 3,5-dinitrosalicylic acid. Dissolve in and dilute with deionized water to volume. In a third vessel (100-mL volumetric flask), transfer 8.33 g of phenol, 1.83 g of sodium hydroxide, and 8.33 g of sodium metabisulfite. Dissolve in and dilute with deionized water to volume.
**3,5-DNS acid working solution:** Combine the three solutions prepared for the 3,5-DNS acid stock solutions, and set aside for at least 48 h. Pass the solution through a glass fiber filter. The final solution should be stored in a dark location in a plastic bottle. Re-filter the solution through a glass fiber filter when it becomes turbid.
**pH 4.5 acetate buffer:** Dissolve 29.25 g sodium acetate trihydrate in 300 mL of deionized water. Add 17.1 g of glacial acetic acid and mix. Adjust the pH to 4.50 with dilute sodium hydroxide or hydrochloric acid solutions as necessary. Quantitatively transfer the solution to a 500-mL volumetric flask and dilute with deionized water to volume.
**Sucrose substrate solution (6.5% w/v):** Dissolve 16.25 g (dry wt basis) of sucrose in 200 mL deionized water and add 25.0 mL of pH 4.5 acetate buffer. Transfer the solution to a 250-mL volumetric flask and dilute with deionized water to volume. After the enzyme is added this will give a 5.4% solution. Prepare fresh daily.
**Standard glucose solution (0.300%):** Dissolve 0.1500 g (dry wt basis) of D-(+)-glucose anhydrous in 40 mL of deionized water. Quantitatively transfer the solution to a 50-mL volumetric flask and dilute with deionized water to volume.
**3,5-DNS working solution:** Immediately prior to use, add 3.00 mL of the Standard glucose solution (0.300%) into 200 mL of the 3,5-DNS Acid Working Solution. This is enough to assay three enzyme samples.
**Enzyme sample preparation:** Quantitatively dilute the enzyme in deionized water such that the final solution will contain 0.5 SU/mL. Solid samples that do not dissolve easily should be triturated with deionized water prior to transfer to an appropriate volumetric flask. Samples should be assayed within 30 min of dilution.
**Analysis**
Pipet 5 mL of the Sucrose substrate solution into a series of test tubes, allowing 6 test tubes for each enzyme sample (3 for the enzyme reaction and 3 for the enzyme blank). Also prepare 3 test tubes for the Standard glucose solution and 3 test tubes for the substrate blank, each containing 5 mL of the Sucrose substrate solution. Equilibrate these test tubes in a 20.0° ± 0.1° water bath for 10 min. At the same time, equilibrate 10 mL of each Enzyme sample preparation in a 20.0° ± 0.1° water bath for 10 min.
To start the enzyme reaction vessels, using a stopwatch beginning at time zero, in the order of the series and within regular time intervals, add 1 mL of the equilibrated Enzyme sample preparation into each of the three equilibrated Sucrose substrate solution test tubes and mix thoroughly. Prepare enzyme blanks by placing an amount of the Enzyme sample preparation in a boiling water bath for 10 min and cooling in an ice bath for 5 min. Add 1 mL of this deactivated enzyme solution
to each of the three appropriate *Sucrose Substrate Solution* test tubes, and mix thoroughly. To prepare the glucose standards, add 1 mL of the *Standard sucrose solution* to each of the 3 appropriate *Sucrose substrate solution* test tubes.
To prepare the substrate blanks, add 1 mL of deionized water to each of the 3 appropriate *Sucrose substrate solution* test tubes.
At time equals exactly 30 min, in the order of the series and within the regular time intervals, stop the reaction by pipetting 3 mL of the appropriate enzyme reaction mixture into a test tube (>50 mL capacity) containing 7 mL of the *3,5-DNS working solution* and mix thoroughly. Likewise, transfer 3 mL of each glucose standard solution, 3 mL of each substrate blank solution, and 3 mL of each of enzyme blank solution into the appropriate test tubes (>50 ml capacity) containing 7 mL of *3,5-DNS working solution*, and mix thoroughly.
Place all test tubes into a boiling water bath for exactly 10 min. At the end of 10 min, place all test tubes in an ice water bath for 5 min. To each test tube, add 40 mL deionized water and mix thoroughly. Allow the test tubes to set at room temperature for at least 10 min and then measure the absorbance at 515 nm against a water blank in a 1-cm cuvette.
**Calculation**
One Sumner Unit (SU) is the quantity of enzyme which, under the conditions of the assay, will convert 1 mg of sucrose to glucose and fructose in 5 min. Calculate the activity of the enzyme preparation as follows:
\[
\text{SU/g} = \frac{(A_U - A_B)}{(A_S - A_W)} \times (0.5/C)
\]
in which \(A_U\) is the average absorbance of the enzyme sample; \(A_B\) is the average absorbance of the enzyme blank; \(A_S\) is the average absorbance of the glucose standard; \(A_W\) is the average absorbance of the substrate blank; \(C\) is the concentration (in g/mL) of the *Enzyme sample preparation*; and 0.5 = [(3 mg glucose × 5 min unit definition)/30 min reaction].
- **Lactase Neutral (β-Galactosidase) Activity**
**Application and Principle:** This procedure is used to determine the neutral lactase activity of enzyme preparations derived from *Kluyveromyces marxianus* var. *lactis* and *Saccharomyces* sp. The assay is based on a 10-min hydrolysis of an *o*-nitrophenyl-β-D-galactopyranoside (ONPG) substrate at 30.0° ± 0.1° and at pH 6.50.
**Reagents and Solutions**
**Magnesium solution:** Dilute 24.65 g of magnesium sulfate heptahydrate (\(MgSO_4 \cdot 7H_2O\)) in about 950 mL of water. Transfer the solution into a 1000-mL volumetric flask, dilute to volume with water, and mix.
**EDTA solution:** Dissolve 1.86 g of disodium EDTA dihydrate (\(C_{10}H_{14}N_2Na_2O_8 \cdot 2H_2O\)) in about 950 mL of water. Transfer the solution into a 1000-mL volumetric flask, dilute to volume with water, and mix.
**P-E-M buffer:** Dissolve 8.8 g of potassium dihydrogen phosphate (\(KH_2PO_4\)) and 8.0 g of dipotassium hydrogen phosphate trihydrate (\(K_2HPO_4 \cdot 3H_2O\)) in about 900 mL of water. Add 10.0 mL of *Magnesium solution* and 10.0 mL of *EDTA solution*. Transfer the solution into a 1000-mL volumetric flask, dilute to volume with water, and mix. The pH should be 6.50 ± 0.05.
**Lactase reference preparation:** (Highly concentrated lactase preparation) This preparation can be obtained from Gist-Brocades, Delft, The Netherlands.
**ONPG:** (*o*-nitrophenyl-β-D-galactopyranoside) is validated according to the following procedure:
**Validation of New ONPG**
Transfer 150, 250, and 375 mg of the new *ONPG* into separate 100-mL volumetric flasks, dilute to volume with *P-E-M buffer*, and mix. Prepare solutions of the *Lactase reference*
preparation by weighing an amount of *Lactase reference preparation* corresponding to 5000 ± 250 Neutral Lactase Units (NLU) accurately to within 1 mg in duplicate in 50-mL volumetric flasks, dissolve in *P-E-M buffer*, dilute to volume with the same, and mix. Prepare dilutions of this initial solution with *P-E-M buffer* so that 1 mL of the final dilution will contain 0.0375, 0.0750, and 0.1125 NLU of activity. In duplicate, determine the enzyme activity of the three enzyme concentrations using each of the new *ONPG Substrate* solutions corresponding to 150, 250, and 375 mg and the old *ONPG substrate* at 250 mg by following the steps in the *Procedure*, below.
**Calculation**
Calculate the enzyme activity following the steps indicated under *Calculation for NLU Activity*, below. Determine the average of the duplicates for each enzyme concentration at each level of *ONPG substrate* (the maximum allowable difference between these duplicates is 6.5%). Determine the overall average for the three enzyme concentrations (0.0375, 0.0750, and 0.1125) for each *ONPG substrate* level (150, 250, and 375 mg of *ONPG*).
To determine the overall average of three enzyme concentrations at 150 mg of *ONPG*:
\[
X = \frac{(A + B + C)}{3},
\]
in which \( A \) is the average result of 0.0375 at 150 mg of *ONPG*, \( B \) is the average result of 0.0750 at 150 mg of *ONPG*, and \( C \) is the average result of 0.1125 at 150 mg of *ONPG*.
To determine the overall average of three enzyme concentrations at 250 mg of *ONPG*:
\[
Y = \frac{(D + E + F)}{3},
\]
in which \( D \) is the average result of 0.0375 at 250 mg of *ONPG*, \( E \) is the average result of 0.0750 at 250 mg of *ONPG*, and \( F \) is the average result of 0.1125 at 250 mg of *ONPG*.
To determine the overall average of three enzyme concentrations at 375 mg of *ONPG*:
\[
Z = \frac{(G + H + I)}{3},
\]
in which \( G \) is the average result of 0.0375 at 375 mg of *ONPG*, \( H \) is the average result of 0.0750 at 375 mg of *ONPG*, and \( I \) is the average result of 0.1125 at 375 mg of *ONPG*.
The *ONPG* analyzed is suitable for use when the following specifications are met for each *ONPG* concentration:
1. The average result of each enzyme concentration for each *ONPG* level does not deviate more than 3% from the overall average of the three enzyme concentrations for that level of *ONPG*. For example, \( A \) or \( B \) or \( C \) should not deviate more than 3% from \( X \); \( D \) or \( E \) or \( F \) should not deviate more than 3% from \( Y \); \( G \) or \( H \) or \( I \) should not deviate more than 3% from \( Z \).
2. The overall average of the three enzyme concentrations found for 150 mg of *ONPG* (\( X \)) should not vary more than 81% to 99% of the overall average of the three enzymes concentrations found for 250 mg of *ONPG* (\( Y \)). The overall average of the three enzyme concentrations found for 375 mg of *ONPG* (\( Z \)) should not vary more than 96% to 114% of the overall average of the three enzyme concentrations of 250 mg of *ONPG* (\( Y \)).
3. The absorbance of each blank is less than 0.050.
4. For each new lot of *ONPG*, the overall average of the three enzyme concentrations found for 250 mg of *ONPG* (\( Y \)) per 100 mL should be within 5% of the overall average of the three enzyme concentrations found for 250 mg of *ONPG* of the lot in use at that moment.
**ONPG substrate:** Dissolve 250.0 mg *ONPG* (use lot currently in use) in about 80 mL of *P-E-M buffer*. Transfer the solution to a 100-mL volumetric flask, dilute to volume with *P-E-M buffer*, and mix. Prepare, at most, 2 h before incubation.
**Sodium carbonate solution:** Dissolve 50.0 g of sodium carbonate anhydrous \((\text{Na}_2\text{CO}_3)\) and 37.2 g of disodium EDTA dihydrate \((\text{C}_{10}\text{H}_{14}\text{N}_2\text{Na}_2\text{O}_8\cdot2\text{H}_2\text{O})\) in about 900 mL of water. Transfer the solution into a 1000-mL volumetric flask, dilute to volume with water, and mix.
**Standard o-nitrophenol solution:** Transfer 139.0 mg of *o*-nitrophenol into a 1000-mL volumetric flask, dissolve in 10 mL of 96% ethanol, dilute to volume with water, and mix. Pipet
2-, 4-, 6-, 8-, 10-, 12-, and 14-mL portions of this solution into a series of 100-mL volumetric flasks, add 25 mL of Sodium carbonate solution to each, dilute each to volume with P-E-M buffer, and mix. The dilutions contain, respectively, 0.02, 0.04, 0.06, 0.08, 0.10, 0.12 and 0.14 μmol/mL of o-nitrophenol.
Determine the absorbance of each dilution at 420 nm in a 1-cm path-length cell, with a suitable spectrophotometer, using water as the blank. For each dilution, plot absorbance against μmol of o-nitrophenol (this must result in a straight line through the origin). Divide the absorbance of each dilution by μmol of o-nitrophenol to obtain the extinction coefficient (M) at that dilution (the slope of the line is the extinction coefficient). Average the seven values thus calculated (this should result in a value of 4.60 ± 0.05).
**Test preparation:** Using a volumetric flask, prepare a test solution from the starting enzyme preparation by accurately weighing out a minimum of 1 g of sample to the nearest milligram. Dissolve in P-E-M buffer so that 1 mL of the final dilution will contain between 0.027 and 0.095 NLU. Transfer 1 mL of this final dilution to a 15- × 150-mm test tube as the Test preparation. Perform in duplicate.
**Procedure**
Equilibrate the test tubes containing each Test preparation in a water bath maintained at 30.0° ± 0.1° for at least 5 but NMT 15 min. At zero time, in the order of the series and at regular time intervals, rapidly pipet 5.00 mL of ONPG substrate, equilibrated at 30.0° ± 0.1°, into the test tubes, and mix by shaking. After a 10.0-min incubation (reaction) time, in the same order and with the same regular intervals, pipet 2.00 mL of Sodium carbonate solution into each, mix by shaking, and hold at room temperature. Determine the absorbance of each solution within 30 min at 420 nm in a 1-cm cell with a suitable spectrophotometer, using as the blank a solution prepared in the same manner as for the sample except adding ONPG substrate and Sodium carbonate solution in reverse order.
**Calculation for NLU Activity**
One Neutral Lactase Unit (NLU) is defined as that quantity of enzyme that will liberate 1.30 μmol/min of o-nitrophenol under the conditions of the assay. Calculate the activity of the enzyme preparation taken for the analysis as follows:
\[
\text{NLU/g} = \frac{(A \times 8 \times F)}{(M \times 10 \times W)} / 1.30
\]
in which \( A \) is the average of the absorbance readings for the sample, corrected for the sample blank; 8 is the volume, in milliliters, of the incubation mixture after termination; \( F \) is the total dilution factor of the sample; \( M \) is the extinction coefficient, determined as directed under Standard o-nitrophenol solution; 10 is the incubation time, in min; \( W \) is the sample weight, in grams; and 1.30 is the factor used in the unit definition.
**Lactase (Acid) (β-Galactosidase) Activity**
**Application and Principle:** This procedure is used to determine lactase activity of enzyme preparations derived from *Aspergillus oryzae* var. The assay is based on a 15-min hydrolysis of an o-nitrophenyl-β-D-galactopyranoside substrate at 37° and pH 4.5.
**Reagents and Solutions**
**2.0 N Acetic acid:** Dilute 57.5 mL of glacial acetic acid to 500 mL with water. Mix well, and store in a refrigerator.
**4.0 N Sodium hydroxide:** Dissolve 40.0 g of sodium hydroxide in sufficient water to make 250 mL.
**Acetate buffer:** Combine 50 mL of 2.0 N Acetic acid and 11.3 mL of 4.0 N Sodium hydroxide in a 1000-mL volumetric flask, and dilute to volume with water. Verify that the pH is 4.50 ± 0.05, using a pH meter, and adjust, if necessary, with 2.0 N Acetic acid or 4.0 N Sodium hydroxide.
2.0 mM o-Nitrophenol stock: Transfer 139.0 mg of o-nitrophenol to a 500-mL volumetric flask, dissolve in 10 mL of USP alcohol (95% ethanol) by swirling, and dilute to volume with 1% sodium carbonate.
o-Nitrophenol standards
0.10 mM Standard solution: Pipet 5.0 mL of the 2.0 mM o-Nitrophenol stock solution into a 100-mL volumetric flask, and dilute to volume with 1% sodium carbonate solution.
0.14 mM Standard solution: Pipet 7.0 mL of the 2.0 mM o-Nitrophenol stock solution into a 100-mL volumetric flask, and dilute to volume with 1% sodium carbonate solution.
0.18 mM Standard solution: Pipet 9.0 mL of the 2.0 mM o-Nitrophenol stock solution into a 100-mL volumetric flask, and dilute to volume with 1% sodium carbonate solution.
Substrate: Transfer 370.0 mg of o-nitrophenyl-β-D-galactopyranoside to a 100-mL volumetric flask, and add 50 mL of Acetate buffer. Swirl to dissolve, and dilute to volume with Acetate buffer.
[Note—Perform the assay procedure within 2 h of Substrate preparation.]
Test preparation: Prepare a solution from the test sample preparation such that 1 mL of the final dilution will contain between 0.15 and 0.65 lactase unit. Weigh, and quantitatively transfer the enzyme to a volumetric flask of appropriate size. Dissolve the enzyme in water, swirling gently, and dilute with water if necessary.
[Note—Perform the assay procedure within 2 h of dissolution of the Test preparation.]
System suitability: Determine the absorbance of the three o-Nitrophenol standards at 420 nm in a 1-cm cell, using a suitable spectrophotometer. Use water to zero the instrument. Calculate the millimolar extinction, $M$, for each of the o-Nitrophenol standards (0.10, 0.14, and 0.18 mM) by the equation
$$\varepsilon = A_n / C$$
in which $A_n$ is the absorbance of each o-Nitrophenol standard at 420 nm and $C$ is the corresponding concentration of o-nitrophenol in the standard. $M$ for each standard should be approximately 4.60/mM. Perform a linear regression analysis of the absorbance readings of the three o-Nitrophenol standards versus the o-nitrophenol concentration in each (0.10, 0.14, and 0.18 mM). The $r^2$ should not be less than 0.99. Determine the mean $M$ of the three o-Nitrophenol standards for use in the calculations below.
Procedure
For each sample or blank, pipet 2.0 mL of the Substrate solution into a 25- × 150-mm test tube, and equilibrate in a water bath maintained at 37.0° ± 0.1° for approximately 10 min. At zero time, rapidly pipet 0.5 mL of the Test preparation (or 0.5 mL of water as a blank) into the equilibrated substrate, mix by brief (1 s) vortex, and immediately return the tubes to the water bath. After exactly 15 min of incubation, rapidly add 2.5 mL of 10% sodium carbonate solution, and vortex the tube to stop the enzyme reaction. Dilute the samples and blanks to 25.0 mL by adding 20.0 mL of water, and thoroughly mix. Determine the absorbance of the diluted samples and blanks at 420 nm in a 1-cm cell, using a suitable spectrophotometer. Use water to zero the instrument.
Calculation
One lactase unit (ALU) is defined as that quantity of enzyme that will liberate o-nitrophenol at a rate of 1 μmol/min under the conditions of the assay.
Calculate the activity (lactase activity per gram) of the enzyme preparation taken for analysis as follows:
$$\text{ALU/g} = \frac{(A_S - B)(25)}{(\varepsilon)(15)(W)}$$
in which $A_S$ is the average of absorbance readings for the *Test preparation*; $B$ is the average of absorbance readings for the blank; 25 is the final volume, in milliliters, of the diluted incubation mixture; $\varepsilon$ is the mean absorptivity of the o-*Nitrophenol standards* per micromole, 15 is the incubation time, in min, and $W$ is the weight, in grams, of original enzyme preparation contained in the 0.5-mL aliquot of *Test preparation* used in the incubation.
**Lipase Activity**
**Application and Principle:** This procedure is used to determine the lipase activity in preparations derived from microbial sources and animal pancreatic tissues. The assay is based on the potentiometric measurement of the rate at which the preparations will catalyze the hydrolysis of tributyrin.
**Apparatus**
**Automatic recording titrimeter:** Use an instrument operating in the pH stat mode and equipped with a jacketed titration cell (Radiometer Titrabat, or equivalent).
**Constant temperature bath:** Operated at 30° ± 0.1°.
**Blender**
**Reagents and Solutions**
**0.05 N sodium hydroxide:** Dissolve 2.0 g of sodium hydroxide in water, and dilute to 100 mL. Standardize with NIST grade potassium hydrogen phthalate.
**Emulsification reagent:** Dissolve 17.9 g of sodium chloride and 0.41 g of monobasic potassium phosphate in about 400 mL of water. Add 540 mL of glycerol and, with vigorous stirring, add 6.0 g of gum arabic (Sigma, Catalog No. G 9752). Stir until dissolved. Dilute to 1000 mL.
**Glycine buffer (0.1 M):** Dissolve 7.50 g of glycine (Sigma, Catalog No. G 126) and 3.8 g of sodium hydroxide in about 900 mL water. Adjust the pH to 10.8, and dilute to 1000 mL.
[Note—Instead of the Glycine buffer, some enzyme preparations may require the use of 0.01 M pH 8.0 Tris buffer prepared as directed for Tris Buffer under Proteolytic Activity, Bacterial (PC), except to titrate with 1 N hydrochloric acid to pH 8.0.]
**Substrate emulsion:** Transfer 15.9 mL of tributyrin (Sigma, Catalog No. T 8626) to a blender, add 50 mL Emulsification reagent and 235 mL water. Blend for 15 min at maximum speed. Equilibrate in the 30° constant temperature bath for at least 15 min before use. Use within 4 h.
**Sample preparation:** Dissolve an accurately weighed amount of the enzyme preparation in Glycine buffer (or pH 8.0 Tris buffer if specified) so that each milliliter contains between 2000 and 5000 lipase units per milliliter. Accurately dilute a portion of this solution with water to obtain a final solution containing between 0.5 and 1.5 lipase units per milliliter.
**Procedure**
Fill the titrator buret with the 0.05 N sodium hydroxide solution, and following the manufacturer's instructions, set the temperature to 30° and the pH set point to 7.0. Transfer 15.0 mL of the Substrate emulsion to the titration cell, and add a small stirrer bar. Add 1.0 mL of the diluted Sample preparation, and actuate the titrator. Record the rate of 0.05 N sodium hydroxide addition. Stop the titration after a constant (linear) rate of addition has been observed for 5 min. Determine the addition rate, in milliliters per min, from the linear portion of the recording and record this value as $R$.
**Calculation**
One lipase unit (LU) is defined as the quantity of enzyme that will liberate 1 μmol of butyric acid per min under the conditions of the test.
Calculate the activity of the enzyme preparation by the formula:
$$\text{LU/g} = R \times N \times 1000/W$$
in which $R$ is the addition rate, in milliliters per min; $N$ is the normality of the Sodium hydroxide solution; 1000 converts mM to $\mu$M; and $W$ is the weight, in grams, of the enzyme preparation contained in 1 mL of the diluted Sample preparation.
**Lipase (Microbial) Activity for Medium- and Long-Chain Fatty Acids**
**Application and Principle:** This procedure is used to determine the lipase activity in preparations derived from microbial sources. The assay is based on the measurement of the amount of free fatty acids formed from an olive oil emulsion in the presence of sodium taurocholate over a fixed time interval. This assay is particularly used for measuring lipase activity in foods.
**Reagents and Solutions**
**Gum arabic solution:** Dissolve 110 g of gum arabic (acacia) (Sigma, Catalog No. G-9752, or equivalent) and 12.5 g of analytical-grade calcium chloride ($\text{CaCl}_2 \cdot 2\text{H}_2\text{O}$) in 800 mL of water in a 1000-mL volumetric flask, and dilute to volume with water. Shake or stir for 30 min at room temperature to dissolve completely. Centrifuge at 4000 × $g$ for 20 min or filter through a Büchner funnel using Celite as a filter aid. Store the supernatant or filtrate at 4°. Divide into single-use, 24-mL aliquots. The solution is stable for 6 months at −20°.
**Substrate emulsion:** Place 130 mL of olive oil (Sigma, Catalog No. O-1500, or equivalent) and 400 mL of Gum arabic solution in a mixer bowl, and cool the mixture to 5° to 10° on ice. Emulsify the mixture with a Waring Blender, or equivalent, operated at high speed for 30 min, keeping the temperature below 30° by repeatedly mixing at high speed for 5 min and turning the blender off for 1 min. Check the quality of the emulsion microscopically: 90% of the droplets should have a diameter equal to or less than 3 µm, and the remaining 10% should not exceed 10 µm. The emulsion is stable for 3 days at 4°.
**Reference standard solution:** Dissolve an aliquot of Fungi Lipase-International FIP Standard (International Commission on Pharmaceutical Enzymes F.I.P., Center for Standards of the Federation Internationale Pharmaceutique, Harelbekestraat 72, B-9000 Gent, Belgium) in a 1% sodium chloride solution and dilute it to obtain a solution of 2.4 to 3.6 FIP microbial lipase units per milliliter. Prepare this solution fresh.
**0.02 N Sodium hydroxide solution:** Prepare daily by diluting 10 mL of analytical-grade 1 N sodium hydroxide to 500 mL with recently boiled water.
**0.5% Sodium taurocholate solution:** Dissolve 0.5 g of sodium taurocholate (DIFCO, Catalog No. 0278-15-8) in 100 mL of water. Prepare this solution fresh.
**Sample preparation:** Dissolve an accurately weighed amount of the enzyme preparation in a 1% sodium chloride solution, and dilute to obtain a solution of 2.4 to 3.6 FIP microbial lipase units per milliliter. Prepare this solution fresh.
**Procedure**
[Note—Assay the Fungi Lipase-International FIP Standard as an internal standard each time.]
**Automatic titration:** Use an automatic titration device with a 25 mL ± 0.02 mL buret, a pH meter giving a resolution to 0.01, and a reaction vessel with a capacity of 100 mL. Add 24 mL of Substrate emulsion, 9 mL of water, and 2 mL of 0.5% Sodium taurocholate solution to the reaction vessel. Place the reaction vessel in a water bath preheated to 37° ± 0.5° over a hot plate provided with magnetic stirring, and add a magnet to the reaction vessel. Pre-incubate the reaction vessel at 37° ± 0.5° for 10 to 15 min while stirring at about 300 rpm. Immerse a pH-electrode and the tip of the buret into the solution. If desired, gently blow nitrogen gas onto the solution. Adjust the pH of the solution to 7.0 with 0.02 N Sodium Hydroxide Solution. Set the automatic buret to zero. Add 5.0 mL of the enzyme solution while simultaneously starting a
timer. Maintain the pH at 7.0 by automatic titration. After 10.0 min, abruptly (within 30 s) bring the pH to 9.0 by manually adding additional 0.02 N Sodium hydroxide solution. Record the volume of 0.02 N Sodium hydroxide solution consumed as $N_1$. Run the test with a blank by setting up the titration in the same manner, except after adjusting the pH to 7.0 with 0.02 N Sodium hydroxide solution, set the automatic buret to zero, and maintain the pH at 7.0 by automatic titration. After 10.0 min, abruptly (within 30 s) bring the pH to 9.0 as before, and then add 5.0 mL of enzyme solution. Because the enzyme lowers the pH, return the pH to 9.0 by adding 0.02 N Sodium hydroxide solution. Record the volume of 0.02 N Sodium hydroxide solution consumed as $N_2$.
**Manual titration:** Follow the same procedure as with *Automatic titration*, but keep the pH at 7.0 with 0.02 N Sodium hydroxide solution from a 25-mL buret, demarked in 0.02-mL units.
**Calculation**
One unit of enzyme activity (FIP Unit) is defined as that quantity of a standard lipase preparation (Fungi Lipase-International FIP Standard) that liberates the equivalent of 1 µmol of fatty acid per min from the *Substrate emulsion* under the described assay conditions. The specific activity is expressed in international FIP units per milligram of the *Sample preparation*. The use of an enzyme reference standard of known activity, controlled by the Center for Standards of the Commission, eliminates difficulties from interlaboratory differences in quality of reagents such as the *Gum arabic solution*, olive oil, or *Substrate emulsion* or in the set-up of the experiment. The activity (FIP U/mg) using an enzyme reference standard is calculated by the formula:
$$\text{Result} = \frac{(A \times C)}{B}$$
in which $A$ is the specific activity, in units/mg, of the test sample (measured); $B$ is the specific activity, in units/mg, of Fungi Lipase-International FIP Standard (measured); and $C$ is the number of FIP units/mg of Fungi Lipase-International FIP Standard as indicated on the container.
One milliliter of the 0.02 N Sodium hydroxide solution corresponds with the neutralization of 20 µmol of fatty acids. Five milliliters of enzyme solution liberates $(N_1 - N_2)$ mL × 20 µmol of fatty acids over a 10-min time interval. If the enzyme solution contains $W$ mg of enzyme preparation per milliliter, the specific activity, in units/mg, is calculated as follows:
$$\text{Result} = \frac{[(N_1 - N_2) \times 20]}{(10 \times 5 \times W)}$$
in which $(N_1 - N_2)$ is the volume, in milliliters, of the 0.02 N Sodium hydroxide solution used for the titration.
---
**Lysozyme Activity**
**Application and Principle:** The purpose of this procedure is to determine the lysozyme activity in purified lysozyme preparations derived from animal or microbial sources. The assay is based on the rate of decrease in absorbance at 450 nm, attributed to the lysis of *Micrococcus lysodeikticus* by lysozyme. The decrease in absorbance is measured using a UV/V spectrophotometer equipped to control the sample temperature at 25°.
[Note—Ensure that all glassware and supplies are heat sterilized. The work area should be aseptically clean. Any residual lysozyme contamination will adversely affect the results of the assay.]
**Reagents and Solutions**
**Sodium phosphate buffer solution:** Dissolve 10.4 g of monobasic sodium phosphate ($\text{NaH}_2\text{PO}_4 \cdot \text{H}_2\text{O}$) in 500 mL of sterile, deionized water in a 1000-mL volumetric flask, and dilute to volume. Similarly, dissolve 9.465 g of anhydrous dibasic sodium phosphate ($\text{Na}_2\text{HPO}_4$) in sterile, deionized water, and dilute to 1000 mL. Mix 815 mL of the monobasic sodium phosphate
solution with 185 mL of the dibasic sodium phosphate solution. Adjust the pH of the buffer to 6.2; when checking the pH, use an aliquot of the buffer to prevent contamination of the solution. Adjust the pH by adding more monobasic or dibasic sodium phosphate solution as needed. The buffer solution may be stored under refrigeration for up to 1 month.
**Substrate solution:** Add 30 to 40 mg of *Micrococcus lysodeikticus* (Sigma M-3770, or equivalent) to 100 mL of *Sodium phosphate buffer solution* in a 250-mL Erlenmeyer flask, tilt gently to mix, and do not shake. Allow the substrate to incubate at 37° for 30 min before using it. The substrate solution is stable for 2 h at room temperature. Zero a spectrophotometer against air, then measure the absorbance of the substrate solution, which should give a reading of $1.7 \pm 0.1$ at 450 nm.
[Note—If the absorbance is significantly lower than 1.7, do not adjust the concentration. Run the analysis, and check the rate of the reaction. The rate of the decrease in absorbance should range between 0.03 and 0.06 units per min.]
**Standard preparation:** Use a commercial reference standard lysozyme of a specified strength from an animal or microbial source in accordance with the origin of the preparation being measured. Measure 50 mg of the reference standard lysozyme into a 50-mL volumetric flask, and dissolve, with stirring, in approximately 25-mL of *Sodium phosphate buffer solution*. Dilute to volume with *Sodium phosphate buffer solution*, and mix thoroughly. If desired, freeze aliquots of this *Standard preparation* for subsequent assays. Quantitatively transfer 3 mL of the *Standard preparation* to a 100-mL volumetric flask, and dilute to volume with *Sodium phosphate buffer solution*.
**Sample preparation:** Measure 50 mg of sample into a 50-mL volumetric flask. Dissolve the sample, with stirring, in approximately 25 mL of *Sodium phosphate buffer solution*. Dilute to volume with *Sodium phosphate buffer solution*, and mix the solution thoroughly. Quantitatively transfer 3 mL of the solution to a 100-mL volumetric flask, and dilute to volume with *Sodium phosphate buffer solution*.
**Procedure**
Conduct the test in a spectrophotometer equipped to maintain a temperature of 25° in the cell compartment. Perform the test in triplicate for the *Standard preparation* and for the *Sample preparation*.
Place a 1-cm cell into the spectrophotometer, and adjust the absorbance to zero. Pipet 2.9 mL of *Substrate solution* into the cell; the initial absorbance of the solution should be $1.7 \pm 0.1$ at 450 nm (see Note above). Pipet 0.1 mL of the *Standard preparation* into the substrate, and mix well. Record the decrease in absorbance over 3 min, recording the absorbance value approximately every 15 s. The rate of the decrease in absorbance should be linear, and range between 0.03 and 0.06 per min. Repeat the procedure with the *Sample preparation*.
**Calculation**
One lysozyme unit is defined as the amount of lysozyme that causes a decrease in absorbance of 0.001 per min at 450 nm, 25°, and pH 6.2, using a suspension of *Micrococcus lysodeikticus* as the substrate.
The assay stabilizes over the first min; disregard the first min of readings in the calculation. Determine the average absorbance change per min using only the linear portion of the curve where the rate of change is constant, usually the final 2 min.
Calculate the number of lysozyme units per mg by the equation:
$$\text{lysozyme units} = \frac{(A_1 - A_2)}{(T \times W \times 0.001)}$$
in which $A_1$ is the initial absorbance reading in the straight-line portion of the curve; $A_2$ is the final absorbance reading in the straight-line portion of the curve; $T$ is the elapsed time, in min,
between the initial and final absorbance readings; $W$ is the weight, in mg, of the lysozyme in the volume of *Sample preparation* used in the *Assay*; and 0.001 is the decrease in absorbance caused by one unit of lysozyme per min.
**Maltogenic Amylase Activity**
**Application and Principle:** This procedure is used to determine maltogenic amylase activity in preparations derived from *Bacillus subtilis* containing a *Bacillus stearothermophilus* amylase gene. The test is based on a 30-min hydrolysis of maltotriose under controlled conditions and measurement of the glucose formed by high-performance liquid chromatography (HPLC).
**Reagents and Solutions**
**Citrate buffer, 0.1 M:** Dissolve 5.255 g of citric acid ($\text{C}_6\text{H}_8\text{O}_7\cdot\text{H}_2\text{O}$) in about 150 mL of water. Adjust the pH to 5.0 with 1 N sodium hydroxide, and dilute to 250 mL.
**Substrate solution:** Dissolve 1.00 g of maltotriose (Sigma Chemical Co., Catalog No. M 8378) in *Citrate buffer* in a 50-mL volumetric flask, and dilute to volume with *Citrate buffer*.
**Sodium chloride solution, 1 M:** Dissolve 29.22 g of sodium chloride in water, and dilute to 500 mL.
**Amberlite MB-1 ion exchange resin:** Air dry at room temperature for about 1 week. Protect from contamination.
**Glucose standards:** Dissolve 1.80 g of anhydrous glucose in water, and dilute to 1000 mL. Transfer 20.0, 50.0, 75.0, and 100.0 mL to separate 100-mL volumetric flasks, and dilute to volume with water. These solutions contain 0.36, 0.9, 1.35, and 1.80 mg of glucose per mL.
Using filtered, degassed water as the mobile phase, equilibrate an HPX 87C column, or equivalent, in a high-performance liquid chromatograph equipped with a differential refractometer. Chromatograph 5-$\mu$L portions of the glucose standards, and record the chromatograms. Prepare a standard curve of the glucose concentration versus the peak height.
**Sample preparation:** Prepare a solution of each sample to contain approximately 7.5 Maltogenic Amylase Units (MANU) per mL. Further dilute an aliquot of each sample so that the final dilution contains 1% by volume of the *Sodium chloride solution, 1 M* and contains between 0.150 and 0.600 MANU per mL.
**Procedure**
Transfer 2.00 mL of each sample to separate test tubes, and equilibrate in the 37° water bath for at least 10 min. At the same time, equilibrate the *Substrate solution* in the same water bath. At zero time, transfer 2.0 mL of the equilibrated *Substrate solution* to the first sample tube, mix thoroughly, and return the tube to the 37° bath. Repeat the process for each sample. After exactly 30.0 min, transfer the test tube to a boiling water bath for 15 min, then remove and cool to room temperature. Add approximately 100 mg of *Amberlite MB-1 ion exchange resin* to each tube, place the tubes on the shaker, and mix for at least 15 min. Pass the treated solution through a 0.45-$\mu$m filter. Use a separate filter for each sample. Inject a 5-$\mu$L portion of each filtered sample into a previously equilibrated high-performance liquid chromatograph equipped with an HPX 87C column (Biorad, or equivalent) and a differential refractometer. Filtered, degassed water is the mobile phase. Record the elution curve.
**Calculation**
One Maltogenic Amylase Unit (MANU) is defined as the amount of enzyme that will cleave maltotriose at a rate of 1 $\mu$mol/min under the conditions of the test. From the elution curve of each sample, determine the glucose concentration ($G$) in the sample from the previously prepared standard curve. Calculate the MANU/g by the equation:
$$\text{MANU/g} = \frac{G \times 4 \times F}{180.1 \times 30 \times W}$$
in which $G$ is the glucose concentration in the test solution; 4 is the total test solution volume; 30 is the reaction time, in min; $F$ is the dilution factor; and $W$ is the sample weight, in g.
• **Milk-Clotting Activity**
**Application and Principle:** This procedure is to be applied to enzyme preparations derived from either animal or microbial sources.
**Apparatus**
**Bottle-rotating apparatus:** Use a suitable assembly, designed to rotate at a rate of 16 to 18 rpm.
**Sample bottles:** Use 125-mL, squat, round, wide-mouth bottles (such as Scientific Products, Catalog No. B-7545-125).
**Substrate solution:** Dissolve 60 g of low-heat, nonfat dry milk (such as Galloway West, Peake Grade A) in 500 mL of a solution, adjusted to pH 6.3 if necessary, containing in each mL 2.05 mg of sodium acetate \((\text{NaC}_2\text{H}_3\text{O}_2)\) and 1.11 mg of calcium chloride \((\text{CaCl}_2)\).
**Standard preparation:** Use a standard-strength rennet, bovine rennet, microbial rennet \((\text{Endothia parasitica})\), or microbial rennet \((\text{Mucor species})\), as appropriate for the preparation to be assayed. Such standards, which are available from commercial coagulant manufacturers, should be of known activity. Dilute the standard-strength material 1 to 200 with water, and mix. Equilibrate to 300 before use, and prepare no more than 2 h before use.
**Sample preparation:** Prepare aqueous solutions or dilutions of the sample to produce a final concentration such that the clotting time, as determined in the *Procedure* below, will be within 1 min of that of the *Standard preparation*. Prepare no more than 1 h before use.
**Procedure**
Transfer 50.0 mL of the *Substrate solution* into each of four 125-mL *Sample bottles*. Place the bottles on the *Bottle-rotating apparatus*, and suspend the apparatus in a water bath, maintained at 30° ± 0.5°, so that the bottles are at an angle of approximately 20° to 30° to the horizontal. Immerse the bottles so that the water level in the bath is about equal to the substrate level in the bottles. Begin rotating the apparatus at 16 to 18 rpm, then add 1.0 mL of the *Sample preparation* to each of two bottles, and record the exact time of addition. Add 1.0 mL of the *Standard preparation* to each of the other two bottles, recording the exact time.
Observe the rotating bottles, and record the exact time of the first evidence of clotting (i.e., when fine granules or flecks adhere to the sides of the bottle). Variations in the response of different lots of the substrate may cause variations in clotting time; therefore, measure the test samples and standards simultaneously on the same substrate. Average the clotting time, in s, of the duplicate samples, recording the time for the *Standard preparation* as \(T_S\) and that for the *Sample preparation* as \(T_U\).
**Calculation**
Calculate the activity of the enzyme preparation by the equation
\[
\text{Milk-clotting units/mL} = 100 \times \left(\frac{T_S}{T_U}\right) \times \left(\frac{D_S}{D_U}\right)
\]
in which 100 is the activity assigned to the *Standard preparation*, \(D_S\) is the dilution factor for the *Standard preparation*, and \(D_U\) is the dilution factor for the *Sample preparation*.
[Note—The dilution factors should be expressed as fractions; for example, a dilution of 1 to 200 would be expressed as \(\frac{1}{200}\).]
**Change to read:**
• **Pancreatin Activity**
**Application and Principle:** These procedures are used to determine the primary enzyme activities in pancreatin preparations.
**Reference Standards**
USP Bile Salts RS
Keep container tightly closed. Dry a portion at 105° for 4 h before using.
USP Pancreatin Amylase and Protease RS
Do not dry. Keep container tightly closed, and store in a freezer. Allow container to reach room temperature before opening.
USP Pancreatin Lipase RS
[Caution—Wash thoroughly after handling. Wear protective gloves. Avoid breathing dust.]. Store in a well-ventilated place. Keep container tightly closed. Store in a freezer. ▲2S (FCC 12)
Amylase Activity
pH 6.8 phosphate buffer: On the day of use, dissolve 13.6 g of monobasic potassium phosphate in water to make 500 mL of solution. Dissolve 14.2 g of anhydrous dibasic sodium phosphate in water to make 500 mL of solution. Mix 51 mL of the monobasic potassium phosphate solution with 49 mL of the dibasic sodium phosphate solution. If necessary, adjust by the dropwise addition of the appropriate solution to a pH of 6.8.
Substrate solution: On the day of use, stir a portion of purified soluble starch equivalent to 2.0 g of dried substance with 10 mL of water, and add this mixture to 160 mL of water, add it to the hot solution, and heat to boiling, with continuous mixing. Cool to room temperature, and add water to make 200 mL.
Standard preparation: Weigh accurately about 20 mg of ▲USP Pancreatin Amylase and Protease RS ▲2S (FCC 12) into a suitable mortar. Add about 30 mL of pH 6.8 phosphate buffer, and triturate for 5 to 10 min. Transfer the mixture with the aid of pH 6.8 phosphate buffer to a 50-mL volumetric flask, dilute with pH 6.8 phosphate buffer to volume, and mix. Calculate the activity, in USP Units of amylase activity per mL, of the resulting solution from the declared potency on the label of the Reference Standard.
Assay preparation: For Pancreatin having about the same amylase activity as the ▲USP Pancreatin Amylase and Protease RS ▲2S (FCC 12) weigh accurately about 40 mg of Pancreatin into a suitable mortar.
[Note—For Pancreatin having a different amylase activity, weigh accurately the amount necessary to obtain an Assay preparation having amylase activity per mL corresponding approximately to that of the Standard preparation.]
Add about 3 mL of pH 6.8 phosphate buffer, and triturate for 5 to 10 min. Transfer the mixture with the aid of pH 6.8 phosphate buffer to a 100-mL volumetric flask, dilute with pH 6.8 phosphate buffer to volume, and mix.
Procedure
Prepare four stoppered, 250-mL conical flasks, and mark them S, U, BS, and BU. Pipet into each flask 25 mL of Substrate solution, 10 mL of pH 6.8 phosphate buffer, and 1 mL of sodium chloride solution (11.7 in 1000), insert the stoppers, and mix. Place the flasks in a water bath maintained at 25° ± 0.1°, and allow them to equilibrate. To flasks BU and BS add 2 mL of 1 N hydrochloric acid, mix, and return the flasks to the water bath. To flasks U and BU add 1.0-mL portions of the Assay preparation, and to flasks S and BS add 1.0 mL of the Standard preparation. Mix each, and return the flasks to the water bath. After 10 min, accurately timed from the addition of the enzyme, add 2-mL portions of 1 N hydrochloric acid to flasks S and U, and mix. To each flask, with continuous stirring, add 10.0 mL of 0.1 N iodine VS, and immediately add 45 mL of 0.1 N sodium hydroxide. Place the flasks in the dark at a temperature between 15° and 25° for 15 min. To each flask add 4 mL of 2 N sulfuric acid, and titrate with 0.1 N sodium thiosulfate VS to the disappearance of the blue color. Calculate the amylase activity, in USP Units per mg, taken by the formula:
Result = \(100 \left( \frac{C_S}{W_U} \right) (V_{BU} - V_U)/(V_{BS} - V_S)\)
in which \(C_S\) is the amylase activity of the *Standard preparation*, in USP Units per mL; \(W_U\) is the amount, in mg, of Pancreatin taken; and \(V_U\), \(V_S\), \(V_{BU}\) and \(V_{BS}\) are the volumes, in mL, of 0.1 N sodium thiosulfate consumed in the titration of the solutions in flasks, \(U\), \(S\), \(BU\), and \(BS\), respectively.
**Lipase Activity**
**Gum arabic solution:** Centrifuge a 1:10 solution of gum arabic until clear. Use only the clear solution.
**Olive oil substrate:** Combine 165 mL of the *Gum arabic solution*, 20 mL of olive oil, and 15 g of crushed ice in the cup of an electric blender. Cool the mixture in an ice bath to 5°, and homogenize at high speed for 15 min, intermittently cooling in an ice bath to prevent the temperature from exceeding 30°. Test for suitability of mixing as follows: Place a drop of the homogenate on a microscope slide and gently press a cover slide in place to spread the liquid. Examine the entire field under high power (43 × magnification objective lens and 5 × magnification ocular), using an eyepiece equipped with a calibrated micrometer. The substrate is satisfactory if 90% of the particles do not exceed 2 µm in diameter and none exceeds 10 µm in diameter.
**Buffer solution:** Dissolve 60 mg of tris(hydroxymethyl)-aminomethane and 234 mg of sodium chloride in water to make 100 mL.
**Bile salts solution:** Prepare a solution containing 80.0 mg/mL of *USP Bile Salts RS*.▲2S (FCC 12)
**Standard test dilution:** Suspend about 200 mg of ▲*USP Pancreatin Lipase RS*,▲2S (FCC 12) accurately weighed, in about 3 mL of cold water in a mortar, triturate for 10 min, and add cold water to a volume necessary to produce a concentration of 8 to 16 USP Units of lipase activity per mL, based on the declared potency on the label of the Reference Standard. Maintain the suspension at 4°, and mix before using. For each determination, withdraw 5 to 10 mL of the cold suspension, and allow the temperature to rise to 20° before pipeting the exact volume.
**Assay test dilution:** Suspend about 200 mg of the Pancreatin sample, accurately weighed, in about 3 mL of cold water in a mortar, triturate for 10 min, and add cold water to a volume necessary to produce a concentration of 8 to 16 USP Units of lipase activity per mL, based on the estimated potency of the test material. Maintain the suspension at 4°, and mix before using. For each determination, withdraw 5 to 10 mL of the cold suspension, and allow the temperature to rise to 20° before pipeting the exact volume.
**Procedure**
Mix 10.0 mL of *Olive oil substrate*, 8.0 mL of *Buffer solution*, 2.0 mL of ▲*Bile salts solution*,▲2S (FCC 12) and 9.0 mL of water in a jacketed glass vessel of about 50-mL capacity, the outer chamber of which is connected to a thermostatically controlled water bath. Cover the mixture, and stir continuously with a mechanical stirring device. With the mixture maintained at a temperature of 37° ± 0.1°, add 0.1 N sodium hydroxide, from a microburet inserted through an opening in the cover, to adjust potentiometrically the pH to 9.20, using a calomel-glass electrode system. Add 1.0 mL of *Assay test dilution*, and then continue adding the 0.1 N sodium hydroxide for 5 min to maintain the pH at 9.0. Determine the volume of 0.1 N sodium hydroxide added after each min. In the same manner, titrate 1.0 mL of *Standard test dilution*.
**Calculation**
From the *Standard test dilution*, plot the volume of 0.1 N sodium hydroxide titrated against time. Using only the points that fall on the straight-line segment of the curve, calculate the
mean acidity released per min by the Assay test dilution. Taking into consideration dilution factors, calculate the lipase activity of the Standard test dilution, using the lipase activity of the \(^\Delta\)USP Pancreatin Lipase RS\(_{\Delta 2S}\) (FCC 12) stated on the label.
**Protease Activity**
**Casein substrate:** Place 1.25 g of finely powdered casein in a 100-mL conical flask containing 5 mL of water, shake to form a suspension, add 10 mL of 0.1 N sodium hydroxide, shake for 1 min, add 50 mL of water, and shake for about 1 h to dissolve the casein. Adjust the pH to about 8.0 ± 0.1, using 1 N sodium hydroxide or 1 N hydrochloric acid. Transfer the solution to a 100-mL volumetric flask, dilute with water to volume, and mix. Use this substrate on the day it is prepared.
**Buffer solution:** Dissolve 6.8 g of monobasic potassium phosphate and 1.8 g of sodium hydroxide in 950 mL of water in a 1000-mL volumetric flask, adjust to a pH of 7.5 ± 0.2, using 0.2 N sodium hydroxide, dilute with water to volume, and mix. Store this solution in a refrigerator.
**Trichloroacetic acid solution:** Dissolve 50 g of trichloroacetic acid in 1000 mL of water. Store this solution at room temperature.
**Filter paper:** Determine the suitability of the filter paper by filtering a 5-mL portion of Trichloroacetic acid solution through the paper and measuring the absorbance of the filtrate at 280 nm, using an unfiltered portion of the same Trichloroacetic acid solution as the blank. The absorbance is NMT 0.04. If the absorbance is more than 0.04, the filter paper may be washed repeatedly with Trichloroacetic acid solution until the absorbance of the filtrate, determined as above, is NMT 0.04.
**Standard test dilution:** Add about 100 mg of \(^\Delta\)USP Pancreatin Amylase and Protease RS\(_{\Delta 2S}\) (FCC 12) accurately weighed, to 100.0 mL of Buffer solution, and mix by shaking intermittently at room temperature for about 25 min. Dilute quantitatively with Buffer solution to produce a concentration of about 2.5 USP Units of protease activity per mL, based on the potency declared on the label of the Reference Standard.
**Assay test dilution:** Add an amount of pancreatin sample equivalent to about 100 mg of \(^\Delta\)USP Pancreatin Amylase and Protease RS\(_{\Delta 2S}\) (FCC 12) accurately weighed, to 100.0 mL of Buffer Solution, and mix by shaking intermittently at room temperature for 25 min. Dilute quantitatively with Buffer solution to obtain a dilution that corresponds in activity to the Standard test dilution.
**Procedure**
Label test tubes in duplicate \(S_1\), \(S_2\), and \(S_3\) for the standard series, and \(U\) for the sample. Pipet into tubes \(S_1\) 2.0 mL, into \(S_2\) and \(U\) 1.5 mL, and into \(S_3\) 1.0 mL of Buffer solution. Pipet into tubes \(S_1\) 1.0 mL, into \(S_2\) 1.5 mL, and into \(S_3\) 2.0 mL of the Standard test solution. Pipet into tubes \(U\) 1.5 mL of the Assay Test dilution. Pipet into one tube each of \(S_1\), \(S_2\), \(S_3\), and \(U\) 5.0 mL of Trichloroacetic acid solution, and mix. Designate these tubes as \(S_{1B}\), \(S_{2B}\), \(S_{3B}\), and \(U_B\), respectively. Prepare a blank by mixing 3 mL of Buffer solution and 5 mL of Trichloroacetic acid solution in a separate test tube marked \(B\). Place all the tubes in a 40° water bath, insert a glass stirring rod into each tube, and allow temperature equilibration. At zero time, add to each tube, at timed intervals, 2.0 mL of the Casein substrate, preheated to the bath temperature, and mix. Accurately timed, 60 min after the addition of the Casein substrate, stop the reaction in tubes \(S_1\), \(S_2\), \(S_3\), and \(U\) by adding 5.0 mL of Trichloroacetic acid solution at the corresponding time intervals, stir, and remove all the tubes from the bath. Allow to stand for 10 min at room temperature to complete protein precipitation, and filter. The filtrates must be free from haze.
Determine the absorbances of each filtrate, in a 1-cm cell, at 280 nm, with a suitable spectrophotometer, using the intake from the blank (tube B) to set the instrument.
**Calculation**
Correct the absorbance values for the filtrates from tubes $S_1$, $S_2$, and $S_3$ by subtracting the absorbance values for the filtrates from tubes $S_{1B}$, $S_{2B}$, and $S_{3B}$, respectively, and plot the corrected absorbance values against the corresponding volumes of the *Standard test dilution* used. From the curve, using the corrected absorbance value $(U - U_B)$ for the $\Delta$Pancreatin$\Delta_{2S}$ (FCC 12) taken), and taking into consideration the dilution factors, calculate the protease activity, in USP Units, of the $\Delta$Pancreatin$\Delta_{2S}$ (FCC 12) taken by comparison with that of the standard, using the protease activity stated on the label of $\Delta$USP Pancreatin Amylase and Protease RS.$\Delta_{2S}$ (FCC 12).
- **PEPSIN ACTIVITY**
**Application:** This procedure is used to determine the protease activity of pepsin preparations derived from porcine or other animal stomach tissue.
**Reagents and Solutions**
**Dilute hydrochloric acid solution:** Dilute 30 mL of 1.0 N hydrochloric acid with water to 1000 mL, then adjust to a pH of 1.6 ± 0.1 with 1.0 N hydrochloric acid, if necessary.
**TCA solution:** Prepare a 4.0% (w/v) solution of trichloroacetic acid in water.
**Substrate solution:** Weigh 5.0 g of *USP Hemoglobin Protease Substrate RS* into a large beaker. Add 100 mL of *Dilute hydrochloric acid solution* to the beaker, and stir using a magnetic stirrer. Once the hemoglobin is fully dissolved, adjust the pH of the solution to 1.6 ± 0.1 (use 1.0 N hydrochloric acid, dropwise, to adjust the pH as needed). Quantitatively transfer the solution to a 250-mL volumetric flask, then dilute with *Dilute hydrochloric acid solution* to volume. [Note—Prepare fresh daily.]
**Standard solutions:** Quantitatively prepare four serial dilutions of *USP Pepsin for Assay RS* in *Dilute hydrochloric acid solution* covering the activity range of 0.70–1.25 USP Pepsin U/mL. [Note—Prepare immediately before use.]
**Sample solution:** Quantitatively prepare a solution of pepsin in *Dilute hydrochloric acid solution* containing approximately 0.9–1.0 USP Pepsin U/mL. [Note—Prepare immediately before use.]
**Procedure**
For the standard curve, prepare test tubes as follows (use tubes that can accommodate and allow vortex mixing of a volume of NLT 16 mL). Separately transfer 1.0-mL aliquots of each of the *Standard solutions* into four test tubes—two tubes for the analysis of each *Standard Solution* and two blank tubes for each *Standard solution*. Prepare a substrate blank by transferring 1.0 mL of *Dilute hydrochloric acid solution* into a single test tube. A full set of tubes for creation of the standard curve will require seventeen test tubes.
For each pepsin sample being tested, prepare test tubes as follows. Separately transfer 1.0-mL aliquots of the *Sample Solution* into four test tubes—two tubes for the analysis of each sample and two blank tubes for each sample.
To each of the blank tubes (the substrate blank, the *Standard solution* blanks, and the *Sample solution* blanks), add 10.0 mL of *TCA Solution*, and mix by vortexing. Place all of the test tubes into a water bath maintained at 25° ± 0.1°. Add 5.0 mL of the *Substrate solution* (previously equilibrated to 25° ± 0.1°) to each of the blank tubes, and mix by vortexing. Using a stopwatch and starting at time equals zero, rapidly pipet 5.0 mL of the *Substrate solution* (previously equilibrated to 25° ± 0.1°) successively and at intervals of exactly 30 s into each of the tubes containing the *Sample solution* and *Standard solutions* for analysis. Vortex each tube immediately
after adding the *Substrate solution*, then return the tube to the water bath. Exactly 10.0 min after the addition of the *Substrate solution*, stop the reaction by rapidly pipetting 10.0 mL of the *TCA solution* into each analysis tube at intervals of exactly 30 s, immediately vortexing each tube after addition of the *TCA solution*. Remove all tubes from the water bath.
Allow all of the tubes (including blanks) to sit at room temperature for 25 min. Prepare clean test tubes for filtering the solutions, allowing two tubes for each solution to be filtered. Place funnels in each tube, and line the funnels with fluted or folded filter paper (use Whatman No. 41 ashless filter circles with a minimum diameter of 125 mm, or equivalent). After 25 min, vortex each tube, then transfer the contents of each tube into a clean test tube. Re-filter each of the filtrates through the same paper into a second clean test tube. Measure the absorbance of each of the filtrates at 280 nm using a suitable UV-visible spectrophotometer that has previously been zeroed with the substrate blank in a 1-cm quartz cell. Record the absorbance of each filtrate, and calculate the average absorbance reading for each *Standard solution*, *Sample solution*, and their respective blanks. Determine the net absorbance for each of the *Standard solutions* by subtracting the average absorbance of the *Standard solution* blank from the average absorbance of the corresponding *Standard solution*. Plot a standard curve of the net absorbance of each *Standard solution* versus its concentration, in mg/mL. Determine the slope \((m)\) and y-intercept \((b)\) of the resulting curve.
**Calculation**
One pepsin unit is defined as that quantity of enzyme that produces the equivalent of 1 µmol of tyrosine per min under the conditions of the assay.
Calculate the activity of the enzyme preparation by the equation:
\[
\text{Pepsin Units/mg} = [(A_S - b) \times P]/(m \times C)
\]
in which \(A_S\) is the average absorbance for the sample corrected for the average absorbance of the sample blanks; \(b\) is the y-intercept of the standard curve; \(P\) is the activity of the USP Pepsin for AssayRS used to prepare the *Standard solutions* (U/mg); \(m\) is the slope of the standard curve; and \(C\) is the concentration of the *Sample solution* (mg/mL).
---
**PHOSPHOLIPASE ACTIVITY**
**Application and Principle:** This procedure is used to determine the phospholipase A\(_2\) activity from extracts of porcine pancreatic tissue. The analysis is performed by potentiometric titration.
**Apparatus**
**Automatic titrator:** Use a suitable automatic recording titrator equipped with a stirred, thermostated, controlled-atmosphere titration cell (e.g., Radiometer Autotitrator).
**Homogenizer:** Use a suitable homogenizer (e.g., Biomixer; Fisher Scientific, Catalog No. 11-504-2-4, or equivalent).
**Constant-temperature water bath:** Set at 40° ± 0.1°.
**Reagents and Solutions**
**Calcium chloride solution (0.3 M):** Transfer 4.41 g of calcium chloride dihydrate to a 100-mL volumetric flask, dissolve in, and dilute to volume with water.
**Sodium deoxycholate solution (0.016 M):** Dissolve 0.67 g of sodium deoxycholate (Sigma Chemical Co., Catalog No. D6750) in 100 mL of water.
**Sodium hydroxide solution (0.1 N):** Use a standardized solution.
**Substrate solution:** Add the yolk of one fresh egg to 100 mL of deionized water and homogenize until a stable emulsion is obtained. Add 5 mL of the *Calcium Chloride Solution*, and mix.
**Sample preparation:** Dissolve an accurately weighed amount of enzyme preparation in 0.001 N hydrochloric acid, and dilute to obtain an enzyme activity of 10 to 80 units of activity per mL.
**Procedure**
Pre-equilibrate the *Substrate solution*, the *Sodium deoxycholate solution*, and about 50 mL of water to 40° in the water bath. Transfer 10 mL of the *Substrate solution* to the thermostated titration vessel. Add 5 mL of the *Sodium deoxycholate solution* and 10 mL of deionized water. Blanket the cell with nitrogen and equilibrate for approximately 5 min. Using the *Automatic titrator* filled with 0.1 N *Sodium hydroxide solution*, adjust the pH of the solution to 8.0 ± 0.05. Monitor the consumption (if any) of sodium hydroxide for 5 min as a blank. Refill the *Automatic titrator*. Add 0.1 mL of *Sample solution* containing between 1 and 8 units of activity and start the *Automatic titrator*. Record the sodium hydroxide consumption for at least 5 min.
**Calculation**
One phospholipase unit is defined as the quantity of enzyme that produces 1 microequivalent of free fatty acid per min under the conditions of the test. Determine the rate, $R$, of titrant consumption during 0 to 3 min of the reaction.
[Note—The recorder trace must be linear during the first 3 min of the reaction.]
Determine the rate of titrant consumption (if any) during equilibration (blank) ($R_B$):
$$\text{Units/g} = \frac{(R \times N) - (R_B \times N)}{W}$$
in which $R$ and $R_B$ are the rates of titrant consumption of the sample and blank, respectively, in $\mu$L/min; $N$ is the normality of the titrant; and $W$ is the weight, in g, contained in 0.1 mL of the *Sample preparation* taken for the test.
• **Phytase Activity**
**Application and Principle:** This procedure is used to determine the activity of enzymes releasing phosphate from phytate. The assay is based on enzymatic hydrolysis of sodium phytate under controlled conditions by measurement of the amount of orthophosphate released.
**Reagents and Solutions**
[Note—All glassware must be acid washed, rinsed, and scrupulously cleaned to ensure the absence of phosphate.]
**Acetate buffer (pH 5.5):** Dissolve 1.76 g of 100% acetic acid ($C_2H_4O_2$), 30.02 g of sodium acetate trihydrate ($C_2H_3O_2Na \cdot 3H_2O$), and 0.147 g of calcium chloride dihydrate in about 900 mL of water. Transfer the solution into a 1000-mL volumetric flask, dilute to volume with water, and mix. The pH should be 5.50 ± 0.05.
**Substrate solution:** Dissolve 8.40 g of sodium phytate decahydrate ($C_6H_6O_{24}P_6Na_{12} \cdot 10H_2O$) (MilliporeSigma) in 900 mL of *Acetate buffer*. Adjust the pH to 5.50 ± 0.05 at 37.0° ± 0.1° by adding 4 M acetic acid. Cool to ambient temperature. Quantitatively transfer the mixture to a 1000-mL volumetric flask, dilute to volume with *Acetate buffer*, and mix. Prepare fresh daily.
**Nitric acid solution (27%):** While stirring, slowly add 70 mL of 65% nitric acid to 130 mL of water.
**Ammonium heptamolybdate solution:** Dissolve 100 g of ammonium heptamolybdate tetrahydrate $[(NH_4)_6Mo_7O_{24} \cdot 4H_2O]$ in 900 mL of water in a 1000-mL volumetric flask. Add 10 mL of 25% ammonia solution, dilute to volume with water, and mix. This solution is stable for 4 weeks when stored at ambient temperature and shielded from light.
**Ammonium vanadate solution:** Dissolve 2.35 g of ammonium monovanadate ($NH_4VO_3$) in 400 mL of warm (60°) water. While stirring, slowly add 20 mL of *Nitric acid solution* (27%). Cool to ambient temperature. Quantitatively transfer the mixture to a 1000-mL volumetric flask, dilute to volume with water, and mix. This solution is stable for 4 weeks when stored at ambient temperature and shielded from light.
Color/Stop solution: While stirring, add 250 mL of Ammonium vanadate solution to 250 mL of Ammonium heptamolybdate solution. Slowly add 165 mL of 65% nitric acid. Cool to ambient temperature. Quantitatively transfer the mixture to a 1000-mL volumetric flask, dilute to volume with water, and mix. Prepare fresh daily.
Potassium dihydrogen phosphate solution: Dry a sufficient amount of potassium dihydrogen phosphate (KH$_2$PO$_4$) in a vacuum oven at 100°–104° for 2 h. Cool to ambient temperature in a desiccator over dried silica gel.
In duplicate (solutions A and B), weigh approximately 0.245 g of dried potassium dihydrogen phosphate accurately to within 1 mg and dilute with Acetate buffer to 1 L to obtain solutions containing 1.80 mmol/L of potassium dihydrogen phosphate.
Phytase reference preparation (Highly concentrated phytase preparation): This preparation can be obtained from Gist-Brocades, Delft, The Netherlands, with an assigned activity (by collaborative assay), or the activity of the reference preparation can be determined according to Procedure 2.
Phytase reference solutions, Procedure 1: Weigh an amount of Phytase reference preparation corresponding with 20,000 phytase units (FTU) accurately to within 1 mg in duplicate in 200-mL volumetric flasks. Dissolve in and dilute to volume with Acetate buffer, and mix. Dilute with Acetate buffer to obtain dilutions containing approximately 0.005, 0.01, 0.02, 0.03, and 0.04 FTU/mL.
Sample preparation, Procedure 1: Suspend or dissolve and dilute accurately weighed amounts of sample in Acetate buffer so that 2.0 mL of the final dilution (g/mL) will contain between 0.02 and 0.08 phytase units 0.01 and 0.04 FTU/mL.
Sample preparation, Procedure 1: Suspend or dissolve and dilute accurately weighed amounts of sample in Acetate buffer so that the final dilution (g/mL) will contain between 0.01 and 0.04 FTU/mL.
Sample preparation, Procedure 2: In duplicate, accurately weigh amounts of Phytase reference preparation and dissolve and dilute in Acetate buffer to obtain dilutions containing 0.06 ± 0.006 phytase units per 2.0 mL of the final dilution.
Procedures
Procedure 1: (Determination of the phytase activity) Transfer 2.00 mL of the Sample preparation, Procedure 1, and the Phytase reference solutions, Procedure 1, into separate 20- × 150-mm glass test tubes. Using a stopwatch and starting at time equals zero, in the order of the series and within regular time intervals, place the tubes into a 37.0° ± 0.1° water bath and allow their contents to equilibrate for 5 min. At time equals 5 min, in the same order of the series and with the same time intervals, add 4.0 mL of Substrate solution (previously equilibrated to 37.00 ± 0.10) to each test tube. Mix, and replace in the 37.0° ± 0.1° water bath. At time equals 65 min, in the same order and within the same time intervals, terminate the incubation by adding 4.0 mL of Color/Stop solution. Mix, and cool to ambient temperature. Prepare blanks by transferring 2.00 mL of the Sample preparation, Procedure 1, and the Phytase reference solutions, Procedure 1, into separate 20- × 150-mm glass test tubes. Using a stopwatch and starting at time equals zero, in the order of the series and within regular time intervals, place the tubes into a 37.0° ± 0.1° water bath and allow them to equilibrate for 5 min. At time equals 5 min, in the same order of the series and within the same time intervals, add 4.0 mL of Color/Stop solution. Mix, and cool to ambient temperature. Next add 4.00 mL of Substrate solution to the blank tubes, and mix.
Centrifuge all test tubes for 5 min at 3000 × g. Determine the absorbance of each solution at 415 nm in a 1-cm path-length cell with a suitable spectrophotometer, using water to zero the instrument.
Procedure 2: (Determination of the phytase activity of the Phytase reference preparation)
Transfer 2.00 mL of Sample preparation, Procedure 2, and 2.00 mL (three times from Potassium dihydrogen phosphate solution A and two times from B) of Potassium dihydrogen phosphate solutions into separate 20- × 150-mm glass test tubes. Using a stopwatch and starting at time equals zero, in the order of the series and within regular time intervals, place the tubes into a 37.0° ± 0.1° water bath and allow their contents to equilibrate for 5 min. At time equals 5 min, in the same order of the series and within the same time intervals, add 4.0 mL of Substrate solution (previously equilibrated to 37.0° ± 0.1°) to the test tubes. Mix, and replace in the 37.0° ± 0.1° water bath. At time equals 35 min, in the same order and within the same time intervals, terminate the incubation by adding 4.0 mL of Color/Stop solution. Mix, and cool to ambient temperature.
Prepare blanks by transferring 2.00 mL of Sample preparation, Procedure 2, into separate 20- × 150-mm glass test tubes. Prepare Reagent blanks by transferring 2.00 mL of water into a series of five separate 20- × 150-mm glass test tubes. Add 4.0 mL of Color/Stop solution to all blank tubes and mix. Next add 4.0 mL of Substrate solution, and mix. Determine the absorbance of each solution at 415 nm in a 1-cm path-length cell with a suitable spectrophotometer, using water to zero the instrument.
Calculations
Calculation, Procedure 1: One phytase (fytase) unit (FTU) is the amount of enzyme that liberates inorganic phosphate at 1 μmol/min from sodium phytate 0.0051 mol/L at 37.00 at pH 5.50 under the conditions of the test. Calculate the corrected absorbance (sample minus blank) for each Sample preparation and Phytase reference solution. Plot the accurately calculated phytase activity (FTU/mL) of each Phytase reference solution against the corresponding absorbance. From the curve, determine the phytase activity in each Sample preparation (FTU/mL). Determine the phytase activity of the sample being tested:
\[
\text{Activity (FTU/g)} = \frac{\text{phytase activity of the Sample preparation}}{\text{concentration of the Sample preparation (g/mL)}}
\]
Calculation, Procedure 2: Calculate the corrected absorbances \(A_R\) for each Sample preparation (absorbance Phytase reference solution minus corresponding absorbance blank) and for each Potassium dihydrogen phosphate solution, \(A_p\) (absorbance Potassium dihydrogen phosphate solution minus average absorbance reagent blank). Calculate \(C\), the phosphate concentration of each Potassium dihydrogen phosphate solution:
\[
(W \times 1000 \times 2)/\text{MW} = C \ (\text{mmol}/2 \ \text{mL}).
\]
Calculate the absorbances \(D\) for each Potassium dihydrogen phosphate solution after correction for the amount of potassium dihydrogen phosphate weighed:
\[
A_p/C = D \ (\text{absorbance units/mmol of phosphate per 2 mL}).
\]
Calculate the average of results \(D\), giving \(E\) (maximum allowable difference, 5%).
Calculate the activity for each Phytase reference preparation:
\[
(A_R \times F)/(30 \times R \times E) = \text{FTU/g},
\]
in which \(A_R\) equals the corrected absorbance of the Phytase standard solution; \(F\) equals the total dilution factor of the reference preparation; 30 equals the incubation time, in min; \(R\) equals sample weight, in g; \(E\) equals average of \(D\) factors; \(W\) equals the weight of potassium dihydrogen phosphate, in g; and MW equals the molecular weight of potassium dihydrogen phosphate, 136.09 (g/mol).
• **PLANT PROTEOLYTIC ACTIVITY**
**Application and Principle:** This procedure is used to determine the proteolytic activity of papain, ficin, and bromelain. The assay is based on a 60-min proteolytic hydrolysis of a casein substrate at pH 6.0 and 40°. Unhydrolyzed substrate is precipitated with trichloroacetic acid and removed by filtration; solubilized casein is then measured spectrophotometrically.
**Reagents and Solutions**
**Sodium phosphate solution (0.05 M):** Transfer 7.1 g of anhydrous dibasic sodium phosphate into a 1000-mL volumetric flask, dissolve in about 500 mL of water, dilute to volume with water, and mix. Add 1 drop of toluene as a preservative.
**Citric acid solution (0.05 M):** Transfer 10.5 g of citric acid monohydrate into a 1000-mL volumetric flask, dissolve in about 500 mL of water, dilute to volume with water, and mix. Add 1 drop of toluene as a preservative.
**Phosphate–cysteine–EDTA buffer solution:** Dissolve 7.1 g of anhydrous dibasic sodium phosphate in about 800 mL of water, and then dissolve in this solution 14.0 g of disodium EDTA dihydrate and 6.1 g of cysteine hydrochloride monohydrate. Adjust to pH 6.0 ± 0.1 with 1 N hydrochloric acid or 1 N sodium hydroxide, then transfer into a 1000-mL volumetric flask, dilute to volume with water, and mix.
**Trichloroacetic acid solution:** Dissolve 30 g of trichloroacetic acid in 100 mL of water.
**Casein substrate solution:** Disperse 1 g (moisture-free basis) of Hammarsten-grade casein (United States Biochemical Corp., Catalog No. 12840, or equivalent) in 50 mL of *Sodium phosphate solution*, and heat for 30 min in a boiling water bath, with occasional agitation. Cool to room temperature, and with rapid and continuous agitation, adjust to pH 6.0 ± 0.1 by the addition of *Citric acid solution*.
[Note—Rapid and continuous agitation during the addition prevents casein precipitation.]
Quantitatively transfer the mixture into a 100-mL volumetric flask, dilute to volume with water, and mix.
**Stock standard solution:** Transfer 100.0 mg of USP Papain Reference Standard into a 100-mL volumetric flask, dissolve, and dilute to volume with *Phosphate–cysteine–EDTA buffer solution*, and mix.
**Diluted standard solutions:** Pipet 2, 3, 4, 5, 6, and 7 mL of *Stock standard solution* into a series of 100-mL volumetric flasks, dilute each to volume with *Phosphate–cysteine–EDTA buffer solution*, and mix by inversion.
**Test solution:** Prepare a solution from the enzyme preparation so that 2 mL of the final dilution will give a ΔA in the *Procedure* between 0.2 and 0.5. Weigh the sample accurately, transfer it quantitatively to a glass mortar, and triturate with *Phosphate–cysteine–EDTA buffer solution*. Transfer the mixture quantitatively into a volumetric flask of appropriate size, dilute to volume with *Phosphate–cysteine–EDTA buffer solution*, and mix.
**Procedure**
Pipet 5 mL of *Casein substrate solution* into each of a series of 25- × 150-mm test tubes, allowing three tubes for the enzyme unknown, six for a papain standard curve, and nine for enzyme blanks. Equilibrate the tubes for 15 min in a water bath maintained at 40° ± 0.1°. Starting the stopwatch at zero time, rapidly pipet 2 mL of each of the *Diluted standard solutions*, and 2-mL portions of the *Test solution*, into the equilibrated substrate. Mix each by swirling, stopper, and place the tubes back in the water bath. After 60.0 min, add 3 mL of *Trichloroacetic acid solution* to each tube. Immediately mix each tube by swirling.
Prepare enzyme blanks containing 5.0 mL of *Casein substrate solution*, 3.0 mL of *Trichloroacetic acid solution*, and 2.0 mL of one of the appropriate *Diluted standard solutions* or the *Test solution*.
Return all tubes to the water bath, and heat for 30.0 min, allowing the precipitated protein to coagulate completely. Filter each mixture through Whatman No. 42, or equivalent, filter paper, discarding the first 3 mL of filtrate. The subsequent filtrate must be perfectly clear. Determine the absorbance of each filtrate in a 1-cm cell at 280 nm, with a suitable spectrophotometer, against its respective blank.
**Calculation**
One papain unit (PU) is defined in this assay as that quantity of enzyme that liberates the equivalent of 1 μg of tyrosine per h under the conditions of the assay.
Prepare a standard curve by plotting the absorbances of filtrates from the *Diluted standard solutions* against the corresponding enzyme concentrations, in mg/mL. By interpolation from the standard curve, obtain the equivalent concentration of the filtrate from the *Test solution*. Calculate the activity of the enzyme preparation taken for analysis as follows:
\[
\text{PU/mg} = \frac{(A \times C \times 10)}{W}
\]
in which \( A \) is the activity of USP Papain Reference Standard, in PU per mg; \( C \) is the concentration, in mg/mL, of Reference Standard from the standard curve, equivalent to the enzyme unknown; 10 is the total volume, in mL, of the final incubation mixture; and \( W \) is the weight, in mg, of original enzyme preparation in the 2-mL aliquot of *Test solution* added to the incubation mixture.
---
**Proteolytic Activity Bacterial (PC)**
**Application and Principle:** This procedure is used to determine protease activity, expressed as PC units, of preparations derived from *Bacillus subtilis* var. and *Bacillus licheniformis* var., and it may be used to determine the activity of other proteases at pH 7.0. The assay is based on a 30-min proteolytic hydrolysis of casein at 37° and pH 7.0. Unhydrolyzed casein is removed by filtration, and the solubilized casein is determined spectrophotometrically.
**Reagents and Solutions**
**Casein:** Use Hammarsten-grade casein (United States Biochemical Corp., Catalog No. 12840, or equivalent).
**Tris buffer (pH 7.0):** Dissolve 12.1 g of enzyme-grade (or equivalent) tris(hydroxymethyl)aminomethane in 800 mL of water, and titrate with 1 N hydrochloric acid to pH 7.0. Transfer into a 1000-mL volumetric flask, dilute with water to volume, and mix.
**TCA solution:** Dissolve 18 g of trichloroacetic acid and 19 g of sodium acetate trihydrate in 800 mL of water in a 1000-mL volumetric flask, add 20 mL of glacial acetic acid, dilute with water to volume, and mix.
**Substrate solution:** Dissolve 6.05 g of enzyme-grade tris(hydroxymethyl)aminomethane in 500 mL of water, add 8 mL of 1 N hydrochloric acid, and mix. Dissolve 7 g of *Casein* in this solution, and heat for 30 min in a boiling water bath, stirring occasionally. Cool to room temperature, and adjust to pH 7.0 with 0.2 N hydrochloric acid, adding the acid slowly, with vigorous stirring, to prevent precipitation of the casein. Transfer the mixture into a 1000-mL volumetric flask, dilute with water to volume, and mix.
**Sample preparation:** Using *Tris buffer*, prepare a solution of the sample enzyme preparation so that 2 mL of the final dilution will contain between 10 and 44 bacterial protease units.
**Procedure**
Pipet 10.0 mL of the *Substrate solution* into each of a series of 25- × 150-mm test tubes, allowing one tube for each enzyme test, one tube for each enzyme blank, and one tube for a substrate blank. Equilibrate the tubes for 15 min in a water bath maintained at 37° ± 0.1°.
Starting the stopwatch at zero time, rapidly pipet 2.0 mL of the *Sample preparation* into the equilibrated substrate. Mix, and replace the tubes in the water bath. Add 2 mL of *Tris buffer* (instead of the *Sample preparation*) to the substrate blank. After exactly 30 min, add 10 mL of *TCA solution* to each enzyme incubation and to the substrate blank to stop the reaction. Heat the tubes in the water bath for an additional 30 min to allow the protein to coagulate completely.
At the end of the second heating period, shake each tube vigorously, and filter through 11-cm Whatman No. 42, or equivalent, filter paper, discarding the first 3 mL of filtrate.
[NOTE—The filtrate must be perfectly clear.]
Determine the absorbance of each sample filtrate in a 1-cm cell, at 275 nm, with a suitable spectrophotometer, using the filtrate from the substrate blank to set the instrument at zero. Correct each reading by subtracting the appropriate enzyme blank reading, and record the value so obtained as $A_U$.
**Standard curve**
Transfer 100.0 mg of L-tyrosine, chromatographic-grade or equivalent (Aldrich Chemical Co.), previously dried to constant weight, to a 1000-mL volumetric flask. Dissolve in 60 mL of 0.1 N hydrochloric acid. When completely dissolved, dilute the solution with water to volume, and mix thoroughly. This solution contains 100 $\mu g$ of tyrosine in 1.0 mL. Prepare three more dilutions from this stock solution to contain 75.0, 50.0, and 25.0 $\mu g$ of tyrosine per mL. Determine the absorbance of the four solutions at 275 nm in a 1-cm cell on a suitable spectrophotometer versus 0.006 N hydrochloric acid. Prepare a plot of absorbance versus tyrosine concentration.
**Calculation**
One bacterial protease unit (PC) is defined as that quantity of enzyme that produces the equivalent of 1.5 $\mu g$/mL of L-tyrosine per min under the conditions of the assay.
From the *Standard curve*, and by interpolation, determine the absorbance of a solution having a tyrosine concentration of 60 $\mu g$/mL. A figure close to 0.0115 should be obtained. Divide the interpolated value by 40 to obtain the absorbance equivalent to that of a solution having a tyrosine concentration of 1.5 $\mu g$/mL, and record the value thus derived as $A_S$.
Calculate the activity of the sample enzyme preparation by the equation:
$$\text{PC/g} = \left(\frac{A_U}{A_S}\right) \times \left(\frac{22}{30W}\right)$$
in which 22 is the final volume, in mL, of the reaction mixture; 30 is the time, in min, of the reaction; and $W$ is the weight, in g, of the sample in 2 mL of the *Sample preparation*.
---
**Proteolytic Activity, Fungal (HUT)**
**Application and Principle:** This procedure is used to determine the proteolytic activity, expressed as hemoglobin units on the tyrosine basis (HUT), of preparations derived from *Aspergillus oryzae* var. and *Aspergillus niger* var., and it may be used to determine the activity of other proteases at pH 4.7. The test is based on the 30-min enzymatic hydrolysis of a hemoglobin substrate at pH 4.7 and 40°. Unhydrolyzed substrate is precipitated with trichloroacetic acid and removed by filtration. The quantity of solubilized hemoglobin in the filtrate is determined spectrophotometrically.
**Reagents and Solutions**
**Hemoglobin:** Use Hemoglobin substrate powder (Sigma Chemical Co., Catalog No. H2625) or a similar high-grade material that is completely soluble in water.
**Acetate buffer solution:** Dissolve 136 g of sodium acetate ($\text{NaC}_2\text{H}_3\text{O}_2 \cdot 3\text{H}_2\text{O}$) in sufficient water to make 500 mL. Mix 25.0 mL of this solution with 50.0 mL of 1 M acetic acid, dilute to 1000 mL with water, and mix. The pH of this solution should be 4.7 ± 0.02.
**Substrate solution:** Transfer 4.0 g of the *Hemoglobin* into a 250-mL beaker, add 100 mL of water, and stir for 10 min to dissolve. Immerse the electrodes of a pH meter in the solution, and while stirring continuously, adjust the pH to 1.7 by adding 0.3 N hydrochloric acid. After 10 min, adjust the pH to 4.7 by adding 0.5 M sodium acetate. Transfer the solution into a 200-mL volumetric flask, dilute to volume with water, and mix. This solution is stable for about 5 days when refrigerated.
Trichloroacetic acid solution: Dissolve 140 g of trichloroacetic acid in about 750 mL of water. Transfer the solution to a 1000-mL volumetric flask, dilute to volume with water, and mix thoroughly.
Sample preparation: Dissolve an amount of the sample in the Acetate buffer solution to produce a solution containing, in each mL, between 9 and 22 HUT. (Such a concentration will produce an absorbance reading, in the procedure below, within the preferred range of 0.2 to 0.5.)
Procedure:
Pipet 10.0 mL of the Substrate solution into each of a series of 25- × 150-mm test tubes: one for each enzyme test and one for the substrate blank. Heat the tubes in a water bath at 40° for about 5 min. To each tube, except the substrate blank, add 2.0 mL of the Sample preparation, and begin timing the reaction at the moment the solution is added; add 2.0 mL of the Acetate buffer solution to the substrate blank tube. Close the tubes with No. 4 rubber stoppers, and tap each tube gently for 30 s against the palm of the hand to mix. Heat each tube in a water bath at 40° for exactly 30 min, and then rapidly pipet 10.0 mL of the Trichloroacetic acid solution into each tube. Shake each tube vigorously against the stopper for about 40 s, and then allow to cool to room temperature for 1 h, shaking each tube against the stopper at 10- to 12-min intervals during this period. Prepare enzyme blanks as follows: Heat, in separate tubes, 10.0 mL of the Substrate solution and about 5 mL of the Sample preparation in the water bath for 30 min, then add 10.0 mL of the Trichloroacetic acid solution to the Substrate solution, shake well for 40 s, and to this mixture add 2.0 mL of the preheated Sample preparation. Shake again, and cool at room temperature for 1 h, shaking at 10- to 12-min intervals.
At the end of 1 h, shake each tube vigorously, and filter through 11-cm Whatman No. 42, or equivalent, filter paper, refiltering the first half of the filtrate through the same paper. Determine the absorbance of each filtrate in a 1-cm cell, at 275 nm, with a suitable spectrophotometer, using the filtrate from the substrate blank to set the instrument to zero. Correct each reading by subtracting the appropriate enzyme blank reading, and record the value so obtained as $A_U$.
[Note—If a corrected absorbance reading between 0.2 and 0.5 is not obtained, repeat the test using more or less of the enzyme preparation as necessary.]
Standard curve:
Transfer 100.0 mg of L-tyrosine, chromatographic-grade, or equivalent (Aldrich Chemical Co.), previously dried to constant weight, to a 1000-mL volumetric flask. Dissolve in 60 mL of 0.1 N hydrochloric acid. When the L-tyrosene is completely dissolved, dilute the solution to volume with water, and mix thoroughly. This solution contains 100 μg of tyrosine in 1.0 mL. Prepare three more dilutions from this stock solution to contain 75.0, 50.0, and 25.0 μg of tyrosine per mL. Determine the absorbance of the four solutions at 275 nm in a 1-cm cell on a suitable spectrophotometer versus 0.006 N hydrochloric acid. Prepare a plot of absorbance versus tyrosine concentration. Determine the slope of the curve in terms of absorbance per μg of tyrosine. Multiply this value by 1.10, and record it as $A_S$. A value of approximately 0.0084 should be obtained.
Calculation
One HUT unit of proteolytic (protease) activity is defined as that amount of enzyme that produces, in 1 min under the specified conditions, a hydrolysate whose absorbance at 275 nm is the same as that of a solution containing 1.10 μg/mL of tyrosine in 0.006 N hydrochloric acid.
Calculate the HUT per g of the original enzyme preparation by the equation:
$$\text{HUT/g} = \left(\frac{A_U}{A_S}\right) \times \left(\frac{22/30W}\right)$$
in which 22 is the final volume of the test solution; 30 is the reaction time, in min; and $W$ is the weight, in g, of the original sample taken.
[Note—The value for $A_{S'}$, under carefully controlled and standardized conditions, is 0.0084; this value may be used for routine work in lieu of the value obtained from the standard curve, but the exact value calculated from the standard curve should be used for more accurate results and in cases of doubt.]
**Proteolytic Activity, Fungal (SAP)**
**Application and Principle:** This procedure is used to determine proteolytic activity, expressed in spectrophotometric acid protease units (SAP), of preparations derived from *Aspergillus niger* var. and *Aspergillus oryzae* var., and it may be used to determine the activity of other proteases at pH 3.0. The test is based on a 30-min enzymatic hydrolysis of a Hammarsten Casein Substrate at pH 3.0 and at 37°. Unhydrolyzed substrate is precipitated with trichloroacetic acid and removed by filtration. The quantity of solubilized casein in the filtrate is determined spectrophotometrically.
**Reagents and Solutions**
**Casein:** Use Hammarsten-grade casein (United States Biochemical Corp., Catalog No. 12840, or equivalent).
**Glycine–hydrochloric acid buffer (0.05 M):** Dissolve 3.75 g of glycine in about 800 mL of water. Add 1 N hydrochloric acid until the solution is pH 3.0, determined with a pH meter. Quantitatively transfer the solution to a 1000-mL volumetric flask, dilute with water to volume, and mix.
**TCA solution:** Dissolve 18.0 g of trichloroacetic acid and 11.45 g of anhydrous sodium acetate in about 800 mL of water, and add 21.0 mL of glacial acetic acid. Quantitatively transfer the solution to a 1000-mL volumetric flask, dilute with water to volume, and mix.
**Substrate solution:** Pipet 8 mL of 1 N hydrochloric acid into about 500 mL of water, and with continuous agitation, disperse 7.0 g (moisture-free basis) of *Casein* into this solution. Heat for 30 min in a boiling water bath, stirring occasionally, and cool to room temperature. Dissolve 3.75 g of glycine in the solution, and using a pH meter, adjust to pH 3.0 with 0.1 N hydrochloric acid. Quantitatively transfer the solution to a 1000-mL volumetric flask, dilute with water to volume, and mix.
**Sample preparation:** Using Glycine–hydrochloric acid buffer, prepare a solution of the sample enzyme preparation so that 2 mL of the final dilution will give a corrected absorbance of enzyme incubation filtrate at 275 nm ($\Delta A$, as defined in the Procedure) between 0.200 and 0.500. Weigh the enzyme preparation, quantitatively transfer it to a glass mortar, and triturate with Glycine–Hydrochloric acid buffer. Quantitatively transfer the mixture to an appropriately sized volumetric flask, dilute with Glycine–hydrochloric acid buffer to volume, and mix.
**Procedure**
Pipet 10.0 mL of the *Substrate solution* into each of a series of 25- × 150-mm test tubes, allowing at least two tubes for each sample, one for each enzyme blank, and one for a substrate blank. Stopper the tubes, and equilibrate them for 15 min in a water bath maintained at 37° ± 0.1°. At zero time, start the stopwatch, and rapidly pipet 2.0 mL of the *Sample preparation* into the equilibrated substrate. Mix by swirling, and replace the tubes in the water bath.
[Note—Keep the tubes stoppered during incubation.]
Add 2 mL of Glycine–hydrochloric acid buffer (instead of the *Sample preparation*) to the substrate blank. After exactly 30 min, add 10 mL of TCA solution to each enzyme incubation and to the substrate blank to stop the reaction. In the following order, prepare an enzyme blank containing 10 mL of *Substrate solution*, 10 mL of *TCA Solution*, and 2 mL of the *Sample preparation*. Heat all tubes in the water bath for 30 min, allowing the precipitated protein to coagulate completely. At the end of the second heating period, cool the tubes in an ice bath for 5 min, and filter through Whatman No. 42 filter paper, or equivalent. The filtrates must be perfectly clear. Determine the
absorbance of each filtrate in a 1-cm cell at 275 nm with a suitable spectrophotometer, against the substrate blank. Correct each absorbance by subtracting the absorbance of the respective enzyme blank.
**Standard curve**
Transfer 181.2 mg of L-tyrosine, chromatographic-grade or equivalent (Sigma Chemical Co.), previously dried to constant weight, to a 1000-mL volumetric flask. Dissolve in 60 mL of 0.1 N hydrochloric acid. When the L-tyrosine is completely dissolved, dilute the solution with water to volume, and mix thoroughly. This solution contains 1.00 μmol of tyrosine per 1.0 mL. Prepare dilutions from this stock solution to contain 0.10, 0.20, 0.30, 0.40, and 0.50 μmol/mL. Determine against a water blank the absorbance of each dilution in a 1-cm cell at 275 nm. Prepare a plot of absorbance versus μmol of tyrosine per mL. A straight line must be obtained. Determine the slope and intercept for use in the *Calculation* below. A value close to 1.38 should be obtained. The slope and intercept may be calculated by the least squares method as follows:
\[
\text{Slope} = \frac{n\Sigma (MA) - \Sigma (M) \Sigma (A)}{[n\Sigma (M^2) - (\Sigma M)^2]}
\]
\[
\text{Intercept} = \frac{[\Sigma (A) \Sigma (M^2) - \Sigma (M) \Sigma (MA)]}{[n\Sigma (M^2) - (\Sigma M)^2]},
\]
in which \( n \) is the number of points on the standard curve, \( M \) is the μmol of tyrosine per mL for each point on the standard curve, and \( A \) is the absorbance of the sample.
**Calculation**
One spectrophotometric acid protease unit is that activity that will liberate 1 μmol of tyrosine per min under the conditions specified. The activity is expressed as follows:
\[
\text{SAP/g} = \frac{(\Delta A - I) \times 22}{(S \times 30 \times W)}
\]
in which \( \Delta A \) is the corrected absorbance of the enzyme incubation filtrate; \( I \) is the intercept of the *Standard curve*; 22 is the final volume of the incubation mixture, in mL; \( S \) is the slope of the *Standard curve*; 30 is the incubation time, in min; and \( W \) is the weight, in g, of the enzyme sample contained in the 2.0-mL aliquot of *Sample preparation* added to the incubation mixture in the *Procedure*.
• **Pullulanase Activity**
**Application and Principle:** This procedure is used to determine the pullulanase activity of pullulanase preparations and pullulanase preparations blended with glucoamylase. Acarbose is used in this method to inhibit the glucoamylase enzyme. The method is based on measuring the increase in reducing sugars formed by a 30-min hydrolysis of pullulan at 40° and pH 5.0. The increase in reducing sugars is measured spectrophotometrically at 520 nm using a modified Nelson-Somogyi procedure.
**Reagents and Solutions**
**Citrate buffer (with 0.1 g/L acarbose, pH 5.0):** Dissolve 10.5 g of citric acid monohydrate in 950 mL of water, adjust the pH to 5.0 ± 0.005 using 5 N sodium hydroxide, and dilute to 1000 mL. Dissolve 0.1 g of acarbose (Bayer HealthCare) into 1000 mL of *Citrate buffer* at pH 5.0.
**Nelson's color reagent:** Dissolve 25.0 g of ammonium molybdate tetrahydrate in 300 mL of water, and carefully add 20.0 mL of concentrated sulfuric acid while stirring. Dissolve 3.0 g of sodium arsenate heptahydrate in 25 mL of water. Slowly add this solution to the ammonium molybdate solution with stirring. Dilute this solution to 500 mL with water.
**Somogyi's copper reagent:** Dissolve 14.0 g of anhydrous dibasic sodium phosphate and 20.0 g of potassium sodium tartrate tetrahydrate into 250 mL of water. Add 60.0 g of 1 M sodium hydroxide solution. Dissolve 4.0 g of cupric sulfate pentahydrate into 25 mL of water. Add this solution to the tartrate solution. Add 90.0 g of anhydrous sodium sulfate while stirring. Dilute the final solution to 500 mL.
Glucose standards: Dissolve 800 mg of previously dried anhydrous d-glucose in 100 mL of the Citrate buffer. Prepare glucose standards containing 80, 120, 160, and 250 µg/mL of glucose.
Pullulan substrate: Dissolve 150 mg of pullulan (Sigma Chemical Co, Catalog No. P-4516, or equivalent) in 49.80 g of the Citrate buffer. Prepare daily.
Sample preparation: Dissolve an accurately weighed amount of the enzyme preparation in Citrate buffer and dilute in Citrate buffer to obtain an enzyme activity of 0.015 to 0.040 activity units per mL.
Procedure
Transfer 1.0 mL aliquots of Pullulan substrate to separate 15- × 150-mm test tubes and equilibrate for 15 min in a 40° ± 0.1° water bath. At time equals zero and at 30 s intervals, add 1.0 mL of the respective samples, and mix. Exactly 30.0 min after addition of the samples, add 2.0 mL of Somogyi’s copper reagent to each tube to terminate the reaction. Mix thoroughly, and allow the tubes to come to room temperature.
Run sample blanks by adding 2.0 mL of Somogyi’s copper reagent to 1.0 mL of sample, then add 1.0 mL of substrate. The sample blanks should not be incubated at 40°.
Prepare a standard curve by adding 2.0 mL of each Glucose standard and 2.0 mL of Somogyi’s copper reagent to a test tube, and mix. Run a buffer blank to subtract from the Glucose standards by adding 2.0 mL of buffer and 2.0 mL Somogyi’s copper reagent to a test tube, and mix. The Glucose standards should not be incubated at 40°. Loosely stopper samples, blanks, and Glucose standards containing Somogyi’s copper reagent, and place them in a vigorously boiling water bath for exactly 25.0 min. Cool in an ice bath for 5 min. Add 2.0 mL of Nelson’s color reagent to each tube, and mix thoroughly to dissolve any red precipitate that might be present. Let the solutions stand for 5 min. Add 2.0 mL of water to each tube, and mix. Measure the absorbance of all solutions at 520 nm, using water as the reference. Mix the contents of each tube before transferring them to the cuvette.
Calculations
One pullulanase unit (PUN) is the amount of activity that, under the conditions of the test, will liberate reducing sugars equivalent to 1 µmol of glucose per min. Determine the linear regression line for absorbance versus 2 times the glucose concentration (µg/mL) in the standards. Use the slope, α, in the following equation to determine the activity in the enzyme preparation:
\[ \text{PUN/g} = \frac{(A_S - A_B)}{(\alpha \times W \times 180 \times 30)} \]
in which \( A_S \) is the absorbance of the sample; \( A_B \) is the absorbance of the blank; \( W \) is the weight, in g, of the enzyme preparation contained in the 1.0 mL of Sample preparation taken for analysis; 180 is the molecular weight of glucose; and 30 is the incubation time in min.
• Transglutaminase Activity (Glutaminyl-peptide γ-Glutaminyltransferase)
Application and Principle: This procedure is used to determine transglutaminase activity in preparations derived from Streptoverticillium mobaraense var. The assay is based on the enzymatic formation of a glutamic acid γ-hydroxamate in a glutaminyl residue in the substrate peptide with another substrate, hydroxylamine. The amount of the glutamic acid γ-hydroxamate formed as a red complex with ferric ion in acidic conditions at 37° is measured spectrophotometrically.
Reagents and Solutions
Substrate solution: Transfer 12.110 g of Tris[tri(hydroxymethyl)aminomethane], 3.475 g of hydroxylamine hydrochloride, 1.624 g of glutathione, and 5.060 g of carbobenzyloxy-glutaminylglycine into a 500-mL beaker. Add 350 mL of water, and using a magnetic stirrer, mix well. Adjust the pH to 6.0 with appropriate concentrations (usually 1 N and 6 N) of hydrochloric
acid. Quantitatively transfer this mixture into a 500-mL volumetric flask, and dilute to volume with water.
**Stopping solution:** Prepare a 3 N hydrochloric acid solution by diluting concentrated hydrochloric acid (ca. 36%) four-fold with water. Make a 12% trichloroacetic acid (TCA) solution by transferring 12.0 g of TCA into a 100-mL volumetric flask, adding water to dissolve the TCA, and diluting to volume with water. Prepare a 5% solution of ferric chloride \((\text{FeCl}_3)\) in 0.1 N hydrochloric acid by transferring 5.0 g of ferric chloride hexahydrate \((\text{FeCl}_3 \cdot 6\text{H}_2\text{O})\) into a 100-mL volumetric flask, adding 0.1 N hydrochloric acid to dissolve the ferric chloride, and diluting to volume with 0.1 N hydrochloric acid. On the day of use, combine all three solutions (3 N hydrochloric acid, 12% TCA, and 5% ferric chloride) in equal volumes in a beaker, and using a magnetic stirrer, mix well.
**0.2 M Tris-HCl buffer (pH 6.0):** Transfer 18.11 g of Tris[tri(hydroxymethyl)aminomethane] into a 500-mL beaker. Add 350 mL of water, and using a magnetic stirrer, mix well. Adjust the pH to 6.0 with appropriate concentrations (usually 1 N and 6 N) of hydrochloric acid. Quantitatively transfer this mixture into a 500-mL volumetric flask, and dilute to volume with water.
**Sample solution:** Place 100 mg of sample, accurately weighed, into a 100-mL beaker, and add about 45 mL of *0.2 M Tris-HCl buffer*. Using a magnetic stirrer, mix well at room temperature for 30 min. Quantitatively transfer the mixture into a 50-mL volumetric flask, and dilute to volume with *0.2 M Tris-HCl buffer*.
**Procedure**
**Calibration curve:** Transfer 64.8 mg of L-glutamic acid γ-monohydroxamate standard, accurately weighed, into a suitable flask, and add 10 mL of *0.2 M Tris-HCl buffer*. Dilute this solution sequentially in five steps each by a geometric factor of 2 with *0.2 M Tris-HCl buffer*. Transfer 200 μL of each dilution by pipet into individual test tubes, and incubate at 37° for 1 min. Add 2 mL of *Substrate solution*, previously incubated at 37° for 10 min, to each tube, and mix vigorously with a vortex mixer. Further incubate the mixtures for exactly 10 min, add 2 mL of *Stopping solution* to each tube, and start a stopwatch. Mix vigorously with the vortex mixture, and separate any insoluble material by centrifugation at 1500 × g for 10 min at about 25°. Measure the absorbance of the supernatant in each tube at 525 nm exactly 30 min after the addition of the *Stopping solution*. Plot the absorbance against the amount of L-glutamic acid γ-monohydroxamate, and obtain a standard calibration curve used to calculate the amount of glutamic acid γ-monohydroxamate in carbobenzyloxy-glutaminylglycine from the absorbance obtained in the analysis of the samples.
**Analysis of Samples**
Transfer 200 μL of *Sample solution* by pipet into a test tube, and incubate at 37° for 1 min. Add 2 mL of *Substrate solution*, previously incubated at 37° for 10 min, and mix vigorously using a vortex mixer. Further incubate the mixture for exactly 10 min, add 2 mL of *Stopping solution*, and start a stopwatch. Mix vigorously using a vortex mixer, and separate any insoluble material by centrifugation at 1500 × g for 10 min at about 25°. Measure the absorbance of the supernatant at 525 nm exactly 30 min after adding the *Stopping solution*. For the blank, place 200 μL of *Sample solution* into a test tube, and incubate at 37° for 1 min. Add 2 mL of *Stopping solution*, and mix vigorously using a vortex mixer. Further incubate for exactly 10 min, and add 2 mL of *Substrate solution*, previously incubated at 37° for 10 min, and start a stopwatch. Mix vigorously using a vortex mixer. Separate any insoluble material by centrifugation at 1500 × g for 10 min. Measure the absorbance of the supernatant at 525 nm exactly 30 min after adding the *Substrate solution*.
**Calculation**
One unit of enzyme activity is defined as the amount of enzyme that catalyzes the transglutamination of 1 μmol of substrate into product in 1 min under the conditions of the assay. The specific activity of Transglutaminase is defined as:
\[
\text{Transglutaminase activity (U/g)} = C \times T_S \times \frac{1}{S} \times \frac{1}{10},
\]
in which \(C\) is the concentration, in micromoles per milliliter, of hydroxamate in the *Sample solution* (obtained from the standard calibration curve); \(T_S\) is the total volume, in milliliters, of *Sample solution*; \(S\) is the mass, in grams, of the sample taken; and 10 is the reaction time in min.
**Transglutaminase**
Transfer of acyl groups between the γ-carboxyamide group of peptide-bound glutamine residues and various amines, including the ε-amino group of peptide-bound lysine, to form intra- and intermolecular ε-(γ-glutamyl)lysine crosslinks (see *Table 3*).
### Table 3
| Trivial Name | Classification | Source | Systematic Name (IUB) | IUB No. |
|--------------------|-------------------------|---------------------------------------------|------------------------------------------------------------|---------|
| Transglutaminase | Acyltransferase or | *Streptoverticillium mobaraense* var. | R-glutaminyl-peptide: amine γ-glutamyltransferase | 2,3,2,13 |
• **Trypsin Activity**
**Application and Principle:** This procedure is used to determine the trypsin activity of trypsin preparations derived from purified extracts of porcine or bovine pancreas.
**Reagents and Solutions**
**Fifteenth molar phosphate buffer (pH 7.6):** Dissolve 4.54 g of monobasic potassium phosphate in sufficient water to make 500 mL of solution. Dissolve 4.73 g of anhydrous dibasic sodium phosphate in sufficient water to make 500 mL of solution. Mix 13 mL of the monobasic potassium phosphate solution with 87 mL of the anhydrous dibasic sodium phosphate solution.
**Substrate solution:** Dissolve 85.7 mg of *N*-benzoyl-L-arginine ethyl ester hydrochloride, suitable for use in assaying trypsin, in sufficient water to make 100 mL.
[Note—Determine the suitability of the substrate and check the adjustment of the spectrophotometer by performing the assay using USP Trypsin Reference Standard.]
Dilute 10.0 mL of this solution to 100.0 mL with *Fifteenth molar phosphate buffer*. Determine the absorbance of this solution at 253 nm in a 1-cm cell, with a suitable spectrophotometer, using water as the blank and maintaining the cell temperature at 25° ± 0.1°. Adjust the absorbance of the solution, if necessary, by the addition of *Fifteenth molar phosphate buffer* so that it measures NLT 0.575 and NMT 0.585. Use this solution within a period of 2 h.
**Sample Preparations:** Dissolve a sufficient amount of sample, accurately weighed, in 0.001 N hydrochloric acid to produce a solution containing about 3000 USP trypsin units in each mL. Prepare three dilutions using 0.001 N hydrochloric acid so that the final solutions will contain 12, 18, and 24 USP trypsin units in each 0.2 mL. Use these concentrations in the *Procedure* below.
**Procedure**
Conduct the test in a spectrophotometer equipped to maintain a temperature of 25° ± 0.1° in the cell compartment.
Determine the temperature in the reaction cell before and after the measurement of absorbance to ensure that the temperature does not change by more than 0.5°.
Pipet 0.2 mL of 0.001 N hydrochloric acid and 3.0 mL of *Substrate solution* into a 1-cm cell. Place this cell in the spectrophotometer, and adjust the instrument so that the absorbance will read 0.050 at 253 nm. Pipet 0.2 mL of the *Sample preparation* containing 12 USP units into another 1-cm cell. Add 3.0 mL of *Substrate solution*, and place the cell in the spectrophotometer. At the same time the *Substrate solution* is added, start a stopwatch, and read the absorbance at 30-s intervals for 5 min. Repeat the procedure with the *Sample preparations* containing 18 and 24 USP units. Plot curves of absorbance versus time for each concentration, and use only those values that form a straight line to determine the activity of the trypsin. Discard the values on the plateau, and take the average of the results from the three concentration levels as the actual activity of the trypsin.
**Calculations**
One USP trypsin unit is the activity causing a change in the absorbance of 0.003/min under the conditions specified in this assay.
Calculate the number of USP trypsin units per mg at each level by the equation:
\[
\text{USP trypsin units} = \frac{(A_1 - A_2)}{(T \times W \times 0.003)}
\]
in which \(A_1\) is the absorbance straight-line final reading; \(A_2\) is the absorbance straight-line initial reading; \(T\) is the elapsed time, in min, between the initial and final readings; and \(W\) is the weight, in mg, of trypsin in the volume of solution used in determining the absorbance.
---
1 Shugar, D. 1952. The measurement of lysozyme activity and the ultraviolet inactivation of lysozyme. *Biochimica et Biophysica Acta*. 8:302–309.
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| Topic/Question | Contact | Expert Committee |
|---------------|---------|------------------|
| APPENDIX V -- ENZYME ASSAYS | Tongtong Xu
Associate Scientific Liaison
+1 (301) 692-3659 Ext.3659 | FI2020 Food Ingredients |
**Page Information**
- FCC 12 2S - page 1871
- FCC 12 - page 1366
- FCC 9 - page 413
Dear Loren,
Thank you for your email and your comments.
Please refer to the attached for our answer in detail to your inquiry regarding confidentiality.
Yours sincerely,
Nobuo Okado
Quality Assurance
Shin Nihon Chemical Co., Ltd.
19-10, Showa-cho, Anjo, Aichi 446-0063, Japan
Tel: +81-566-75-5555 Fax: +81-566-75-0010
Mail; email@example.com
2021年6月23日(水) 0:40 Viebrock, Lauren <firstname.lastname@example.org>:
Dear Mr. Okado,
During our review of GRAS Notice No. 000965, we noted that GRN 000965 contained references that were designated confidential. Data and information used to support a GRAS conclusion must be generally available and generally recognized and therefore cannot be confidential. Please clarify whether that information is considered confidential or if it was incorrectly designated confidential. If it is considered confidential, please provide a brief narrative to explain how experts could get to a GRAS conclusion of safety without the confidential information. Please let me know if you have any questions.
We respectfully request a response within **10 business days**. If you are unable to complete the response within that time frame, please contact me to discuss further options.
If you have questions or need further clarification, please feel free to contact me. Thank you in advance for your attention to our comments.
Regards,
Lauren
**Lauren VieBrock**
*Regulatory Review Scientist/Microbiology Reviewer*
Center for Food Safety and Applied Nutrition
Office of Food Additive Safety
U.S. Food and Drug Administration
Tel: 301-796-7454
email@example.com
Responses to the U.S. FDA’s Questions Related to GRAS Notice No. GRN 000965
In response to the United States Food and Drug Administration’s question (dated 22 June 2021) pertaining to GRAS Notice No. GRN 000965, as submitted by Shin Nihon for arabinase enzyme preparation produced by *Aspergillus tubingensis*, below please find the additionally requested information.
**Question 1**
*During our review of GRAS Notice No. 000965, we noted that GRN 000965 contained references that were designated confidential. Data and information used to support a GRAS conclusion must be generally available and generally recognized and therefore cannot be confidential. Please clarify whether that information is considered confidential or if it was incorrectly designated confidential. If it is considered confidential, please provide a brief narrative to explain how experts could get to a GRAS conclusion of safety without the confidential information. Please let me know if you have any questions.*
**Response to Question 1**
Upon inspection of GRAS Notice No. 000965, dated June 19, 2020, it appears that the following references as included in the reference list of the GRAS Panel Report attached as Appendix A (*GRAS Panel Report Concerning the Generally Recognized as Safe (GRAS) Status of an Arabinase Enzyme Preparation from Aspergillus tubingensis GPA41 for Use as a Processing Aid in Food Production*) to the GRAS Notice, were marked as “Confidential”:
- Kasamoto S (2014a) [unpublished]. *Bacterial Reverse Mutation Test with Sumizyme AG (Experiment No. F072 [365-184])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Kasamoto S (2014b) [unpublished]. *Chromosome Aberration Test with Sumizyme AG in Cultured Mammalian Cells (Experiment No. F072 [365-185])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Kasamoto S (2014c) [unpublished]. *Micronucleus Assay of Sumizyme AG in Rats (Experiment No. F072 [365-190])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Sugi M (2014) [unpublished]. *90-Day Repeated Oral Dose Toxicity Study of Sumizyme AG in Rats. (Experiment No. F076 [365-188])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Tanaka J (2017) [unpublished]. *Alkaline Comet Assay of SumizymE AG in Rats. (Experiment No. H290 [365-213])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
The above listed references marked as “Confidential” and as cited in the GRAS Panel Report, are the original reports corresponding to the studies conducted in support of the safety of the arabinase enzyme preparation. The unpublished study reports were incorrectly marked as “Confidential”; Shin Nihon would like to confirm that it is not necessary that the study reports be designated as “Confidential”.
Although the above cited references should not have been designated as “Confidential”, it should also be emphasized that consistent with the general recognition requirement of GRAS determinations that the data and information relied on to support the safety and GRAS status of the arabinase enzyme preparation for its intended use must be generally available and accepted by qualified experts (e.g., through publication in the scientific literature), the results of the above-listed studies also were published in Okado et al. (2019). General recognition of arabinase’s GRAS conclusion was supported by the unanimous consensus rendered by the GRAS Panel after reviewing the study reports, as well as the results of these studies as published in Okado et al. (2019). Although the GRAS Panel that evaluated the safety of the enzyme preparation was provided the Okado et al. (2019) publication, along with the unpublished study reports (as reflected in the GRAS Panel Report), the unpublished study reports do not provide any additional pivotal information upon which the determination of GRAS was made that would not have also been discussed in the Okado et al. (2019) publication. As such, access solely to the published data (i.e., the Okado et al. 2019 publication), in the absence of the unpublished study reports, would not preclude other experts from reaching the same conclusions as the GRAS Panel, regarding the GRAS status of the enzyme for its intended use. Consistent with this, only the Okado et al. (2019) publication is referenced in the GRAS Notice in the context of the above listed study reports. The information provided in the Okado et al. (2019) publication, along with other publicly available data, as discussed in the GRAS Panel Report and GRAS Notice, provided the basis for the GRAS Panel to conclude regarding the safety and GRAS status of the enzyme preparation for its intended use.
Overall, while we confirm that the study reports were erroneously designated as “Confidential”, the results of the studies were published in Okado et al. (2019) and as such the fact that the reports are unpublished does not in our opinion have any implications related to the common knowledge element (i.e., general recognition) of the GRAS standard and the ability of other experts to reach the same conclusions as the GRAS Panel that evaluated the safety of the arabinase enzyme preparation. We hope that this answers the question related to the designation of the unpublished references as “Confidential”; however, please let us know should you require any further information regarding the above.
Dear Loren,
Thank you for your email and your comments.
Please refer to the attached for our answer in detail to your inquiry regarding confidentiality.
Yours sincerely,
Nobuo Okado
Quality Assurance
Shin Nihon Chemical Co., Ltd.
19-10, Showa-cho, Anjo, Aichi 446-0063, Japan
Tel: +81-566-75-5555 Fax: +81-566-75-0010
Mail; firstname.lastname@example.org
2021年6月23日(水) 0:40 Viebrock, Lauren <email@example.com>:
Dear Mr. Okado,
During our review of GRAS Notice No. 000965, we noted that GRN 000965 contained references that were designated confidential. Data and information used to support a GRAS conclusion must be generally available and generally recognized and therefore cannot be confidential. Please clarify whether that information is considered confidential or if it was incorrectly designated confidential. If it is considered confidential, please provide a brief narrative to explain how experts could get to a GRAS conclusion of safety without the confidential information. Please let me know if you have any questions.
We respectfully request a response within **10 business days**. If you are unable to complete the response within that time frame, please contact me to discuss further options.
If you have questions or need further clarification, please feel free to contact me. Thank you in advance for your attention to our comments.
Regards,
Lauren
**Lauren VieBrock**
*Regulatory Review Scientist/Microbiology Reviewer*
Center for Food Safety and Applied Nutrition
Office of Food Additive Safety
U.S. Food and Drug Administration
Tel: 301-796-7454
firstname.lastname@example.org
Responses to the U.S. FDA’s Questions Related to GRAS Notice No. GRN 000965
In response to the United States Food and Drug Administration’s question (dated 22 June 2021) pertaining to GRAS Notice No. GRN 000965, as submitted by Shin Nihon for arabinase enzyme preparation produced by *Aspergillus tubingensis*, below please find the additionally requested information.
**Question 1**
*During our review of GRAS Notice No. 000965, we noted that GRN 000965 contained references that were designated confidential. Data and information used to support a GRAS conclusion must be generally available and generally recognized and therefore cannot be confidential. Please clarify whether that information is considered confidential or if it was incorrectly designated confidential. If it is considered confidential, please provide a brief narrative to explain how experts could get to a GRAS conclusion of safety without the confidential information. Please let me know if you have any questions.*
**Response to Question 1**
Upon inspection of GRAS Notice No. 000965, dated June 19, 2020, it appears that the following references as included in the reference list of the GRAS Panel Report attached as Appendix A (*GRAS Panel Report Concerning the Generally Recognized as Safe (GRAS) Status of an Arabinase Enzyme Preparation from Aspergillus tubingensis GPA41 for Use as a Processing Aid in Food Production*) to the GRAS Notice, were marked as “Confidential”:
- Kasamoto S (2014a) [unpublished]. *Bacterial Reverse Mutation Test with Sumizyme AG (Experiment No. F072 [365-184])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Kasamoto S (2014b) [unpublished]. *Chromosome Aberration Test with Sumizyme AG in Cultured Mammalian Cells (Experiment No. F072 [365-185])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Kasamoto S (2014c) [unpublished]. *Micronucleus Assay of Sumizyme AG in Rats (Experiment No. F072 [365-190])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Sugi M (2014) [unpublished]. *90-Day Repeated Oral Dose Toxicity Study of Sumizyme AG in Rats. (Experiment No. F076 [365-188])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
- Tanaka J (2017) [unpublished]. *Alkaline Comet Assay of SumizymE AG in Rats. (Experiment No. H290 [365-213])*. (Final Report). [Confidential]. Prepared by Public Interest Incorporated Foundation, Biosafety Research Center (BSRC) for Shin Nihon Chemical Co., Ltd.
The above listed references marked as “Confidential” and as cited in the GRAS Panel Report, are the original reports corresponding to the studies conducted in support of the safety of the arabinase enzyme preparation. The unpublished study reports were incorrectly marked as “Confidential”; Shin Nihon would like to confirm that it is not necessary that the study reports be designated as “Confidential”.
Although the above cited references should not have been designated as “Confidential”, it should also be emphasized that consistent with the general recognition requirement of GRAS determinations that the data and information relied on to support the safety and GRAS status of the arabinase enzyme preparation for its intended use must be generally available and accepted by qualified experts (e.g., through publication in the scientific literature), the results of the above-listed studies also were published in Okado et al. (2019). General recognition of arabinase’s GRAS conclusion was supported by the unanimous consensus rendered by the GRAS Panel after reviewing the study reports, as well as the results of these studies as published in Okado et al. (2019). Although the GRAS Panel that evaluated the safety of the enzyme preparation was provided the Okado et al. (2019) publication, along with the unpublished study reports (as reflected in the GRAS Panel Report), the unpublished study reports do not provide any additional pivotal information upon which the determination of GRAS was made that would not have also been discussed in the Okado et al. (2019) publication. As such, access solely to the published data (i.e., the Okado et al. 2019 publication), in the absence of the unpublished study reports, would not preclude other experts from reaching the same conclusions as the GRAS Panel, regarding the GRAS status of the enzyme for its intended use. Consistent with this, only the Okado et al. (2019) publication is referenced in the GRAS Notice in the context of the above listed study reports. The information provided in the Okado et al. (2019) publication, along with other publicly available data, as discussed in the GRAS Panel Report and GRAS Notice, provided the basis for the GRAS Panel to conclude regarding the safety and GRAS status of the enzyme preparation for its intended use.
Overall, while we confirm that the study reports were erroneously designated as “Confidential”, the results of the studies were published in Okado et al. (2019) and as such the fact that the reports are unpublished does not in our opinion have any implications related to the common knowledge element (i.e., general recognition) of the GRAS standard and the ability of other experts to reach the same conclusions as the GRAS Panel that evaluated the safety of the arabinase enzyme preparation. We hope that this answers the question related to the designation of the unpublished references as “Confidential”; however, please let us know should you require any further information regarding the above. |
Celebrate Pro Bono
www.celebrateprobono.org
2010 National Pro Bono Celebration Resource Guide
Sponsored by the American Bar Association Standing Committee on Pro Bono and Public Service
INTRODUCTION
If you are planning on participating in the 2010 National Celebration of Pro Bono – scheduled for October 24-30 -- this is the place to start. During the inaugural Celebration in 2009 hundreds of sponsors coordinated over 650 events in 48 states, a number of territories and Canada. This Resource Guide provides you with many examples, categorized in an easy to navigate way, to help you consider strategies you might implement during your 2010 Celebration.
All of these programs can be found on-line at www.celebrateprobono.org. Many links are provided to help you learn more about these events. Most importantly, you will find the names and email contact information of individuals who will be more than happy to share with you their successful planning strategies.
As you review the events listed you will find an important common denominator. Almost all of the events were coordinated and sponsored by multiple entities. The opportunity to work collaboratively in your community to celebrate the important pro bono contributions of lawyers and to serve those in need in your community is one of the many benefits of the National Celebration of Pro Bono.
Start your planning today!
AWARDS AND RECOGNITION
Recognition of the contributions made by volunteers is essential to the success of pro bono programs as a strategy for retaining current and recruiting new pro bono lawyers. There is an additional benefit that results from the positive publicity the program receives through its awards program.
The 2009 National Celebration of Pro Bono featured many recognition programs and events. Examples include:
Meals and Receptions
Event Title: Delaware State Bar Association Awards Breakfast
Sponsoring Organization: Delaware State Bar Association
Location: Wilmington, Delaware
Contact Information: Rebecca Baird, firstname.lastname@example.org
Event Title: 25th Annual Volusia County Pro Bono Awards Dinner
Sponsoring Organization: Volunteer Lawyers Project; Community Legal Services of Mid-Florida; Volusia County Bar Association
Location: Daytona Beach, Florida
Contact Information: Larry Glinzman, email@example.com
Event Title: Celebrating Service Luncheon and Pro Bono Fair
Sponsoring Organization: Atlanta Bar Association
Location: Atlanta, Georgia
Contact Information: Stefanie Aponte, firstname.lastname@example.org
Event Title: Pro Bono Recognition Luncheon
(Three separate events were held, one each in Bowling Green, Paducah, and Owensboro.)
Sponsoring Organization: Kentucky Legal Aid -- Lawyers Care Volunteer Attorney Program
Location: Bowling Green, Kentucky
Contact Information: Jacqueline Duncan, email@example.com
Event Title: Wine and Cheese Reception and Awards Ceremony
Sponsoring Organization: Baltimore County Bar Association
Location: Towson, Maryland
Contact Information: Jack Condliffe, firstname.lastname@example.org
Event Title: The "For the Good" Banquet
Sponsoring Organization: Campbell University School of Law
Location: Raleigh, North Carolina
Contact Information: Kevin May, email@example.com
Event Title: Fifth Annual Oregon Pro Bono Fair and Awards Ceremony
Sponsoring Organization: Legal Aid Services of Oregon; Oregon State Bar New Lawyers Division; The Multnomah County Bar Association
Location: Portland, Oregon
Contact Information: Catherine Petrecca, firstname.lastname@example.org
Sponsored by Bar Associations, Judiciary, Pro Bono Organizations, Law Firms or Law Schools
Event Title: Pro Bono Publico Awards
Sponsoring Organization: Milwaukee Bar Association
Location: Milwaukee, Wisconsin
Contact Information: Laura Gramling-Perez, email@example.com
Event Title: Annual Homage to Pro Bono Volunteers by the Puerto Rico Bar Association
Sponsoring Organization: Colegio de Abogados de Puerto Rico; Pro Bono Inc. Servicios Voluntarios Del Colegio De Abogados
Location: San Juan, Puerto Rico
Contact Information: Luis E. Rodriguez-Lebron, firstname.lastname@example.org
Event Title: Federal Government Pro Bono Recognition Reception
Sponsoring Organization: DC Circuit Judicial Conference
Location: Washington, District of Columbia
Contact Information: Laura Klein, email@example.com or Kathleen Wach, firstname.lastname@example.org
Event Title: SIU Law Student Pro Bono Celebration
Sponsoring Organization: Southern Illinois University School of Law
Location: Carbondale, Illinois
Contact Information: Mary Payne, email@example.com
Event Title: Minnesota Justice Foundation 27th Annual Celebration
Sponsoring Organization: Minnesota Justice Foundation
Clinics provide excellent opportunities for pro bono attorneys to meet one-on-one with low-income individuals in the community. Typically volunteers provide advice and consultation, direct representation and/or education/outreach services. Clinics can be general in nature or targeted to a particular legal need or client group.
The 2009 National Celebration of Pro Bono featured diverse strategies to effectively engage volunteers with clients in a clinical setting. Examples include:
**Call-in Hotlines**
**Event Title:** Call a Lawyer
**Sponsoring Organization:** Louisville Bar Association; Legal Aid Society Volunteer Lawyer Program; Louisville Pro Bono Consortium
**Location:** Aired on a local television show, WAVE-3, Louisville, Kentucky
**Contact Information:** Kate Lindsay, firstname.lastname@example.org
**Event Title:** VLP Attorney on Law Line TV Show
**Sponsoring Organization:** Siniard, Timberlake & League PC
**Location:** WAAY 31/ABC, Huntsville, Alabama
**Contact Information:** Rich Raleigh, email@example.com
**Event Title:** State Bar Hotline
**Sponsoring Organization:** State Bar of Wisconsin
**Location:** Madison, Wisconsin
**Contact Information:** Jeff Brown, firstname.lastname@example.org
**Substantive Law Focused Clinics**
**Event Title:** Family Law Clinic
**Sponsoring Organization:** Madison County Volunteer Lawyers Program
**Location:** Huntsville, Alabama
**Contact Information:** Rich Raleigh, email@example.com
Event Title: Guardianship Legal Clinic
Sponsoring Organization: Orange County Bar Association; Public Law Center
Location: Orange, California
Contact Information: Dawn Miller, firstname.lastname@example.org
Event Title: Legal Clinic and Domestic Violence Prevention Awareness Seminar
Sponsoring Organization: Legal Aid Of East Tennessee (Johnson City); Tennessee Bar Association Young Lawyers' Division
Location: Bristol, Tennessee
Contact Information: Adam Moore, email@example.com
Event Title: Landlord-Tenant Clinic
(Eight identical clinics held on multiple dates and times.)
Sponsoring Organization: Legal Services of Northern California; University of the Pacific McGeorge School of Law
Location: Sacramento, California
Contact Information: Doan Nguyen, firstname.lastname@example.org
Event Title: Special Education Pro Bono Clinic
Sponsoring Organization: Advocacy Inc.; Texas RioGrande Legal Aid
Location: San Antonio, Texas
Contact Information: Ann Zaragoza, email@example.com
Event Title: Foreclosure Defense Clinic
Sponsoring Organization: Legal Aid Society/Put Something Back; Dade County Bar Association; Legal Services of Greater Miami
Location: Miami, Florida
Contact Information: Bruce Levine, firstname.lastname@example.org
Event Title: Pro Se Divorce Clinic
Sponsoring Organization: Fayette County Pro Bono Program; Fayette County Bar Association; Legal Aid of the Bluegrass
Location: Lexington, Kentucky
Contact Information: Jacqueline Duncan, email@example.com
Clinics in Interesting Locations
Event Title: Project Homeless Connect
(Legal advice/intake clinic offered as one of many services to over 2,000 homeless people on a single day at the Bill Graham Auditorium)
Sponsoring Organization: Volunteer Legal Services Program of the San Francisco Bar Association
Location: San Francisco, California
Contact Information: Tiela Chalmers, firstname.lastname@example.org
Event Title: Case Placement Day at Family Court
Sponsoring Organization: Baton Rouge Bar Foundation Pro Bono Project
Location: Baton Rouge, Louisiana
Contact Information: Robin Kay, email@example.com
Event Title: Ask a Lawyer in the Law Library
Sponsoring Organization: Anne Arundel County Public Law Library; Anne Arundel Bar Association Pro Bono Committee
Location: Annapolis, Maryland
Contact Information: Joan Bellestri, firstname.lastname@example.org
(Also see: http://aacpll.pbworks.com/Pro-Bono-Week-2009)
Event Title: Ask-A-Lawyer Forum
Sponsoring Organization: The Jacksonville Bar Association
Location: Jacksonville, Florida
(The Ask-A-Lawyer Forums were held in various neighborhoods identified by the Jacksonville City Council,)
Contact Information: Kathy Para, email@example.com
Co-sponsored Clinics
Event Title: Wills Clinic
Sponsoring Organization: Fayette County Bar Association; Legal Aid of the Bluegrass; Legal Helpline for Older Kentuckians
Location: Lexington, Kentucky
Contact Information: Jacqueline Duncan, firstname.lastname@example.org
Event Title: Free Naturalization Clinic
Sponsoring Organization: Diocese of Kalamazoo Immigration Assistance Program; Kalamazoo County Bar Association Pro Bono Committee; Michigan Immigrant Rights Project
Location: Kalamazoo, Michigan
Contact Information: Kirsten Inquilla, email@example.com
Event Title: Evening Law Firm Clinic Staffed by Attorneys from Ulmer and Berne LLP
Sponsoring Organization: Legal Aid Society Of Cleveland Volunteer Lawyers Program
Location: Cleveland, Ohio
Contact Information: Ann M. Porath, firstname.lastname@example.org
Event Title: Homeless Assistance Project Ask-A-Lawyer Night
Sponsoring Organization: Legal Aid Center of Southern Nevada Pro Bono Project. UNLV William S. Boyd School of Law’s Public Interest Law Association (PILA), Friends in the Dessert (a local non-profit that feeds the homeless)
Location: Henderson, Nevada
Contact Information: Kimberly Abbott, email@example.com
Event Title: Brief Advice Clinic Staffed by Alumni Attorneys of John Carroll University and McDonald Hopkins LLP
Sponsoring Organization: John Carroll University; Legal Aid Society Of Cleveland Volunteer Lawyers Program; McDonald Hopkins LLP
Location: Cleveland, Ohio
Contact Information: Ann M. Porath, firstname.lastname@example.org
Targeted Audience Legal Clinics
**Event Title:** FOCUS on Senior Citizens Clinic
**Sponsoring Organization:** FOCUS on Senior Citizens
**Location:** Tuscaloosa, Alabama
**Contact Information:** Linda Mills, email@example.com
**Event Title:** Wills for Heroes Clinic
(The clinic was held in three locations: Huntsville, Jackson County, and Morgan County.)
**Sponsoring Organization:** Madison County VLP
**Location:** Alabama
**Contact Information:** Thomas Ryan, firstname.lastname@example.org
**Event Title:** Veterans' Legal Clinic
**Sponsoring Organization:** Legal Aid Society of Mid-New York (Utica Office); Oneida County Bar Association Pro Bono Committee
**Location:** Utica, New York
**Contact Information:** Renee Kolwaite, email@example.com
**Event Title:** Family Forms Clinic en Espanol
**Sponsoring Organization:** Bay Area Volunteer Lawyers Program; Tampa Bay Hispanic Bar Association
**Location:** Tampa, Florida
**Contact Information:** Clara Rodriguez-Rokusek, firstname.lastname@example.org
**Event Title:** Senior Law Institute
**Sponsoring Organization:** City of Las Vegas Senior Law Project and Nevada Supreme Court Access to Justice Commission
**Location:** Las Vegas, Nevada
**Contact Information:** Sheri Cane Vogel, email@example.com
**CONTINUING LEGAL EDUCATION PROGRAMS**
*CLE programs are a traditional way for pro bono programs to recruit new lawyers, retain current volunteers, educate lawyers in areas of law in which the program’s clients need representation and provide skills training for particular types of cases.*
The 2009 National Celebration of Pro Bono featured many ideas for how to effectively use CLE to support various pro bono program objectives. Examples include:
**CLE With A Meal**
**Event Title:** Lunch & Learn and Attorney of the Day
(Three separate “Lunch and Learn” programs focused on Debt Collection Issues, Family Law, Landlord/Tenant and Fair Debt Collection Practices)
**Sponsoring Organization:** Memphis Area Legal Services; Memphis Bar Association Access to Justice Committee
**Location:** Memphis, Tennessee
**Contact Information:** Linda Warren Seely, firstname.lastname@example.org
Event Title: Marion County Bar Luncheon and CLE
Sponsoring Organization: Marion County Bar Association
Location: Hamilton, Alabama
Contact Information: Harry Green, email@example.com
Event Title: Legal Aid of the Bluegrass Appreciation Lunch with Justice Mary Noble
Sponsoring Organization: Fayette County Bar Association; Fayette County Pro Bono Program; Legal Aid of the Bluegrass
Location: Lexington, Kentucky
Contact Information: Jacqueline Duncan, firstname.lastname@example.org
Event Title: Law Over Lunch CLE
(Good Samaritan 101: Ethical Considerations in Pro Bono Representation)
Sponsoring Organization: University of Richmond School of Law
Location: Richmond, Virginia
Contact Information: Tara Casey, email@example.com
Judicial Sponsored CLE
Event Title: New York State Unified Court System/Access to Justice Program Pro Bono Celebration Week Event
Sponsoring Organization: New York County Lawyers Association; New York State Unified Court System/Access to Justice Program
Location: New York, New York
Contact Information: Gloria Herron Arthur, firstname.lastname@example.org
Event Title: Civil Gideon CLE
Sponsoring Organization: Civil Gideon Task Force Judges Committee; Dorsey and Whitney; Minnesota State Bar Association,
Location: Minneapolis, Minnesota
Contact Information: Jennifer Eichten, email@example.com
On-Line/Video CLE
Event Title: Red Carpet Premiere Movie Opening of Tenant Law Training
Sponsoring Organization: Onondaga County Bar Association; Volunteer Lawyer Project
Location: Syracuse, New York
Contact Information: Deborah O'Shea, firstname.lastname@example.org
Event Title: Summit County Foreclosure Video Replay CLE
Sponsoring Organization: Community Legal Aid Services Volunteer Legal Services Program
Location: Akron, Ohio
Contact Information: Sandi Costa, email@example.com
Event Title: Pro Bono Week Training on Cultural Competency
(Free one hour online webinar.)
Sponsoring Organization: Legal Aid Association of California; Public Interest Clearinghouse
Location: National
Contact Information: Vivian Chen, firstname.lastname@example.org
Skills Training CLE
Event Title: Protecting Domestic Violence Survivors and Their Children
Sponsoring Organization: Los Angeles County Bar Association; Practising Law Institute; Public Interest Clearinghouse
Location: Los Angeles, California
Contact Information: Laurie Aronoff, email@example.com
Event Title: Basic Training in VA Benefits Law
Sponsoring Organization: Inner City Law Center
Location: Los Angeles, California
Contact Information: David Ackerly, firstname.lastname@example.org
Event Title: Foreclosure Training
Sponsoring Organization: Civil Justice Inc.; Pro Bono Resource Center of Maryland
Location: Columbia, Maryland
Contact Information: Jennifer Larrabee, email@example.com
Event Title: Special Education Law Training
Sponsoring Organization: Baltimore County Bar Association; Maryland Disability Law Center
Location: Towson, Maryland
Contact Information: Doris Barnes, firstname.lastname@example.org
Event Title: Use Your Legal Skills to Help Those at Risk (In-Home Support Services Benefits Hearing Training)
Sponsoring Organization: Bar Association of San Francisco
Location: San Francisco, California
Contact Information: Donna Willmott at email@example.com
Targeted Substantive CLE
Event Title: Vicarious Trauma in Attorneys: Mental Health CLE for Attorneys in High Conflict Cases
Sponsoring Organization: 28th Judicial District Bar (Buncombe County); Mountain Area Volunteer Lawyers Program (MAVL); Pisgah Legal Services
Location: Asheville, North Carolina
Contact Information: Jennifer Foster, firstname.lastname@example.org
Event Title: Servicemembers Civil Relief Act Program
Sponsoring Organization: San Diego County Bar Association
Location: San Diego, California
Contact Information: Alison Phillips, email@example.com
Event Title: U-Visa and VAWA Training
Sponsoring Organization: Fenwick & West LLP
Location: Mountain View, California
Contact Information: Julie Park, firstname.lastname@example.org
Event Title: Nuts & Bolts Training on the Legal Representation of Children
Sponsoring Organization: Delaware Office of Child Advocate
Location: Wilmington, Delaware
Contact Information: Molly Dunson, email@example.com
Event Title: An Introduction to Forms of Relief from a Criminal Record: Expungement, Sealing and Pardons
Sponsoring Organization: The Chicago Bar Association; The Chicago Bar Foundation
Location: Chicago, Illinois
Contact Information: Kelly Tautges, firstname.lastname@example.org
Event Title: Ethical Issues in Pro Bono Work: Representing a Client with Diminished Capacity
Sponsoring Organization: Hennepin County Bar Association; Volunteer Lawyers Network
Location: Minneapolis, Minnesota
Contact Information: Martha Delaney, email@example.com
Event Title: Civil Gideon CLE
Sponsoring Organization: Dorsey and Whitney; Minnesota State Bar Association Civil Gideon Taskforce Judges Committee
Location: Minneapolis, Minnesota
Contact Information: Jennifer Eichten, firstname.lastname@example.org
FUNDRAISERS
One thing the 2009 National Celebration of Pro Bono established is that lawyers know how to have a good time for a good cause. Across the country various fundraising programs were held to generate income for pro bono and legal services programs. The creativity of program planners resulted in some excellent, replicable models that can be used to generate income for program initiatives. Examples include:
Parties and Receptions
Event Title: Fund Drive for Legal Aid
Sponsoring Organization: Puget Sound Energy Legal Department
Location: Bellevue, Washington
Contact Information: Kendall Cammermeyer, email@example.com
Event Title: Appleseed presents "Raising the Pro Bono Bar"
Sponsoring Organization: Latham & Watkins LLP
Location: Washington, District of Columbia
Contact Information: Nakia Kelly, firstname.lastname@example.org
Event Title: 21st Annual Justice for All Ball
Sponsoring Organization: The Pro Bono Project
Location: New Orleans, Louisiana
Contact Information: Rachel Piercey, email@example.com
Athletic Events
Event Title: Bench-Bar Halloween Run for Justice
Sponsoring Organization: Cleveland Metropolitan Bar Association
Location: Cleveland, Ohio
Contact Information: Mary Groth, firstname.lastname@example.org
Auctions
Event Title: Champions for Justice Bash
Sponsoring Organization: Erie County Bar Association Volunteer Lawyers Project; Legal Services for the Elderly
Location: Buffalo, New York
Contact Information: Christine Biggie, email@example.com
Musical Events
Event Title: Pro Bono Rocks!
Sponsoring Organization: Pro Bono Center of the Allegheny County Bar Foundation
Location: Pittsburgh, Pennsylvania
Contact Information: Barbara Griffin, firstname.lastname@example.org
Unique Events
Event Title: Pro Bono Trick or Treat Spooktacular
Sponsoring Organization: Clark County Bar Association New Lawyers Committee; Lionel Sawyer & Collins
Location: Las Vegas, Nevada
Contact Information: Lauren Calvert, email@example.com
Event Title: Go CASUAL for JUSTICE: Jeans Day Fundraiser
Sponsoring Organization: DC National Pro Bono Celebration Week Planning Committee
Location: Washington, District of Columbia
Contact Information: Erin Martell, firstname.lastname@example.org
Event Title: 1st Annual Charleston County Bar Association Student Division Oyster Roast
Sponsoring Organization: Charleston County Bar Association Student Division; Charleston Pro Bono Legal Services
Location: Charleston, South Carolina
Contact Information: Ginny Howell, email@example.com
Event Title: Nassau County Bar Association Fund ProBonothon 2009
Sponsoring Organization: Nassau County Bar Association
Location: Mineola, New York
Contact Information: Elaine Leventhal, firstname.lastname@example.org
MEDIA: RADIO, TELEVISION, INTERNET AND PRINT
Utilizing the media to spread the message about pro bono has become an increasingly popular strategy for pro bono programs. Whether for recruiting new volunteers, educating the public about the role pro bono lawyers play in their community or communicating about new projects, programs are effectively utilizing radio, television the internet and print media.
The 2009 National Celebration of Pro Bono generated multiple media events of all kinds. Clients with stories to tell, bar leaders, judges and others were featured. Examples include:
Internet (Websites, YouTube and more)
Website:
Event: Web Listing of all Alabama Pro Bono Week Programs
Location: www.alabar.org/ProBonoWeek/event_list.cfm?event=35
Contact Information: Linda Lund, email@example.com
Videos:
Event: Wisconsin Supreme Court Justice Thanks Pro Bono Lawyers
Location: http://www.youtube.com/watch?v=b1Weh4oxZiY
Event: Florida One Campaign
Location: http://onepromiseflorida.org
Contact Information: Adrianne Davis, firstname.lastname@example.org
Event: Illinois Supreme Court Justice Kicks Off Pro Bono Week
Location: http://www.illinoisprobono.org/probonoweek
Event: Maryland State Bar Message for Pro Bono Week
Location: http://www.youtube.com/watch?v=JQfK_v_Jsl4
Contact Information: Sharon Goldsmith, email@example.com
Event: Alabama State Bar Pro Bono Week Announcement
Location: http://www.youtube.com/watch?v=5fcTYrnSn-A
Contact Information: Linda Lund, firstname.lastname@example.org
Event: Ohio State Bar Association News Report on Pro Bono Week
Location: http://www.youtube.com/watch?v=GlvGQRprWk0
Event: Texas Rio Grande Legal Services Pro Bono Week Project: News Item
Location: http://www.youtube.com/watch?v=S6Py7gILkjg
Press Conferences
Event Title: Pro Bono Week Press Conference
Sponsoring Organization: Pro Bono Resource Center of Maryland
Location: Annapolis, Maryland
Contact Information: Sharon Goldsmith, email@example.com
Event Title: Pro Bono Summit/ Press Conference
Sponsoring Organization: Kansas City Metropolitan Bar Association and Foundation
Location: Kansas City, Missouri
Contact Information: Rae Jean McCall, firstname.lastname@example.org
Publications
Event Title: October issue of New York County Lawyers’ Association's *New York County Lawyer* devoted to pro bono
Sponsoring Organization: New York County Lawyers' Association
Location: New York, New York
Contact Information: Anita Aboulafia, email@example.com
Event Title: Barristers Pro Bono Resource Guide Release Party
Sponsoring Organization: Barristers Club of San Francisco
Location: San Francisco, California
Contact Information: Daniel Lavery, firstname.lastname@example.org
Event Title: Release of New Publication: *Law School Public Service Resource Handbook*
Sponsoring Organization: American Association of Law Schools Section on Pro Bono and Public Service Opportunities; Equal Justice Works; American Bar Association Standing Committee on Pro Bono and Public Service and the Center for Pro Bono; National Association for Law Placement
Location: National
Contact Information: Melanie Kushnir, email@example.com
Radio and Television
Event Title: Alabama Bar President Discusses Pro Bono Week on Television Show
Sponsoring Organization: Beasley Allen PC
Location: WSFA-12, Montgomery, Alabama
Contact Information: Helen Taylor, firstname.lastname@example.org
Event Title: Fox News 6 Interviews VLP Attorney
Sponsoring Organization: Birmingham Volunteer Lawyers Program
Location: Birmingham, Alabama
Contact Information: Phillip McCallum, email@example.com
Event Title: Kentucky Educational Television Recognizes Pro Bono
Sponsoring Organization: Kentucky Volunteer Lawyer Program
Location: Lexington, Kentucky
Contact Information: Jacqueline Duncan, firstname.lastname@example.org
Event Title: National Pro Bono Celebration News on "That's Life With Robin Swoboda" - Fox 8 Cleveland Ohio
Sponsoring Organization: Akron Bar Association
Location: Akron/Cleveland, Ohio
Contact Information: Donnie Long, email@example.com
Social Media
Facebook promotions of National Pro Bono Week:
Sponsoring Organization: Alabama Law Foundation
Location: http://www.facebook.com/pages/Alabama-Law-Foundation/73055568745
Sponsoring Organization: Springfield Metropolitan Bar Association
Location: http://www.facebook.com/note.php?note_id=163931675196
Sponsoring Organization: Utah Valley University Legal Studies Program
Location: http://www.facebook.com/topic.php?uid=31917772939&topic=10465
Sponsoring Organization: Georgetown University Paralegal Studies Program
Location: http://www.facebook.com/topic.php?uid=162171377714&topic=12860
Blogs:
Event Title: New York State Bar Association Blog: The Good We Do
Location: http://nysbar.com/blogs/TheGoodWeDo/2009/11/the_good_we_do_toni_nichels.html
Event Title: The Blog of Legal Times
Location: http://legaltimes.typepad.com/blt/2009/10/national-pro-bono-week-starts-today.html
Event Title: Anne Arundel County Public Law Library Blog
Location: http://aacpll.wordpress.com/2009/10/26/national-pro-bono-week-in-the-aacpll/
Event Title: The Volokh Conspiracy (Law Professor’s Blog)
Location: http://volokh.com/2009/10/27/happy-pro-bono-week/
Event Title: Minnesota Lawyer Blog
Location: http://minnlawyerblog.com/2009/11/06/obama-recognizes-success-of-pro-bono-week/
Twitter:
Sponsoring Organization: American Bar Association
Location: http://twitter.com/ABACtrProBono
NEW INITIATIVE KICK-OFFS
The National Celebration of Pro Bono each year presents an opportunity to unveil new pro bono program initiatives and partnerships. Examples include:
Annual Recognition/Social Events
Event Title: 1st Annual Pro Bono Recognition Reception
Sponsoring Organization: Santa Clara County Bar Association
Location: San Jose, California
Contact Information: Chris Burdick, firstname.lastname@example.org
Annual Recruitment Events
Event Title: Pro Bono Fair
Sponsoring Organization: University of Washington School of Law
Location: Seattle, Washington
Contact Information: Kate Cork, email@example.com
Event Title: Grand Opening of the Marquette Volunteer Legal Clinic at the Milwaukee Justice Center
Sponsoring Organization: Marquette University Law School; Milwaukee Bar Association; Milwaukee County
Location: Milwaukee, Wisconsin
Contact Information: Adie Olson, firstname.lastname@example.org
Event Title: 1st Annual Pro Bono Fair
Sponsoring Organization: Albany Law School
Location: Albany, New York
Contact Information: Susan Feathers, email@example.com
Programmatic Initiatives
Event Title: Launching of the State VLP On-Line Intake System
Sponsoring Organization: Alabama Civil Justice Foundation; Alabama's VLP Programs
Location: Montgomery, Mobile, Huntsville, Birmingham, Alabama
Contact Information: Linda Lund, firstname.lastname@example.org
Event Title: Grand Rapids Teen Court
(A diversion program for first-time youthful misdemeanor offenders between the ages of 11-16.)
Sponsoring Organization: Carter-Alexander Institute; Thomas M. Cooley Law School
Location: Grand Rapids, Michigan
Contact Information: Assistant Dean Tracey Brame, email@example.com
Event Title: Kick-off of Ask-A-Lawyer Forums
Sponsoring Organization: The Jacksonville Bar Association
Location: The Ask-A-Lawyer Forums are held in neighborhoods identified by the Jacksonville City Council, Jacksonville, Florida
Contact Information: Kathy Para, firstname.lastname@example.org
Publications
Event Title: Barristers Pro Bono Resource Guide Release Party
Sponsoring Organization: Barristers Club of San Francisco
Location: San Francisco, California
Contact Information: Daniel Lavery, email@example.com
Event Title: Release of New Publication: *Law School Public Service Resource Handbook*
Sponsoring Organization: American Association of Law Schools Section on Pro Bono and Public Service Opportunities; Equal Justice Works; American Bar Association Standing Committee on Pro Bono and Public Service and the Center for Pro Bono; National Association for Law Placement
Location: National
Contact Information: Melanie Kushnir, firstname.lastname@example.org
**PLANNING SESSIONS**
Having a national celebration of the pro bono commitment of lawyers creates an opportunity to explore the role of pro bono locally. A number of communities used the 2009 National Celebration of Pro Bono to convene planning events to explore new strategies for expanding pro bono and new partnerships that could be developed. Examples include:
Strategic Planning Events
Event Title: Pro Bono Strategic Planning Session
Sponsoring Organization: Louisiana State Bar Association
Location: Baton Rouge, Louisiana
Contact Information: Monte Mollere, mmollere@lsba
Collaborative Summits
Event Title: Bay Area Pro Bono Service Providers Summit
Sponsoring Organization: State Bar of California
Location: San Francisco, California
Contact Information: Tiela Chalmers, email@example.com
Event Title: Pro Bono "Stakeholders" Meeting
Sponsoring Organization: Pisgah Legal Services Mountain Area Volunteer Lawyer Program
Location: Asheville, North Carolina
Contact Information: Jennifer Foster, firstname.lastname@example.org
Event Title: Pro Bono Convention
Sponsoring Organization: Ohio Legal Assistance Foundation; Ohio State Bar Association
Location: Columbus, Ohio
Contact Information: Jane Taylor, email@example.com
Event Title: Expanding Justice in Maine: Upstream Solutions to Downstream Problems
Sponsoring Organization: See: http://mainelaw.maine.edu/news/conferences/justice/index.html
Location: Portland, Maine
Contact Information: Nan Heald, firstname.lastname@example.org
Event Title: Pro Bono: Where Do We Go From Here?
Sponsoring Organization: University of Pennsylvania Law School
Location: Philadelphia, Pennsylvania
Contact Information: Arlene Rivera Finkelstein, email@example.com
Brainstorming Gatherings
Event Title: Pro Bono Brainstorming Session and Breakfast
Sponsoring Organization: Pro Bono Inc. Servicios Voluntarios del Colegio de Abogados
Location: San Juan, Puerto Rico
Contact Information: Luis E. Rodriguez-Lebron, firstname.lastname@example.org
PROCLAMATIONS
At the conclusion of the 2009 National Celebration of Pro Bono the ABA Standing Committee on Pro Bono and Public Service received a letter from President Barack Obama, honoring the pro bono work of America’s lawyers. Support from government officials and judges is one important way of celebrating the critical value that pro bono volunteers bring to communities, families and organizations across the country.
The 2009 National Celebration of Pro Bono featured many successful efforts to generate proclamations and to use them in meaningful and motivational ways. Examples include:
Government Officials
Governors:
Florida
http://onepromiseflorida.org/index.php?option=com_content&view=article&id=49:pro-bono-proclamation&catid=3:newsflash
Massachusetts
http://www.probono.net/celebrateprobono/resources/folder.259837-Proclamations
North Carolina
http://www.ncbar.org/about/communications/news/2009-news-articles/gov-perdue-issues-pro-bono-week-proclamation.aspx
Elected Representatives:
Delaware House Of Representatives Resolution
http://www.probono.net/celebrateprobono/resources/folder.259837-Proclamations
Pinellas County FL Board of County Commissioners
http://www.jud6.org/News/ProBonoWork091021.pdf
Tallapoosa County AL Commissioners
http://www.alabar.org/ProBonoWeek/proclamations/Tallapoosa-County.pdf
Mayors:
Mayors of Akron, Wooster, and Youngstown OH
http://www.communitylegalaid.org/news/291-local-mayors-proclaim-october-25th-31st-as-pro-bono-week
Mayor of Demopolis, AL
http://www.alabar.org/ProBonoWeek/proclamations/Demopolis-Proclamation.pdf
Judges:
Alabama Judges Joint Resolution
http://www.alabar.org/ProBonoWeek/images/Judicial-Information-Proclamation.pdf
Supreme Court of Iowa
http://www.iowacourts.gov/wfdata/files/Resoluions/probonoresolutionoct09.pdf
North Carolina District Court Judges
http://www.ncbar.org/about/communications/news/2006-news-articles/district-court-judges-resolution.aspx
Creative Uses of Proclamations
Event Title: Proclamation Display in Lucas County (Ohio) Courthouse
Sponsoring Organization: Toledo Bar Association Pro Bono Legal Services Program
Location: Toledo, Ohio
Contact Information: Pat Intagliata, email@example.com
Event Title: Pro Bono Week Kick-off Ceremony featuring a display of Proclamations at the New York Court of Appeals
Sponsoring Organization: New York State Bar Association
Location: Albany, New York
Contact Information: Gloria Herron Arthur, firstname.lastname@example.org
RECRUITMENT
Recruitment of pro bono program volunteers can take many forms. As programs undertake their recruitment efforts it is essential that they create strategies that will maximize the program’s objectives. Part of that planning includes selecting the correct approach for the targeted audience and identifying the local bar or judicial leaders who will assist with the recruitment effort.
The 2009 National Celebration of Pro Bono demonstrated the creativity that pro bono program uses in implementing recruitment activities. Examples include:
Appeal Letters
Event Title: VLP Letter from Alabama Bar President
Sponsoring Organization: Alabama Bar President
Location: Montgomery, Alabama
Contact Information: Linda Lund, email@example.com
Collaborations
**Event Title:** Protection From Abuse Observation Day
**Sponsoring Organization:** Inc.; Delaware Family Court; Delaware Volunteer Legal Services
**Location:** Wilmington, Delaware
**Contact Information:** Tom McDonough, firstname.lastname@example.org
**Event Title:** Meet Jacksonville Area Legal Aid/Meet the Judges: Open House and Judicial Reception
**Sponsoring Organization:** Jacksonville Area Legal Aid
**Location:** Jacksonville, Florida
**Contact Information:** Kathy Para, email@example.com
**Event Title:** Pro Bono and Community Service Fair
**Sponsoring Organization:** Kirkland and Ellis LLP; The Chicago Bar Association Young Lawyers Section; Chicago Bar Foundation
**Location:** Chicago, Illinois
**Contact Information:** Jenni Bertolino, firstname.lastname@example.org
Meal Events
**Event Title:** Pro Bono Awareness Lunch
**Sponsoring Organization:** Greenberg Traurig LLP
**Location:** Washington, District of Columbia
**Contact Information:** Caline Pinto, email@example.com
**Event Title:** Marquette University Law School Pro Bono Luncheon
**Sponsoring Organization:** Coalition for Access to Legal Resources; Marquette University Law School
**Location:** Milwaukee, Wisconsin
**Contact Information:** Adie Olson, firstname.lastname@example.org
**Event Title:** Networking Reception and Panel Discussion Focusing on Pro Bono/Public Interest Opportunities in the Paralegal Field
**Sponsoring Organization:** Burlington County College; Peirce College
**Location:** Mount Laurel, New Jersey
**Contact Information:** Edwin B. Miller, email@example.com
Fairs and Open Houses
**Event Title:** Pro Bono Recruitment Fair
**Sponsoring Organization:** Legal Aid Center of Southern Nevada Pro Bono Project
**Location:** Las Vegas, Nevada
**Contact Information:** Kimberly Abbott, firstname.lastname@example.org
**Event Title:** Herd About Pro Bono at the University of Buffalo Law School
**Sponsoring Organization:** Buffalo Public Interest Law Project; University of Buffalo Law School Career Services Office; University of Buffalo Law School Student Services Office
**Location:** Buffalo, New York
Contact Information: Heather Strachan, email@example.com
Event Title: Westchester Pro Bono Day: Pro Bono Expo
Sponsoring Organization: Legal Services of the Hudson Valley; The Public Interest Law Center at Pace Law School; Westchester Women's Bar Association
Location: White Plains, New York
Contact Information: Jennifer Friedman, firstname.lastname@example.org
Unique Events
Event Title: Pro Bono Idol Contest
Sponsoring Organization: Volunteer Legal Services Project of Monroe County (NY); Monroe County Bar Association
Location: Rochester, New York
Contact Information: Sheila Gaddis, email@example.com
Event Title: Video Email from Alabama Bar President
Sponsoring Organization: Alabama State Bar
Location: Montgomery, Alabama
Contact Information: Linda Lund, firstname.lastname@example.org
Event Title: National Pro Bono Week Kickoff Breakfast & Ribbon Campaign
Sponsoring Organization: University of Florida Levin College of Law
Location: Gainesville, Florida
Contact Information: Kristen Bryant, email@example.com
Event Title: Great Mississippi Road Trip
(Dinner followed by a deluxe bus trip highlighting the work of the Mississippi Center for Justice)
Sponsoring Organization: Mississippi Center for Justice
Location: Starting in Jackson, Mississippi
Contact Information: Martha Bergmark, firstname.lastname@example.org
Event Title: Lucas County (Ohio) Courtroom Trial Table Tents: "Have You Done Your Pro Bono Today?"
Sponsoring Organization: Toledo Bar Association Pro Bono Legal Services Program
Location: Toledo, Ohio
Contact Information: Pat Intagliata, email@example.com
VIP Events
Event Title: Dinner With the Chief Justice
(The Chief Justice ‘raffled herself off’ to have dinner with students willing to commit to doing pro bono work.)
Sponsoring Organization: Chief Justice Sue Bell Cobb
Location: Montgomery, Alabama
Contact Information: Linda Lund, firstname.lastname@example.org
SEMINARS
An important way of promoting pro bono is by approaching it academically. Understanding why lawyers volunteer and why they don’t, the various strategies that have worked in other jurisdictions, and various innovative pro bono delivery models provides a foundation for analyzing and improving a community’s existing pro bono projects.
The 2009 National Celebration of Pro Bono featured a number of pro bono seminars, sponsored by law school and others. Examples include:
Sponsored by Law Schools
Event Title: Professional Seminar on Public Interest Practice for Law Students
Sponsoring Organization: Faulkner University Jones School of Law Career Services
Location: Montgomery, Alabama
Contact Information: Anita Hamlet, email@example.com
Event Title: Pro Bono Publico: What is it? Who Does it? Is it Meeting the Need?
Sponsoring Organization: University of California Berkeley School of Law
Location: Berkeley, California
Contact Information: Linda Maranzana, firstname.lastname@example.org
Event Title: Adventures in Pro Bono: Partnerships in the Public Interest
Sponsoring Organization: Emory University School of Law
Location: Atlanta, Georgia
Contact Information: Jan Pratt, email@example.com
Event Title: Leadership Conversation on the Future of Pro Bono in NYC
Sponsoring Organization: Columbia Law School
Location: New York, New York
Contact Information: Ellen Chapnick, firstname.lastname@example.org
Sponsored by Others
Event Title: Tuskegee Rotary Club Speaker
Sponsoring Organization: Tuskegee Rotary Club
Location: Tuskegee, Alabama
Contact Information: Linda Lund, email@example.com
Event Title: Southern California Pro Bono Symposium
Sponsoring Organization: Los Angeles Pro Bono Council; Public Counsel; Southwestern Law School
Location: Los Angeles, California
Contact Information: Ted Zepeda, firstname.lastname@example.org
Event Title: Launching Your Career in Immigration and Human Rights Law
Sponsoring Organization: American Immigration Lawyers Association; University of the District of Columbia
Location: Washington, District of Columbia
Contact Information: Susan Timmons, email@example.com
Event Title: Access to Justice in North Carolina: A Right to Counsel in Civil Cases
Sponsoring Organization: University of North Carolina Law Center on Poverty, Work and Opportunity
Location: Chapel Hill, North Carolina
Contact Information: Wendy Spitzer, firstname.lastname@example.org
Event Title: Through Different Eyes: The Faces of Poverty in Virginia
Sponsoring Organization: University of Richmond; Virginia Poverty Law Center
Location: Richmond, Virginia
Contact Information: James Speer, email@example.com
Community Education Programs
Event Title: Free Community Legal Education Seminars
Sponsoring Organization: Legal Services of Eastern Michigan (Saginaw Office); Saginaw County Bar Association
Location: Saginaw, Michigan
Contact Information: Marilyn Hackett, firstname.lastname@example.org
Event Title: Domestic Relations Presentation: How to Represent Yourself In Court
Sponsoring Organization: Battered Families Services; Richard W. Wade Esq.; Advocate Law Center
Location: Gallup, New Mexico
Contact Information: Francisca Palochak, email@example.com
Event Title: Legal Clinic & Domestic Violence Prevention Awareness Seminar
Sponsoring Organization: Legal Aid Of East Tennessee (Johnson City); Tennessee Bar Association Young Lawyers' Division
Location: Bristol, Tennessee
Contact Information: Adam Moore, firstname.lastname@example.org
VIP Programs
Event Title: Civil Gideon CLE Program featuring former vice-president Walter Mondale
Sponsoring Organization: University of St. Thomas Law School Alumni
Location: Minneapolis, Minnesota
Contact Information: Jennifer Eichten, email@example.com
Event Title: University of North Carolina Law Pro Bono Program Keynote Speaker: Martin Eakes
Sponsoring Organization: University of North Carolina School of Law Pro Bono Program
Location: Chapel Hill, North Carolina
Contact Information: Emily Wallwork, firstname.lastname@example.org
Event Title: Charlotte Law Pro Bono Week Keynote Speaker Kirk Bloodsworth,
Sponsoring Organization: Charlotte School of Law
Location: Charlotte, North Carolina
SOCIAL
Sometimes the best way to celebrate the pro bono work of lawyers is to just get together and have a good time. The 2009 National Celebration of Pro Bono featured many events that gave lawyers an opportunity to socialize with each other in a relaxed and fun atmosphere. Examples include:
Art and Theater
Event Title: First Annual VLP Dinner Theater
Sponsoring Organization: Mobile Bar Association Volunteer Lawyers Program
Location: Mobile, Alabama
Contact Information: Blakely Davis, email@example.com
Event Title: Celebrate the Art of Pro Bono: Reception at the Bakersfield Museum of Art
Sponsoring Organization: Greater Bakersfield Legal Assistance; Kern County Law Library
Location: Bakersfield, California
Contact Information: Carol R. Bracey, firstname.lastname@example.org
Athletic Events
Event Title: Pro Bono Celebration 5K Run/Walk
Sponsoring Organization: Delaware Volunteer Legal Services; Widener University School of Law
Location: Wilmington, Delaware
Contact Information: Tom McDonough, email@example.com
Food and Drink
Event Title: Pro Bono Attorney Appreciation Barbecue
Sponsoring Organization: Inc.; Central Louisiana Pro Bono Project
Location: Alexandria, Louisiana
Contact Information: Debbie Smith, firstname.lastname@example.org
Event Title: Kick-off Cocktail Reception
Sponsoring Organization: Lionel Sawyer & Collins
Location: Las Vegas, Nevada
Contact Information: Kristina Marzec, email@example.com
Event Title: Dade County Bar Association Luncheon
Sponsoring Organization: Dade County Bar Association; Legal Aid Society/Put Something Back; Region 7 Legal Service Providers
Location: Miami, Florida
Contact Information: Karen Ladis, firstname.lastname@example.org
Event Title: Celebrate Pro Bono Reception in Tuscaloosa
Sponsoring Organization: Alabama State Bar Volunteer Lawyers Program
Location: Tuscaloosa, Alabama
Contact Information: Jimbo Terrell, email@example.com
Music and Dance
Event Title: Bar Association Battle of the Bands 2009
Sponsoring Organization: Hillsborough County Bar Association
Location: Tampa, Florida
Contact Information: Michele Revels, firstname.lastname@example.org
Event Title: Law Revue: An Evening of Entertainment with Jacksonville Lawyers!
Sponsoring Organization: Jacksonville Area Legal Aid; Jacksonville Bar Association
Location: Jacksonville, Florida
Contact Information: Rose Marie K. Preddy, email@example.com
Event Title: 21st Annual Justice for All Ball
Sponsoring Organization: New Orleans Chapter; The Pro Bono Project
Location: New Orleans, Louisiana
Contact Information: Rachel Piercey, firstname.lastname@example.org
Event Title: Thank You Halloween Party Featuring Attorney-Musicians
Sponsoring Organization: Pisgah Legal Services Mountain Area Volunteer Lawyer Program
Location: Asheville, North Carolina
Contact Information: Jennifer Foster, email@example.com |
Multi-Rate Mixed-Solver for Real-Time Nonlinear Electromagnetic Transient Emulation of AC/DC Networks on FPGA-MPSoc Architecture
TONG DUAN (Student Member, IEEE), ZHUOXUAN SHEN (Member, IEEE), AND VENKATA DINAVAHI (Senior Member, IEEE)
1Department of Electrical and Computer Engineering, University of Alberta, Edmonton, AB T6G 2V4, Canada
2Department of Electrical Engineering, Tsinghua University, Beijing 100084, China
CORRESPONDING AUTHOR: T. DUAN (email@example.com)
This work was supported in part by the Natural Science and Engineering Research Council of Canada (NSERC) and in part by the China Scholarship Council (CSC).
ABSTRACT Nonlinear phenomena widely exist in AC/DC power systems, which should be accounted for accurately in real-time electromagnetic transient (EMT) simulation for obtaining precise results for hardware-in-the-loop applications. However, iterative solutions such as the Newton-Raphson method that can precisely obtain the results for highly nonlinear elements, are time consuming and computationally onerous. To fully utilize the time space and optimize hardware computation resources without loss of accuracy, this work proposes a novel multi-rate mixed-solver for AC/DC systems, wherein both iterative and non-iterative solvers with different time-steps are applied to the decomposed subsystems, and the linear solvers are reused within each time-step. The proposed solver and the complete real-time emulation system are implemented on FPGA-MPSoc platform. The real-time results are captured by the oscilloscope and verified with PSCAD/EMTDC and SaberRD for system-level and device-level performance evaluation.
INDEX TERMS Electromagnetic transient analysis, field-programmable gate arrays, iterative scheme, multi-processing system-on-chip, multi-rate systems, nonlinear elements, parallel processing, power system simulation, real-time systems.
I. INTRODUCTION
Nonlinearities exist in a wide range of elements in power systems and power electronics circuits, such as the nonlinear $v - i$ characteristic of protective surge arresters, magnetic saturation and hysteresis of transformers, and nonlinear switching phenomena of power converters and power electronics devices. These nonlinearities have significant impact on the system response during normal operation and under faulted conditions. Real-time electromagnetic transient (EMT) simulation is frequently used in hardware-in-the-loop test, which is an efficient and reliable method for verifying the control and power equipment before commissioning [1]–[4]. To precisely emulate the characteristics of the system-wide nonlinear elements, iterative schemes, such as the Newton-Raphson (N-R) method [5], are required for the solution of nonlinear impedance in the conductance matrix resulting from nodal formulation of system equations. However, the iterative solver can be computational intensive and more time-consuming than the non-iterative linear solver in EMT simulation for large systems.
In modern power systems, the high voltage AC and DC transmission networks co-exist, wherein both may contain nonlinear elements [6]. The hardware emulation of solving nonlinear elements has been evaluated in [7], which provides the nonlinear solver for this work. Since iterative solution of the whole system may involve extremely intensive computation, the complete system can be decomposed into multiple smaller subsystems using the traveling wave latency on transmission lines due to the existence of long-distance distributed transmission lines. The location and the contained nonlinear elements can vary for different subsystems. In fact, there is no need to apply the same step-size for all subsystems [8]...
since the size of the simulation time-step is dependent on the changing rate during the transient in a certain subsystem and the accuracy requirement. Therefore, this work proposes a novel multi-rate mixed-solver (MRMS) for the real-time EMT simulation of large-scale AC/DC grids, in which both the iterative solver for nonlinear elements and the conventional non-iterative solver are applied for different subsystems, and the time-step can be different among subsystems to achieve optimum performance for the overall accuracy and computation hardware resource consumption. Different from the variable time-stepping simulation [9] that changes the time-step over the simulation time, the time-step of MRMS is fixed for each subsystem, which is beneficial to the hardware implementation and reuse of linear solvers.
The proposed solver and the complete emulation system are implemented on a hybrid Xilinx® UltraScale+ field-programmable gate array (FPGA) [10] and Xilinx® Zynq UltraScale+ multi-processing system-on-chip (MPSoC) [11] device. The MPSoC itself integrates the programmable logic (PL) resource and the ARM® multi-core processor system (PS) on the same chip. Compared with the solution of using discrete CPU and FPGA on different boards, the single-chip solution provides substantially higher communication bandwidth and coherence between the PS and the PL. The improved overall performance of both sequential and parallel computing by using FPGA-MPSoC platform enables the usage of the iterative method and the detailed models applied in this work. The advantages and features of the proposed multi-rate mixed-solver are the following:
1) decomposing the system to apply iterative schemes locally to reduce the computational effort;
2) applying multiple time-step sizes for different subsystems according to the accuracy requirements;
3) reusing the linear solver among subsystems to reduce the hardware resource consumption.
In this work, an AC/DC system test case composed of two IEEE 39-bus systems and a three-terminal high voltage DC transmission (HVDC) system, is emulated in real-time. The simulation results are captured by the oscilloscope and compared with PSCAD/EMTDC® and SaberRD®. The rest of the paper is organized as follows: Section II introduces the multi-rate mixed-solver method and implementation principles. Section III presents the modeling scheme of the nonlinear elements applied in this work. Section IV introduces the FPGA and MPSoC devices and the hardware implementation of the case study. Section V presents the simulation results and the validation followed by the conclusion in Section VI.
II. PROPOSED MULTI-RATE MIXED-SOLVER FOR EMT SIMULATION
In the real-time EMT simulation, the size of simulation time-step is an essential variable that directly determines the time-step dependent parameters and influences the element model selection and computational resource costs. Since the time-step requirements can vary between different subsystems, the multi-rate mixed-solver for real-time EMT simulation is proposed to reduce the hardware resource costs and improve the overall accuracy.
A. MULTI-RATE MIXED-SOLVER
Typically, by applying the KVL and KCL to the network to be solved, the network equation can be derived for time-discretized EMT simulation, which is expressed as follows:
$$\mathbf{Yv} = i_{eq} \quad (1)$$
where $\mathbf{Y}$ is the network conductance matrix, $i_{eq}$ is the equivalent injected current source vector that changes at every time-step, and $v$ is the unknown nodal voltage vector to be solved. For networks that only contain linear elements, $\mathbf{Y}$ is constant over simulation time. However, if the networks contain nonlinear elements, $\mathbf{Y}$ may change during the simulation process. In such a case, the network can be decomposed into linear and nonlinear networks, in which the linear network only contains linear elements and leave the nonlinear elements as open-circuits, while the nonlinear network only contains nonlinear elements and leave the linear elements as open-circuits, as shown in Fig. 1. The current $i_c = [i_1, i_2, ..., i_n]^T$ flows from the linear network to the nonlinear network.
The linear network can be solved as:
$$\mathbf{Y}_l v = i_{eq,l} - i_c \quad (2)$$
where $\mathbf{Y}_l$ and $i_{eq,l}$ are the linear network conductance matrix and equivalent injected current source vector only considering linear elements.
Nonlinear elements in the nonlinear network can be represented by piecewise linearization [12], N-R, or compensating current source methods [13]. The piecewise linear method uses piecewise linear segments to approximate nonlinear $i-v$ functions, wherein the segment of next time-step is determined by the voltage of previous time-step, which may induce the overshoot problem. The N-R method can provide more accurate results by iteratively calculating the conductance matrix within each time-step, which is essential to sensitively respond to system changes. In this work, the N-R method is applied:
$$\mathbf{G}_{nl}(v^k)_n^{k+1} = i_{eq,nl}(v^k) + i_c, \quad (3)$$
where $k$ is the iteration number, $v^k = [v^k_1, v^k_2, ..., v^k_n]^T$ is the results of $k^{th}$ iteration, $\mathbf{G}_{nl}$ and $i_{eq,nl}$ are the Jacobian matrix representing conductance and equivalent injected...
current source vector only considering nonlinear elements, given by:
\[
G_{nl}(v^k) = \begin{bmatrix}
\frac{\partial f_1(v_1)}{\partial v_1} |_{v^k} & \frac{\partial f_1(v_1)}{\partial v_2} |_{v^k} & \cdots & \frac{\partial f_1(v_1)}{\partial v_n} |_{v^k} \\
\vdots & \vdots & & \vdots \\
\frac{\partial f_n(v_n)}{\partial v_1} |_{v^k} & \frac{\partial f_n(v_n)}{\partial v_2} |_{v^k} & \cdots & \frac{\partial f_n(v_n)}{\partial v_n} |_{v^k}
\end{bmatrix}.
\]
(4)
where the function \(f_i(v_i)\) represents the nonlinear \(i-v\) characteristics for node voltage \(v_i\). Then the iterative matrix equation for solving the nonlinear network can be derived from (2) and (3) by eliminating \(i_c\):
\[
[Y_l + G_{nl}(v^k)]v^{k+1} = i_{eq,l} + i_{eq,nl}(v^k)
\]
(5)
Since the iteration times are uncertain and the conductance matrix could be re-factorized, the N-R method could consume more time and resource than piecewise linear method. Thus, it is extremely hard to apply N-R method in large AC/DC systems where the matrix size is large. However, since transmission lines widely exist in AC/DC systems and the line length is usually sufficiently long to guarantee the traveling time is longer than the simulation time-step, the large AC/DC network can be decomposed into \(m\) subsystems using the traveling-wave line model or frequency-dependent line model (FDLM), as shown below:
\[
\begin{bmatrix}
Y_{11} & 0 & \cdots & 0 \\
0 & Y_{22} & \cdots & 0 \\
\vdots & \vdots & \ddots & \vdots \\
0 & 0 & \cdots & Y_{mm}
\end{bmatrix}
\begin{pmatrix}
v_{S1} \\
v_{S2} \\
\vdots \\
v_{Sm}
\end{pmatrix}
= \begin{pmatrix}
i_{eq,S1} \\
i_{eq,S2} \\
\vdots \\
i_{eq,Sm}
\end{pmatrix}
\]
(6)
where \(Y_{ii}\) is the conductance matrix of subsystem \(S_i\), \(1 \leq i \leq m\). Assume the first \(m_1\) subsystems are linear networks, and the last \(m_m\) subsystems are nonlinear. These subsystems can be solved concurrently within each time-step. The linear solver only involves one process of solving the matrix equations, whereas the nonlinear solver may need several iterations of such process, which could take several times the latency of processing than that of the linear solver. Therefore, during the processing of nonlinear solver iterations in each time-step, there will be much idle time for linear solver, and as a result, there will be a lot of hardware resource wasted. On the other hand, the transient behaviors of subsystems where transients such as lightning and switching occur need to be adequately modeled and precisely revealed, while the subsystems distant from the transients are only slightly affected by them and thus they do not need very small time-step to capture the system behavior.
Based on the above observations, the multi-rate mixed-solver is proposed: to ensure high accuracy, both the iterative solver for nonlinear elements and the conventional non-iterative linear solver are applied for different subsystems; and to reduce computation resource consumption, the multiple time-step scheme is used and carefully designed for different subsystems. The proposed multi-rate mixed-solver can be formulated as follows:
\[
Y_{ii}(v_{Si}^k) = i_{eq,SI}^{\Delta t(i)}, \quad 1 \leq i \leq m_1
\]
(7)
\[
Y_{ii}(v_{Si}^k, \Delta t_{nl}(i)) = i_{eq,SI}^{\Delta t(i)}, \quad m_1 + 1 \leq i \leq m
\]
(8)
where
\[
Y_{ii}(v_{Si}^k, \Delta t_{nl}(i)) = Y_{ii,i} + G_{nl,i}(v_{Si}^k, \Delta t_{nl}(i))
\]
(9)
\[
i_{eq,SI}^{\Delta t(i)}(v_{Si}^k, \Delta t_{nl}(i)) = \frac{\Delta t_{nl}(i)}{\Delta t_{nl}(i)} + i_{eq,SI}^{\Delta t(i)}(v_{Si}^k, \Delta t_{nl}(i))
\]
(10)
\[
\Delta t_l(i), \Delta t_{nl}(i) \in \{\Delta t_j\} \quad 1 \leq j \leq p
\]
(11)
Equation (11) denotes that there are \(p\) different time-steps (\(\Delta t_1, ..., \Delta t_p\)) applied, and subsystem \(S_i\) is assigned time-step \(\Delta t_l(i)\) or \(\Delta t_{nl}(i)\) depending on linear or nonlinear systems. Equations (9) and (10) have the same form as the derived iterative matrix equation (5). After each time-step, the results may need to be exchanged between connected subsystems, thus interpolation is required if the two subsystems use different time-steps. For example, if subsystem \(S_j\) needs the results \(v_{Sj}^{\Delta t(j)}\) at simulation time \(t\) (\(t\) is exactly integer multiple of \(\Delta t_l(i)\)) from subsystem \(S_i\), then \(S_i\) should interpolate the results received from \(S_j\) into the data for its own use. In this work, linear interpolation is used:
\[
v_{Sj}^{\Delta t(j)}|_t = v_{Sj}^{\Delta t(j)}|_{t_1} + \frac{t - t_1}{\Delta t_l(j)}(v_{Sj}^{\Delta t(j)}|_{t_2} - v_{Sj}^{\Delta t(j)}|_{t_1}),
\]
(12)
\[
t_1 = \text{rounddown}\left(\frac{t}{\Delta t_l(j)}\right) \times \Delta t_l(j)
\]
(13)
\[
t_2 = \text{roundup}\left(\frac{t}{\Delta t_l(j)}\right) \times \Delta t_l(j)
\]
(14)
For the case shown in Fig. 2 as an example, there are two time-steps applied (small time-step \(\Delta t^S\) and large time-step \(\Delta t^L\)). Within one small time-step, nonlinear subsystem solvers (NSS) perform iterative calculations, while the linear subsystem solver (LSS) with small time-step is reused by subsystems \(S_1^S-S_n^S\) to fully use the time space; and within one large time-step, linear solvers with large time-step are reused.
by subsystems $S_1^L - S_k^L$ and the results at the end of small time-step can be obtained by interpolation between two large time-step results. After each time-step, results of the NSS and LSS with small time-step and the LSS with large time-step are outputted for display respectively and history items are exchanged between adjacent subsystems.
B. SUGGESTED PROCEDURE FOR TIME-STEP SELECTION
In the proposed multi-rate mixed-solver, the selection of time-step sizes and solver types for different subsystems should be carefully analyzed. Assume there are $m$ subsystems $S$ ($S_1, S_2, ..., S_m$), and $p$ different rates with time-step sizes of $\Delta T$ ($\Delta t_1, \Delta t_2, ..., \Delta t_p$) to be selected. Other than the time-step size, reuse of the linear solver for multiple subsystems should also be evaluated. Let $K = (K_1, K_2, ..., K_p)$ denotes the used solvers including linear and nonlinear solvers, then the selection can be seen as a mapping $g : S \mapsto (\Delta T, K)$. The principle of time-step selection is to minimize the total cost including the accuracy and hardware resource consumption while guaranteeing the accuracy requirements, which can be formulated as follows:
$$\min C(g) = \sum_{i=1}^{m} \sum_{j=1}^{p} \sum_{k=1}^{q} [\alpha E(i, j, k) + \beta R(i, j, k)] \cdot g(i, j, k)$$ \hspace{1cm} (15)
$$s.t. \ E(i, j, k) \cdot g(i, j, k) \leq E_{th,i}$$ \hspace{1cm} (16)
$$\sum_{i=1}^{m} g(i, j, k) \cdot t_k \leq \Delta t_j$$ \hspace{1cm} (17)
where $g(i, j, k) = 1$ if $S_i$ uses $\Delta t_j$ as time-step, and is calculated by the solver $K_k$; and otherwise $g(i, j, k) = 0$. $E(i, j, k)$ and $R(i, j, k)$ represent the simulation error and the corresponding resource cost respectively of subsystem $S_i$ with time-step size of $\Delta t_j$ using solver $K_k$, and they are both nonlinear functions of mapping $g$. Besides, as indicated in [16], $E(i, j, k)g(i, j, k)$ should not be bigger than the pre-determined threshold error $E_{th,i}$ of subsystem $S_i$, which means if $E(i, j)$ is larger than $E_{th,i}$ then $g(i, j, k)$ should be equal to zero. Equation (17) indicates that the total calculating time of each solver selected by subsystem $S_i$ (denoted as $t_i$) should not exceed the selected time-step size, the summation sign means the reuse of solver is taken into consideration. $\alpha$ and $\beta$ are scaling factors that unify the two parts of cost. It also should be noted that the number of used solvers $q$ is not a pre-determined constant but a variable of which the optimal value can be solved by (15). However, the equations above are just the principle for time-step selection, because the precise function of $E(i, j, k)$ and $R(i, j, k)$ can only be obtained by experiment and can vary between different systems and different implementation platforms.
C. DATA-FLOW IN MRMS SIMULATION
The data-flow of the MRMS simulation is illustrated in Fig. 3. In the example, there are two rates with time-step of $\Delta t_1$ and $\Delta t_2$, and three solvers named NSS1, LSS1 and LSS2. NSS1 is a nonlinear subsystem solver performing several iterations, after each iteration the voltage $v$ and conductance matrix $G$ is updated until $(|v^k - v^{k-1}|/v^k)$ is smaller than the predetermined threshold. LSS1~2 are linear solvers, and LSS1 is reused by subsystems $S_1$, $S_2$, and $S_3$. For simplicity, Fig. 3 only illustrates the data exchange between subsystem $S_1$ and $S_4$, and the other connections are omitted.
1) LINEAR SOLVER REUSE
Linear solver can be reused by subsystems only when they have the same size of input and output as well as the size of conductance matrix. The input contains conductance matrix, equivalent current source, and history values including the local element history items $hist(t - \Delta t)$ and transmission line history items $hist(t - \tau)$ connected by the other side of the transmission line connection.
2) HISTORY VALUE UPDATE
History items can be partitioned into two types: local updated and remote updated. Local updated history items are handled inside each subsystem logic, which only computes and stores the values of last time-step. Remote history items are handled by the subsystem of the other side of transmission lines, and the history values should be stored more than just one item depending on how many times $\Delta t$ is going to be $\tau$ ($\tau$ is the transmission delay through transmission lines). Since $\tau$ is usually not just integer times of $\Delta t$, interpolation is introduced to obtain the approximate value of $hist(t - \tau)$.
3) STATE CONTROL
All of the states are handled by the state controller, which can remove the state from solver and history item updating and enable the solver to be reused. There are also two types of states to be controlled: solver state and history value state. Solver state indicates which value should be inputted into the solver, and through precise solver state control the solver can be reused within one time-step. History value state indicates which value should be the right history value to be inputted into solver. For example, as shown in Fig. 3, at the time of $t_1$, the conductance matrix, equivalent source current and history...
value \( \text{hist}(t - \Delta t) \) of subsystem \( S_1 \) should be inputted into LSS1, while the history value \( \text{hist}(t - \tau_{1,4}) \) of subsystem \( S_4 \) should also be the input.
### III. POWER SYSTEM EQUIPMENT MODELS
The most common types of nonlinear elements in power systems are AC/DC converters, synchronous generators, transformers with saturable inductive parts, and surge arresters with nonlinear resistances. Although transmission lines are strictly not nonlinear, they are also modeled since they are indispensable in a power grid.
#### A. AC/DC CONVERTER AND POWER ELECTRONICS DEVICES
The common modular multi-level converter (MMC) structure [14] and its equivalent circuit based on the half-bridge submodule (HBSM) are illustrated in Fig. 4(a)~(c). Each HBSM can be equivalenced to a cascaded resistance and voltage source, and the value depends on the switch state and the model applied.
1) **SYSTEM-LEVEL MODEL**
In this model, the IGBT and diode switching transients are ignored while only the electrical model is presented. The terminal and internal dynamics of an individual HBSM depend on the arm current, capacitor voltage and the IGBTs operating state. The detailed equations for the equivalent circuit can be found in [15], [16].
2) **DEVICE-LEVEL MODEL**
This model focuses on the switching transients during turn-on and turn-off operations, and therefore requires smaller time-steps (typically smaller than 0.5\(\mu\)s). The switches within each HBSM are equivalent to voltage sources or current sources depending on turn-on or turn-off operations [17], [18]. And based on the switch equivalence, the equivalent resistance and voltage source value of each HBSM can be derived.
The phase-disposition sinusoidal pulse width modulation (PD-SPWM) method [19] is adopted in this work for attaining desired voltage and power flow characteristics. By proper configurations the system-level controlled variables can be DC voltages or power flows.
#### B. FREQUENCY-DEPENDENT TRANSMISSION LINES
The commonly used transmission line models in EMT simulation are the traveling-wave line model and frequency-dependent line model (FDLM) [20]. The \( R, L, C, G \) line parameters in the traveling-wave line model are constant while in FDLM they are functions of frequency and thus can reproduce accurate line behavior over a wider transient range. In this work, the phase-domain FDLM model [21] is applied for all of the lines in the AC/DC grid. The equivalent circuit for transmission line is shown in Fig. 4(d), which divides the system into two correlated parts. The two endpoints of transmission line are interacted through the equivalent current source \( i_k^{\text{hist}} \) and \( i_m^{\text{hist}} \), of which the values can be computed step-by-step. The detailed model representation and hardware emulation can be found in [22].
#### C. SYNCHRONOUS MACHINES
The synchronous machine can work as Thévenin voltage source [23], [24] or Norton current source [25], [26] depending on the discretization method. To compare with PSCAD/EMTDC®®, in this work, the Norton current source model for synchronous machine is utilized. The equivalent circuit and operating process for Norton current source calculation is shown in Fig 4(e). Since the current source...
representation uses the terminal voltages at $t - \Delta t$ to calculate the currents to be injected at time $t$, a terminating characteristic impedance $r_0$ is always used to terminate the machine to the network. The exciter control system is attached with the machine to provide a feedback for the field voltage and make the machine model work stably.
**D. TRANSFORMERS AND SURGE ARRESTERS**
In this paper, the classical compensation method [27] is used for simplicity while guaranteeing accuracy. Fig. 4(f) shows a typical $\Psi - I$ curve for a modern high-voltage transformer and the compensating process for a two winding transformer, in which the compensating current source is determined by the $\Psi - I$ curve function [26]. Since the nonlinear function is complex to implement in hardware, it is usually linearized into segments to approximately represent the curve when the time-step size is limited. Fig. 4(g) shows the $V - I$ characteristic of the metal-oxide surge arrester [28] that is commonly used in modern power systems. The voltage region is divided into linear segments, resulting in an equivalent circuit composed of a voltage-dependent resistor and current source. To accurately calculate the location of segment within each time-step, the combination of N-R method and piecewise linear method is used in this paper. It is essentially an iterative method, but the nonlinear function is divided into linear segments instead of a continuous curve, which can achieve high accuracy while simplifying the computation process.
**IV. COMPREHENSIVE REAL-TIME EMULATOR IMPLEMENTATION**
An interfaced FPGA-MPSoc platform has been developed for the real-time simulation of the test system. The FPGA-MPSoc hybrid hardware platform enables the integration of FPGA and CPU resources and fast data exchange between boards via proper communication protocols.
**A. TEST SYSTEM**
For thorough analysis of the proposed MRMS solver on real-time FPGA-MPSoc emulator, an AC/DC grid composed of two IEEE 39-bus systems [29] and a three-terminal HVDC system was chosen as the circuit topology, as shown in Fig. 5. In each IEEE 39-bus system, 10 generators, 12 transformers, 19 loads and 34 transmission lines are deployed, and the two IEEE 39-bus systems are connected by three AC/DC MMC converter stations that are connected with each other via 3 DC transmission lines. The control of converter C1 is used for DC voltage regulation, while in the converters C2/C3 the active power flow is chosen as the controlled variable. To protect generators, transformers, cables and other devices from overvoltages caused by lightning, short circuit, switching, etc., 6 surge arresters are also installed in the system.
**B. FPGA-MPSOC IMPLEMENTATION**
The MPSoc ZCU102 board [11] used in this paper is featured with a quad-core ARM® Cortex-A53, dual-core Cortex-R5 real-time processors, and a Mali-400 MP2 graphics processing unit (GPU) based on programmable logic fabric. These processors (PS) communicate with the programmable logic (PL) using high-bandwidth Advanced eXtensible Interface (AXI) channels, enabling low-latency data exchange. The hybrid Virtex UltraScale+ FPGA VCU118 board [10] and MPSoc ZCU102 board platform enable the usage of the iterative method and the detailed models applied.
To extend the resource capacity for simulating the large system, the multi-board solution is applied in this work, as shown in Fig. 6, there are totally three FPGA/MPSoc boards (two VCU118 boards and one ZCU102 board) used
to run the study case. ZCU102 board is the master board connecting with two VCU118 boards and sending instructions to control the behavior of the other two boards. The two VCU118 boards are slave boards, which start or stop to perform simulation under the instruction of the master board. The master MPSoC board has multiple processors which can be used to run sequential computing and state control, whereas the two slave boards have more hardware resources and more communication transceivers which enable larger subsystems to be simulated and faster data exchange between each other.
1) SUBSYSTEM ALLOCATION
There are two IEEE 39-bus systems to be simulated, and each of them are allocated at one single VCU118 FPGA board for simplicity, which also reduces the amount of data to be exchanged between boards. The other three MMC converters are simulated in the ZCU102 MPSoC board to make full use of the APU resources for complex system-level control algorithms. The subsystem allocation for each board is shown in Fig. 5, which is determined by the specific circuit. For example, since almost every generator is connected with a transformer, it is beneficial for solver reuse if every generator-transformer pair is allocated to different individual subsystems, as marked as subsystem $S_1 \sim S_6$.
Due to the transmission lines between converters, the three MMC modules are also divided into three subsystems, each of which is composed of equivalent circuit calculation, value-level control and system-level control. Since the system-level control of MMC converter is sequentially calculated and may consume many hardware resources to execute, it is more efficient to implement the control logic including the inner loop and outer loop control in the PS part of MPSoC board. The computation of value-level control is more intensive than system-level control but the tasks can be well paralleled due to the independence of each SM, and thus are performed in the PL part.
2) MULTI-RATE MIXED-SOLVER
To perform the EMT simulation on FPGA board, the main complexity is contributed by solving the matrix equation. Firstly, the reuse of matrix solver is discussed. The conductance matrix of most subsystems can be divided into smaller matrices, for example, subsystem $S_{11}$ contains 8 buses, which will generate a $24 \times 24$ matrix to be solved. However, considering the uncoupling function of the transmission line model, the $24 \times 24$ matrix can be divided into eight separated $3 \times 3$ matrices and they can be solved by reuse of a $3 \times 3$ linear solver (except for buses with surge arresters that require iterative solvers). The subsystems $S_1 \sim S_6$ composed of a generator and transformer cannot be divided, because the two sides of transformer are coupled and thus at least a $6 \times 6$ matrix is generated. Therefore, the $6 \times 6$ linear solver can be also reused among these subsystems. Subsystem $S_7$ and $S_8$ contain the largest matrix ($9 \times 9$ and $12 \times 12$ respectively) and cannot share the solver with other subsystems, thus consume the longest time to finish calculation within each time-step.
Secondly, multi-rate with four time-step sizes of 0.2µs, 5µs, 10µs, and 20µs is applied among subsystems. Based on the principles of time-step selection, the time-step of the subsystems where transients happen should firstly conform to (17), and then should be as small as possible to meet the accuracy requirements (16) since the hardware resource of VCU118 board is affluent. Therefore, the time-step of 10µs is widely used in subsystems of the IEEE 39-bus, because the processing time of most subsystems is just less than 10µs. Subsystem $S_1 \sim S_6$ can reuse the 6×6 solver between two subsystems to fully occupy the time space. The reuse of 3×3 solver is also adopted in subsystem $S_{11}$ to make full use of the time space when the iterative solver is dealing with buses containing surge arresters. The time-step of subsystem $S_8$ and subsystem $S_{12} \sim S_{14}$ (MMC converters) 20µs is set at 20µs, by considering the large processing delay of the 12×12 matrix solver, the complex control of MMC and the communication latency between boards. The time-step of 5µs is applied only in subsystem $S_{10}$ just for a demonstration of multi-rate, because subsystem $S_{10}$ has the smallest scale and matrix size. The time-step of 0.2µs is adopted for device-level simulation, and considering the limited hardware resources in the MPSoC board only the first SM of MMC C2 is simulated in device-level.
3) DATA EXCHANGE
The history values of the two ends of a transmission line are exchanged after each time-step and stored in a FIFO, and the FIFO shift based on the common time-step size, which is the minimum step-size for the system (5µs). For example, if the time-step of a subsystem is 10µs, then the shifted-register will shift 2 to store the data, which makes the same location of the memory in different subsystems store the data generated simultaneously.
If the two ends of a line are computed in different boards, the communication between interfaced boards should be designed. To enable high-speed communication between the three boards, lightweight communication protocol should be used instead of the common TCP/IP protocol that involves too much time cost during connection establishment. Xilinx® provides a scalable link-layer communication protocol, Aurora [30], which is open and supported by different type of transceivers such as GTX, GTY, and GTH transceivers. The Xilinx® aurora core can automatically initialize and maintain the channel, and the AXI-4 user interface enables users to conveniently generate and receive data without considering the transmission details and handling transmission states. The communication part of the implementation is shown in Fig. 6, the three boards are connected with each other via 2 lanes. After channel establishment, the aurora core reads data from the RAM and a 64b AXI-4 stream based data is generated by combining the 32b user data and 32b address together. The 32b address is used to identify the user data and put it into the right address of the RAM after receiving.
V. RESULTS AND VERIFICATION
The example test case described in Section IV is emulated on the three FPGA/MPSoC boards and the results are compared with PSCAD/EMTDC® and Saber/RT® to show the effectiveness of the proposed multi-rate mixed-solver. The APU cores of MPSoC board run at 1.2GHz, while the clock frequency of FPGA boards is set at 100 MHz.
A. HARDWARE RESOURCE UTILIZATION AND LATENCY
According to the hardware implementation details and subsystem allocation described above, the system-level hardware resource consumption and time-step size are presented in Table 1, in which VCU118-1 represents the version that does not reuse the mixed-solver, and VCU118-2 represents the optimized cost by reusing the linear solvers. Since the two VCU118 boards have nearly the same cost by simulating the same size of circuit topology (IEEE 39-bus system), Table 1 only shows one of them. Four representative types of resources are recorded: lookup table (LUT), flip-flops (FF), block RAM (BRAM), and digital signal processing unit (DSP). Through reuse of solver, the logic resource (mainly refers to LUT) cost can be reduced by about 11.3%, and the computing resource (mainly refers to DSP) cost can be reduced by about 13.1%.
The processing latency of different solvers and functions are recorded in Table 2, which indicates that processing latency varies between different subsystems and different solvers. For example, subsystem $S_{11}$ contains nonlinear surge arresters and subsystem $S_{10}$ only contains linear elements, although the matrix equations they need to solve are both 3×3, the average latency has a big difference because the iterative matrix solver consumes about five times latency of the non-iterative matrix solver averagely. Subsystem $S_8$ consumes the most simulation time because it has the largest matrix (12×12) to solve. It should be noticed that since the
| Resource | VCU118-1 | VCU118-2 | ZCU102 |
|----------|----------|----------|--------|
| LUT | 867,134 (73.3%) | 769,148 (65.1%) | 253,798 (92.6%) |
| FF | 1,027,012 (43.4%) | 914,041 (38.7%) | 452,780 (82.6%) |
| BRAM | 640 (29.6%) | 624 (28.9%) | 416 (45.6%) |
| DSP | 6,748 (98.6%) | 5,864 (85.7%) | 2,490 (98.8%) |
| Time-step | 5.10/20µs | 5.10/20µs | 0.2/10/20µs |
| Subsystem/Element | Latency | Subsystem/Element | Latency |
|-------------------|---------|-------------------|---------|
| Subsystem 1~6 | 5.1~5.6 µs | Subsystem 7 | 7.6 µs |
| Subsystem 8 | 11.2 µs | Subsystem 9 | 4.2 µs |
| Subsystem 10 | 3.2 µs | Subsystem 11 | 9.8 µs |
| Subsystem 12~14 | 14.1 µs | Aurora core | 0.9 µs |
| Trans. Line | 2.35 µs | Transformer | 2.15 µs |
| Generator | 1.05 µs | Surge Arrester | 4.65 µs |
| 3×3 iterative solver | 4.1 µs | 3×3 linear solver | 0.71 µs |
| 5×5 linear solver | 1.67 µs | 6×6 linear solver | 1.81 µs |
| 9×9 linear solver | 4.47 µs | 12×12 linear solver | 7.75 µs |
hardware-based calculation is running in parallel, the latency is not just the simple addition of processing latency of each element.
The latency of Aurora communication is 0.95 μs for data transmission of fifteen 32bit single floating-point data, which includes the transmission latency and the latency of writing and reading data to/from the RAM. Since the three boards use the same clock frequency, the communication latency is almost the same although they use different types of transceivers. The transmission time through fiber is also estimated by end-to-end transmission latency test, which is less than 3 clocks thus is negligible compared to the Aurora core processing latency.
B. REAL-TIME EMULATION RESULTS
To simulate the non-linear behavior of the AC/DC system, the lightning surge at Phase C of AC transmission line 4-14 (between bus 4 and bus 14) in both 39-bus systems and ground fault of both poles at DC line 40-42 (between bus 40 and bus 42) are chosen as the transient test. The results are evaluated by the proposed emulator and PSCAD/EMTDC\textsuperscript{®}, in which PSCAD/EMTDC\textsuperscript{®} uses constant time-step of 10μs and 20μs respectively while the proposed emulator uses multiple time-step of 0.2/5/10/20μs.
Firstly, the steady state operation results are recorded. As representatives, the DC voltage and power flow of the three converters are used to show the power flow between the two 39-bus systems. As shown in Fig. 7(a), it takes about 0.2s for capacitor charging before the DC voltages reach at steady-state of 400kV. The results of the proposed emulator marked as MRMS match well with PSCAD/EMTDC\textsuperscript{®} results with 20μs, and the difference is less than 3%, which is relatively small considering the large scale of topology and number of nonlinear elements. The power flow change operation is shown in Fig. 7(b), in which the power flow from C1 to C2 changes at simulation time of 2.2s, and the power flow from C1 to C3 changes at 3.0s. The simulation results of MRMS are almost the same as PSCAD/EMTDC\textsuperscript{®} at steady-state, but there are some differences during power flow changing operation, because the values outputted by outer and inner loop control will change a lot during power flow change and thus will generate a bigger difference.
The device-level switching transient at the first SM of MMC C2 is also simulated with time-step of 0.2μs, as shown in Fig. 8, the results are compared with SaberRD\textsuperscript{®}. Since the voltage across the switch $v_{c,e,on}$ and conducting current $i_{c,e,off}$ is based on the experimental curve during turn-off and turn-on transient respectively, the corresponding switching results can match with SaberRD\textsuperscript{®} well, but the counterpart $i_{c,e,off}$ and $v_{c,e,off}$ have some differences (less than 2%) with SaberRD\textsuperscript{®} after the gate voltage ($v_{ge}$) changes because they are computed by using the equivalent circuit shown in Fig. 4(c).
Secondly, the transient of lightning surge current is simulated to show the nonlinear behavior of surge arresters and transformers. The standard 10/350μs lightning surge current [31] is applied in this work, given as:
$$I_{LS}(t) = CI_m(t/\tau_1)^k e^{-\frac{t}{\tau_2}} / [1 + (t/\tau_1)^k]$$ \hspace{1cm} (18)
where the coefficient $C = 1.075$, $k = 10$; the time constant $\tau_1 = 19\mu s$, $\tau_2 = 485\mu s$; the maximum value of the surge current $I_m = 10$kA. In this simulation, the lightning surge current is applied at exactly 3s of the simulation, and the results without and with surge arresters are shown in Fig. 9(a)~(c) and (d).
respectively. The peak value and transient details of surge voltage and current without surge arresters installed indicate that changing the time-step value will significantly impact the accuracy. MRMS uses mixed time-step of 0.2/5/10/20μs, and the results are more reasonable than the PSCAD/EMTDC® results with 20μs time-step and are close to that of 10μs. From Fig. 9(d) it can be observed that the MRMS results can even show more details than PSCAD/EMTDC® with 10μs time-step while in the case without surge arresters installed the MRMS results are between the PSCAD/EMTDC® results with 10/20μs time-steps, which indicate that the transient results of MRMS with surge arresters deployed are more reasonable than the results of PSCAD/EMTDC®. That is because PSCAD/EMTDC® uses the piecewise linear method to deal with the nonlinearity of surge arresters while MRMS uses the iterative solver to solve the nonlinear elements for accuracy, although the nonlinear function is simplified with piecewise linear segments.
Finally, the ground fault transient at 8s on the DC link between bus 40 and bus 42 is simulated and the results are shown in Fig. 10. It is observed that the DC voltages of the two links are both impacted by the fault, but converter C1 is impacted more seriously because C1 is not power-controlled but voltage-controlled. The results are reasonable to prove that the HBSMs used to construct the MMCs are not able to block the fault current, because the diodes in each SM can conduct current even when the gate signals are all pulled down, the blocked state restricts current flow only in one of the two potential directions. However, by turning off all the IGBTs when arm currents exceed the predetermined threshold, the MMCs can recover to normal state after 1s.
VI. CONCLUSION
For the real-time EMT simulation of large AC/DC networks that contain various nonlinear elements, iterative solvers are requisite to acquire precise transient results, which could also consume more hardware computational resources. To optimize the accuracy as well as the resource cost, a novel multi-rate mixed-solver is proposed. In the proposed solver, the power system is decomposed into several subsystems, in which multiple time-steps are applied for different subsystems according to the accuracy requirements; by applying the iterative schemes locally and reusing the linear solver among subsystems, the computational resource consumption is reduced. The AC/DC network composed of two IEEE 39-bus systems and three MMC converters is emulated in real-time on the hybrid FPGA-MPSoC platform. Through the solver reuse, the LUT cost can be reduced by about 11.3%, and the DSP cost can be reduced by about 13.1%. The processing delay of different subsystems and solvers is evaluated, which shows the practicality of multi-rating with 0.2/5/10/20µs time-steps applied. The real-time emulation results are captured and compared with PSCAD/EMTDC® and SaberRD®, which demonstrates the effectiveness of the proposed solver. The multi-rate mixed-solver can be used for large AC/DC system simulations that consist of various types of elements with requirements of high accuracy and optimum computation resource consumption. In the future work, the emulation system can be further enlarged with more complicated nonlinear models [32]–[35] for conventional power equipment as well as power electronic apparatus. More types of solvers which are suitable for the subsystem containing specific elements, and more time-step ratings could also be taken into consideration for the system real-time EMT simulation.
VII. APPENDIX
Parameters of the test system: Base values: 100MVA, 230kV, 60Hz; Synchronous generator and loads: the same as [29]; Transformers: 230kV/230kV, leakage induction 0.2pu, copper loss 0.004pu, knee voltage (saturation) 1.17pu, magnetizing current (saturation) 2%; MMC: \( V_{dc} = 400\text{kV}, C_{sm} = 2.5\text{mF}, f_C = 2000\text{Hz}, N = 16, L_{arm} = 0.018\text{H}; \) Device-level MMC: \( t_{d,on} = 0.5\mu s, t_p = 0.55\mu s, t_{d,off} = 4.3\mu s, t_f = 0.4\mu s; \) Surge arrester V-I piecewise points: (0kV, 0kA), (263.82kV, 0.001kA), (317.19kV, 0.1kA), (362.42kV, 2.8kA), (429.89kV, 200kA); Transmission lines: the length of lines in the IEEE 39-bus system is same as [29], and the length of DC lines is 150km, and all of the transmission line parameters are derived using the same tower geometry as in [8].
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[10] VCU118 Evaluation Board User Guide (UG11224), Xilinx, San Jose, CA, USA, Oct. 2018.
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[15] Q. Song, W. Liu, X. Li, H. Rao, S. Xu, and J. Ji, “A steady-state analysis method for a modular multilevel converter,” IEEE Trans. Power Electron., vol. 28, no. 8, pp. 3702–3713, Aug. 2013.
[16] Z. Shen and V. Dinavahi, “Real-time device-level transient electrothermal model for modular multilevel converter on FPGA,” IEEE Trans. Power Electron., vol. 31, no. 9, pp. 6155–6168, Sep. 2016.
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[20] H. W. Dommel, EMTP Theory Book. Portland, OR, USA: Bonneville Power Administration, 1984.
[21] B. Gustavsen and A. Semlyen, “Simulation of transmission line transients using factor fitting and modal decomposition,” IEEE Trans. Power Del., vol. 13, no. 2, pp. 605–614, Apr. 1998.
[22] Y. Chen and V. Dinavahi, “Digital hardware emulation of universal machine and universal line models for real-time electromagnetic transient simulation,” IEEE Trans. Ind. Electron., vol. 59, no. 2, pp. 1300–1309, Feb. 2012.
[23] S. D. Pekarik, O. Wasyniczuk, and H. J. Hegner, “An efficient and accurate model for the simulation and analysis of synchronous machin-converter systems,” IEEE Trans. Energy Convers., vol. 13, no. 1, pp. 42–48, Mar. 1998.
[24] L. Wang and J. Jatskevich, “A voltage-behind-reactance synchronous machine model for the EMTP-type solution,” IEEE Trans. Power Syst., vol. 21, no. 4, pp. 1539–1549, Nov. 2006.
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[28] *IEEE Guide for the Application of Metal-Oxide Surge Arresters for Alternating-Current Systems*, IEEE Standard C62.22-2009, Jul. 2009, pp. 1–142.
[29] *PSCAD TM IEEE_39 Bus System, Revision 1*, Manitoba HVDC Res. Centre, Winnipeg, MB, Canada, 2010.
[30] *Aurora 64B/66B v11.2: LogCORE IP Product Guide*, Xilinx, San Jose, CA, USA, Apr. 2018.
[31] *Protection Against Lightning Electromagnetic Impulse—Part I: General Principles*, IEC Standard 61312-1, Feb. 1995.
[32] N. R. Tavana and V. Dinavahi, “Real-time nonlinear magnetic equivalent circuit model of induction machine on fpga for hardware-in-the-loop simulation,” *IEEE Trans. Energy Convers.*, vol. 31, no. 2, pp. 520–530, Jun. 2016.
[33] J. Liu and V. Dinavahi, “Detailed magnetic equivalent circuit based real-time nonlinear power transformer model on FPGA for electromagnetic transient studies,” *IEEE Trans. Ind. Electron.*, vol. 63, no. 2, pp. 1191–1202, Feb. 2016.
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**TONG DUAN** (S’18) received the B.Eng. degree in electronic engineering from Tsinghua University, Beijing, China, in 2013. He is currently pursuing the Ph.D. degree in electrical and computer engineering with the University of Alberta, Edmonton, AB, Canada. His research interests include real-time simulation of power systems, power electronics, and field-programmable gate arrays.
**ZHUOXUAN SHEN** (S’14–M’18) received the B.Eng. degree in electrical engineering from Jiangsu University, Zhenjiang, China, in 2013, and the Ph.D. degree in electrical and computer engineering from the University of Alberta, Edmonton, AB, Canada, in 2018. He is currently a Post-Doctoral Researcher with Tsinghua University. His research interests include real-time simulation of power systems and power electronics systems.
**VENKATA DINAVAHU** (S’94–M’00–SM’08) received the B.Eng. degree in electrical engineering from the Visveswaraya National Institute of Technology (VNIT), Nagpur, India, in 1993, the M.Tech. degree in electrical engineering from IIT Kanpur, Kanpur, India, in 1996, and the Ph.D. degree in electrical and computer engineering from the University of Toronto, Toronto, ON, Canada, in 2000. He is currently a Professor with the Department of Electrical and Computer Engineering, University of Alberta, Edmonton, AB, Canada. His research interests include real-time simulation of power systems and power electronic systems, electromagnetic transients, device-level modeling, large-scale systems, and parallel and distributed computing. |
NEWS
London, Minneapolis
Amsterdam, Paris
Melbourne, Washington
PACIFIC 4-6-0
a story by
Alan Edward
THE GOLDEN AGE
AND THE MYSTERY OF W.H.
by Alan Jay
PROTECTING CHILDREN
FROM SEXOPHOBICS
by Robin Phillips
BOOKS
STREETBOY DREAMS by Kevin Esser; ATTIC ADOLESCENT by Bob Henderson: THE TRUCKER AND THE TEENS, Vol. 1, by Louis A. Colantuono
LETTERS
The Kinsey Institute &
Johns Hopkins
BOYCAUGHT
Boys and Girls
by Edward Brongersma
THE BATTLE LINE
Three women, one black teacher & one boy
number 19
[p.1, cover]
NOTE: the photographic illustrations in this issue are shown as originally published, unlike most of the other issues on this Web site, because they are known to be in the Public Domain. They were donated to the Brongersma Stichting by the photographer, Hajo Ortil (1905-1983). See p.2.
Hajo Ortil, whose memory we honour here, lived as exciting, full and beneficial a life as any boy-lover could wish (See PAN 9, page 18 ff). Over the years he led some 800 "Hanseatic Pirates" on summer naturist fold-boat trips to virtually every wild corner of Europe. His pioneering naturist youth photo books grace the libraries of boy-lovers the world over. Below, one of the young Pirates holds his picture.
The Brongersma Foundation now has the Ortil collection from which all the photos in this issue are taken. Since Hanseatic Pirates lived naked whenever they could, Hajo's most characteristic photos show the youngsters nude. But shrinks and preachers have sold the lawmakers of England and the USA that photographing a boy without his protective clothing traumatizes him for life, thus we can't print them. We hope this clothed, cropped selection will give some idea of what a "pirate" trip was like.
England would appear to have launched a book-burning spree which finds its only modern parallel in the early years of Hitler. At one time or another every Coltsfoot book as been seized by customs and confiscated as being "indecent" or "obscene". No bookstore in the British Isles dares stock and sell them. Thus we can no longer replace mail-order books confiscated by British customs as we do for our customers in other parts of the world.
---
**IN BRIEF**
London, Minneapolis
Amsterdam, Paris
Melbourne, Washington
**PACIFIC 4-6-0**
a story by Alan Edward
**THE GOLDEN AGE AND THE MYSTERY OF W.H.**
by Alan Jay
**PROTECTING CHILDREN FROM SEXOPHOBICS**
by Robin Phillips
**BOOKS**
STREETBOY DREAMS by Kevin Esser; ATTIC ADOLESCENT by Bob Henderson: THE TRUCKER AND THE TEENS, Vol. 1, by Louis A. Colantuono
**LETTERS**
Correspondence with The Kinsey Institute & Johns Hopkins
**BOYCAUGHT**
Boys and Girls
by Edward Brongersma
**THE BATTLE LINE**
Three women, one black teacher & one boy
PAN is published five times a year by The Coltsfoot Press, P. O. Box 3496, 1001 AG Amsterdam, The Netherlands. Editor, Frank Torey.
ISSN 0167.4749
LITTLEHAMPTON, ENGLAND While few Americans seem to object to the dictatorial powers of social service agencies in atypical families, the English are getting more and more vocal in their outrage (P.A.N. 11, page 38; P.A.N. 14, page 29). Observer columnist Katherine Whitehorn cites one case where a Social Service employee wouldn’t let a mother visit her son in a “care” home simply because the social worker felt slighted over some missed appointments — and no explanation was given to the child as to why he had been forsaken by his parent. Children taken from homes and placed in “care” at present have no “ombudsman” to whom they can complain.
Gay boys have an even rougher time with the “S.S.”, and London’s Gay Youth Movement won a possibly precedent-setting case when it took the West Sussex Social Services to court over a “care” order imposed upon Simon Knill-Jones one week after his 17th birthday in order to separate him from Chris Moore, his 40-year-old lover. Last year the boy’s (male) social worker David Mison had Simon thrown into a sort of youth remand prison (Copthorne assessment centre), from which Simon escaped to live with Chris. When the boy was discovered five months later working in the Lancing Keymarket stores, Mison told the youth’s employer that the boy was on probation (an outright lie) to get him fired and then insisted that Simon stay confined in his lodgings from 7 pm to 7 am every night of the week. “Until your lifestyle improves considerably there can be no question of the care order being revoked... I, with my other colleagues, insist that you remain in your lodgings from 7 pm until 7 am...” Mison wrote the youth last autumn. By now even Simon’s parents had become reconciled to their son’s relationship with Chris and wished the care order removed, but the S.S. refused. At the trial Mison said, “I hope Simon will be rehabilitated, away from Mr. Moore.... I’m concerned about their age difference.... As legislation stands, Simon is rightly in our care.”
“Rehabilitation” in this case would seem to mean de-homosexualisation, since Simon has no criminal record and his family, although rather “Victorian” in their sexual attitudes, is not considered a problem, at least by the S.S. The sole purpose of the original “care” order issued a year before had been to break up his alliance with Chris Moore.
“I’m quite capable of making my own decisions,” said Simon. “I realised I was gay quite a few years before meeting Chris Moore, around the age of 9 or 10.” Evidently the Worthing Court magistrates agreed — and dismissed the “care” order.
SOURCE: The Observer, 1 July 1984; Gay Youth, Spring, 1984; Gay Youth Movement press release 18 June, 1984.
MINNEAPOLIS, MN, USA The local Bureau of Criminal Apprehension has brought down the wrath of the gay community here in its handling of a boy-sex scandal. Tim Campbell, writing for the GLC Voice, a Minneapolis gay newspaper, discovered a number of irregularities in the two-year investigation, arrest and charging last May of John Donahue, founder and director of the Minneapolis Children’s Theater. Earlier this year the BCA investigators tried to coerce testimony out of one of the adolescent boys involved in the Judge Crane
Winton scandal (See P.A.N. 13, page 10). Now a local shrink, one Michael O'Brien, appointed by the cops to give the Children's Theater teenagers "therapy" for the trauma they supposedly suffered, "was extraordinarily willing to talk to the media in a style that prejudices the case against the accused". Campbell sums up the case: "The fact of the matter is problems at the Children's Theater couldn't have been too out of hand if it needed... two years of surveillance and priming of witnesses to build a case."
SOURCE: New York Native, 4-17 June, 1984.
CARDIFF, WALES Last April, at the annual meeting of the Classical Association, Professor Keith Hopkins presented a paper on the origins of sex guilt in Western society, and gave a nice illustration of the revolution which took place in Imperial Rome with its Christianisation. First he told the story of Empress Messalina challenging a leading Roman courtesan to a sexual competition — and winning it after servicing 25 men in a single prolonged public session. This was praised as an act of social heroism. Three centuries later a young girl went on a pilgrimage from Rome to Egypt and forced her way into the presence of a local ascetic saint to beg him to pray for her and remember her. "Remember you?" the indignant saint replied. "It will be the prayer of my life to forget you!"
According to Hopkins, Christianity in the meantime had developed from a radical sect of chosen believers into the universal religion of the civilised world. Although the cardinal virtue celebrated in the New Testament was love, the cardinal virtue adopted by the fathers of the church, after a century of theological and ideological argument, was chastity. "When Christianity was adopted as the state religion, the clergy obtained the political power to impose their new morality. And the new morality they chose was obsessed with sexual sin, which became a crime." Another speaker argued that Christianity could, and should have, taken a different road in the theological struggles of its founding fathers. It adopted the moral standards of its radical ascetic wing — with disastrous consequences for Western civilisation.
SOURCE: The Times, 13 April, 1984.
SAN FRANCISCO, CA, USA Boy-lovers will be happy to know that NAMBLA plans a 7th Journal and wants to see possible contributions as soon as possible. Readers of last year's consistently excellent Journal will be pleased to know that the same editorial team is working on this one. There will be an article on the institutionalization of children, corporal punishment, hustling, tourism, and an interview with a man/boy couple. Submittals should be sent to San Francisco NAMBLA, 537 Jones St. No. 8418, San Francisco, CA 94102, USA.
WASHINGTON, DC, USA The U. S. Customs service is compiling a computerised "target list" of boy-lovers who receive confiscatable erotic material from overseas — and names and addresses are being offered to local law enforcement agencies. "We have been quite surprised at the occasional coincidence that recipients of large volumes of child pornography often live across from public playgrounds or are on the staffs of child day-care centers and that sort of thing," said Customs Commissioner William von Raab. The list seems to have been broken down into three categories of "target" people: convicted child molesters, convicted recipients of kiddie-porn, and finally repeat recipients with no record of convictions.
2,000 "target" names compiled from the Chicago import depot have been entered into the Customs Service computers, and New York officials are about to enter 4,000. "Informal federal-local task forces" have already been set up to make use of this information in New York and Denver. Another "task force" is in the process of formation in Seattle.
Is all of this legal? Von Raab says that the Customs Service must, by law, keep a list of recipients of pornographic material. More important, few citizens dare object in this Reagan/Falwell era — with the exception of the American Civil Liberties Union, whose Legal Director Burt Neuborne declared that such lists are "flatly unconstitutional.... The most dangerous thing any society can do is keep a list of who reads what...."
SOURCE: USA Today, 13 Apr. 1984.
PARIS, FRANCE Desert Patrol (PAN 7, page 12) has a sequel, this time published under the real name of its author, Guido Franco. The text of Prières pour des paradis meilleurs is the same mix of cynicism about the motives of everyone, boy-eroticism and hatred of sex as in the former book, but supplemented by a black-humour fantasy (about on the level of MAD Magazine on an off day) involving Spartacus and Terre des Hommes people (Frank Torey, for example, as a child, honed his talents as P.A.N. editor by paper-clipping together the ears of cats — Tim Bond and Edmond Kaiser don't come off much better!). The only real interest of the book lies in its sexy (but non-pornographic) photos of Philippine boys, for what Franco lacks in compassion and as a writer he makes up for in his skill as an erotic boy-photographer. (His photos, in fact, might well send a number of French boy-lovers off to Manila next winter — quite at odds with his "prayer" that paedophiles leave the youth of this troubled land alone.) As in the earlier book, the erotic boy photos are interspersed with secretly taken, unauthorised (and probably libelous) telephoto-lens shots of boy-lovers in the same Third World haunts where Franco himself spends many months of the year with his two "sons", an attractive European 14-year-old and a slightly older Filipino lad.
SOURCES: Prières pour des paradis meilleurs, by Guido Franco, Paris: Editions de la Jungle, 1984; Gay Men, May, 1984.
WASHINGTON, DC, USA In a Rose Garden ceremony, American President Ronald Reagan announced formation of a commission to "study the effects and dimension of pornography on American society". Dismissing arguments that forbidding erotic depictions of minors was an infringement of legitimate personal expression, Reagan called it "ugly and dangerous. If we do not move against it to protect our children, then we as a society just aren't worth much. No one is
lower or more vicious than a person who would profit from the abuse of children, whether by using pornographic material or encouraging their sexual abuse by distributing this material..." — and so demonstrated once again the dangerously fuzzy and illogical thinking of this third-rate intellect at the head of the world's most powerful society. At the same time he signed into law legislation (which passed the House of Representatives 400 to 1) which boosted fines ten-fold (to $100,000 or $200,000) for porno violations, and at the same time authorised the use of wire-taps "to catch pedophiles".
SOURCE: New York Daily News, 22 May, 1984.
READING, ENGLAND The crime business must have been a bit slack in Reading last February 7th, for two constables went into the women's section of a public lavatory around 11 am, locked it and removed the grill which gave onto the men's section so they could see whether its patrons were properly attending to their natural functions, a matter of evident concern to the local rates payers. And who should be up to no good than poor old Sir Peter Hayman, 69 (Pan 8, page 21ff), former high-level diplomat exposed by Huddersfield's slimy MP Geoffrey Dickens in the first PIE trials as an importer of kiddy-porn and prolific writer of private sexual fantasy. The shocked constables saw Hayman pass a note from one cubicle to another, together with a pen. Inside the second stall was Leonard Beach, a 36-year-old lorry driver of Newbury. Beach scribbled "O.K." on the note. But, claimed Beach, it had been his intention to urinate over the writer of the note because he "was a bit shocked" and "did not realise this sort of thing went on... But I didn't get a chance, as an officer banged on the door..." Both men were found guilty of "gross indecency" (evidently the passing of the note, which was never produced in court!) and fined £145.
SOURCE: Daily Telegraph, 17 May, 1984.
NEW YORK, USA Newsweek can't seem to let a month go by without generating more hysteria about child sex. In its worst article yet, a cover story called "A Hidden Epidemic", all the mind industry crack-pots and opportunists are trotted out to blur the distinctions between violence and sex, rape and love, sex with boys and sex with girls, consensual and coerced sex: A Nicholas Groth, "Nutty Nurse" Ann Burgess, Roland Summit, names wearily familiar to P.A.N. readers, each of them getting rich on public money for spreading their "expert" opinions in the popular press which never reports on the responsible research of people like Constantine, Martinson, Langfeldt, Bernard, Sandfort, Nelson, Baurmann.
According to Newsweek, "The American model for dealing with sexual abuse is catching on quickly in Europe..." a rather chilling thought, until one notices that the accompanying photo captioned "A West German salesman visits child prostitutes at a private club in Paris" was actually pirated from the photo on the box of a widely circulated commercially produced 8-mm porno film of days gone by and so realises that this part of the coverage is as shoddy as the rest. Well, we could go on about the stupidity of the article, such as the claim that "studies show that although even small children
can feel sexual pleasure of a sort, they don't enjoy sex with an adult for long, if at all." But how can you even begin to deal with a mendacious statement like that?
SOURCE: Newsweek, 14 May, 1984.
FRANKFURT, W. GERMANY The Coltsfoot Press and Spartacus will have a booth at the Frankfurt Book Fair, 3-8 October: Stand F 906 in Hall 4, Floor 1. Our representatives will be happy to meet any writers, publishers or even readers at that time.
ITHACA
ITHACA, NY, USA Cornell University has long had difficulty reconciling its rather puritan sexual instincts with the tradition of "academic freedom" dear to the hearts of all Ivy League universities. In 1979 its Art and Architecture Department fired Assistant Professor Jacqueline Livingston for having mounted a photographic exhibit of male nudes which included a series of close-ups of her 6-year-old son masturbating (See PAN 4, page 10). Last year freshman Bill Andriette lost his scholarship with the Telluride Foundation when it came out that he was a spokesman for NAMBLA. And only last April NAMBLA's Charles Shively was heckled at a talk sponsored by the Cornell Government Department at which Shively argued for the right of children to control their lives, including their sexual lives. "Do you really consider yourself a human being?" one student asked, "since everything I consider human you've managed to desecrate." The Government Department requested that a statement be read saying it "in no way endorses Prof. Shively's views." Before the talk was ended much of his audience had noisily walked out.
SOURCE: Gay Community News, 12 May, 1984.
AMSTERDAM An investigation into sexual intimacies carried out "without any scientific pretentions" by six researches in schools in seven of the larger Dutch cities came up with some interesting reactions on the part of the kids. 328 were questioned. Of the 92 girls who had "suffered intimacies", 11 said they had desired them, 34 said they were forced, 26 threatened, and 5 invited to bed by a teacher. Only 68 boys were questioned and of these 22 had "suffered intimacies": 5 found the experience not bad or even nice, five had been invited to bed, the remainder were forced — a very different picture than with the girls.
SOURCE: De Volkskrant, 14 June, 1984.
BOSTON, MA, USA The "Nutty Nurse" research carried out at Boston City Hospital on 66 children (mostly teenagers) involved in "sex rings" (See PAN 11-12 & 14; 12-7; 17-8) couldn't disguise some findings and statistics in sharp contradiction to the statements of "researchers" Ann Burgess, Carol R. Hartman, Maureen F. McCausland and Patricia Powers that all 66 had developed "long-lasting psychological problems similar to those associated with battlefield trauma". 16 of these kids blamed themselves for their participation in the sexual activities and had problems with family and peers, 17 also felt responsible for the activities, were afraid of the adults involved in the case but refused to discuss the sexual events, while 13 of them continued to maintain social and emotional ties with the adults, blamed the authorities for any problems they had experienced and resented their interference. These three
groups account for 70% of the Nutty Nurse investigation sample and hardly suggest that the sex was traumatizing, although the arrests and police questionings (much more of a battle-field environment than the trysting bed!) and family reactions may well have been. Even so, the children's families seem to have behaved more sensibly than the Nutty Nurse people: they tended to minimise the seriousness of it all with such statements as "The boys will do okay" or "It's all part of growing up."
SOURCE: The Desert Sun (Palm Springs, CA), 3 May, 1984, reporting on an article which appeared in the American Journal of Psychiatry in May, 1984.
AMSTERDAM, THE NETHERLANDS Holland has been the last country in the West where photographic pornography — magazines, films, video-tapes — involving pre-pubescent boys and girls has been freely available and on display in sex shops and book stores. With the rise of feminism here, as elsewhere, pornography, always technically illegal in
The Netherlands, has come under increasingly heavy attack, the thin end of the wedge, of course, being "Lolita"-type material. In mid-April the mayor of Amsterdam requested that the vice squad take action, and a letter was circulated to establishments where pornography was sold requesting that "child pornography" be removed from the shelves. "This letter is intended as a warning," it stressed. When questioned as to what constituted "child pornography", the police specified photos, films, tapes, etc of children below the age of puberty clearly engaging in sexual activity (including having erections). Despite the warning most shops continued to display and sell the proscribed material, and on 12 July the police visited 8 sex shops and confiscated "ten video-tapes, 60 films, 50 photos, hundreds of packets of picture postcards and hundreds of child pornography magazines. Seven shopkeepers and two salesmen were arrested." Pornography involving boys clearly in their adolescence was not seized, nor were books, nor were magazine like Paedo Alert News which in writing dealt with sex in boys of all ages and had photos of clothed pre-adolescent boys. Somewhat worrying was the claim by the police that if child pornography is not curbed "an American investigation has demonstrated that sexual contacts with children will gradually become considered normal, although for the children concerned it can be highly damaging". Whether this programme marks the beginning of a general campaign against pornography and most forms of genetically expressed sexuality, which the feminists are pushing for, remains to be seen. Best guess is that this was a rather easy sop to give the militant ladies, since no one really opposed the move except the shop-keepers and the poor paedophile who finds porn important in his life — and even his wants were undefended by the paedophile workgroup of the NVSH which had officially condemned child pornography some time ago.
SOURCES: Het Parool, 6 & 7 July, 1984; De Telegraaf, 13 July, 1984.
BROCKTON, MA, USA Finally, 17 months after the dramatic televised arrest of Brett Portman and David Groat in a Wareham cottage (which made Time Magazine and the national television networks - see P.A.N. 15, page 30ff), and their carefully plotted torturing in prison (which didn't make Time or any other straight media), Brett Portman agreed to exchange a guilty plea to "indecent assault and battery on a person over the age of 16" for a 5-year suspended sentence and "psychological counseling". Despite his plea, Portman emphatically maintains his innocence. "Standing up for truth and justice isn't worth the risk of ten years at Walpole," Portman said. "I was up there on the stand swearing all this stuff was true and it was all fairy tales. But that was the price of plea bargaining. Portman's attorney, Richard Iandoli, said the police and prosecution had put pressure on Portman's "victim" Ishmael Rodriguez "to keep him lying." Rodriguez will be remembered by NAMBLA members as the boyfriend of David Groat's who stole most of the money out of the NAMBLA treasury.
But even in Massachusetts, a state with a long witch-hunt tradition going back several centuries to Puritan Salem, there are a few compassionate people in authority. Plymouth County Superior Court Judge Francis Keating was concerned that prisoners convicted of sex crimes were often beaten by fellow prisoners and prison guards. He also observed that "despite all the talk about pornography, there was no pornography, and despite all the talk about a ring, there was no ring." And, he noted, there was all that national publicity and nothing had come of that.
But the dunderhead police detective Jack Russell who had made the arrests (with the patient coaching of the FBI and New Jersey cop Dennis Aponte) said "I think he shoulda went to jail. I don't worry about the safety of a person. If a person commits a crime, he goes to jail. I've been a cop a long time and that's my theory." (He's been a cop too long - and that's our theory.)
The other man charged at Wareham, David Groat, who reportedly still has four big holes in his mouth where the prisoners of the Plymouth County jail or cop Russell or his friends or the FBI kicked his teeth out, didn't show up for his trial on April 24 and so forfeited his $10,000 cash bail.
SOURCE: Gay Community News, 19 May, 1984.
HAMILTON, SCOTLAND The local Hamilton College of Education, built in the 1960s, was up for grabs. Scottish Chief Valuer, Mr. John Gilchrist, estimated that the college and the grounds could fetch as much as six million pounds, and recommended that top estate agents be appointed to handle the sale and that the District Valuer be consulted about changes in planning permission.
Instead, the Scottish Education Department seems to have done everything possible to use it in a rather spectacular pay-off to one of the Thatcher government's less known but sleazier propagandists. It buried advertisements of the sale in four popular newspapers at the time of the Christmas holidays, more or less assuring that few potential purchasers would notice it. Despite this there were four bids over the next eight months. Finally the Department accepted its lowest bid, for little more than one-tenth of the official appraisal, and the property passed into the hands of its new owner combine for £680,000. The land went to the big Edinburgh builders, Millers, for £410,000 — and the main buildings and its ground, for £270,000, went to someone who should gross, with Torey support, one million on it annually: none other than PIE spy, police informer and self-confessed educational sadist, Charles Oxley! (See PAN 13-9 & 17-15)
SOURCE: Daily Mirror, 8 March, 1984.
SAN FRANCISCO, CA, USA Despite many notable individual exceptions, psychiatrists have probably done more to shore up traditional hatred and prejudice against gays and boy-lovers than any other professional group, for it is they
who perpetuate the myth that there is a "normal" kind of sex (the rest being sick) and that the pubertal and adolescent boy is "traumatized" by sex contact with older partners (see P.A.N. 12, page 44). Whenever government people are forced to justify the laws and legal practices which keep tens of thousands of American boy-lovers in prison they cite psychiatric "research" to prove how harmful man/boy sex is. Without those heavy tomes of "science" generated by the mind industry, the maker of laws would have to confront the fact that "moral" legislation was nothing more than government imposition of Pauline Christian sex constraints.
At last one group of "non-normals" is taking action against some of the worse offenders. The Lesbian and Gay Associated Engineers and Scientists (LGAES) has organized a group called Gays Against Psychiatric Assault (GAPA) and has compiled a directory of 50 of the most notable anti-gay shrinks in the USA. GAPA intends to monitor "queer-bash research" and publicise its findings in the gay media. Much of this research is supported by federal grants (See P.A.N. 18, page 10). GAPA has produced a 15-page paper called Anti-Gay Technology available upon request. We don't know what GAPA thinks about "paed-bash research" like that of A. Nicholas Groth and "Nutty Nurse" Ann Burgess, or the chemical castration programs for "sex offenders" at Johns Hopkins Hospital in Baltimore, but it would be interesting if some concerned Americans pointed this out to GAPA. Their address is GAPA, P.O. Box 4247, San Francisco, CA, 94101, USA.
SOURCES: Gay Community News, 24 March, 1984; Mandate, Aug, 1984.
LOS ANGELES, CA, USA. The numbers game for the dollar value of the American porn market never ceases amuse politician watchers. The latest guestimate seems so comparatively low that it must have horrified the propagandists at Time and Newsweek and the national TV networks, assuming they have any interest in verifying the figures they throw around so indiscriminately. In the trial of "kiddie-porn queen" Catherine Stubblefield Wilson (See P.A.N. 13-8) it was asserted that she "used mail-order business to control 80% of the U.S. market for movies of explicit sex among children, bringing in $500,000 a year", according to the prosecutors. So now kiddie-porn films in America are a $600,000 a year business. Keep this in mind when the Densen-Gerbers and other whacky propagandists exhaling fumes of ersatz Freud and/or criminal statistics make their usual claim of a multi-billion dollar industry (See P.A.N. 8, page 10).
SOURCE: Associated Press, March, 1984.
MELBOURNE, AUSTRALIA The sensational November 5th "Rockspider" bust of the Australian Paedophile Support Group by the Melbourne police "Delta Squad" (Pan 18, 6-7) fizzled out on May 10th when all men charged with "conspiracy to corrupt public morals" were acquitted. Although the magistrate who acquitted told the press it was at liberty to report his decision, not one of the Australian dailies did so, even though the arrests last November filled almost all of their front pages. Only the scandal tabloid Truth five weeks later managed to stitch together a series of outraged comments, filling its front page with 3-inch headlines: CHILD SEX VICTORY PARTY.
Infiltrator "Greg Daniels", previously identified by Delta Squad as just a "concerned citizen", turns out to be a man by the name of Stephen Mayne and, according to the magistrate, was "a member of the police force". We don't have policeman Mayne's address, but in any case, rather than a private citizen betraying other private citizens, he is a professional paid by his society to infiltrate and destroy socially suspect groups, so the outrage at his activities must shift from the spy to his puppeteer, Delta Squad's Neil Cromie (promoted to the rank of "Inspector" between the arrests and acquittals).
Undoubtedly effective in this victory was the solid support of the accused by the Australian gay community and civil libertarians and the noisy demands that Cromie be fired and Delta Squad disbanded. "Delta Squad and their equivalents elsewhere must be fought," wrote William Ward in Outrage. Gay Legal Rights Coalition Jamie Gardiner said, "All the hard work has paid off — it has worked out as well as we could have hoped for." Probably strengthened by the publicity and their victory, the Paedophile Support Group held a symposium on Paedophilia at Melbourne University on June 30th.
SOURCES: Outrage, May, 1984; "Stonewall Day" program, June, 1984; Truth, 16 June, 1984.
LONDON, ENGLAND Minor Problems informs us that, like PIE, it was summarily cut off from the British Monomarks accommodation address. All mail received at the Monomarks office is returned to sender without explanation — so many correspondents have assumed MP has either folded or been put out of business by the Thatcher-Whitehouse-gutter press combine. MP is very much in business, continues publishing literate, provocative articles and news and a most useful review of what the media in other countries are saying about paedophile matters - including, usually, an intelligent, if rather puritanical roasting of our feet at P.A.N. for ideological impurity. No matter, Minor Problems remains the one national publication for boy-lovers in Great Britain, deserving support from everyone whether he agrees with its militant radicalism or not. New address: Minor Problems, 52 Broughton St., GB-Edinburgh 1, EH1 3SA.
It must be all of a quarter of a century since steam ran from St. Pancras to Bedford, and probably a good deal more — though I was never quite certain about details like that, and I'm no different now. What I do know is that yesterday was the exact anniversary of the day when the last Pacific-whatever pulled the 3.15 on the old branch line to Hoddeston, and you and I went to see it. You were altogether train-mad, as were most thirteen-year-olds in those days, so when you assured me that we simply, absolutely had to observe this puffing marvel I didn't question you, I just got my bike out — though I was a pretty wobbly cyclist even then.
Before I go on, incidentally, a slight correction is necessary in the interests of strict accuracy. I said that we went to watch the train; in fact, you went to watch the train. I went, as on all those jaunts, to watch you. To see, observe, note and mentally record every tiniest aspect of the miracle that was you, Richard, to scrutinise, and to remember. I don't imagine you guessed all that even for a moment, not during those long afternoons on Platform 5 at King's Cross, nor during all the endless expeditions to goods yards, local suburban lines, disused and snoozing country stations, or wherever your enthusiasm took you. But now, all these years later, it has to be time for a little honesty and, sitting yesterday in the field by the now deeply overgrown cutting, I decided that I simply had to put on paper for you, and for you alone, my memory of that extraordinary July day when the old-style semaphore signal dropped with a clatter and the 3.15 came puffing out of the tunnel and then up the long incline into rural Hertfordshire, leaving behind two spectators for whom trains, railways, and a number of other things would — well, never have quite the same associations again.
I always wondered how much you truly believed my phony eagerness as you rattled on about gauges, cylinders, boghies and the like — but my excitement, the absolute, shimmering joy that I must always have radiated when we were together were real enough, and probably made me an immensely cheerful companion, and I suppose that was why you tolerated me on all those trips of yours though, come to think of it, we must have looked a fairly ill-assorted pair. I mean, we weren't exactly contemporaries, were we? And at least to a young boy an age difference can loom pretty large where friendships are concerned. But there you invariably were in my front doorstep, after school or on Saturday mornings, jumping from one foot to the other in your eagerness to be off, and pulling at me with one hand, your train-spotter's notebook in the other. And then we would be away, on foot or on bicycle, you in a great hurry as always, chattering ceaselessly, looking back over your shoulder and laughing at me, telling me to get a move on, while I panted and struggled in your wake, doing my best to keep up.
That summer holiday was your first from your boarding-school; you had started after Easter and I had, of course, been devastated. But with both your parents in Africa, there had been nothing else for it. And there were, as you said, always the holidays; it was the thought of the summer months that had kept me going. I used to do little sums; soon I would have six whole weeks with you, over a thousand hours, sixty thousand minutes...
And this was our first day out, the hottest day of the summer so far; we left our bikes in the lane (no-one seemed to steal bikes then) and walked over the brow of the hill, down through the long grass to where we could see a glint of sunlight on the curve of the line; the
signal was still up. In fact, we had at least half an hour till the train came; you were as always far too early, Richard. I lay on my back in the sun but you, for heaven's sake, took out your notebook right away and started drawing lines and ticking squares. I remember asking wearily, "Don't you ever give up?", but I also remembered that today I was indulging my own latest hobby; I had brought my Box Brownie. What was more, I wasn't even going to waste one shot on your precious Pacific. You see, I had experienced an odd but considerable bump of excitement somewhere inside (and had gone back for my new camera) when you appeared at my door that morning in the brief linen shorts that you hadn't worn since last summer, and which in fact you had outgrown a little. Probably it was simply that you felt cool and comfortable in the shorts and your small white ankle socks, but I remember once I'd said how much I liked you dressed (or half-dressed) that way and — well, you were quite tolerant of my various little likes and dislikes, and were quite willing to humour me at times. At any rate, it brought me out in goose-pimples of delight now, looking at you seated on the grass hugging your knees, the sunlight on your cool bare thighs, as you frowned at your notebook, then went on ticking and scribbling. Then, all at once, you closed the book and put it down, then rolled over and cupped your chin in your hands.
"Well, that's it; we'll just have to wait. What a bore, though."
I squirmed a little closer. I would have loved to slide my hand over yours, but didn't dare. I simply traced little lines on the back of it with my fingers, and you didn't seem to mind that, or didn't move away. I blew gently into the hair just behind your ears. I had completed my sums; over three million seconds...
You picked your time, Richard. You said then, "By the way, Joe, I'm leaving tomorrow."
I stopped everything I was doing and stared; I didn't follow. "What?"
"Just that. I got this invitation to stay with a chap from school I've been trying to decide whether to go or not; I was to phone him tonight. I'll tell him that I'll catch the 8.15 from Paddington. That's a pretty decent train, Great Western of course, Coronation Class probably, maybe one I haven't got. He said his Dad would pick me up from the station."
"Who — who's this?" I asked foolishly.
"The chap's called Smithers. A bit of a weed in some ways. He keeps gerbils and collects birds' eggs and sings alto in the choir; he's pretty putrid, really."
"Then why — why..?"
"I don't know," you said carelessly. "But I've decided I'll go. Just like that."
I turned and shoved my face into the long grass. Above all, I would have hated you to see me cry, but successive waves of desolation rose then and swelled in me till I knew it would all burst from me no matter what I did; I clamped my teeth together, dug my nails into my palms, but I was quite helpless. Then, in a moment, I was aware that you were tugging at a wisp of hair at the nape of my neck. "What's the matter, Joe?"
At least, now, you sounded just a trace disconcerted. I gulped and shook my head. Then I started to say, "I'd been looking forward so much to — to —" I had to stop again. Then you took away your hand, I heard you laugh, and I looked up. You were sitting back again, rocking gently on your heels, and you said teasingly, "/know what's the matter with you. It's the sort of thing they tell you about, when you start at boarding-school usually."
You became a little earnest, joined your finger-tips and looked at me over the top, like a doctor. "You've got a crush."
I sat up. You said, "I'm right, aren't I? Go on, admit it."
Off guard, I almost nodded my head, then quickly shook it.
"I don't mind, really. I've had crushes on me before — often," you said shamelessly. "At school, you know."
Oddly, the possibility of competition hadn't occurred to me before, though I certainly didn't doubt you. At the same time, I felt a fresh stab of misery at the thought. But I simply said grumpily, "Not
bad for one term, I suppose."
"Oh, not very often. You can't tell for certain. But sometimes you get... notes and so on."
"Is Smithers a... crush?" I asked.
"Of course not," you said scornfully. "You'd get some dreaded disease from Smithers. I expect you'd die horribly."
"Then why go there?"
"Just. Well, I might tell you sometime, but not now."
"Notes and what else?" I asked after a few moments, reluctantly curious. "I mean, what happens after that?"
"Nothing," you said with emphasis. You pulled up a dandelion clock and started blowing the tiny seeds off. "I never let anyone do anything to me," you said with great severity. "Nor will I."
So was I expected to nominate you for some kind of award? But I didn't feel too much like being ironic, so I kept quiet.
You had picked up another clock and were pulling the seeds out by hand, one by one. "That is," you said, giving microscopic attention to the task, "with one possible exception." You pulled out the last seed; I was looking at it closely as well, not at you. "And," you added, "that's only because he won't be seeing me again after tomorrow — not for a while, at least."
Richard, now that I'm a lot older and a little wiser, people sometimes come to me for advice about this and that. And there was a man who'd squandered just about all his money on a trip to Morocco where (they say, and he believed them) the boys are more beautiful and willing than anywhere else. As it happens he was lucky, but when the moment came — the moment actually to do what he'd dreamed about and fantasied about for years — he simply was so overwhelmed that he couldn't... well, perform. And that was what I felt then, the bewilderment of the kid suddenly given the freedom of the candy store — and you misunderstood and got up.
"Come on, let's get our bikes," you said. "I don't want to wait for this mouldy train any longer."
It was the first time I had heard you speak disparagingly of steam in any shape or form. I grabbed hold of your sandal, the nearest part to me and, for the want of something to do with it, started to unfasten the strap. Then I took off your sandal and your sock and, as you had sat down by now, started on the other foot and... well, went on from there. And — I laugh a little about it now — I remember how a moment or two later you said, "wait", and ran quite naked across the grass for a few yards and jumped up on a little hillock to look down at the signal, shading your eyes against the low afternoon sun. Christ, even then you were thinking about your bloody trains. Yet for a little while I sat where I was, entranced, mesmerised, and just about everything else. Richard, to think that people travel halfway round the world, that they even pay, as I did, to look at those impossibly mesomorphic tag-wrestlers on Pope Clement's ceiling, when this — this on a sunlit English hill was not only incomparable for grace and proportion but actually quite free — with no extra charge, either, for being three-dimensional and live. Though, come to think of it, it was the only sensible thing for them to do; on the same scale of charges, nobody would have that much money.
Then I was determined, for once, to make you forget all about the Midland Railway and the branch lines thereof. We rolled down the slope in a tangle of clothed and bare limbs. And soon, surprisingly soon, I had succeeded; in fact, you just about took over. Maybe I was inexperienced, which I admit, because I couldn't get it quite where you said (were you really so innocent?) but near enough and, with you assisting me with the most vigorous and delightful squirmings, quite suddenly I was thinking — of all things — of the train, thumping and thumping closer until suddenly the whole world went bang and I was left clinging to you half-lifeless and sobbing — but then you had flipped over in an instant and put both hands behind my head, pulling. "Please, Joe, please" — and I came right back to life and was again the engine-driver until all at once you stopped breathing, gasped, then rocketed up
from the grass and yelled at the top of your voice before falling with a thud again and making quite a lot more noise, and then I remember you holding my head tightly where it was, you still wildly restless from top to toe, rolling and wriggling, running your hands up and down through the hair on the back of my head and then all round it, saying to me over and over, quietly and breathlessly, things I never would have believed or hoped — not till then, not till that afternoon.
I can’t quite remember what happened in the next few minutes — or perhaps it was much longer. I was perfectly content to remain where I was indefinitely. But the sun was much lower now and it was cool.
“Shouldn’t you be getting your clothes on now?” I said reluctantly. “We really ought to be going.”
“I suppose so,” you said, but didn’t get up. Then you asked, “Where shall we go tomorrow?”
“Well, you’ll be birds-egging with Smithers about now,” I said, a trace of the original acrimony returning. “You’ll be all right.”
You rolled over on your back and looked reflectively at the sky.
“Actually, I’m not going to stay with Smithers. Come to that, he didn’t invite me; I made it up.”
I rose to my knees.
“You made it up? You’re not going?”
“I made it up and I’m not going.”
Wonderful, blissful news. But...
“But why, Ricky? It was — it was —” I wanted to say it had been cruel, but didn’t. I stopped.
You said, “I’m a bit sorry now. I didn’t think you’d be quite so upset.”
“But why do it at all?”
You considered a very small passing cloud above us and said hesitantly, “Well, if you hadn’t thought I was leaving... I mean — well, it worked, didn’t it?”
I was thrilled and outraged — and at least you had the decency to blush; you put your arms over your face but I could see even your ears turning bright pink.
“So it was all — all a story,” I said soon, rather stupidly, still not quite sure that I had got it right. “There was no invitation — none at all?”
You shook your head; you had regained some of your usual nonchalance. You put a long blade of grass in a corner of your mouth and cradled your head in your hands, watching the cloud again. “Come to that, there’s no Smithers either. A pity in a way. I was beginning quite to believe in him, with his gerbils and his birds-egging. Actually, I’d grown quite fond of Smithers, in a way.”
It was too much. I rolled you over on your tummy and brought my palm down on those pale exquisite cheeks of yours about half a dozen times, then I buried my face in the warm soft skin and said back to you some of the things you’d said to me a few minutes earlier. And more.
Well, even then we didn’t miss the train, but saw it coming back. It had to, come to think of it; the British Rail network didn’t exist in those days. And then we got our bikes and went home. So that was it, Richard; that was how we became and remained, shall I say, “best friends”. True, our ages were quite a bit different, but I didn’t think much about that at the time. One doesn’t think about anything very much, at eleven. And I suppose I was a pretty average kid, really.
The Golden Age and the Mystery of W. H.
by Alan Jay
It is generally agreed that the English Golden Age was the Elizabethan period which produced internationally dominant personalities such as Drake and Shakespeare. It was also the golden age for paedophilia. Sexual relationships between man and boy were not considered sufficiently unusual to be worth recording and, as a result, the mystery of Shakespeare's "Mr. W. H." has remained unsolved despite four centuries of research.
The Golden Age certainly produced a startling number of geniuses and it is no coincidence that paedophilia flourished at the same time. Looked at through the eyes of a paedophile, it is obvious that the latter created the former.
Man-boy love has been practiced and understood by the nobility in England since the time of the Norman conquest. Even today the upper classes are far more tolerant in such affairs than the rest of the population. They know that the key to success for a person, a family or a nation lies in the transmission of knowledge from one generation to the next. They know that knowledge leads to superiority, wealth and dominance — and that this always has been so since the days when knowing how to make fire was the most valuable gift a boy could receive from a man.
Today, of course, it would be how to make an atomic bomb or to bankrupt a competitor. Knowledge is power and power brings success, which includes wealth — and if your knowledge includes how to dispose of a wealthy unwanted
wife, or to acquire the entire British assets of the Roman Catholic Church, it is all grist to the mill.
The nobility, prior to the Golden Age, were well aware that blood is thicker than water and that semen is thicker than both, so when they employed a tutor to instruct their sons there was often a tacit understanding that the tutor would not be denied access to the "seat of learning".
What mattered to them, and will always matter, was the transmission of knowledge. If the relationship between tutor and pupil developed into a love affair, so much the better, since the transference of knowledge under such circumstances could approach 100%; by comparison, today's schools and universities fail miserably. If there was also transference of spermatozoa, what did it matter? By the same token, the noblemen who made love to their pages did less damage to their family heritage than those who, by exercising their "droit de seigneur", populated the neighbourhood with pretentious bastards.
Every developed country has had its Golden Age, and, no doubt, research would show that paedophilia made a large contribution to each such development. It certainly did so in Ancient Greece where it produced the "Cradle of Civilisation", in Ancient Rome and again in Renaissance Italy.
The chemistry of paedophilia is well understood by paedophiles who have lived through all its phases, but for those in the agonising throes of the learning period it is well worth setting out in print.
Paedophilia is an instrument of natural selection (i.e. the survival of the fittest) and has always been so. It is probably the most powerful selective instrument of all since, if allowed unrestricted activity, it results in the survival of the physically beautiful, the intelligent, the curious and the ambitious.
On the first instance, the attraction must be animal and it is the physical beauty of the boy which attracts the man. The sexual acts which take place cement the man and boy together with their semen; and the natural outcome of the union is mutual love and understanding. This leads on to protection and instruction in an atmosphere of happiness and trust on a twentyfour-hours-a-day basis.
There exists in all men a degree of sexual attraction towards beautiful boys and only the law and public opinion prevents its development.
In most cases this attraction is shared by beautiful girls but in others only the boy attracts the man. It is these men who become paedophiles: their need is stronger than the legal penalties — or any censure.
Once the sexual conjunction has been made the relationship can endure until the boy matures; but only if the boy has more than beauty to offer. He must be able to offer the man the opportunity to exercise his paedophile instinct. He must be able to absorb all the knowledge and experience the man has to give. He must be curious, eager to learn, intelligent and ambitious to succeed in his adult life.
If the boy is merely beautiful, or is a foreigner with whom the man cannot converse easily, the relationship cannot fully develop and may turn the boy into a prostitute — but at least he will benefit materially and could be a kept boy until he matures.
The mystery of Mr. W. H. has exercised the minds and imaginations of scholars since Shakespeare’s sonnets first appeared in 1609. One hundred and fifty-four sonnets, of which the first hundred and twenty-six were addressed to a beautiful youth, appeared under an introductory dedication:
To the onlie begetter of these insuing sonnets. Mr. W. H. All happiness... etc.
It is generally agreed that the sonnets were all written much earlier — some more than 10 years earlier. Expert assessment is between 1592 and 1598 when Shakespeare was 28 and 34 respectively.¹
Since this is the exact age when the natural conjunction of sexual desire and paedophile instinct produces an irresistible need in the average paedophile, it must be accepted as probably correct for sonnets 18 to 126.
Looked at from the point of view of a paedophile, the youth must have been young enough to be Shakespeare’s son (i.e., between 12 and 16 when the first love poems were written); and, more probably, nearer 16 than 12, judging by the subject content of the first 17 sonnets (which advise the youth to marry, and soon).
We are therefore looking for a beautiful youth living about 1596 — or possibly earlier since the first 17 sonnets are so obviously written in a formal fashion, probably at the request of a parent or guardian of the youth, and designed to impress the relative with their sober intent, something an established poet would probably not want, or need, to do. Perhaps they were Shakespeare’s first poems?
The names of the possible candidates have been put forward: firstly, an imaginary boy actor called William Hughes, on the assumption that the play on words in Sonnet 20 gives the clue.
Secondly, William Herbert, Earl of
¹ Shakespeare’s only son, Hamnet, died aged 11 in 1596 when Shakespeare was 32.
Pembroke — because of his initials. As he was born in 1580 and would have been only 8 or 9 when the first sonnets were written (advising marriage)\(^2\), this seems an unlikely choice, even though the first folio of Shakespeare’s plays published in 1623\(^3\) was dedicated to him.
Thirdly, Henry Wriothesley, Earl of Southampton and Baron of Titchfield: born 1573, succeeded to the title at age 7, ward of Lord Burghley until 21, of such outstanding physical beauty that it was contemporarily recorded, refused to marry young, refused his guardian’s grand-daughter, obliged to pay (when 21) £5000 for her “blighted affections”, married secretly when 25, condemned to death for treason but imprisoned (when 29) in the Tower until Queen Elizabeth’s death in 1603.
Despite the initials being the same (although transposed) as in the sonnets’ dedication, I do not believe the sonnets were dedicated to Southampton. As a pederast, everything tells me that the sonnets were certainly addressed to Southampton but dedicated to a real Mr. W. H. with whom Shakespeare may have had a relationship when he himself was a boy. In 1593 and 1594, Shakespeare dedicated Venus and Adonis and Lucrece respectively to Southampton\(^4\) — the latter dedicated in quite loving terms. Why not the sonnets?
If, as seems certain, the beautiful youth was Southampton, who was Mr. W. H.? Again, various names have been suggested.
Firstly, William Hall, a printer. There is no known connection with Shakespeare.
Secondly, Sir William Harvey, who married Southampton’s mother in 1598 when the son was 25.
To my mind, Mr. W. H. was certainly Sir William Harvey. And it was he who was the begetter of the sonnets in the sense that the first 17 were written at his request to please Southampton’s mother. Of course, it is quite possible that Harvey himself had an affair with Southampton and Shakespeare merely wrote the sonnets for him. But could anyone write the words
Shall I compare thee to a Summer’s day?
Thou art more lovely and more temperate:
on behalf of another? I think not.
Again, it is quite possible that neither the beautiful youth nor Mr. W. H. have ever been identified, nor will they ever be.
For me the mystery does not finish with the identification of either the youth or Mr. W. H. There are other intriguing questions to be answered concerning Shakespeare’s early life.
He was born in 1564. His father was a prosperous and respected man in Stratford. His mother was of “gentle birth” (née Arden from Wilmcte). In 1582 Shakespeare married Ann Hathaway, daughter of a farmer. They had three children before 1585.
\(^2\) By my reckoning — see footnote 3.
\(^3\) Seven years after Shakespeare’s death in 1616.
\(^4\) Southampton came of age in 1594.
From the point of view of a paedophile, the years from 12 to 18 are crucial (i.e. from 1576 to 1582). And nothing is known of this period — nothing definite, that is. There is, however, a rumour that he had to leave Stratford in a hurry because he had been stealing deer — a very serious offence in those days — and was in trouble with the local squire and magistrate, Sir Thomas Lucy. If this is true, then with a little imagination, the missing years can be filled in.
For his own safety, Shakespeare had to leave town for a secret destination which *had* to be in the household of a nobleman who could protect him from Sir Thomas Lucy. Shakespeare’s mother, being herself related to the nobility, could have known Sir Thomas Harvey. Shakespeare *could* have gone to live with him and acquired from him the fantastic knowledge of history and human nature later to be displayed in his plays. The historical knowledge alone *had* to have been learnt over a long period of personal tuition by an intelligent person of noble lineage.
Whether there was a sexual relationship between W. S. and Mr. W. H. will never be known. However, it is probable in view of the incredible transfer of knowledge which must have taken place in order to transform a deer-stealing boy into the world’s greatest dramatist.
Another interesting possibility is that Sir William Harvey took the young Shakespeare with him when he visited Southampton’s mother and that the two boys became firm friends. Indeed, in view of Shakespeare’s dazzling brilliance, it would be surprising if the young Earl of Southampton did not form a “crush” on him, and this could have resulted in his refusal to marry\(^5\).
Whether it also resulted in sexual activity between them is not important, but it probably explained Shakespeare’s being asked by Harvey to write the first 17 sonnets in order to please the mother.
If the boy later confessed to Shakespeare that it was because of his love for him that he would not marry, it would also explain the other 109 sonnets, some of which are so beautiful and passionate that sexual consummation seems certain to have taken place.
It is also possible that Shakespeare became the boy’s tutor or companion for a few years.
1598 is an important date in the story. Southampton (aged 25) married Elizabeth Vernon; Sir W. Harvey married Southampton’s mother and Shakespeare was recognised as the greatest English dramatist.
Having just re-read what I have written about Shakespeare, I am first of all convinced that it would make a marvellous film if directed by an Italian, since the famous Italian directors seem to have a talent for this sort of sensitive subject — someone of the stature of Luchino Visconti, who made *Death in Venice*, for example.
Secondly, it is obvious that there can be no second coming of the Golden Age in anything approaching the Welfare State, since modern society is geared to the speed of the slowest, dedicated to the elimination of superiority and to conformity to the currently socially acceptable norm.
If we are to witness more Golden Ages they will take place in the emerging “Third World” countries where it is still every man for himself and no holds barred in the struggle to survive and succeed.
As far as the developed world is concerned, it would be necessary to return, via economic or atomic disaster, to the Middle Ages.
Finally, I have a horrible suspicion that the tolerant nobility who understand paedophilia and its “survival of the fittest” test, are the same people who control our legislature: and they jealously believe paedophilia to be “too good for the ignorant masses.”
They may be right.
---
\(^5\) This would date the set of 17 sonnets at 1888 or ’89, with Southampton 15 or 16 and Shakespeare at 24 or 25 — too young to experience the full pressure of paedophile desire — not too young to have written sonnets 1-17, but too young for sonnets 18-126.
Protecting Children from Sexophobics
by Robin Phillips
The author of the following piece is the father of two young boys. He has published a number of technology and family articles for various magazines and newspapers.
The openly sexophobic person can just come out with, "Sex is dirty, so children have to be protected from it." These people are so disturbed by sex that they can't even attempt a reasonable discussion.
Most sexophobics hide their phobia, pretending they don't think sex is dirty. Closet cases, they know it's not healthy to feel disturbed by anyone's gentle loving pleasure. In order to appear healthy, they must come up with some logic, however forced, to justify their own hysterical reactions. We are all too familiar with their rationalisations.
First they tried, "The child has no sexual desires or capacity to enjoy sex, so any adult who has sex with children is using some kind of force or coercion." This confirms not only what we have long suspected — that they lived through a childhood deprived of the joy of sexual discovery — but also tells us that they were poorly educated: they have never even read Kinsey.
As this argument was slowly eroded over the years, the phobics, in their embarrassment, began to act even sillier. They said that because adults are more powerful than children, sex between adults and children should be prohibited. Now everyone knew another of their secrets: these men and women had not yet discovered affectional sex. They still confused loving with fighting. Rather than seeing sexual assault as a form of violence, they viewed sex as a form of assault. (Perhaps the experience of some of these people was so limited that they had viewed only rape scenes on television or the mating of dogs. What is certain is that they were ignorant of the many varieties of human affection.)
Despite their efforts to focus attention on cases of power abuse, we have today many sexophobics who have finally come to realise that lots of children happily participate in the exchange of sexual affection with adults. Viewing this in light of their own early negative impressions, the sexophobics squirm uncomfortably. They search for one more excuse.
Still disturbed, but forced to face facts, they are left only with, "Well, maybe some children enjoy it at the time, but I'm sure it will ruin them later on if they do it."
Once again the sexophobics have told us more about themselves than about children. Like anyone else, they do have sexual components in their feelings of affection. Lying just beneath the surface of the phobics' consciousness are thoughts which they view as horrifying and perverted. Too afraid to confront their feelings in order to learn to use this energy in a positive way, they try to suppress them with guilt and punishment.
Looked at from this perspective, it seems reasonable to worry that those who participate in gentle, loving sexual affection in childhood, however pleasant and enjoyable at the time, will suffer anxiety later. That the sexophobic would try to prevent anxiety with the threat of punishment seems absurd only if you forget for a moment that it is the act of someone who is disturbed.
Young people have long suffered sexual misinformation and misguided punishment from their advisers. Many years ago the sexophobic might have responded to a young person's confession of masturbation with, "Oh, you poor thing, that causes such awful guilt. That's why we try to keep people from doing it. Guilt is so destructive!"
The contemporary sexophobic, having moved just far enough to accept masturbation as a necessary evil, is nevertheless still giving out the same sort of nonsense in the same sort of package,
Dr. Richard Pillard, director of the Family Studies Laboratory of Boston University Medical Center offers these comments on phobias in general and sexophobia in particular.
"A phobic is characterized by a generally high level of anxiety, with occasional panic attacks. There is avoidance of settings in which the object of fear may be encountered, but this may be coupled with an unconscious attraction to the feared object."
What can we do when dealing with close friends or relatives who are "uncomfortable" with cross-generational sexual affection? Let's assume we have here the kind of people with whom we can normally communicate, but it is difficult for them to face the fact that they are subject to exaggerated and uncontrollable fears.
"Do you think you are totally free of any feeling that sex is dirty?" is an appropriate question when trying to communicate with people who say they are bothered by this particular form of sexual affection. Then it should be pointed out that the answer to this question may be related to their discomfort.
I have tried it; it works. Not until they perceive the barrier can they cross it rather than trip on it. Now hit them with a logical argument and watch them fall again. They can feel it now. Don't be mean, don't overdo it, but do it enough to be sure they know what's going on.
Point out that they are trying to protect children from guilt by protecting them from sex. If they are sincere about protecting children from anxiety, let them vow to teach children that sex is not something to fear.
No doubt there are cases in which the younger partner in an otherwise beneficial relationship will suffer from a great deal of immediate and/or delayed guilt. It is not enough to blame the young person's parents or peers. What can be done?
Some of us have friends who are now adults with whom we had sexual contact during their early years. These friends make good advisors on this topic.
"I think it was important just to have had someone around who didn't make me feel ashamed of my sexual feelings," said one I consulted.
Another factor mentioned is the importance of confidence in themselves and confidence in their older partner. If the older partner is a reliable person they can have confidence in, and who has confidence in them, then they are likely to feel secure, despite the need to be discreet.
There is no doubt, however, that
parallels can be drawn between this hiding of sexual activity and the hiding of sexual feelings for which a sexophobic so viciously fights.
It is the hiding which can cause the guilt phobics say they fear children will experience. But hiding is necessary only when privacy is not respected. We do in private that which we fear might offend others. We do in hiding that which we fear others may attack us for.
The sexophobics invade privacy, attack, punish and cause lovers to hide. Those who would expose anyone’s loving embrace so that it can be ridiculed are just plain obnoxious.
When school children exhibit this behaviour, we realise that we have to wait for them to learn to love before they’ll ever understand. When an adult exhibits this behaviour, we wonder how long we can wait.
Can children privately engage in activities that do not have widespread social approval without suffering trauma?
One day my son came home from school saying his teacher had told the kids not to pick their noses. He seldom does it anyway, but he was upset because he thought that he must never do it again.
“It’s okay,” I assured him. “It’s just a private thing, that’s all.”
Nose picking is not socially approved, and maybe he will feel guilty even doing it privately, but I don’t think so. Nor do I think it would help things any were I to try to catch him at it so that I could punish him.
The sexophobics tell us that we must invade our children’s privacy in order to seek out and punish any illicit sexual activity. Doing so drives children out of the relatively safe privacy of their own bedrooms into unknown hiding places. My children are much safer knowing that I will respect the privacy of their rooms.
But what if I looked in my son’s bedroom and saw someone (of any age) rolling around on the floor with him, both of them naked, and various kinds of licking and laughing and such going on? Would I interfere?
I believe my children know that if they have a friend of whom I have always approved I will not withdraw that approval if I find that their affection is boundless. That’s the difference between my children and the children of someone who has an irrational fear of sex.
So whose child has to hide? Whose child is anxious? Where is your logic now, sexophobics?
The sexophobics would try to generate enough anxiety in their children to prevent them from engaging in such a thing — but might succeed only in having the child do it anxiously.
Fortunately, it is not unusual for children to recognise that their parents are unreasonably anxious about certain subjects. Nor is it unusual for children to separate their own feelings and values from those of many of their peers. It is
easy for the sexophobic to exaggerate the degree of alienation a sexually active child might feel.
In contrast, there are today parents who will work with dedication to ensure that their children feel comfortable with whatever sexual expression comes naturally to them. These are parents who have confronted the "sex is dirty" message and are determined that their children shall not believe it. Each day we see more such parents, a growing proportion of people who are not afraid of loving sexual affection.
People who enjoyed the presence of their sexual feelings throughout their early years are likely to view sexual affection in this light. We will know we have done a good job with our children's view of sexuality when, for them, and for those they love, sex is wonderful. We have failed when, for them or for those they love, sex is anything less than wonderful.
The sexophobics cannot reduce the number of paedophiles, but their efforts can further the conditions which increase the number of sexophobic paedophiles.
Our children are not protected by such efforts.
We know it is no coincidence that several of those persons who put so much effort into calling for the protection of children from paedophiles have been caught "fucking kids". They aren't just trying to cover their own activities, though; they really are sincere; they want children to be protected from people like themselves. They are sexophobic paedophiles.
All sexophobics rape children's minds. The sexophobic paedophile may go so far as to rape children's bodies. Obsessed with a frustrated desire for sex with children, convinced that sex is dirty — and certainly scary to children — such people can physically molest a child and feel that's the only way it can possibly be done.
But it isn't, even for them. Phobias can be overcome. An exaggerated and illogical fear of spiders, heights or sex, honestly confronted whenever it manifests itself, can be conquered.
Those with any sort of phobia just look silly and naive to the rest of us. Sophistication is our children's best protection against all varieties of sexophobia.
The sexophobics must look at their own lives, at their own children, and realise that they can teach only what they have learned. They must honestly recognise and confront their own phobic reactions before they will be able to open themselves to growth. No matter how much they may deny it to themselves or others, their actions will drill into the minds of their young children the idea that sexuality is not nice.
To leave a child with the impression that sex is dirty is to molest that child's mind, leaving scars. It is a crime against nature.
Those people who have a hysterical, irrational reaction to anyone's gentle loving sexual affection cannot win their arguments through reason. In the end, they are left only with "it bothers me".
It is sick to think sex is dirty. It is time these men and women face their own dis-ease concerning sex. They have run out of excuses.
With the appearance in America of its third locally grown and published boy-love novel, it is perhaps inevitable that comparisons will be made. Kevin Esser's *Streetboy Dreams* is less ambitious than Paul Rogers' *Saul's Book*, being content with tracing a relationship and leaving the cosmic question of responsibility for human suffering aside. And Esser's novel is decidedly less fantastic than *Kevin*, the book by Esser's mentor, the late Wallace Hamilton, which began the process.
Several years ago, upon its arrival, I praised Hamilton's book in these pages, despite misgivings about it. It was just so good to have a story in which the man didn't do time for love, commit suicide or kill the boy to protect himself that one could ignore the flatness of the characters and the improbability of the circumstances. Re-reading *Kevin* again before sitting down to write this review, I find that judgement confirmed. Good and brave as Hamilton's work is — and forever honourable just for being *first* — it has not worn well. It is, for instance, a measure of the maturity gained since *Kevin* was published that we can now dispense with the scene of the lovers walking away, arm in arm, into the swirling snowflakes, happy forever and ever, in favour of the more open-minded conclusion of *Dreams*. Now happily in each other's arms, Peter and Gito may stay together — or they may not, given their characters.
Still, Esser's title is *Dreams*, and some of the fantasy remains. I'm glad we can now have an adult character who not only has doubts about what he is doing, but can realistically behave selfishly, manipulatively, and even foolishly and destructively on occasion. Once into the relationship, Peter is *real*. But — can we believe a gay teacher in his thirties who has *never* considered a relationship with a kid, either psychological or physical? Previously considered it and repressed it, or deferred it to anonymous cruising, perhaps, but never *thought* of it until suddenly one night...? If the repression was that deep, then there is too little inner struggle on Peter's part. And happily we have moved beyond the image of the street kid as a Young Upwardly Mobile Professional waiting to be discovered — how many relationships have we seen come to grief over that illusion! Gito is realistically capable of manipulation and deception, like Peter. But Gito, while more real and complex than Kevin, still seems, from my knowledge of street kids, a bit too pat for someone supposedly three years on the street. I am not speaking of "innocence", for it is the mark of such kids to know everything, seek to manipulate everything, and yet control nothing for want of self-knowledge. Sinbad, in *Saul's Book*, is much truer to type. Somehow, Gito's response at the end seems too easily won. It is perhaps both wise, and too hopeful, for Esser to end the story where he does, before the fall's inevitable conflicts about school, responsibility and Peter's other tricks.
All this said, *Streetboy Dreams* is realistic and persuasive in a way Hamilton's pioneering book was not. The characters do live, and you are drawn into their lives. If they have not the mythic stature of Saul and Sinbad, you nevertheless really are drawn to care what happens to them, for you've known them. The writing is fluid, that of a born storyteller, avoiding the conventions of
both pornography and sexual polemic. The book is informed by a sense of good humour — as in the central irony of the opening, foreshadowing as it does the eventual offer of himself, where it is the boy who offers the man some candy. In this attitude of gentle humour, it is apparent that Esser regards his characters, for all their flaws, with tolerance, and leads you to do so as well.
Streetboy Dreams is, in short, a good, pleasant read. If it is not read years from now as literature, as I suspect Saul's Book may be, Streetboy Dreams will still richly repay your time now.
— D. M.
Streetboy Dreams is available from The Coltsfoot Press, price code 35 — see colour pages for price in the country where you live.
"There is no doubt, a paedophile needs a guide."
So begins Attic Adolescent, by Bob Henderson, one of the two Coltsfoot Press books we have brought out this spring. The author is a young Australian who settled down several years ago in Athens, and from his rich and very individual experience with the boys of Attica he has constructed in eight stories and one novella a fascinating account of what it's like to be a foreign resident boy-lover. Actually, the book reads more like an episodic novel, for although boys grow up and away from his heart, and so change from story to story, not only is there a single narrator, but one meets his circle of friends from time to time throughout the book and they act, appropriately enough, as a kind of Greek chorus.
Henderson is a very professional writer, not just of fiction but of drama as well, and he knows how to pace a story and make every word count. He has a very distinctive writing style, which readers of P.A.N. and Panthology One, where stories of his have previously appeared, will remember. Here is his first meeting with fourteen-year-old Andreas in the Plaka, at that time the haunt of part-time hustlers and boys looking for sexual opportunities with men:
There were several boys, draped across their bikes as usual. Some of
them were so unreasonably good-looking as to suggest the cover of a gay magazine. One or two said hello, allowing me into their conspiracy as I passed.
Andreas had no bike. No leather. Never showed any interest in such things.
Another dream, his, entirely. A touch bourgeois, perhaps. Uxorious.
But romantic, to the core.
With a stockpile of loyalty and affection ready to greet the dream, and hold on to it.
(...) As I pushed open the squeaking wooden gate, reluctant to descend, he nodded, almost bowed, and greeted me politely.
"Good evening." In some strange, provincial style.
If I never met him again, I knew, I would not forget that moment, that promise.
Andreas belongs in the world of grand opera.
I doubt if he has ever seen an opera performed. But he would be at home, from the overture on.
Several nights I saw the boy standing in the street. Loitering. Not displaying himself in quite the same provocative way as the bike boys.
And always greeting me with a discreet smile.
Waiting for someone, or something, you would have said. Remaining, all the while, his own man.
I started to dream about him.
Serious boy-love books can now provide us with men who have big faults and little annoying ones. David, the narrator, is frequently jealous, possessive, uncompromising in trying to make the life he builds with the boys he loves closely fashioned upon his own tastes. One relationship nearly founders over the boy's love of disco bars and fraternising there with his age-mates (David would rather love quietly at home or go to the movies.) But the boys seem to cope with these problems well enough: they protest, bully, get hurt feelings, turn cold shoulders, tease David out of his temper, overpower him with their raw sexual impetus — and stay lovers. When David sends a boy-friend in the Peloponnensis a furious postcard claiming neglect, with, at the end, a word of sexual abuse, he receives the following letter from the boy:
I do not think that that was a very nice way to tell me you did not get my letter. I wrote to you straight away. And sent you a small photograph of me, like you asked. It is not my fault if you did not receive it. Of course, I haven't forgotten you. I remember everything. I remember your letter, too. You talked about my navel. I don't think your postcard was very nice. Are you coming here again?
Humour, balance, judgement, these are the qualities David appreciates in others and strives for in himself. As time goes on, as he grows older, his insight into boys, and into humanity, deepens, too — in contrast to the abiding, and delightfully depicted, superficiality of his best friend Christopher, the conventional gay who has all the arguments and prejudices against boy-love. The deepening process is often painful. With his very first relationship with Andreas, he can write, "I hope that experience has taught me this much about love relationships — only the central fact remains, whatever it is. A hundred other things about the two people concerned may also be true, and interesting. But they don't count, in the face of the first." And he goes on to say that "the central fact about us two, crystal clear the first time we saw each other in the street, and amply confirmed when we went to bed together, was simply that we were wild about each other: deeply attracted, physically and emotionally. We only had to see each other, to be together. To touch each other, in order to set the fires burning. That never changed." By the time we get to the closing novella, Reaping" David is able to explore much more elaborately the nature of love, both in its individual and social contexts, but, realistically
enough, he is still riding his old demons of jealousy and possessiveness — now, however, he can give more in compensation.
One comes away from *Attic Adolescent* with the feeling of having been amused, aroused, of having spent time in good company, and been allowed to probe the experience of a very human, urbane, honest boy-lover with the knack of putting down in most readable form just exactly what it was like to have affairs, successively, with nine Greek boys whose ages ranged from about ten to sixteen. There is Andreas, the provincial boy described above, forced to leave home by an unsympathetic step-father to seek his fortune in Athens, a couple of middle-class lads David is tutoring in English, a rough-and-ready but enormously spontaneous island boy as natural in his sexual response as he is unpredictable, a very sophisticated fourteen-year-old courtesan happily housed in a boy-bordello, a rather sad small-town hustler descending into petty criminality — and finally Vassili whom we watch mature during the course of the novella from an obstreperous bored little language pupil into a gloriously sweet and beautifully rounded adolescent lover.
It was perhaps two years ago that we received in the post a little boy-love tale called *Greek Creek* which had everything wrong with it — form, grammar, style, punctuation, spelling — but was vivid and touching in a way that many more successful stories simply weren’t. We finally discovered that the author, Louis A. Colantuono, was an inmate in the San Luis Obispo prison in California and was busily teaching himself — literally — how to write. Colantuono is severely dyslexic. Until fairly recently he had been able to do little more than sign his name. But faced with many years of incarceration (it was his second imprisonment for loving boys) he decided that his life story was worth telling and he must find some means of putting it down on paper. So he acquired a typewriter somehow (American prison policies vary widely with respect to allowing such dangerous implements into the cells), covered the keys and learned to type.
Now the words began to flow. First was a 500-manuscript-page account of a year he spent in Alaska at age fifteen with some Aleut Indian boys fishing for salmon on a boat they rescued from a watery grave — and making love with the inexhaustible energy of adolescence. Strangely, for this is a kind of autobiographical slice, Louie’s voice is just one of many who tell the tale. But the characters are sharp, shrewdly observed, and after a short time it seems natural to have the writer go inside the heads of the people surrounding him.
Next came an episodic telling of his trucking adventures all across the contiguous 48 states, for after leaving Alaska, Colantuono gradually worked into the long-haul transport business — with occasional breaks for car racing and rodeo performing, following the circuits of these two typically American entertainments from small town to small town. His last prison projects have included short stories, one long novel about a fantasy trip with a group of pubertal and adolescent boys aboard a trimaran sailboat he actually did own at one time — and *The Trucker and the Teens*, a two-volume account of his life between imprisonments.
Volume One is now published, covering the years 1969-1975 from the burned out end of the hippie culture years, as Colantuono puts it, through the rise of Sunbelt Christianity (now reaching its crowning glory in Ronald Reagan). Colantuono pulls no punches in his remembrance of things past: the gang wars of barrio kids, the inconveniences of sleeping with a 12-year-old hyperactive enuritic, the jealousies of an "understanding" wife and enmity of a prudish step-daughter — all are fully and fairly described along with moments of deep oneness with individual boys. *The Trucker and the Teens* is about as sexually explicit as you can get, and yet each boy is so individualised, and the sexual activities he participates in so integral to his character or his evolution through adolescence, that the book can hardly be termed pornographic. Art it perhaps isn't, but truth it has in full measure, communicated with the kind of zeal and candour that bypasses words and design.
It is a big book, and when Volume Two comes out later in the year the complete work will be by far the longest we have so far published. It's only structure is of day to day life and the growth of the boys that are loved in it, yet it makes compulsively good reading. Mostly this is because everyone is described with such a warmth of human feeling: you quickly come to care about Keha, the orphan Indian boy who had run away from a Catholic mission, as if he were a boy of your own. Keha had been born in the Black Hills, but when he was left fatherless, "they sent him to live with the ladies in black who made him spend hours on his knees per day because he was the son of a savage. They taught him about their wooden god, they taught them how to pray for being dirty little savage children. The children found out they were without sin until they read a book of the wooden god's that gave them sin, to make them children of sin now that they knew what sin was." Keha is picked up half-starved on the side of a desert road and becomes Colantuono's son/lover/live-in boy. A year or two later Colantuono takes on Tommy, the hyperactive enuritic. And then there are his lovers (not chosen by him but who chose him!) in his wood-working shop where some two-dozen barrio boys are usefully employed (and so kept out of gang fights and thievery): Gabe, the chubby gang-leader, Darly the gentle gay boy, Gato, equally gay but physically underdeveloped and perpetually quarrelsome, 9-year-old Gil injured in a hit-and-run driver. And lovers found along the road: the black boy Sammy, white Jimmy Lee from a Tennessee farm and his brothers.
The price code of both *Attic Adolescent* and *The Trucker and the Teens*, Volume 1, is 25 — see colour pages of this issue for cost posted by us to your country of residence. P.A.N. subscribers will fine enclosed a handy order form for all three of these outstanding books.
I feel that non-consensual sex is harmful and I feel that a child is not in a position to consent. So it is my personal opinion and that of the Institute that any interaction between adults and children of a sexual nature is wrong and bad for the child and probably bad for the adult as well. But that's the adult's decision. But it is wrong and bad for the development of children, and we are absolutely against it (pederasty).
— Dr. June M. Reinisch, Director of the Kinsey Institute on a "Rapline" Public Radio broadcast 24 Jan, 1984 (See P.A.N. 18, page 3)
June 12, 1984
Dear Mr. Torey:
Thank you for your letter of February 29, 1984. I trust the thoroughness of my response will explain the delay called to my attention by your letter of May 7, 1984.
Dr. Gebhard retired from directorship of the Institute and I was appointed director August 1982; he continues to serve the Institute as Curator of Collections.
After reviewing the transcript of my interview on the Rapline radio program on January 1984 and Institute policy, I can document that the quotes reported to you are subject to misinterpretation.
For example, my explanation of the research on Depo-Provera was in response to a question about violent rape, not consensual sex behavior. My answer included consideration of having hormone therapy and counseling as an added option available to persons convicted under sex laws; imprisonment or death is not a sufficient range of options.
As to your concern that the role or philosophy of the Institute has changed with my appointment, the philosophy of the Kinsey Institute for Research in Sex, Gender, and Reproduction is, and always has been, that all aspects of sexual behavior warrant objective study. The purpose of the Institute continues to be to conduct and encourage research, to collect materials, and to disseminate research information about the entire spectrum of sex behavior, gender, and reproduction.
The Institute does not make social policy nor does it take advocacy positions. The only policy statement with regard to specific sexual behaviors issued by the Institute can be found on page 875 of Sex Offenders: An Analysis of Types (1965):
Ultimately our society may solve many of its sexual problems by following the suggestion made by various groups such as the American Law Institute and the Group for the Advancement of Psychiatry: that sex law be confined to: (1) cases where force or threat was employed, (2) cases involving sexual activity between an adult and a child, or (3) cases of sexual activity or solicitation so open as to constitute a public nuisance.
That 1965 statement of policy was authorized by Dr. Gebhard and will be followed while I am director unless or until research findings support a revision.
Records of interviews with research subjects, personal materials donated to the Institute, correspondence with the Institute, and all other items have always been held in strictest confidentiality. In fact, the Institute's standards of confidentiality forbid it to respond to even court subpoena so that its relationship with any individual or group will never be jeopardized, regardless of existing laws, public pressure, Institute policy statements, or opinion of individual staff members.
The Institute understands that individual staff have personal opinions on many topics. In recognition of this, we consciously work to guard against bias in our research. One safeguard is for the Institute to maintain contact with as many different individuals and groups as possible, many of whom advocate particular sexual practices or beliefs. These exchanges, protected by our confidentiality pledge, have been a valuable contribution to the validity of our research projects and publications.
The Institute continues its commitment to gain a better understanding of human behavior through research and collection of material from all sources.
To insure an accurate picture of the Institute's position we request that, if this letter is made public in any way, it is reproduced in full
Sincerely,
June Machover Reinisch, Ph.D.
Director and Professor.
INDIANA UNIVERSITY
The Kinsey Institute for Research in Sex, Gender, and Reproduction
29 June, 1984
Dear Dr. Reinisch:
Thank you for your considered letter of 12 June in response to my earlier correspondence with people in the Kinsey Institute.
I believe there is a very fundamental difference in philosophy between the Kinsey Institute — now, at any rate — and us, and it is somewhat broader than the matter of whether or not it harms a child to have sex with an adult.
Your institute represents itself as studying, among other things, human sexual behaviour. Presumably you follow, as closely as possible, scientific methodology. This means, as you point out in your letter, that you approach the phenomena you study free of pre-formed concepts or "beliefs" which have not been soundly established by previous work. (I am not talking about personal biases or beliefs, which all of us have, but of officially adopted premises, positions or guidelines which directly impinge upon your work.)
Now, unless the quotation from the radio programme was in error, you stated quite clearly that "a child is not in a position to consent" to sex and that "any interaction between adults and children of a sexual nature is wrong and bad for the child". Furthermore, you gave this as not only your opinion but that of the Institute.
Well, don't those very definite statements made by you, as director of America's most famous sex research institute, demand to be backed up by facts? What is the evidence that a child, especially an adolescent, cannot make it perfectly plain whether he wants to do something or doesn't, consent or doesn't consent, sexually as well as playing football, say? Are you really unaware of the investigators who have concluded that freely consensual sex in childhood or adolescence, no matter what the age or gender of the partner, does not hurt the child, may, in fact, be beneficial? These statements, made as a scientist, imply that you are certain that facts show kids cannot consent to sex and that the above-mentioned investigators have had their conclusions disproved — and I think many people would like to see the evidence which underlies this scientific certainty of yours.
No, I am afraid you have launched the Institute into the field of social propaganda for a particular moral/sexual point of view which is very popular at the moment in America (thank god, not here in Holland) but which is bound at least to cast suspicion upon and perhaps even blight your investigation of this particular kind of pair bonding. Taking a moral position on sexual activities desired by all participants is hardly consistent with research into them. I am afraid many people involved in sexual enlightenment will think your institute cannot objectively study a phenomenon which many responsible investigators feel is at worst harmless and at best beneficial when it has a priori labeled it "bad and harmful" to one of the partners.
Your quote from the American Law Institute raises all kinds of questions. Are we to conclude that the Kinsey Institute feels people should actually be punished for having sex with "children" (a 7-year-old, a 12-year-old, a 16-year-old, 1 20-year-old? What do you mean by children?), and that people who are a "nuisance" with their sex should also be legally punished (a teenage boy holding hands with a teenage girl in a park? Two teenage boys holding hands? Kissing your wife good-bye at an airport? Gays having sex in the bushes where nobody could see them except for a cop who has been on the prowl for them for two hours?) I think it is terribly dangerous for a research institute to adopt moral guidelines drawn up for legal purposes, for they are bound to impinge upon its own research. If am happy to see that you regard these moralistic principles as alterable if "research findings support a revision", but it looks as though other people are going to have to carry out that research, since they seem to have trapped you into a Catch-22 sort of situation. (And, please don't object that it is right to study murder scientifically even through you disapprove of it: with murder there is a real victim whose non-consent doesn't have to be established by circular reasoning and torturous moral sophistry — and even so you will learn a lot more about the mental anatomy of killing if you put away biased terminology.)
The final thought I have is that it is refreshing to have someone in the American "establishment" actually respond seriously to our criticism, and, despite our
deep divergence of approach to this subject, I thank you for the courtesy of both considering and responding.
Very truly yours,
Frank Torey
Dr. John Money
The Johns Hopkins Hospital
Baltimore, MD 21205
USA
Re: Execution of Arthur Frederick Goode, III, Pedophile.
Dear Mr. Torey:
Dr. Money asked me to forward the enclosed xeroxes to you, with the suggestion that you publish the case in P.A.N. Mr. Goode's life could have been saved had he not been a dropout from antiandrogenic treatment as a young man. So also could the lives of the children he strangled. He maintained that he loved these kids, as well as Billy Arthes.
Yours Truly,
Michael Lamason
Enclosed were several clippings from March and April issues of "The News American" and "City Paper" about the execution in Florida on 5 April of a 30-year-old serial child killer. Goode had been in trouble with the police all his life because he was a boy-lover; possibly even in his adolescence he was a violent and coercive one, although that is not clear from the newspaper stories. In 1975, when Goode was 22, he was arrested after abducting and having sex with 11-year-old Billy Arthes. He spent the next eight years in a Florida prison and actually requested his own execution: "I've got so many problems here due to people being prejudiced against my case. I believe I'd be better of executed." Actually that was the last thing he wanted, he said: "I'd like to be on the street doing sex with young boys." "Do you want to go out and kill young boys?" the interviewer asked. "No... Well, it depends, now. If society would leave... What I want to do is get a legal way to marry a boy. You know Ricky Shroder on 'Silver Spoons'? He's almost fourteen, but I'm crazy about him." "Do you blame people for being against you when you're killing their children?" "The thing of it is I didn't kill any kids for years..."
8 May, 1984
Dear Mr. Lamason:
I cannot really comment very intelligently on the Goode case or the advisability of having in the past prescribed Depo-Provera as treatment (possibly in lieu of punishment). Off hand I would say that if it was thought that this man was a (potential) rapist or a murderer or a criminal psychopath of some kind, then his case would have to be considered quite different from that of a boy-lover who only sought mutually consensual relations with boys. I don't really see that it is any more justifiable to generalise from the Goode case to other homosexual paedophile men than it is to generalise from "Jack the Ripper" to the heterosexual. I think, incidentally, that this is a point where the opinions of Dr. Money and me would meet.
Where we apparently part ways is that I do not believe Depo-Provera should be used on boy-lovers who show no signs of being violent, psychopathic or coercive — simply because I think that boy-love can be, and most commonly is, a healthy phenomenon for both parties when society leaves them alone. I am outraged that judges in your country sentence gentle, loving boy-lovers to the same draconian punishments they do rapists, and I do not find it acceptable when they give such a victim of American Justice the "choice" of a long prison term or injections of anti-androgen. I appreciate that those of you at Johns Hopkins who administer this drug often do so only after such a victim has made his agonizing choice between two terrible alternatives (and thus, in a way, you are being
humane). What I strongly object to is the propagandizing you people have done in the past for Depo-Provera as a general "solution" to the problem of the "sex-offender" — which in America includes not only the psychopaths but practicing boy-lovers who in every way are mentally healthy despite the direction of their sexual desires. (I suspect you people would think that paedophilia *is*, ipso facto, symptomatic of a disturbed personality and, furthermore, that boys are somehow damaged by sexual contacts with adult men, but that is a different matter and is not raised in your letter and its enclosures.)
Coming back to the Goode case, I cannot see a connection between this and the situation where some social worker, say, has sniffed out the sexual aspect of a firm friendship between a loving teacher and a boy who, in turn, loves and worships his older friend and enjoys their sexual activities together. Surely you are not suggesting that putting such a man on Depo-Provera under pressure from the court is going to save the boy, or other boys the teacher may come to know, from rape, torture and murder.
It is most illogical to conclude that Good carried out his murders and suffered execution because he dropped out of an anti-androgen programme. He could have dropped out of the programme *because* he was a psychopath — in other words the programme didn't stand a chance of working right from the start because of the man's anti-social personality. Or he might still have murdered kids with all the Depo-Provera in the world coursing through his body, since, from the record, he seems quite unconcerned about killing people and was quite willing to kill "as a protest" even the boys he really liked.
Finally, I think it is most insulting to reference your letter "Execution of Arthur Frederick Goode, III, *pedophile*. It would never occur to you to do this with a heterosexual rapist of adult women: "Execution of John Jones, *heterosexual*". This simply shows that you are not making the proper distinctions and are forgetting that sexually motivated acts of violence are committed by men of all sexual leanings and are first and foremost acts of violence and not sexual acts. Are there any reliable figures about the rates of violent crimes for boy-lovers vs heterosexuals? I think not, as nobody has ever come up with so much as an educated guess as to how common man-boy sexual contacts actually are and how many adult men find at least part of their sexual outlet in this manner. Nor do we know how many men would prefer to have sex with boys, if they dared, rather than with women and thus must also be considered paedophile despite an absence of paedophile sexual activity. Until better data are developed it would be best that the researchers at a superb institution like Johns Hopkins refrain from suggesting that "paedophiles" are any more criminally inclined than other categories of men erected upon the gender or age of desired sexual object.
Very truly yours,
Frank Torey
BOYCAUGHT
by Dr. Edward Brongersma
Boys and Girls
As soon as the boy’s body starts maturing upon entry to puberty, nature vastly increases his sexual appetite. This appetite, of course, has been in existence from birth on, but now it becomes much more demanding. At the same time the sexual organs of the boy undergo changes which make them more sensitive and excitable. Spontaneous erections occur frequently during the day, caused by his spurt of physical growth, mental desires or a combination of both. These responses, together with erotic dreams, nocturnal emissions and a compulsion to masturbate, make the boy very conscious of his sexual drive. One boy of fifteen, after just having had intercourse for the first time in his life, said to me, “You feel like that’s just what you were made for.” He had grasped, philosophically, the sense of his existence and felt that happiness lay in carrying out the role destined for him.
Since the heterosexual impulse is stronger — or at least more strongly stimulated — in most societies, the thoughts of most boys turn, now, to girls. Superficially, girls would seem to be the ideal partners, equipped as they are with all the bodily charms necessary to elicit feelings of lust in the average boy. Nature, however, in her unfathomable wisdom, as ordained otherwise. Girls may possess the physical attraction to turn boys on, but they generally don’t yet have the correct mentality to satisfy the boy’s urgent needs. The mind of the boy is, first and foremost, occupied by his physical desires. Where these are not simply stimulated by are also tenderly satisfied, he may gradually come to love the person who so serves him. But his first impulse is to experiment with sex, to train his body for it, to exercise his sexual organs, to make as many conquests as possible. He wants girls.
For a girl, on the other hand, the situation is quite different. Personal affection, love, is more important for her than sex. If a boy, in response to her feelings of love, convinces her that she is loved by him in return, she may gradually be more and more willing to permit sexual advances and finally intercourse. But her most important desires revolve around the emotions of individual love and romance. We said that a boy wants girls. Well, a girl doesn’t want boys; she wants a particular boy, a special boy.
Usually a boy learns to love by the way of sex; a girl learns sex by the way of love. This explains Kinsey’s finding “that the average girl gets along well enough with a fifth as much sexual activity as the adolescent boy.”
In Iris Murdoch’s novel *The Nice and the Good* there is a scene which perfectly illustrates this disparity. Fifteen-year-old Pierce is madly infatuated with Barbara, who is back home on holiday from her school in Switzerland. Her continued rejection of his advances makes Pierce bad-tempered and irritable, a total nuisance to everybody, and finally pushes him to commit a nearly suicidal act of bravery: swimming into a cave where the entrance is submerged as the tide rises. Impressed by this, Barbara gives in. And then, after they have united in sex, chapter forty begins:
“Was that really it?”
“Yes.”
“Are you sure you did it right?”
“My God, I’m sure!”
“Well, I don’t like it.”
"Girls never do the first time."
"Perhaps I'm a lesbian."
"Don't be silly, Barbie. You did like it a little?"
"Well, just the first bit."
"Oh, Barb, you were so wonderful. I worship you."
"Something's sticking into my back."
"I hope you aren't lying on my glasses."
"Damn your glasses. No, it's just an ivy root."
"You were so heavy, Pierce."
"I felt heavy afterwards. I felt I was just a great contented stone lying on top of you."
"Are you sure I won't have a baby?"
"Sure."
"Do you think I'll get to like it more, to like it as much as you do?"
"You'll like it more. You'll never like it as much as I do, Barbie. I've been in paradise."
"Well, I'm glad somebody's pleased."
"Oh, Barb, darling —"
"All right, all right. Do you think we've been wicked?"
"No. We love each other. We do love each other, don't we, Barbie?"
"Yes. But it could still be wrong."
"It could. I don't feel it is, though. I feel as if everything in the world is with us."
"I feel that too."
"You don't regret it, you don't hate me?"
"No. It had to happen to me and I'm glad it's happened like this."
"I've loved you so long, Barb —"
"I feel I couldn't have done it with anyone else. It's because I know you so well, you're like my brother."
"Barb!"
"Well, you know what I mean. Darling Pierce, your body looks so different to me now and so wonderful."
"I can't think why girls like men at all. We're so rough and nasty and stick-like compared with you. You're not getting cold, are you?"
"No, I'm fine. What a hot night. How huge the moon is."
"It looks so close, as if we could touch it."
"Listen to the owl, isn't he lovely? Pierce —"
"Yes?"
"Do you think we'll either of us ever go to bed with anyone else?"
"No, well, Barb, you know we're quite young and —"
"You're thinking about other girls already!"
"Barb, Barb, please don't move away, please bring your hand back again. Darling, I love you, good God, you know I love you!"
"Maybe I do. You were horrid enough to me."
"I promise I'll never be horrid again. You were horrid too."
"I know. Let's really love each other, Pierce. In a good way."
"Yes, let's. It won't be difficult."
"It won't be easy. Perhaps we could get married after you've taken your A levels."
"Well, Barb, we mustn't be in too much of a hurry — Oh, darling, please —"
"When are we going to do this again? Tomorrow?"
"We can't tomorrow. I've got to go to Geoffrey Pember-Smith's place."
"Can't you put it off?"
"Well, no. You see there's this chance to have the yacht —"
"What about me? I thought you loved me!"
"I do love you, darling Barb. But yachts are important too."
It is most interesting to speculate upon nature's purpose in creating this disparity. Man is always tempted to think of nature as an intelligent force with an intent to attain certain objectives. Perhaps man is justified in so doing. But in our everyday lives it is much more interesting to ask how boys ought to solve this problem.
The answer might be that of the German author Hans Bielefeld: "The natural partner for the little child is the mother, for the young boy it is a boy of his own age, for the older boy it is a man, and for the young man it is a girl."
The small child needs skin contact — cuddling, fondling, caressing — and no one can do this better than a caring, loving mother. Then comes the time of somewhat rougher play with age-mates. Erections are stimulated by roughhousing; sensual feelings are concentrated in the sexual organs; masturbation is taught or discovered in solitude. To establish, in the next phase, the link between these bodily experiments and the spiritual need of loving and feeling loved, more is demanded than another boy of his own age, or even one slightly older, is usually able to give. A close and intimate friendship with a boy-lover can well be the best solution, combining, as it does in mutual veneration, the intense enjoyment of lustful sex and tender care. If all goes well, such a man may remain his trusted friend for life. In the end most boys as they reach late adolescence will finally turn to a girl, and now — as the follies of puberty have been left behind by both — the partners are much better suited to one another: the girl more open to sex, the boy to love and constancy. An adolescent Pierce will, it is to be hoped, think his future wife more important than a visit to Geoffrey Pember-Smith's yacht.
Three women succeeded last month in putting away in prison a 42-year-old black elementary school teacher and scoutmaster for 56 years for having had sexual contacts with five boys, all around the age of puberty. Denver District Judge Lynne Hufnagel said sexual assault on a child is one of society's worst crimes: "It is clear that all the victims were humiliated and degraded by what you did," she told Gerald Hall. Chief Deputy District Attorney Diane Balkin said Hall had a "Dr. Jekyll and Mr. Hyde" personality: "Beneath the facade of a responsible citizen, he had the propensity for... sexual assault on children." And Denver psychiatrist Kathy A. Morall (called as a defense witness!) testified in court that the "bottom line" of "sexual assault" on boys "is that it is nothing less than a devastating experience for them." All of this can be read in the 7 June edition of The Denver Post.
Hall's close friend (and former publisher of Better Life Monthly) Barry Wright has another tale to tell:
"The story of Jerry Hall is not so different from that of many hundreds of other boy-lovers. He is a kind, gentle and loving man who cared greatly for young boys. Over the years he has helped countless boys find self-respect and to move on to a more adjusted life. However, a number of these relationships included the component of consenting sexual contact. Force and violence were foreign to his nature.
"It was in June of 1983 that this wonderful man and a number of young boys had their lives crumble around them. Jerry made one big mistake: he befriended and tried to help two delinquent teenagers and they repaid his kindness by robbing his house and stealing his car. They were caught by the police and by a process never fully revealed the boys told of sexual contact with Jerry and said he possessed photographs of nude boys. In return for this information they were not charged in the matter of several burglaries.
"My friend Jerry was subsequently arrested following a search of his house by an 'army' of some 10 officers; the television news had its hottest story of the month and within hours his life was destroyed. Jerry lived in hell from June 1983 until his trial last March, at which point his story ceases to be typical.
"The prosecutors were both women and the judge was likewise a woman. The judge decided to allow television news cameras in the court room — a very rare occurrence. A number of kids were subjected to the trauma of the court proceedings. I must point out that force or violence were never a factor in this case. All sexual contact was consenting but the judge totally ignored that as a defence: to her Jerry was a monster that must be removed from society forever. On March 8 he was found guilty and three months later, on June 6th, she delivered her obscene sentence. Jerry is now 42 and he will be 70 before he has a chance for release: given the stress of prison and his state of health he will probably die there, so Judge Hufnagel's wish is likely to come true.
"The defense lawyers intend to appeal the case, but the current atmosphere in this society makes the chance of success minimal, and this will likely set a very dangerous precedent that will have far-reaching effects throughout the entire nation. The Feminists are certainly
a primary cause of the insanity that is spreading like cancer throughout the United States. What, if anything, can be done to reverse this trend? I'm afraid I have no ready answers."
Well, gays and straights who don't like us often say, 'We only hear from the boy-lovers, never from the boys they get it on with.' By coincidence, another Denver boy-lover sent us a copy of the following letter penned by an outraged Reader's Digest reader, showing that victims of the Moral Majority-Feminist-Mind Industry coalition can and do sometimes raise a fuss:
Dear Readers Digest:
I think your stupid story in June issue, "Child Prostitution" SUCKS.
There aint a word of Truth in it. Who wants to stop it?
Not us that do it.
I am 14 years old & GAY.
And proud of it. So there.
I do it because its fun. It feels good. I make a lot of Money.
I keep it all what I dont give to my mother. So we can eat.
Nobody pushes me around. Nobody makes me do it. I make a lot of money. My men are always nice. They never make me do what I dont want to.
How come you never write a story on GAYS? Are you Afraid?
Or the men thats better than Daddys to us & love us?
I like your Magazine very much. Except for SHIT like this.
Yours Very Truly,
A 14 year old FAG.
[p.40, back cover] |
Georgia Satellite Flexible Pavement Evaluation And Its Application to Design
GEORGE F. SOWERS
Professor of Civil Engineering, Georgia Institute of Technology, and Vice President, Law Engineering Testing Co.
A study was made of the deterioration or failure of flexible pavements in all the geologic provinces of Georgia. The pavement serviceability was estimated visually and from measured rut depth. Total traffic was estimated from short-term counts and from data of nearby traffic stations. Laboratory tests were made of undisturbed samples of subgrade. The serviceability rating of the pavement was found to be a function of the computed safety factor of the subgrade against shear failure beneath the pavement and the amount of traffic. A similar analysis of the AASHO Road Test flexible pavement failures found a comparable relationship. The bearing capacity of the AASHO subgrade compared to those of the Georgia subgrades furnished the quantitative tie between the proposed AASHO design charts and Georgia materials and environment, and makes it possible to utilize the AASHO interim design for Georgia pavements. Alternatively, a direct design method can be derived for pavements from the traffic-soil bearing-serviceability relationship.
*THE DESIGN of flexible pavements in Georgia has been largely based on experience expressed in the form of correlations between soil class, traffic, and base course thickness and character. Although this method has been reasonably successful in the past, the rapid increases in the number of heavy axle loads and in the variety of subgrades that must support the heaviest loads have outrun past experience.
Design criteria resulting from the AASHO Road Test, although furnishing quantitative information on the relationship between traffic, pavement thickness, and pavement performance, are limited to the conditions of the test road.
Generalizations and extrapolations of these findings to conditions other than those that existed at the Road Test should be based on experimental evidence of ... the effects on pavement performance of the variations in climate, soil type, materials, construction practices and traffic. (1, p. 3)
It is the object of this research to provide a rational background for extending both Georgia experience and the results of the AASHO Road Test program to the design of new pavements in the state. This required an evaluation of the performance of pavements throughout Georgia, particularly in terms of subgrade capacity. It also involved a correlation of the AASHO Interim Guide for the Design of Flexible Pavements (2) with the properties of Georgia highway construction materials.
The evaluation of the Georgia pavements began with a field examination of typical examples exhibiting both satisfactory and unsatisfactory performance. Samples of the subgrade from each type of pavement were secured and tested to determine the subgrade's elasticity and strength. Computations were made to determine the subgrade's elastic deflection and safety against shear failure. The results were then correlated.
Paper sponsored by Committee on Flexible Pavement Design and presented at the 44th Annual Meeting.
with the pavement performance to establish the requirements for a safe design. The correlation with the AASHO Road Test data was centered on tests of four undisturbed samples from the test road subgrade. Deflection and bearing capacity were correlated with the serviceability index or rating in the same way as the data for the Georgia pavements. A comparison of the correlations permits a comparison of the supporting qualities of the Georgia subgrades with those of the AASHO subgrade. Finally, the Georgia performance and soil support data were utilized independently to develop a semirational design method for Georgia pavements. Although this method is incomplete and requires further development, it appears to have some advantages that cannot be realized from the AASHO-derived design method.
PAVEMENT PERFORMANCE AND FAILURE
The term failure can easily be applied to a pavement that has ruptured or broken sufficiently so that it is no longer usable. However, pavements may be deficient long before rupture is reached. In such cases, failure of a pavement must be defined in terms of pavement function and the degree of impairment of that function. A modern pavement is a multi-purpose structure. It includes as its functions spreading the concentrated wheel load to match the supporting power of the subgrade, providing traction and a smooth riding surface, and protecting subgrade from deterioration by weather. The relative importance of these depends on the vehicle and its physical requirements, and on the person using the vehicle, including his physical and psychological needs. Therefore, the relative importance would not be the same for a jeep as for a heavily loaded inter-city truck, nor for an inter-city traveler and a man visiting his neighbor on the next block. The relative importance would also be different for a person who had been accustomed all his life to muddy rural roads and one who was accustomed only to paved city streets.
It is impossible, therefore, to define pavement failure precisely; it must be considered to be a deficiency in any one or more of the required functions. It cannot be defined as an absolute quantity or point; rather, it is a matter of degree. Finally, failure cannot be defined objectively but depends on the needs and whims of the users.
Performance-Serviceability
A new concept of pavement performance was developed in the AASHO Road Test in an attempt to express all the functions of the pavement in terms of the needs and demands of the using public. This is the Present Serviceability Rating, PSR (3), which is a subjective evaluation of the ability of the pavement to serve high-speed high-volume mixed truck and automobile traffic in its existing condition in terms of a numerical grade from 0 (or no quality) to 5 (the maximum). The rating was established as a composite of the individual ratings by a cross-section of users: highway administrators, maintenance men, materials suppliers, truckers, highway educators, designers, automotive manufacturers, and researchers.
The Present Serviceability Index, PSI, is a synthesis of the PSR from measurements of the shape of the pavement surface and its physical condition, based on empirical correlations between the PSR established from the opinions of the group of individuals and measurements of the same pavements. The major factors in the PSI were found to be the longitudinal profile of the surface and the mean depth of the ruts. The amount of cracking and patching were also factors, but not to the same degree. The longitudinal profile is expressed by the slope variance, SV, which is the mean variance of the pavement surface slope (measured between two points 9 in. apart and the horizontal). The deterioration in PSI due to this factor was found to be $1.9 \log(1 + SV)$. The deterioration in rating due to rutting was found to be $1.38 \overline{RD}^2$, where $\overline{RD}$ is the mean rut depth in inches. Of these two, mean rut depth appears the more significant when structural failure is near.
A simple approximation for the serviceability index based only on rut depth was derived by the author from the same data on which the AASHO PSI was based (1, p. 304):
$$\text{PSI} = 4.5 - 7 \overline{RD}^2$$ \hspace{1cm} (1)
Although the scatter of the data from this simplified relation is great, the equation agrees reasonably well with the observation that many of the test road pavements reached a PSI rating of 1.5 when the mean rut depth reached 0.6 to 0.7 in. (virtual structural failure).
**Causes of Pavement Deterioration and Failure**
The subjective PSR gives no clue as to the cause of the deterioration of a pavement from the high value it presumably possessed when it was built. The empirical PSI indicates the major and minor factors in the loss of the initial serviceability, but does not define the mechanism by which they develop. In addition, the scatter of the data suggests that there are additional factors in the PSI.
Although deterioration or failure of the pavement to perform its function may be reflected in the surface condition, the seat of the trouble can be in any of the layers which make up the flexible pavement system: the surface course, the base course, the subbase (if any), and the subgrade or embankment. Furthermore, the initial failure of one may lead to a failure, often in a different form, in another. For example, cracking of the asphaltic surface may let surface water into the subgrade and cause its softening and eventual shear.
The mechanisms for pavement deterioration are suggested in Table 1. Some are primarily related to traffic load, whereas others are either independent of the traffic load or are related to the load only in that the failure is intensified or aggravated by the load rather than caused by it. Deterioration and failure in the surface were not within the scope of this investigation. The causes are listed because they had to be considered in diagnosing the mechanism of deterioration of existing pavements and deciding which failures were the result of inadequate pavement thickness. Deterioration and failure of the base and subbase were similarly beyond the scope of this study, except when the base was so similar to the subgrade in its properties that the base and subgrade had to be considered as a unit, as with topsoil and sand bases. The failure of the higher types such as sand-asphalt and soil-cement was not investigated.
A major, and possibly the most important, function of the pavement is to distribute the concentrated wheel load so that the stress does not exceed the supporting capabilities of the subgrade. Of course, the deformation and failure of the subgrade are reflected in the surface condition and thereby in the PSR or PSI. The elastic deformation, consolidation (densification) and shear (bearing capacity) failure of the subgrade are directly related to the wheel load and the resulting stress distributed through the surface and base courses.
**TABLE 1**
**MECHANISMS FOR PAVEMENT DETERIORATION**
| Surface | Base and Subbase | Subgrade |
|----------------------------------------------|-----------------------------------|---------------------------------|
| Elastic deformation—rebound\(^a\) | Elastic deformation\(^a\) | Elastic deformation\(^a\) |
| Densification (consolidation)\(^a\) | Densification (consolidation)\(^a\) | Densification (consolidation)\(^a\) |
| Thermal expansion and contraction | Shear failure (bearing capacity)\(^a\) | Shear failure (bearing capacity)\(^a\) |
| Longitudinal shear failure (shoving)\(^a\) | Deterioration of aggregate | Swell–shrink |
| Curvilinear shear (bearing failure)\(^a\) | Deterioration of cementing agent | Pumping |
| Deterioration of bitumen | Swell–shrink | Settlement of deep strata |
| Separation of courses | Pumping | Mass shear failure (faultslide) |
| Bleeding | | Local mass shear (due to weak culverts, trenches) |
\(^a\)Primarily related to traffic loads.
The remaining mechanisms are not directly caused by the wheel loads. Swelling and shrinking of the subgrade depend on the moisture changes as well as the mineralogy of the soil. The effect may be bumps and hollows at irregular intervals not related to the traffic or load pattern. Swelling may have a secondary effect in that softening or weakening of the subgrade can lead to deflection or shear failure that is load related. Similarly, shrinkage has a secondary effect in producing tension and shear cracks in the pavement courses above. Although these are not necessarily load related, they may be aggravated by the load. Therefore, it is difficult to isolate the effects of deterioration due to swelling and shrinking, although the basic mechanism is different from the others.
Pumping is a complex phenomenon indirectly related to load; it arises from the effect of free available moisture on a susceptible subgrade or base. The load of the moving wheel causes the pavement components to deflect. After the load passes, the components rebound. If the upper layers rebound faster or more than the lower layers (which is likely because in the typical flexible pavement system, the upper layers are more rigid and possibly more nearly elastic), a temporary void is formed between the layers. If free water is available, it is sucked into the void, only to be expelled at the next loading. If the base or subgrade is easily softened or eroded, the pumping of water in and out creates an erosion cavity and eventually a structural failure.
Settlement of the roadway (ordinarily an embankment), because of consolidation of deeper strata, landslides and localized shear failures caused by weak culverts or improperly compacted backfills behind bridge abutments or in trenches, can cause disruption of the pavement surface and a loss of serviceability. None of these, however, are directly related to the design or adequacy of the pavement. Furthermore, the traffic loads are often not major factors in these phenomena because they may be small compared to the weight of the soil mass that is involved. Pavement deterioration due to these phenomena, therefore, must be discounted in evaluating observed pavement conditions for the purpose of developing a pavement design.
The major subgrade mechanisms that contribute to pavement deterioration are deformation and shear failure.
Subgrade Deflection.—The deflection of the subgrade under traffic load results from stresses particularly vertical, transmitted through the pavement system. Both theory and stress measurements show that vertical stresses become smaller with increasing depth below the pavement surface and with increasing horizontal distance from the center of the line of load application, depending on the elastic characteristics of the subgrade and base course (4).
These stresses have a two-fold effect on the subgrade (and on the other pavement layers). First, they produce a downward deflection of the subgrade surface due to the deformation of the soil without appreciable volume change. This can be visualized as the shortening and lateral building of the column of soil immediately below the load similar to the shortening of any axially loaded structural member. If it is assumed that the subgrade is a semi-infinite isotropic homogeneous elastic mass with a modulus of elasticity of $E$ and is momentarily incompressible and that a uniform pressure of $q$ is applied to a square area of width $b$, the deflection $\rho$ due to deformation will be
$$\rho = \frac{0.6 q b}{E} \quad (2)$$
that is, the deflection is the same as for a free-standing column of soil whose height is 0.6 times the width of the column. Of course, neither the distribution of the load nor the shape of the loaded area of the subgrade is as simple as the conditions assumed in this equation. More accurate, and more elaborate, mathematical representations of the deformation deflection of a subgrade are available. All are of the same general form as Eq. 2; therefore, this suffices as a model for illustrating the effects of some of the different factors involved. The deflection in any case is directly proportional to the pressure and the size of the loaded area and inversely proportional to the modulus of elasticity.
The second deflection mechanism is the consolidation or densification of the subgrade. Although the theories of soil settlement due to reduction in the volume of the voids have been primarily applied to foundations of structures, they apply also to the consolidation of the subgrade. The relation between void ratio change and stress increase is more complex than that for elastic deformation and, therefore, a simple expression for consolidation settlement is not available even for homogeneous soils. However, consolidation settlement does increase with increasing stress, not in direct proportion but more nearly in proportion to the log of the increase compared to the original stress due to the soil weight.
Under repeated loadings, progressive consolidation occurs. With each successive cycle of load and unload, the reduction in voids rapidly becomes less. Settlement appears to continue indefinitely, but at an ever decreasing rate. Subgrade deformation and consolidation cause an elongated depression in the wheelpath that is entirely below the original surface level. The deformation deflection is temporary and is recovered after the wheel passes. The major effect is an "alligator" cracking of the surface course if the deflection is sufficiently great. The estimated limiting deflection, based on the U. S. Navy airfield design, is 0.2 in., although some highway departments have suggested limiting deflections of 0.05 in. for major highways. Consolidation deflection causes a permanent rut entirely below the original surface. The rut may be accompanied by longitudinal and possibly transverse cracks. In addition, long longitudinal waves in the rut may be observed where there is severe consolidation.
Shear Failure.—Shear failure of the subgrade, similar to the bearing capacity failure of a foundation, can result if the stresses transmitted to the subgrade through the base and surface courses exceed the strength in a sufficiently large zone. If it is assumed that the subgrade is homogeneous and its properties can be described by the unit weight $\gamma$, the cohesion $c$, and the angle of internal friction $\varphi$, and if it is assumed that the pressure transmitted to the subgrade is vertical and uniform over an area of width $b$, the pressure at which the soil will shear $q_0$ is defined by
$$q_0 = \frac{\gamma b}{2} N_\gamma + c N_C + q' N_q$$ \hspace{1cm} (3)
In this expression $N_\gamma$, $N_C$, and $N_q$ are dimensionless functions of the foundation shape and angle of internal friction and $q'$ is the weight of the pavement and base above the subgrade.
Many variations of this expression, originally proposed by Terzaghi (5), have been published. The differences are in the mode of loading and assumed character of the zone of shear failure and they are manifested in differences in the values of the $N$-factors. So far no analysis has been developed for a nonuniform loading of indefinite width such as that transmitted through the pavement to the subgrade. However, it is to be expected that the general form of the equation will be little changed; instead, the values of $N$ will reflect the nonuniform loading. Therefore, bearing capacities for subgrades computed by Eq. 3 and utilizing the $N$-values for one of the existing methods of analysis should be approximately proportional to the true bearing capacities. Or, conversely, the safety factor with respect to shear failure computed by Eq. 3 and utilizing certain existing $N$-factors and the average stresses transmitted to the subgrade through the pavement system should have some reasonably constant relation to the true safety factors.
Whereas the strength parameters $c$ and $\varphi$ reflect complete soil failure, they may not indicate the development of limited but accumulating shear under repeated loads that are not great enough to produce complete failure. Although little is known about the effects of repeated loading on progressive shear, the indications are that the magnitude of progressive failure increases with the increasing ratio of the actual stress to the failure stress. That is, progressive failure increases with a decrease in safety factor.
Shear in the subgrade is accompanied by a broad deep depression or rut in the wheelpath with the upheaval occurring beyond it. Longitudinal cracking may be severe and
eventually leads to transverse cracking which forms a blocky pattern (6). Shear along the pavement edge may be accompanied by curved cracking and outward movement of the base and surface, and sometimes by severe outward tilting.
**Apparent Safety Factor**
The stresses computed by any of the elastic theories apply only to the state of elastic equilibrium on which that theory was based. If the elastic state is altered by nonlinear strain or by failure, the stress distribution may be altered. If failure develops suddenly from an elastic state, however, the stresses just before reaching failure are probably not greatly different from those of elastic equilibrium. If it further can be assumed that the pressure, $q_0$, required for complete failure and that required to initiate failure are approximately the same or proportional, then it is possible to compute an apparent safety factor against failure by
$$\text{SF}_a = \frac{\sigma_a}{q_0} \quad (4)$$
In this expression, $\sigma_a$ is the average vertical stress transmitted to the soil surface by the pavement system, as computed by an appropriate elastic theory, and $q_0$ is the ultimate bearing capacity computed by Eq. 3, utilizing appropriate factors. The apparent safety factor is not the true safety factor (i.e., failure does not necessarily occur at a safety factor of 1), but it is reasonable to assume that both safety factors are proportional.
**Summary**
Pavement deterioration and failure is the result of a series of complex processes, none of which are clearly understood and only part of which are directly related to the loads supported. Although exact methods of analyzing the mechanical processes of subgrade deflection and shear failure are not available, approximations can be made that point out the relative importance of the different factors involved and also indicate the relative magnitude of possible deformation and the safety against shear failure.
The greatest unknown factors are those which involve the environment: temperature, frost action, groundwater, surface water infiltration, and other moisture changes. These profoundly influence the deformation and shear failure characteristics of all pavement components but particularly those of the subgrade. At the present time, little is known about the direct effects of the environment on the soil and too few facts are available to permit valid empirical correlations to be made.
**SURVEY OF GEORGIA PAVEMENTS**
A survey of Georgia pavements was undertaken in 1961 to locate typical areas in all four of the geologic regions (Coastal Plain, Piedmont, Blue Ridge, and Appalachian Ridge—Valley) in which comparable pavements had both exhibited good performance and deteriorated badly. An inquiry was sent to each of the Georgia State Highway Department field divisions asking for their suggested locations for study. From these a list of 84 was compiled for examination and testing.
A field examination was made of each location in the late summer, fall, and early winter of 1961. The pavement was examined visually and data on the roadway environment and pavement condition were obtained. A survey of the traffic was made during the period of pavement examination in which the total number of vehicles and the number of heavy trucks in the lane under study was counted and the percentage of heavy trucks estimated. Although such a short count is not a valid indication of the total traffic, it does give some picture of the character of the traffic on pavements for which no accurate information was available.
The typical depth of rutting was measured using a 4-ft straight-edge placed over the wheelpaths. The segment so measured was then photographed and a sketch made
of the pattern of cracking (if any). The dates of construction and repair (if any) were obtained from the field division engineer. He also provided information on the design and construction of the pavement, where it was available. The pavement was marked at the location where samples were to be made, usually in the zone of the failure but not where the failure itself might have disrupted the soil. Finally, a serviceability rating was assigned utilizing the criteria described by Carey (3) and based on the visual observations of the surface condition and its riding qualities.
**Sampling**
Samples were secured in most of the locations by the Georgia State Highway Department Division of Materials and Tests. The sampling program was necessarily interspersed with the routine drilling and sampling work for new construction, and thus was spread out over several months. Practically all sampling was done in the late winter and spring of 1962 when the soil moisture conditions were likely to be at the highest.
The bituminous pavement was cored where possible and its thickness measured. The thickness of each deeper pavement course was measured and the materials were described visually. Undisturbed samples were secured of each base course layer that contained no gravel and of the top 2 to 3 ft of the subgrade, utilizing 3-in. O.D. thin-wall sample tubes. The samples were sealed in the field with plastic end caps and brought to the Georgia Institute of Technology Soil Engineering Laboratory.
**Laboratory Tests**
The samples were cut into 6-in. sections using either a high-speed abrasive saw or a metal-cutting band saw. Unfortunately, some of the samples were unsatisfactory because of gravel which caught under the edge of the tube and disturbed the soil or because of faulty sealing. Most, however, were suitable for testing.
Because of the limited amounts of sample available, only one form of test could be utilized. Considered the most representative of field conditions was the undrained triaxial test, utilizing the full sample diameter (approximately 2.8 in.) and no changes in moisture. Where possible, three confining pressures, 10, 20, and 40 psi, were employed; however, in some cases only 10 and 20 psi were used when the amount of sample was limited. The samples, each about 6 in. long, were loaded axially at a controlled strain rate of 0.8 to 1 percent/min. The test data were analyzed on a computer and the results plotted in the form of stress-strain curves from which the initial tangent modulus of elasticity for a confining pressure of 10 psi was found.
**AASHO SUBGRADE TESTS**
The AASHO test road was constructed to provide as uniform a subgrade as possible, so that initial subgrade variability would not influence the pavement performance. Therefore, the materials utilized were as nearly uniform as possible in composition, and the construction was controlled so that the moisture contents and densities could be kept within narrow limits.
Tests of the subgrade (embankment) base and surface materials were summarized in the AASHO Road Test reports and in other published data on the road (7). These included control tests for quality and physical tests by the U. S. Bureau of Public Roads to determine the structural properties of the compacted materials. In addition, samples were furnished to many state highway departments to be tested by the procedures commonly employed for their own design work. The results of these tests have also been published (8). Limited tests were made of soils in certain of the road embankments which had been removed from test routinely at the programmed end of testing earlier because of deterioration. These included moisture, density, CBR and K-factor tests (1).
Sampling
None of the published data included strength tests of samples of the subgrades as constructed. Four undisturbed samples were secured by the Illinois Division of Highways on about May 1, 1963, well after the spring thaw. These were of the subgrade, commencing 3 in. below the subbase, and were made with 24-in. long, 2-in. O.D. thin-walled tubes. They were sealed at the site and shipped to the Georgia Institute of Technology Soil Engineering Laboratory.
Laboratory Tests
Triaxial tests were made of all four samples utilizing the same method and pressures as for the tests of Georgia subgrades. The results were expressed in stress-strain curves and Mohr diagrams, and are summarized in Table 2. As can be seen, the results are not uniform. There is considerable variation in the densities, moistures, and strengths. With the exception of the samples from Sta. 60 + 00, where gravel made a full program of tests impossible, the samples exhibited comparable angles of internal friction of slightly more than $20^\circ$ and cohesions between 6.2 and 20 psi. A composite plot of all data shows the weaker materials exhibit an average cohesion of 9.5 psi and an angle of internal friction of $20^\circ$. These values were used in subsequent analyses.
For comparison, the BPR tests of subgrade samples, laboratory-compacted to 95 percent of AASHO T99-49 maximum (the specified value), gave c and $\varphi$ values of 11 psi and $31^\circ$, respectively, for Borrow Pit 1 and 8.9 psi and $21^\circ$ for Pit 2. The corresponding CBR values were 2.7 and 2.5. The cooperative test (8) results were comparable in those cases where the soil was tested under similar conditions of compaction and moisture content.
ANALYSIS OF GEORGIA PAVEMENT PERFORMANCE
The performance of the Georgia pavements was analyzed utilizing the pavement descriptions and serviceability rating. The theoretical bearing capacity and deflection of the subgrade were computed by the methods described. These were correlated to form a semirational basis for pavement design evaluation.
Depth-Stress-Width
A previous paper (4) presented data on the vertical stresses at different depths beneath different pavement systems utilized in Georgia. These tests all indicated that the vertical stress was greatest immediately under the tire and became rapidly less with increasing horizontal distance and increasing vertical depth below the ground surface. For the purpose of analysis, it was assumed that the significant vertical stresses at any depth were those equal to or greater than one-half the maximum vertical stresses at that depth.
The average significant vertical pressures for a 9-kip dual-wheel load (4) were increased by ten-ninths to give the average significant vertical pressures for a 10-kip
| Station | Position (ft) | $\gamma_d$ (pcf) | w (%) | c (psi) | $\varphi$ (deg) |
|-----------|---------------|------------------|-------|---------|-----------------|
| 60 + 00 | 13.5 ft R of center WB | 125 | 11 | 51 | 0 |
| 149 + 00 | 13.5 ft L of center EB | 114 | 14 | 7.6 | 24 |
| 229 + 00 | 13.5 ft L of center EB | 82 | 28 | 6.2 | 22 |
| 360 + 00 | 13.5 ft R of center WB | 113 | 13 | 21.5 | 20 |
| Compositea| - | - | - | 9.5 | 20 |
aWeaker materials.
dual wheel (the present Georgia load limit of 20 kips per axle). A plot of these stresses (Fig. 1) shows the significant vertical stresses beneath different bases as a function of depth beneath the pavement surface. For most Georgia pavement systems, the curve for the 3-in. asphaltic surface and 8-in. topsoil-soil-macadam, or silt base applies. This is almost identical to the stress distribution computed by the Boussinesq theory and should apply reasonably well to all but soil-cement and sand-asphalt bases. The curves for the latter are shown in Figure 1.
The width of the zone of significant vertical stresses was also found from the stress distribution curves (Fig. 2). The curve can be approximated by the straight line whose equation is
\[ b = 15 + 0.72z \]
(4)
where \( b \) is the equivalent width in inches and \( z \) is the depth below the pavement surface in inches.
Deflection—Bearing Capacity
The elastic deformation of each subgrade under a 20-kip axle load was computed from Eq. 2 and the modulus of elasticity for the subgrade at a containing pressure of 10 psi. (The width, b, utilized in the computation was shown in Figure 2. The stress was shown for the depth of the top of the subgrade by Figure 1.) Of course, it would be false to conclude that this represents the true base deflection of the subgrade. However, it should be proportional to the true deflection if the modulus of elasticity determined by the laboratory tests is correct.
The bearing capacity of the subgrade, and in some cases the bearing of each different subgrade layer where the test data differed greatly, was computed from Eq. 3. The c and φ values were those of the soil tests and the b was found from Figure 2. The values of the bearing capacity factors were those computed from the simple Bell-Terzaghi equations as modified by the author (9). For use in these computations the relation was simplified slightly, based on the observation that the total thickness of pavement and base for Georgia is ordinarily 10 to 12 in. In such cases constants can be introduced in the terms involving b, d, and γ with little sacrifice in accuracy (considering the greater error involved in utilizing this or any other existing bearing capacity expression in analyzing pavement capacity).
The vertical stress exerted on the subgrade by the 20-kip axle was found from Figure 1. The ratio of the computed bearing capacity to the stress is the apparent safety factor which is probably not the true safety factor, but should be proportional to it. Further, it would be reasonable to conclude that the lower the safety factor, the greater the possibility of shear failure of the subgrade and the greater the amount of progressive shear.
Traffic
A short-term traffic count was made of each sample section. Data on estimated daily total traffic were obtained from the Georgia Division of Highway Planning. Most estimates were based on actual traffic counting at the regular stations in the area. However, some estimates, particularly for the secondary roads in remote areas, were based largely on experience. In no case was the pavement failure close enough to a point of long-term traffic study that the count can be considered accurate. Both the short-term count at the sample section and the Georgia State Highway Department estimate were utilized in determining the number of trucks per day (other than pickups) on the lane under study. This was converted to an equivalent number of 20-kip axles, utilizing a relationship established by the Alabama State Highway Department in their Loadometer studies (10). The total number of trucks multiplied by the weighting factor gives the equivalent 20-kip axles. The values of the factors used were 0.43 for Interstate and primary roads and 0.32 for secondary roads. The Alabama Loadometer studies were for an 18-kip load. The distribution factors of equivalent 20-kip loads in Georgia would probably be slightly smaller, but in the absence of data, the Alabama figures were used. The daily equivalent 20-kip axle-load figure multiplied by the number of days the pavement was in service gives the total axle loads at the time of the evaluation.
Considering the amount of estimating used to establish this traffic figure, it is likely that it may differ from the true value by 50 percent. An even greater variation is likely on the secondary roads with light traffic where even a moderate use by pulpwood trucks or other local highly specialized vehicles represents the major loading of the pavement.
Serviceability-Safety-Traffic
The serviceability for each pavement area was checked by photographs, measured rut depths, and crack patterns. Greatest weight was given to those factors which reflect the subgrade behavior. For example, although the overall serviceability of a
Figure 3. Computed elastic deflection vs computed safety factor of subgrades of Georgia pavements with 20-kip axle loads.
pavement suffering from the peeling of an overlay due to bad bond with the old pavement might be low, the serviceability of the pavement considering the rut depth and longitudinal profile might be high. Because this investigation is concerned with the design of a pavement to fit the subgrade, the subgrade behavior was given greatest weight.
Plots of the serviceability as a function of computed bearing capacity, apparent safety factor, and traffic were made to determine which of these factors was most significant in determining the behavior of the Georgia pavements. A plot of computed deflection vs computed safety factor is shown in Figure 3. Although there is considerable scatter, the relation shows that those pavements having the greatest safety factor against shear failure also exhibit the least elastic deflection; i.e., those soils having the greatest strength are also likely to be the most rigid. This relation also suggests that either deflection or bearing capacity alone might be a satisfactory criterion for design in that one reflects the other to some degree. Because of the limited time available for study and the many factors in both deflection and bearing capacity for which no data were available, no attempt was made to analyze the cause of the scatter.
The plot of serviceability vs apparent safety factor (Fig. 4) also exhibits considerable scatter. However, a general trend is apparent with serviceability decreasing with decreasing safety factor. If the traffic is considered, the trend becomes fairly well defined, with the lighter traffic requiring smaller safety factors than the heavier. Curves were drawn reflecting the largest safety factors required to maintain a given serviceability, for different levels of traffic. In reality, therefore, each curve represents an envelope. There are a few points that do not fit these relations. Some of these with high serviceabilities undoubtedly represent different qualities of initial construction, rather than any deterioration of the pavement. A few exhibit lower serviceabilities because of deterioration other than of the subgrade.
A major unknown factor in the scatter is the fact that the soil test data may not reflect the environmental conditions representative of the greatest degree of deterioration.
Figure 4. Required safety factors for different present serviceability indexes at end of service period for Georgia pavements and 20-kip axle loads.
and failure. For example, if the subgrade moisture increases in the winter and spring and if failure is most rapid during this period, then the tests should be made of samples obtained during this critical period. Although this was done, it is not known whether the soil at each location was sampled at its worst condition. Moreover, this might not be fair if the traffic during this period of soil weakening was materially less than average. Considering the variable factors which could not be evaluated in this investigation, the degree of correlation shown in Figure 4 is surprising.
AASHO DATA ANALYSIS
AASHO Flexible Pavement Evaluation
The evaluation of the AASHO flexible pavement tests is given in detail in Report 5 (1). A brief review of the program, however, is necessary to provide the background for this analysis.
The entire flexible pavement test program utilized a single subgrade soil, a silty clay classified as A-6 by the AASHO system. This was compacted under close control to densities between 95 and 100 percent of AASHO T99-49 maximum so as to provide as uniform a subgrade as possible and to eliminate the factor of variable subgrade support. The controlled variables were pavement component thickness and traffic. Although a few different base course materials were tested in limited sections, the major emphasis was on the effects of different combinations of surface, base, and subbase thickness under axle loads ranging from 2,000 to 48,000 lb, and with nearly continuous traffic. The serviceability of each pavement section was measured from time to time and a plot of serviceability as a function of the total number of axle loads was made for each pavement section. The results were analyzed statistically to develop empirical relations between axle load, number of axles, pavement design, and performance. The tests effectively demonstrated that serviceability decreased with increasing load and numbers of loads, and decreasing pavement thickness. Curves showing these relationships were developed by assuming a mathematical form and by finding the best fit for the assumed curve by statistical methods.
The method of analysis employed in the AASHO studies does not take into consideration the mechanisms contributing to deterioration or the relative contribution of each. The effect of possible variable subgrade support is not considered. The effect of environment, particularly moisture variation, is also ignored in the primary analysis. Therefore, the AASHO test results cannot be directly applied to the design of Georgia Highways (1, p. 3). Instead, the AASHO data for the 18-kip axle loads (which are nearly equal to the present Georgia legal limit of 20 kips) were analyzed in the same manner as the Georgia data in this report.
Deflection-Bearing Capacity-Traffic
The elastic deflection and bearing capacity of the AASHO subgrade were computed in the same way as for the Georgia subgrades. A single value was utilized for $c$, $\phi$, and $E$ in all segments, corresponding to the poorer soils tested (the composite on Table 2).
A plot of computed elastic deflection vs computed safety factor (Fig. 5) is well defined, as might be expected, because the only variable involved is pavement thickness. This does, however, suggest the validity of using a single index, either bearing capacity or deflection, as a basis for evaluating subgrade support. A comparison of Figure 5 with Figure 3 is of interest: the AASHO curve in Figure 3 approximately coincides with the lower limit of the Georgia data, suggesting that many of the Georgia soils are more elastic than those of the AASHO subgrade.
A plot of the safety factor of the AASHO pavements vs number of 18-kip axle loads required to reduce the serviceability to 1.5 is shown in Figure 6. A well-defined trend is evident, showing that as the safety factor increases, so does the number of axle loads required to reduce the serviceability to 1.5. Conversely, if a serviceability of 1.5 is demanded at the end of the service life of a pavement, the required safety factor must increase with increasing traffic.
Figure 5. Computed elastic deflection vs computed safety factor of subgrades of AASHO Road Test and 18-kip axle loads.
Figure 6. Required safety factor of AASHO pavement to provide serviceability index of 1.5 after different numbers of 18-kip axle loads.
The relationship exhibits considerable scatter, particularly at the lower numbers of axle loads. A study of the individual points shows that those exhibiting the higher safety factors failed suddenly in the spring of 1959 immediately after the thaw period. Two interpretations may be placed on this: (a) the failures were not the result of progressive failure or repeated load; or (b) the soil strength at this time was less than that indicated by the tests of samples made in the late spring of 1963. Those pavements which survived the spring breakup of 1959 exhibited a much better correlation between safety factor and traffic. Of these, however, those points above the lower line represent, for the most part, rather sudden failures corresponding to the spring breakup. The lower curve would seem to represent the more valid relationship between safety factor and traffic. If strength data were available for each test section for the period in which failure developed, the scatter would probably have been much less.
PAVEMENT DESIGN
AASHO Pavement Design
A tentative pavement design method was derived from the AASHO Road Test results by the AASHO committee on design and a draft was presented by Liddle (2). The basis for this development is outlined by Langsner, Huff, and Liddle (11).
The major Road Test correlation is pavement serviceability deterioration (from the initial constructed value) as a function of the pavement design, the axle load, and the number of axle loads. Thus, for a given initial serviceability and a desired serviceability level at the end of the pavement life, and for a required axle load and total traffic, the required pavement design can be found. The correlation is entirely empirical, based on curve fitting, and does not necessarily reflect any consideration of the mechanisms that contribute to failure. The correlation is valid only for the test road subgrade and only if the subgrade properties are uniform and unchanging. An attempt was made to include the variation of the subgrade with the season by assigning a greater weight to the number of load applications occurring during seasons of more rapid deterioration than to those during seasons of less rapid deterioration. The method of determining the factor (1) apparently was purely empirical; the weighting factors were adjusted until the serviceability and total load application data fit the assumed mathematical model with the least variation. This procedure does not indicate the mechanism by which the deterioration is accelerated. In fact, it applies the correction to the traffic rather than to the pavement support factors to which it more logically should apply. Therefore, although it may improve the fit of the AASHO data to an assumed mathematical curve, there is no reason to believe that it might be valid elsewhere.
The pavement design in the main load-performance-traffic-design relationship is expressed in terms of the structural number SN or equivalent thickness D; both definitions and symbols are used for the same thing, the first in Liddle's paper (2) and other design memoranda, and the second in the AASHO Report (1). This is related to the actual pavement components by
\[ D = \frac{SN}{D} = a_1 D_1 + a_2 D_2 + a_3 D_3 \]
(5)
where \( D_1 \), and \( D_2 \) and \( D_3 \) are the thicknesses in inches of the surface course, the base course and the subbase, respectively. The coefficients \( a_1 \), \( a_2 \), and \( a_3 \) are assumed to be indexes of the relative load-spreading or supporting qualities of each corresponding pavement course. The values found for the AASHO Road Test components varied with the traffic, load and the component thicknesses. The values for the 18-kip axle-load section are given in Table 3.
| Course | Coeff., Unweighted | Weighted |
|-------------------------|--------------------|----------|
| Asphaltic concrete surface | \( a_1 \) 0.39 | 0.44 |
| Crushed stone base | \( a_2 \) 0.15 | 0.8 |
| Sand, gravel subbase | \( a_3 \) 0.12 | 0.1 |
TABLE 4
COMPARISON OF PAVEMENT COEFFICIENTS
| Course | Thickness (in.) | Stress in Course (psi) | Stress Reduction in Layer |
|--------|-----------------|------------------------|--------------------------|
| | | Top | Bottom | Total (psi) | Per In. (psi) | Comparative \(a^a\) |
| Surface| 4 | 90 | 44 | 46 | 11.5 | 0.39 |
| Base | 3 | 44 | 27 | 17 | 5.7 | 0.19 |
| Subbase| 4 | 27 | 17 | 10 | 2.5 | 0.08 |
\(a\) Assuming surface = 0.39.
Although the AASHO Road Test report (1, p. 36) states that the weighted values indicate that an inch of surfacing (\(a_1 = 0.44\)) is about three times as effective as an inch of base (\(a_2 = 0.14\)) or four times as effective as an inch of subbase (\(a_3 = 0.11\)), this does not necessarily mean that these materials have support qualities or load-spreading abilities in the same ratio. For example, one design of the AASHO Loop 4, where the 18-kip axle load was employed, consisted of the layers shown in Table 4. If the vertical stresses are computed at the top and bottom of each layer using the Boussinesq equation (which applies to a semi-infinite homogeneous isotropic elastic mass), they will be seen to be less at the bottom of each successive course, as shown in the table. The stress reduction in each layer and stress reduction per inch of layer are also shown. The comparison indicates that the first layer is 2 times more effective than the second and 4.6 times more effective than the third. The effectiveness of each layer in terms of the pavement coefficient is tabulated. The resulting values are remarkably similar to the Road Test values for \(a\). Therefore, it must be concluded that the relative values of \(a_1\), \(a_2\), and \(a_3\) do not only reflect the load-spreading or supporting qualities of the pavement materials but also their relative position with respect to the pavement surface.
The Road Test correlation does not include any terms reflecting the subgrade soil support because it was assumed that this was constant and uniform. However, a possible "second" subgrade soil value was inferred from the pavement section with such thick crushed stone bases that the base, in effect, was the subgrade; however, this inference was not checked by any rational procedure. Arbitrary soil support values, \(S\), were assigned to the subgrade and the thick stone base of 3 and 10, respectively. Of course, these values do not necessarily reflect relative support but instead are points of reference.
Nomographic design charts were constructed for the Road Test correlation utilizing an axle load of 18 kips and for terminal serviceabilities of 2 and 2.5. The former is reproduced in Figure 7, from the AASHO Interim Guide for the Design of Flexible Pavements. The same chart has been used by Liddle (2, 11).
**Design Constants, Georgia Pavements**
The use of the AASHO design charts requires calibration of the soil support scale in terms of some quantitative index or measure of the appropriate property of the subgrade soil for which the pavement is designed. Whereas the AASHO test results do not directly point to the mechanism of pavement deterioration and failure, clues are given by the results of the trenching program. Trenches were cut into pavement sections that had deteriorated to the point of removal from test in 1959. An extensive trench program was undertaken in 1960 when 39 pavement sections were investigated. In each, the transverse profile of the boundary between each of the pavement components and the densities of each layer in and beyond the wheelpath were obtained accurately. These tests indicated that about 25 percent of the thickness change of the pavement layers could be attributed to densification or consolidation of the layers. The remaining change, therefore, must be shear displacement. Such shear displacements can be clearly seen in the transverse profiles of the subgrade surface. Therefore, because it is shown that the major part of the subgrade's contribution to the deterioration of the pavement surface is shear failure, it appears reasonable to presume that the subgrade bearing capacity (its resistance to shear displacement) would be a valid index to the subgrade support of $S$. On this basis, the AASHO support value would represent an ultimate bearing capacity of 99 psi, based on tests of the samples secured in 1963 some time after the critical period of spring softening. This value probably does not represent the bearing capacity during the periods of most rapid deterioration. This is confirmed by the plot of safety factor vs traffic for the AASHO Road Test (Fig. 6). The lowest curve, which represents the more valid traffic-related deterioration, shows a safety factor of 3.6 required under conditions of very little traffic. The corresponding Georgia data gave a safety factor of about 1 for the same low traffic. Therefore, it is concluded that the actual bearing capacity of the AASHO subgrade was appreciably less than 99 psi during the critical periods of the Road Test.
A plot of the required Georgia subgrade safety factors for the same level of serviceability (1.5), based on Figure 4, is shown for comparison in Figure 6. The Georgia values everywhere are 1/3, 2 or 31 percent of the indicated AASHO values. On this basis, the Georgia ultimate bearing capacity equivalent to the Road Test subgrade bearing capacity would be $0.31 \times 99$ or 31 psi. This value is recommended for use of pavement design in Georgia as the equivalent of the subgrade support value of 3 (2, 11).
Other values on the subgrade support value scale were established from this key bearing capacity utilizing the AASHO pavement thickness relation for an 18-kip axle load and 100 equivalent axle loads per day. The required safety factors for Georgia pavements for different amounts of traffic and different serviceabilities at the end of the pavement life were found from Figure 4 and plotted in Figure 8. One hundred axles per day for 20 years is a total of 730,000 axle loads. For a serviceability limit of 2.0, the required Georgia safety factor is 4. The safe limit of stress for the correct design would be $\frac{1}{4} \times 31$ or 7.75 psi. The total pavement thickness (3-in. surface plus soil-macadam base) required to maintain the stress at this level, from Figure 1, is 19.5 in. From the AASHO chart for a serviceability of 2, an $S$ of 3 and 100 axles per day require a pavement SN of 3.58. The weighted average $a$ for the Georgia pavement, therefore, must be $3.58/19.5 = 0.184$.
A second point on the support scale can be found by utilizing a different assumed Georgia ultimate bearing capacity and the computed weighted average $a$ for the Georgia pavement. For example, if the subgrade has an ultimate bearing capacity of 50 psi, the actual stress on the subgrade would be limited to $50/4 = 12.5$ psi. This corresponds in Figure 1 to a total thickness of 13.7 in. Utilizing the previously computed weighted average $a$, the $SN$ would be $13.7 \times 0.184 = 2.52$. From the AASHO chart, the soil support number corresponding to $SN = 1.52$ and 100 axle loads daily would be 5.7. Therefore, the $S$ value corresponding to a bearing capacity of 50 psi would be 5.7.
Figure 8. Required safety factors for Georgia subgrades for different numbers of 20-kip axle loads.
By this process the bearing capacities corresponding to various $S$ values were found and are given in Table 5. These values apply to the 100 axle loads daily and the performance rating of 2.0 at the end of the pavement life. However, their applicability to other conditions is probably as valid as the other assumptions made in developing the design method.
In utilizing these values for design, consideration must be given to the test method on which the Georgia evaluations were based. The samples were secured in actual subgrades during the winter and the time of greatest soil moisture and lowest strength. Until data are available on the variations in soil moisture with the season, it is safe only to assume that the limit of capillary saturation is the limiting moisture corresponding to the Georgia test data. It is recommended that the bearing capacity be found from $c$ and $\phi$ values determined as follows:
1. Compact two specimens of the subgrade to the lowest density and highest moisture permitted by the construction specifications.
2. Confine each in a triaxial chamber, one at a confinement of 10 psi and the other at 20 psi.
3. Subject each to a head of 1 ft of water from the bottom and allow to saturate until
| Bearing Capacity (psi) | $S$ | Bearing Capacity (psi) | $S$ |
|-----------------------|------|------------------------|------|
| 15 | -0.7 | 60 | 6.6 |
| 20 | +0.9 | 70 | 7.4 |
| 30 | 2.9 | 80 | 8.2 |
| 40 | 4.5 | 90 | 8.9 |
| 50 | 5.7 | 100 | 9.5 |
*For using AASHTO tentative design chart with subgrade bearing capacities computed from undrained triaxial shear tests of Georgia subgrade soils computed and inundated.*
no more water is absorbed (period of saturation to be found by experiment).
4. Load axially until failure occurs, without further change in moisture. For design utilize a seasonal weighting factor of 1 throughout, as in Figure 7.
Determination of the \(a\) coefficients for use in the AASHO design method is more difficult because there is little on which to base a correlation. The AASHO values are 0.44 for the asphaltic concrete surface and 0.14 for the crushed stone base. The weighted \(a\) for a typical Georgia pavement of 3 in. surface and 8 in. soil-bound macadam would be \(\frac{3}{11} \times 0.44 + \frac{8}{11} \times 0.14 = 0.22\). This compares reasonably well with 0.18, indirectly computed from the equivalent thicknesses utilizing the AASHO design chart as previously described.
Based on the subgrade stress studies of the author, the value of 0.44 for the surface appears large. Considering the stress-spreading value of the layers alone, a value of 0.35 is suggested for the asphaltic surface and 0.14 for the stone base. The weighted average of these is 0.197, which is closer to that of the value computed from the bearing study. These values have a ratio of 2.5 to 1, which is close to that found on the basis of the Boussinesq distribution to be applicable to a flexible pavement system employing a granular base.
The \(a\) value of the soil-macadam-cement base can be found indirectly from Figure 1. This shows that an 8-in. soil-macadam-cement base (5 psi on subgrade) is equivalent to 22 in. of soil-bound macadam, etc., or would have an \(a\) of \(\frac{22}{8} \times 0.14 = 0.38\). The 6-in. soil-macadam-cement base (15 psi) is as effective as 9 in. of soil-bound macadam; it has an \(a\) of \(\frac{9}{6} \times 0.14 = 0.21\). At first glance the different \(a\) values for the same material might appear contradictory. However, stress theory indicates that the load-spreading ability of a layer capable of supporting tension is a nonlinear function of the layer thickness as well as the material rigidity. For an all-over design value, an \(a\) of 0.25 to 0.30 for a soil-macadam-cement base would appear reasonable. This is not greatly different from the value of 0.23 estimated for the AASHO pavements.
The 8-in. thick sand-asphalt base stressed the subgrade to 23 psi which is equivalent to a 5.5-in. thick soil-bound macadam base. The equivalent value for the sand-asphalt, therefore, would be \(\frac{5.5}{8} \times 0.14 = 0.10\). This is considerably less than the 0.25 estimated from the AASHO test results. (Of course, the AASHO tests did not include a sand-asphalt base; the value was only a guess.) The great difference between the AASHO \(a\) values and the values inferred from the Georgia stress tests is possibly the result of the higher Georgia temperatures and resulting lower rigidity, as well as the slower rate of loading.
**Alternate Georgia Design Method**
An alternate design procedure can be evolved from the Georgia pavement evaluation data:
1. Determine the \(c\) and \(\phi\) of the soil as outlined previously.
2. Compute the ultimate bearing capacity, using an assumed tentative pavement thickness \(D\).
3. Find the appropriate safety factor from Figure 8.
4. Compute the safe bearing capacity by dividing the ultimate bearing capacity, Step 3.
5. Find the total pavement thickness from Figure 1 utilizing the appropriate curve for the type of base course to be employed.
This procedure is no more complicated than that of the AASHO interim guide. It makes use of the AASHO serviceability concept and the traffic-serviceability decline principle. It is based on Georgia performance and on the stress spreading ability of the Georgia base courses. Finally, it is a more nearly rational approach to design than is the AASHO method.
**Recommendations for Further Study**
Test sections of pavement should be constructed specifically for serviceability-performance studies. These should be a part of the highway system so as to reflect
the use and traffic patterns of real highways. They should be placed on typical subgrades in each geologic region and should be constructed with varying pavement thicknesses and Georgia bases. They should be accompanied by a traffic count station where periodic Loadometer studies can be made to determine the distribution of the heavier axle loads. The soil moisture variation should be measured periodically, and the bearing capacity determined by laboratory tests of samples secured so as to reflect the typical range of moistures, particularly the highest. Pavement serviceability should be determined accurately by profile studies.
Subgrade moisture studies should be undertaken to define the range in moisture content changes for the typical subgrades in each geologic region and each different drainage regime.
Triaxial tests should be made on typical subgrade materials utilizing the procedure outlined in this paper for "saturating" the soils, or when more realistic subgrade moisture data become available, by making the tests at those moistures. The bearing capacities and deflections of these materials should be computed from the appropriate theories and correlated with the geology, soil classification, and region for use in preliminary design.
Finally more realistic theories should be developed for the bearing capacity and deflection of the subgrade and each of the pavement components.
CONCLUSIONS
1. There are numerous causes or factors involved in the failure of a pavement to perform adequately. Of the Georgia pavements studies, however, most were load related.
2. The study of the performance of Georgia pavements disclosed a correlation among the serviceability rating or index, traffic, and computed deflection and bearing capacity of the subgrade.
3. The study of the AASHO data disclosed a similar correlation among these factors.
4. The AASHO subgrade had an ultimate bearing capacity of 99 psi. For comparable load, traffic and performance, Georgia roads required an ultimate bearing capacity of 31 psi. The difference is probably the result of differences in environment. The 31-psi required bearing capacity for Georgia subgrades corresponds to the Soil Support Number 3 of the AASHO design.
5. Georgia pavement thicknesses can also be designed by the use of triaxial tests on subgrade soils tested under field moisture conditions. The required safety factor against a bearing capacity (shear) failure is the required thickness to reduce the stress to that necessary to provide the safe bearing. This factor can be found from graphs of the test data and stress distribution below a pavement.
ACKNOWLEDGMENTS
This work has been sponsored by the Georgia State Highway Department and the U. S. Bureau of Public Roads, through the Engineering Experiment Station of the Georgia Institute of Technology. The author is indebted to T. S. Wallace, T. K. Brasher and D. Wheeless, graduate research assistants; to Dr. A. Schwartz who directed the field studies of the pavements and the laboratory testing; to W. F. Abercrombie, Engineer of Materials and Tests and T. Moreland, Soil Engineer, the Georgia State Highway Department; and to the late W. E. Chastain, Sr., Engineer of Physical Research, Illinois Division of Highways.
REFERENCES
1. The AASHO Road Test, Report 5: Pavement Research. Highway Research Board Spec. Rept. 61E, 1962.
2. Liddle, W. J. Application of AASHO Road Test Results to the Design of Flexible Pavements. Preprint Vol. Supple., Int. Conf. on the Structural Design of Asphalt Pavements, Univ. of Mich., Ann Arbor, 1962.
3. Carey, W. N., Jr., and Irick, P. E. The Pavement Serviceability-Performance Concept. Highway Research Board Bull. 250, pp. 40-58, 1960.
4. Sowers, G. F., and Vesic, A. B. Vertical Stresses in Subgrades Beneath Statically Loaded Flexible Pavements. Highway Research Board Bull. 342, pp. 90-123, 1962.
5. Terzaghi, K. Theoretical Soil Mechanics. New York, John Wiley and Sons, 1941.
6. Hveem, F. N. Types and Causes of Pavement Distress. Highway Research Board Bull. 187, pp. 1-52, 1958.
7. The AASHO Road Test, Report 2: Materials and Construction. Highway Research Board Spec. Rept. 61B, 1962.
8. Shook, J. F., and Fang, A. Y. Cooperative Materials Testing Program at the AASHO Road Test. Highway Research Board Spec. Rept. 66, 1961.
9. Sowers, G. F., and Sowers, G. B. Introductory Soil Mechanics and Foundations. New York, Macmillan Co., 2nd Ed. 1961.
10. Eiland, E. Alabama Highway Departments Use of the AASHO Data. Proc. 6th Alabama Joint Highway Conf., Auburn, April 1963.
11. Langsner, G., Huff, T. S., and Liddle, W. J. Use of Road Test Findings by the AASHO Design Committee. Highway Research Board Spec. Rept. 73, pp. 399-414, 1962. |
L # BDCP651
- [x] Unused
- [ ] Duplicate of _____
- [ ] Out of Scope
- [ ] Other: _______________
(replace original)
Please oppose the Delta Tunnels. I don't live in the Delta region but I attended one of the presentations by the state here in Sacramento. I understand that there is a better solution in a proposal by Robert Pyke to take Delta water at Sherman Island instead of the Peripheral Canals.
Actually all the proposals seem pretty bad. Davis will be taking more water out of the Sacramento. EBMUD has started drawing water out around Freeport or someplace nearby. Dickinson's A.B.134 has committed to giving Sou. Cal and the various water merchants in the Central Valley more water rights in exchange for their helping pay for an improved sewage plant in Sacramento....so that developers can get cheaper permits in Sacramento.
Meanwhile salinization is getting worse and worse in the Delta. No one has identified how much water will go to fracking out the oil in the Moneterey Shale since the oil mining companies can probably outbid the farmers.
If the Delta Tunnels go ahead, salinization will just get worse and worse. Water depth and quality will get worse and worse for salmon. The only reason the central valley and Sou. Cal. wants these is because the water is getting pretty salty where it is currently being pulled out....not because they want to save the smelt.
Marjorie Koldinger
1339 44th St
Sacramento, California 95819
Please see attached comment on the Bay Delta Conservation Plant from the Davis Chapter of the Society for Conservation Biology.
Thank you
Rosemary Hartman
Policy Committee Chair
SCB-Davis
The Society for Conservation Biology, Davis Chapter, would like to endorse the planned restoration in the Bay Delta Conservation Plan (BDCP) (BDCP Chapter 3), but recommends the plan as a whole increase its capacity to respond to the uncertainties inherent in restoration activities. We would also like to see restoration of a more natural hydrograph and prioritization of the most highly degraded areas. We identified 4 main areas needing improvement and include science-based recommendations to better ensure restoration will achieve desired outcomes for the area’s aquatic biodiversity and imperiled species.
I. Uncertainty in Restoration
While the BDCP proposes expansive restoration (BDCP Chapter 3), it is overly optimistic about its ability to accurately predict the initial and long-term consequences of restoration (BDCP 126.96.36.199). Ecosystem restoration does not always proceed along a predictable “trajectory” (Zedler and Callaway 1999). Temporal variation can often influence the outcome of restoration work, making the results of any one study difficult to generalize (Vaughn and Young 2010). The BDCP should do more to acknowledge this uncertainty inherent in all restoration work.
As a specific example, the BDCP assumes that restoring tidal marsh will produce food inputs to open waters where the delta and long-fin smelts reside (BDCP 3.4.4). However, whether food originating in the tidal marsh will adequately supplement open water resources remains an unanswered question. Other organisms in the tidal marsh, such as native microzooplankton and clams, may eat much of the additional food (e.g., Lopez et al. 2006). The BDCP in fact acknowledges that invasive clams may eat phytoplankton in the tidal marshes, but then does not discuss how this will affect restoration results. While such uncertainties do not guarantee that the proposed restoration will not benefit the smelts and other species, these unanswered questions do demonstrate unequivocally that the BDCP should better prepare for unexpected restoration outcomes. The BDCP needs to more thoroughly incorporate both
uncertainty and the best available scientific information into its restoration programs. In its development of an adaptive management plan, the BDCP has recognized some uncertainty in its restoration practices (BDCP 3.1.3). However, further steps can be taken to increase the flexibility of the adaptive management plan and mitigate the potential for failing to reach restoration goals by including back-up restoration plans from the beginning.
II. Needed improvements to adaptive management plan
While we applaud inclusion of adaptive management in the BDCP (BDCP 3.1.3, 7.1.6), adaptive management is seldom used effectively due to poor understanding of the uncertainty involved, leadership problems, bureaucratic hurdles, and lack of resources (Walters 2007). In the Delta, the multitude of agencies with overlapping jurisdictions, strict control of water flows, and slow processes involved in enacting change (Mount et al 2013) mean that appropriate responses to adaptive management experiments may be impossible. No management action should be undertaken without scientific support. However, lengthy studies are often extended simply because they are cheaper and more politically feasible than action (Lund 2012). The planned Adaptive Management Team should have greater power to act independently with the same level of authority as the Authorized Entity Group (BDCP 7.1.3). It should also coordinate the sharing of existing resources and scientific data between agencies.
Adaptive management is generally a mechanism for dealing with uncertainty in management outcomes. However, in Chapter 6.4 of BDCP, the plan specifies that in the event of unforeseen circumstances USFWS and NMFS cannot place any new restrictions on land or water use. While the “no surprises rule” and associated financial assurances are understandable incentives for stakeholder agreement (BDCP 6.4.1), water restrictions may be the only mechanism to protect endangered species in the event of extreme drought (Moyle et al 2012). To maximize the chances that the plan meets its restoration goals, a mechanism will be needed to renegotiate water contracts should unforeseen circumstances jeopardize success.
III. Restoration of the Natural Hydrograph and Flow
Flow regime is considered the primary determinant of the structure and function of aquatic ecosystems (Bun and Arthington 2002, Poff et al 2010). While the BDCP discusses the difference between the historical and current hydrograph (see BDCP 2.2.1 and 188.8.131.52), it does not focus on the restoration of the natural hydrograph or increasing outflows from the Delta (see BDCP 5.3.1). Delta water exports and diversions have increased dramatically since the 1950s and 1960s when export facilities were constructed (Healey et al. 2008). A north Delta pumping
station will reduce the flow reversal and saltwater intrusion caused by the south Delta station location (BDCP 5C.5.3.8). Currently, in times of low flow, saltwater from the estuary gets pulled back towards the south Delta pumps due to proximity and lack of freshwater outflow. Despite this benefit of a north station, the BDCP has not addressed the potential issue that a north Delta station could reduce the outflow of water entering the central Delta from the Sacramento River (see discussion of Delta Outflow requirements in BDCP 5C.A.4.1.2, North Delta Intake Diversions in 5C.A.4.4, Simulated North Delta Intake Diversions in 5C.A.6.3.1, and Delta Outflow and X2 in 5C.A.4.16). The south Delta pumping station allows for all-of-the Sacramento River outflow to enter and pass through the Delta. Sufficient outflows are necessary to maintain water quality and to prevent saltwater intrusion (Herbold and Moyle 1989). Native fish communities are also associated with high river flows in the Delta, while nonnative species are more likely to thrive in low flow and warm water conditions (Feyrer and Healey 2003). A north Delta station will reduce Sacramento River outflows into the central Delta and potentially affect Delta water quality and fish communities.
In the Delta, the natural flow regime varies dramatically intra- and inter-annually. Increased outflow during the winter flooding and spring snowmelt pulse is an especially important cue for migratory fishes (del Rosario et al. 2013), which the BDCP minimally addresses in sections 184.108.40.206.2 and 220.127.116.11.1-2. Alteration of pulse flows will affect the outmigration ability of salmon smolts and the homing ability of spawning adult migrants. The BDCP addresses the issue of the location of the export diversions affecting migratory cues, but it does not address the overall reduction of spring pulses. By storing water upstream from winter rains and spring snowmelt and releasing it throughout the summer and early fall, the natural annual pattern of variation in flow, temperature, and salinity throughout the system is disrupted (Herbold and Moyle 1989). Mimicking the natural flow regime through changing timing of dam releases, even with a minimal increase in water export, has been shown to dramatically improve conditions for native species in California (Marchetti and Moyle 2001), and the same principle could be applied here. The BDCP does not sufficiently address the need to manage upstream dam releases to follow a natural hydrograph.
IV. Restoration priorities - the salt marsh harvest mouse
The BDCP claims that ecosystem enhancement actions will contribute to the recovery of state and federally protected species in the region (i.e. BDCP Executive Summary pp. 10, 36; 3.3-39; 3.3-58; 3.3-60). However, restoration and enhancement activities that benefit some species may have neutral, or even negative effects on others. For example, planned tidal restoration in the Suisun Marsh will most certainly benefit fish, but may or may not benefit the
state and federally endangered salt marsh harvest mouse (*Reithrodontomys raviventris*) as stated in the BDCP. While they are listed under “community” headings, many of the goals in the BDCP come down to “creating acres,” with little specification as to how that links to the community (i.e. Conservation Measures 3 and 11; .3.3-9). With a “if you build it, they will come” outlook, the BDCP requires that adaptive management takes place during implementation, but does not outline alternatives to restoring tidal wetlands if this restoration does not have the desired effect. Furthermore, almost 50% of the tidal restoration proposed within the plan is slated to occur in Suisun Marsh. Most of the Suisun Marsh is already serving as suitable habitat for many species, so resources might be better used to improve poor quality habitat (Sustaita et al. 2011). A more logical conservation strategy for salt marsh harvest mice is to restore poor quality habitat such as old salt ponds, where there are clearly no mice present, than to restore diked wetlands that already support large populations of mice.
The BDCP proposes about 150,000 acres of habitat restoration and enhancement. Approximately 6,968 acres, 23% of all remaining potential salt marsh harvest mouse habitat, will be affected (Josselyn 1983, BDCP Executive Summary pp. 64). The BDCP acknowledges that restored tidal wetlands “could take decades” to mature and become suitable habitat for salt marsh harvest mice (BDCP 3.3-218). This means that almost 1/4 of the salt marsh harvest mouse habitat could be unusable by mice for dozens of generations. Additionally, almost 1,000 acres, more than 3% of remaining salt marsh harvest mouse habitat, will become subtidal and will be lost completely (BDCP Executive Summary pp. 64). Despite these drastic effects on salt marsh harvest mouse habitat, the monitoring requirements on salt marsh harvest mice are weak. The BDCP stipulates that monitoring take place within 6 months of enhancement actions (i.e. BDCP 3.D-23, -31). Six months could be up to 6 generations of mice or other species with short generation times (i.e. ADW 2014). If monitoring does not occur directly following activities it may be unclear whether negative effects, such as population bottlenecks, are taking place. Additionally, there is no pre-monitoring required, so there is no baseline to compare post-restoration monitoring to determine efficacy of restoration. Small mammal monitoring is time intensive, and it is important that it is undertaken correctly to evaluate the restoration and enhancement goals of the BDCP.
Finally, much of the BDCP, as it relates to the salt marsh harvest mouse, is based on untested assumptions. For instance, 6,100 acres of good quality diked wetlands are to be restored, with the assumption that tidal marshes are superior habitat for the salt marsh harvest mouse than diked wetlands. There are currently no data supporting this assumption. In the Species Account section of the plan the BDCP cites published data showing that salt marsh harvest mouse populations in diked wetlands can exceed those in tidal wetlands in the Suisun Marsh, yet claims that tidal restoration in Suisun will “substantially increase suitable habitat” in
the Conservation Strategy section (BDCP 2A.14-2, 3.3-60; Sustaita et al. 2011). There are also more cost efficient and less risky options for tidal enhancement that are not explored in the plan, such as allowing muted tidal marshes to accrete without breaching levees, by simply leaving control gates open. Though it is not the fault of the writers of this plan that data on the salt marsh harvest mouse is lacking, putting this much emphasis on tidal restoration in the Suisun Marsh is a potentially dangerous gamble for the species.
While it cannot be denied that habitat enhancement will likely improve the ecosystem, it is clear that when it comes to the salt marsh harvest mouse, the literature used in the BDCP seems to have been cited selectively to build support for the mitigation goals that will allow water diversion plans to proceed. BDCP claims plan actions will benefit the salt marsh harvest mouse (i.e. BDCP Executive Summary pp. 10, 36; 3.3-39; 3.3-58; 3.3-60). However, those claims are based on untested assumptions. Before implementing costly restoration actions that may or may not benefit mice, numerous pilot studies need to be conducted, which the BDCP initially acknowledges, but does not develop in any detail. It should be understood that while the salt marsh harvest mouse may benefit from ecosystem improvement efforts outline in the BDCP, this is by no means guaranteed and it is unmerited to use the species as a flagship beneficiary.
**Conclusion**
Based on our review of the BDCP and the shortcomings identified herein, we recommend:
- Increased realization of the uncertainties in restoration practices (Chapter 3.1.3)
- A more structured and independent adaptive management team (Chapter 7.1.6)
- Consideration of timing and magnitude of flood events for restoration of a natural hydrograph
- The implementation of a more strategic restoration priorities with regards to the salt marsh harvest mouse (BDCP 2A.14-2, 3.3-60)
- A realization of the historical failures of habitat restoration and the incorporation of better management practices into the BDCP. (BDCP 6.4)
We offer our endorsement of the BDCP provided that the steps needed to ameliorate the above issues are met.
Sincerely
Society for Conservation Biology Davis Chapter
Works Cited:
Animal Diversity Web (ADW). 2014. *Reithrodontomys megalotis*. Accessed on 1/28/2014 at http://animaldiversity.ummz.umich.edu/accounts/Reithrodontomys_megalotis/.
Bunn, S. E., & Arthington, A. H. (2002). Basic principles and ecological consequences of altered flow regimes for aquatic biodiversity. *Environmental management*, 30(4), 492-507.
del Rosario, R.B., Y.J. Redler, K. Newman, P.L. Brandes, T. Sommer, K. Reece, and R. Vincik. 2013. Migration patterns of juvenile winter-run-sized Chinook salmon (Oncorhynchus tshawytscha) through the Sacramento-San Joaquin Delta. San Francisco Estuary and Watershed Science 11(1): 1-22.
Healey, M.C., M.D. Dettinger, and R.B. Norgaard, eds. 2008. The State of the Bay-Delta Science, 2008. Sacramento, CA: CALFED Science Program. 174 pp.
Herbold, B., and P.B. Moyle. 1989. The ecology of the Sacramento-San Joaquin Delta: a community profile. U.S. Fish Wildl. Serv. Biol. Rep. 85(7.22). xi + 106 pp.
Lopez, C.B. et al. “Ecological values of shallow water habitats: Implications for the restoration of disturbed ecosystems.” *Ecosystems* 9.3 (2006): 422-440
Lund, J. (2012). Some Curious Things about Water Management. *Journal of Water Resources Planning and Management*, 139(1), 1-2.
Marchetti, M. P., & Moyle, P. B. (2001). Effects of flow regime on fish assemblages in a regulated California stream. *Ecological Applications*, 11(2), 530-539.
Mount et al. 2013. Panel review of the draft Bay Delta Conservation Plan: prepared for The Nature Conservancy and American Rivers.
Moyle, P., W. Bennett, J. Durand, W. Fleenor, B. Gray, E. Hanak, J. Lund, and J. Mount. 2012. Where the Wild Things Aren’t. Public Policy Institute of California.
Poff, N. L., Richter, B. D., Arthington, A. H., Bunn, S. E., Naiman, R. J., Kendy, E., ... & Warner, A. (2010). The ecological limits of hydrologic alteration (ELOHA): a new framework for developing regional environmental flow standards. *Freshwater Biology*, 55(1), 147-170.
Suding, Katharine N., Katherine L. Gross, and Gregory R. Houseman. "Alternative states and positive feedbacks in restoration ecology." *Trends in Ecology & Evolution* 19.1 (2004): 46-53.
Sustaita, D., Quickert, P.F., Patterson, L., Barthman-Thompson, L., Estrella, S. 2011. Salt marsh harvest mouse demography and habitat use in the Suisun Marsh, California. Journal of Wildlife Management 75: 1498–1507.
Vaughn, Kurt J. and Truman P. Young. “Contingent Conclusions: Year of Initiation Influences Ecological Field Experiments, but Temporal Replication is Rare.” *Restoration Ecology*. 18.S1 (2010): 59-64
Walters, C. J. (2007). "Is Adaptive Management Helping to Solve Fisheries Problems?" *AMBIO: A Journal of the Human Environment* 36(4): 304-307.
Williams, John W., and Stephen T. Jackson. "Novel climates, no-analog communities, and
ecological surprises." *Frontiers in Ecology and the Environment* 5.9 (2007): 475-482.
Zedler, Joy B., and John C. Callaway. "Tracking Wetland Restoration: Do Mitigation Sites Follow Desired Trajectories?" *Restoration Ecology* 7.1 (1999): 69-73
We are writing to express our opposition to the construction of the two water diversion tunnels in the Delta.
Our first concern is that it will destroy a jewel of an area by taking out of production farmland and replacing it with beaucoup acres of muck.
It seems heartless to put families who have farmed for generations out of their homes and livelihood.
This emphasis on tunnels does not include other provisions i.e. reservoirs, dams and real water use and conservation.
It is ironic that the final part of the proposed plan is to restore the Delta. We would like to see what the term "habitat restoration" means for the Delta.
Also how ironic is it to destroy agriculture in one area to save it in another?
Diana and Ernie Bachelor
Below and attached please find my letter of comments on the proposed water transfer project.
Response to EIR/EIS
The property on which I have lived for my entire life and the farm I have stewarded for over 50 years have been in my family over 130 years since 1882. I believe that by right and by experience my comments should present realistic concerns about the disruptions to both my personal, economic, and business enterprises.
Chapters 6 on “surface water, Chapter 7 on “ground water” and Chapter 8 on Water Quality:
All these discussions point out the potential for degradation of current river, slough, and underground water sources. My concern is that the unavoidable lowering of the river level near the intake stations would make irrigation pumps unusable without major replacement, realignment, or repair.
Our pre-1914 riparian claims to natural river flows are being dismissed in the event that cubic feet of water needed to fulfill downriver contracts should require that our allotment be curtailed.
We now pay over $2.00 an acre for testing to insure that irrigation discharges do not exceed state levels for harmful chemicals when put in the river. If the river flow is lowered the parts-per-million dissolution ratio would be adversely affected.
As ground water is tapped for the construction and maintenance of the tunnels, the aquifer which supplies our domestic wells will unavoidably be degraded in volume and quality.
Chapter 23 on “noise and vibration level”
During construction it is planned to use pile drivers to secure the foundation during 6 days a week, up to 14 hours a day. The resonance of every impact will send shock waves through our buildings—shop, garage, barn, and house—and especially the reclamation district #150 levees protecting Merritt Island. There seems to be no avenue established to claim payment for damages (including even levee failure or breach) inflicted by this process.
We cannot be protected from the construction sounds, nor from the eventually roar of pumps diverting the river flow. It should be noted that such dangerous sound levels exceed the county general plan restrictions on agricultural equipment and activity.
Chapter 28 on “environmental justice”
If our ranch becomes economically untenable irrigators, tractor drivers, and other farm workers will lose their jobs and, in many cases, their houses.
Please do not destroy our century old agricultural heritage in favor of others who covet our resources.
Marshall L. Pylman
A & M Pylman Farms
38368 South River Road
Clarksburg, CA 95612
Response to EIR/EIS
The property on which I have lived for my entire life and the farm I have stewarded for over 50 years have been in my family over 130 years since 1882. I believe that by right and by experience my comments should present realistic concerns about the disruptions to both my personal, economic, and business enterprises.
Chapters 6 on “surface water, Chapter 7 on “ground water” and Chapter 8 on Water Quality:
All these discussions point out the potential for degradation of current river, slough, and underground water sources. My concern is that the unavoidable lowering of the river level near the intake stations would make irrigation pumps unusable without major replacement, realignment, or repair.
Our pre-1914 riparian claims to natural river flows are being dismissed in the event that cubic feet of water needed to fulfill downriver contracts should require that our allotment be curtailed.
We now pay over $2.00 an acre for testing to insure that irrigation discharges do not exceed state levels for harmful chemicals when put in the river. If the river flow is lowered the parts-per-million dissolution ratio would be adversely affected.
As ground water is tapped for the construction and maintenance of the tunnels, the aquifer which supplies our domestic wells will unavoidably be degraded in volume and quality.
Chapter 23 on “noise and vibration level”
During construction it is planned to use pile drivers to secure the foundation during 6 days a week, up to 14 hours a day. The resonance of every impact will send shock waves through our buildings—shop, garage, barn, and house—and especially the reclamation district #150 levees protecting Merritt Island. There seems to be no avenue established to claim payment for damages (including even levee failure or breach) inflicted by this process.
We cannot be protected from the construction sounds, nor from the eventually roar of pumps diverting the river flow. It should be noted that such dangerous sound levels exceed the county general plan restrictions on agricultural equipment and activity.
Chapter 28 on “environmental justice”
If our ranch becomes economically untenable irrigators, tractor drivers, and other farm workers will lose their jobs and, in many cases, their houses.
Please do not destroy our century old agricultural heritage in favor of others who covet our resources.
Marshall L. Pylman
A & M Pylman Farms
38368 South River Road
Clarksburg, CA 95612
This is an incredibly deceptive special interest project. Save the Delta by draining all the water out of it? Anyone who has driven on U.S. 395 along what used to be the lush Owens Valley knows exactly the results of the twin tunnels. With a thousand miles of coastline and rising sea levels due to global climate change, there is simply no excuse for California to be taking water from ANY river or delta. Spend the $25,000,000,000 on desalinization plants, return our rivers to their normal state, and return some semblance of sanity!
John Ryan
email@example.com
California San Joaquin Delta Tunnel Water Diversion Project
Comment by Josef Mayr, Sacramento, CA. Saturday, May 17, 2014
https://www.facebook.com/josef.mayr.923
firstname.lastname@example.org
Figure 1 General Map (Google)
Short of being able to muster the ambition to dig through over 30,000 pages of material describing the project proposal (http://www.kcet.org/news/redefine/rewild/fish/delta-tunnels-could-wipe-out-salmon-group-says.html), I took an alternate approach to investigate the project’s merits. Upon visiting the river several times a week and at different times of day, the primary impression is that, with its generally rather slow current, the Sacramento River actually resembles more a lake than a river, or, even more precisely, a fjord. This is manifested by the water body’s obvious responsiveness to tidal status in the San Francisco Bay. Recently, it was even observable that, even during a moonless night, the current actually flows northerly, which commonly would be upstream. The absence of a moon signifies that the tide is unlikely at its maximum. The explanation for this flow reversal is the tide pushing at a stronger force land inwards than the meager freshwater supply pushes outwards. It is only during the day that sufficient water is being drained from Folsom Lake to create the impression of substantial amounts of water passing Sacramento unused; Folsom Lake, at current, stands at a meager 17 percent of its capacity and is rapidly declining. (http://www.dailymail.co.uk/news/article-2567911/NASA-turns-research-California-drought.html). Although Folsom Lake is manmade, it faces the same fate as Tulare Lake before it, and the subterranean water aquifers, which are also being rapidly drained. (http://www.indybay.org/newsitems/2009/07/11/18607139.php) The lake is not being replenished because only 20-40 percent of the average amount of snow has fallen in the Sierra mountain range, west of the Central Valley. (http://cdec.water.ca.gov/cdecapp/snowapp/sweq.action).
Once Folsom Lake is drained, there will be hardly any water flowing into the river, and the only wet we are going to see in the river bed is perhaps brackish salt water at high tide.
The resulting question is: How are these dubious tunnels going to fix the drought? I suspect that the project’s true objective is to deliver freshwater to the vast monoculture farmlands south of the delta. Such a diversion would of course not save the delta at all, as it would be first to suffer over-salination from the incoming ocean water.
Is it not obvious that human activity is shamelessly depleting California’s natural resources for the pursuit of monetary profit? We are taking more than is being replenished, and Mother Nature will come after us for that. Perhaps we should look at options to change our habits and our value system instead of seeking to force maintenance of the status quo via money injections. Money can do many things, but it cannot create water!
Josef Mayr
California San Joaquin Delta Tunnel Water Diversion Project
Comment by Josef Mayr, Sacramento, CA. Saturday, May 17, 2014
https://www.facebook.com/josef.mayr.923
email@example.com
Figure 1 General Map (Google)
Short of being able to muster the ambition to dig through over 30,000 pages of material describing the project proposal (http://www.kcet.org/news/redefine/rewild/fish/delta-tunnels-could-wipe-out-salmon-group-says.html), I took an alternate approach to investigate the project’s merits. Upon visiting the river several times a week and at different times of day, the primary impression is that, with its generally rather slow current, the Sacramento River actually resembles more a lake than a river, or, even more precisely, a fjord. This is manifested by the water body’s obvious responsiveness to tidal status in the San Francisco Bay. Recently, it was even observable that, even during a moonless night, the current actually flows northerly, which commonly would be upstream. The absence of a moon signifies that the tide is unlikely at its maximum. The explanation for this flow reversal is the tide pushing at a stronger force land inwards than the meager freshwater supply pushes outwards. It is only during the day that sufficient water is being drained from Folsom Lake to create the impression of substantial amounts of water passing Sacramento unused; Folsom Lake, at current, stands at a meager 17 percent of its capacity and is rapidly declining. (http://www.dailymail.co.uk/news/article-2567911/NASA-turns-research-California-drought.html). Although Folsom Lake is manmade, it faces the same fate as Tulare Lake before it, and the subterranean water aquifers, which are also being rapidly drained.
(http://www.indybay.org/newsitems/2009/07/11/18607139.php) The lake is not being replenished
because only 20-40 percent of the average amount of snow has fallen in the Sierra mountain range, west of the Central Valley. (http://cdec.water.ca.gov/cdecapp/snowapp/sweq.action).
Figure 2 http://www.dailymail.co.uk/news/article-2567911/NASA-turns-research-California-drought.html
Once Folsom Lake is drained, there will be hardly any water flowing into the river, and the only wet we are going to see in the river bed is perhaps brackish salt water at high tide.
The resulting question is: How are these dubious tunnels going to fix the drought? I suspect that the project’s true objective is to deliver freshwater to the vast monoculture farmlands south of the delta. Such a diversion would of course not save the delta at all, as it would be first to suffer over-salination from the incoming ocean water.
Is it not obvious that human activity is shamelessly depleting California’s natural resources for the pursuit of monetary profit? We are taking more than is being replenished, and Mother Nature will come after us for that. Perhaps we should look at options to change our habits and our value system instead of seeking to force maintenance of the status quo via money injections. Money can do many things, but it cannot create water! Josef Mayr
Dear Mr. Wulff:
First, thank you for the opportunity to submit comments for your consideration re: Bay Delta Conservation Plan [B.D.C.P.] After reviewing several “chapters” of the 40,000 pages; I submit for your consideration issues that appear to be deficits in the plan.
1. Page 4-90: This section of the plan fails to specify the maximum amount of water to be exported from the Delta during normal rainfall years and/or drought years. As noted during this drought year excessive amounts of water have been authorized to be exported from the Delta in direct violation of current laws and regulations. Therefore the absence of specific maximums is cause for great concern in regards to future exports.
The effect of the increased exports of Delta water since 1960 has resulted in a continued reduction of naturally produced Chinook salmon. The Sacramento River Winter Run is listed as endangered. The spring run of Chinook salmon is threatened under Federal and State Endangered Species Acts. Simultaneously the Striped Bass population has diminished during this same period. The California Fish and Wildlife Department has established that a healthy population of striped bass should be 3,000,000. The last statistics estimate current population at 750,000.
2. I question the validity of the habitat restoration plan. We are being asked to comment on the plan without a specific agreement to fund and implement the plan. The B.D.C.P. specifies that the funding and implementation plan will be identified 60 days after the end of the public comment period. So we do not know what is being planned or who is going to pay for the implementation of habitat restoration. The result is no comments on the plan, seems all too convenient.
3. The 2009 Delta Reform Legislation requires meeting the coequal goals of water supply reliability and ecosystem restoration while protecting the Delta as an evolving place. Water Code Section 85020[b] “protect and enhance the unique cultural, recreational and agricultural values of the California Delta as an evolving place”. If there is no plan and no funding identified how is this to become a reality?
4. It will be difficult to protect fish and the Delta Farmland with the Adaptive Management Team comprised of four [4] members representing water export interests and only three [3] representing fisheries. It would seem that if both issues are coequal then there would then be equal representation for fisheries.
I submit these concerns for your consideration as you review and digest the impact of the 40,000 page B.D.C.P Report on the Delta and its fisheries.
Respectfully Submitted
David F. Scatena
Memberships: Cal Trout, California Sportfishing Protection Assoc., Sierra Club, California Striped Bass Association, Friends of the Calaveras River, Keep America Fishing, Water 4 Fish.
I have attached comments from the following:
American Friends Service Committee (Spanish)
Torrance Area Chamber of Commerce
Mr. David F. Scatena, Stockton CA
LAX Coastal Chamber of Commerce
Mr. Bill Pease, Discovery Bay CA
S.R. Benbow, Weimar CA
Mr. Dave Wagner, Stockton CA
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
--
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
firstname.lastname@example.org
May 17, 2014
BDCP PLAN
650 Capitol Mall
Sacramento, Calif.
Gentlemen;
The BDCP (Tunnel) is a classic case of the tail wagging the dog! The Plan does not allow a single dollar for the conservation of Delta Habitat. There is also no improvement in the water supply to the 25M souls in the GLAD (Greater L.A. Desert) Basin, as promised. The Plan contains no funding nor proposals for same. It says the cost will be $25B, but where are these $$?! The Plan has cleverly schemed to allow that "Users" will pay. Thus it is not a "Tax"! The Plan is subtly described as a Dept. of Water "Project". The $25B is, itself, a 'blue sky' "WAG" (wild-a-- guess). If previous projects are any gauge (the Bay Bridge comes to mind) the cost will be at least $100B!
In addition to the 25M desert dwellers in GLAD, two San Juaquin Valley irrigation districts have tenuously "signed on". But they know that $25B is a POLITICAL number, and has no connection to REAL COSTS!
In view of all the above HUGE flaws, with the Plan hierarchy making no attempts to reconcile any of them, all the reviewers must know that the Plan is neither a Water Plan nor a Conservation Plan, but a POLITICIAN'S statement of scheming and prejudice!
Finally, wouldn't it be a blessing if all of the "Power Brokers" could come to grips with LOGIC? If the $100B were spent on several giant Salt Water Conversion plants on the GLAD Coast, 25M Desert Dwellers would finally have their self-owned water supply! After 100 years of deceitfully pilfering water owned by others (remember the Owens Valley plundering) L.A. Water, aka MWD, could hold its head high by actually building its own water system! The good Governor could even shut down, dismantle, and donate the monstrous, power hungry Grapevine pumps to the self-owned GLAD Water System!
Hopefully,
S.R.Benbow
cc: Sen. Feinstein
" Boxer
Rep. Matsui
" McClintock
" LaMalfa
Sac. Bee
S.F. Chronicle
I have attached comments from the following:
American Friends Service Committee (Spanish)
Torrance Area Chamber of Commerce
Mr. David F. Scatena, Stockton CA
LAX Coastal Chamber of Commerce
Mr. Bill Pease, Discovery Bay CA
S.R. Benbow, Weimar CA
Mr. Dave Wagner, Stockton CA
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
I would like to request a dvd of the DRAFT EIR. Please mail to address below. I will pay fee.
Sincerely,
Nancy C. Miller
MILLER & OWEN
A Professional Corporation
428 J Street, Suite 400
Sacramento, CA 95814
(916) 447-7933
(916) 447-5195 fax
Email: firstname.lastname@example.org
The information transmitted is intended only for the person or entity to whom it is addressed and may contain confidential and/or privileged material. Any review, retransmission, dissemination or other use of, or taking of any action in reliance upon this information by persons or entities other than the intended recipient is prohibited. If you received this message in error, please contact the sender and delete the material from any computer.
Thank you for taking my comments.
(1) I have a concern about recreation mitigation in Chapter 15. I own Rivers End Marina, the only impacted marina in Alameda County. The EIR has analyzed various marinas and the associated impacts in all the other counties, however our marina was not analyzed. Why? We are 1/4 mile from the Tracy Fish Collection Facility outside of Byron. There is no analysis of the financial impacts the Alternative #4 project will have on our marina during and after construction. There is no analysis of the impacts our customers will encounter during construction of alternative #4. Please explain how the project will mitigate the loss of revenue and loss of customers this project #4 will bring to our business. I ask for a full analysis of these and the other associated impacts this project #4 will have on our business and the proposed mitigation of these impacts.
(2) In Chapter 8 on funding. How does the lack of an implementing agreement insure complete funding will be secured prior to the approval of this EIR/EIS when only 10% of the proposed project design has been completed? An implementing agreement is supposed to be completed prior to the approval of the EIR. How can the EIR be released for review without the implementing agreement in place?
(3) Unavoidable Impacts in Chapter 13 table 31 - 1. With over 50 unavoidable impacts and no acceptable mitigation solutions how does this Proposed project #4 meet the CEQA requirements of an environmentally sound solution for protecting the Delta as an Evolving Place that is discussed in the 2009 Delta protection Act? (paragraph # 85020)
(4) Adaptive Management Team Chapter 7 table 7-1 With four representatives from the water contractors side and only three representatives from the fisheries group how does this mix of representatives meet the Co-Equal goals as discussed in the chapter? With the exports interests who want water with 4 votes and the Eco System interests with 3 votes it appears the 4 votes win. Please explain how this would be a co equal team.
Please include my comments in the EIR
Bill Pease
5531 Beaver Lane
Discovery Bay, Ca. 94505
I have attached comments from the following:
American Friends Service Committee (Spanish)
Torrance Area Chamber of Commerce
Mr. David F. Scatena, Stockton CA
LAX Coastal Chamber of Commerce
Mr. Bill Pease, Discovery Bay CA
S.R. Benbow, Weimar CA
Mr. Dave Wagner, Stockton CA
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
--
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
May 18, 2014
BDCP Comments
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
Dear Mr. Wulff:
Thank you for the opportunity to comment on the Bay Delta Conservation Plan (BDCP).
1. I am concerned that the BDCP twin tunnels plan does not adequately address the reduced flow through the Delta and its adverse effects on Winter and Spring Run Chinook salmon. According to data from Chapter 5, Effects Analysis of the November 2013 Draft BDCP, operation of the Twin Tunnels project will reduce winter run and spring Chinook salmon smolt survival by 2.9% and 4% respectively. Mitigation through improving riparian and subtidal habitat to create an aquatic food supply for the Delta does nothing to increase the much needed flow necessary for prevention of increased salinity and pollution with its adverse effects on fish and other significant aquatic organisms so necessary to a healthy estuary.
A much more cost-effective plan would be:
• Strengthen existing Delta levees through widening.
• Update storm water facilities.
• Facilitate ground water recharge and storage projects.
• Initiate projects for restoring storage capacity of existing reservoirs.
• Recycled water storage projects.
Sincerely,
Dave Wagner, 659 W. Mariposa Ave., Stockton, CA 95204
I have attached comments from the following:
American Friends Service Committee (Spanish)
Torrance Area Chamber of Commerce
Mr. David F. Scatena, Stockton CA
LAX Coastal Chamber of Commerce
Mr. Bill Pease, Discovery Bay CA
S.R. Benbow, Weimar CA
Mr. Dave Wagner, Stockton CA
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
firstname.lastname@example.org
L # BDCP663
- [x] Unused
- [ ] Duplicate of ____
- [ ] Out of Scope
- [ ] Other: ____________
(replace original)
L # BDCP664
- [x] Unused
- [ ] Duplicate of ____
- [ ] Out of Scope
- [ ] Other: ____________
(replace original)
Sr. Wulff:
Hace poco aprendí del Plan de Conservación del Delta de la Bahía gracias a un amigo. Lo que me sorprendió es que no pude encontrar mucha información sobre el BDCP y su efecto en el ecosistema regional en español. Aparentemente hubo conferencias cerca de mí donde hablaron de los impactos del plan pero fueron en inglés y no fueron anunciadas por las noticias locales ni otras organizaciones hispanas.
Probablemente lo más alarmante es que la naturaleza de estos túneles gemelos va a afectar el estilo de vida de muchas familias, incluyendo la mía, en la región del Delta y me gustaría saber más detalles. El periodo de comentarios, según esto, termina este junio y no tengo acceso a la información necesaria para que pueda dar un mejor comentario y leer con más precaución.
No es muy justo que impongan este plan tan masivo sin informar a la comunidad latina que tiene una historia muy larga con el Delta. Además, cómo va el dicho, el diablo está en los detalles.
Si me pueden mandar más información, lo apreciaría.
Luis Magaña
Coordinador
AFSC Proyecto Voz
211 E. March Lane, Ste. D,
Stockton, CA 95207
(209) 474-3599
Mr. Wulff,
I recently learned about the Bay Delta Conservation Plan thanks to a friend of mine. What surprised me, however, is that I couldn’t find much information about the BDCP and its effect on the regional ecosystem in Spanish. Apparently, there were conferences in my area, where they spoke about the impacts of the plan, but they were conducted in English, and they were not announced by the local news or other Hispanic organizations.
Perhaps the most alarming part of this is that the nature of these twin tunnels will affect the lifestyle of many families, including my own, in the Delta region, and I would like to know more details [about them]. The period for comments, according to this, ends this June, but I don’t have access to the necessary information in order to give more substantive comments and to read more carefully.
It isn’t fair that a plan of such a large scale [such as this] be imposed without informing the Latino community, which has a very long history in the Delta. Furthermore, as the saying goes, the Devil is in the details.
If you could send me more information, I would appreciate it.
/Llegible signature/
Luis Magaña
Coordinator
AFSC Proyecto Voz (AFSC Project Voice)
211 E. March Lane, Ste. D,
Stockton, CA 95207
(209) 474-3599
I have attached comments from the following:
American Friends Service Committee (Spanish)
Torrance Area Chamber of Commerce
Mr. David F. Scatena, Stockton CA
LAX Coastal Chamber of Commerce
Mr. Bill Pease, Discovery Bay CA
S.R. Benbow, Weimar CA
Mr. Dave Wagner, Stockton CA
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
--
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
I do not support the Delta Tunnel plan. We cannot afford to divert our fresh water away from the Delta. Any proposal this big and this expensive should have been brought before the voters. The Peripheral Canal project was defeated and this would probably also be rejected.
Claudia Ling
Sent from my iPad
The BDCP is really a massive water grab. Also, technically, the Habitat Conservation Plan (HCP) will allow a “take” of threatened or endangered species under Section 10 of the federal Endangered Species Act (ESA), and a Natural Communities Conservation Plan (NCCP) required for the same purpose by the California Department of Fish and Wildlife. The BDCP is really inadequate as a basis for issuing these permits.
Several alternatives to assisting with water conveyance and habitat conservation have been put forward. The Restore the Delta group and many other concerned citizens, such as Dr. Pike have offered to work with any and every agency to come up with a plan that makes sense for the Delta, the people of the State, and those businesses and people needing water in the central valley and southern part of the State. Yet, the Governor, certain water contractors and the DWR continue to ignore these alternatives. The Governor wants to leave a legacy, but I don’t think this expensive debacle is really what California needs.
Water contractors have spent $250 million on preparing these documents and selling the idea to each other and to people in other parts of California who know nothing about the Delta. The bridge that is now becoming a major problem in terms of safety is an example of the government moving forward with a project that really is not in the best interest of the people.
I urge you to give this dissenting email and all letters and emails disagreeing with the BDCP a chance to be heard, reviewed and considered. You have an opportunity to help develop a water plan and habitat conservation plan that will truly protect the valuable resources of the State. If the BDCP is carried out the Delta as we know it today and the eco-system it supports will forever be harmed.
Mike Hodge, Principal Consultant
Organizational Development Services Plus
firstname.lastname@example.org
(916) 300-2416
As a citizen and taxpayer of California I adamantly oppose The Tunnel project. Please halt all plans on this project!
Cathleen Branich 2117 3rd St Sac. CA 95818
To Whom it may concern:
Appendix 3E's figures are not showing up in the documents list. Please tell me where they are or send it to me!
Tom Stokely
Water Policy Analyst/Media Contact
California Water Impact Network
V/FAX 530-926-9727
Cell 530-524-0315
email@example.com
http://www.c-win.org
Hi There,
This is Kaushal Das, Design Engineer with Maccaferri, Inc. Our head office is located in Williamsport, MD.
Regarding the **BDCP Tunnel #2** Project, would you mind to tell us when the project will bid and also is there any way I can get the contact information of the best person to talk about the project please.
We are the manufacturer of fiber and some tunnel products. We also provide technical assistance using our products. I appreciate your help regarding this.
Thanks a lot!
Kind Regards,
Kaushal
*Kaushlendra Das, E.I.T.*
Design Engineer
Maccaferri, Inc.
Tel: (301) 223-6910
Fax: (301) 223-4356
www.maccaferri-usa.com
This email and any attachments may contain confidential and privileged material intended for the addressee only. If you are not the addressee, you are notified that no part of the email or any attachment may be disclosed, copied or distributed, and that any other action related to this email or attachment is strictly prohibited and may be unlawful. If you have received this email by error, please notify the sender immediately by return email and delete this message. Maccaferri, its subsidiaries and/or its employees, does not guarantee that any attachments are free from viruses or other defects and accepts no liability for any losses resulting from infected email transmissions. Further information on Maccaferri products and services can be found at www.maccaferri-usa.com.
I will make this brief. From an ecological prospective, the plan will reduce the available medium depth water in the delta thus reducing the available water and shore lone for large mouth bass. This is a critical negative aspect to this plan. There is no possible way that increasing flows of water to southern California will support this plan or the delta. Scientifically speaking, less water in the delta equals less habitat and target results in the delta. It doesn't require thousands of pages in study to prove that. The absolute worst thing humanity can do in this state is to not learn the lessons of generations past, politically and ecologically. The owens valley and the colorado river is a prime example of the extreme detriments to the ecology of the valley when water is diverted to southern California. Politically we only create an incentive to allow politics and absolute power to continue surface and subsurface water to be diverted to so Cal it feeds ignorance and a repeat of history, in this case bad history. Build de salinization plants in so cal and put this nonsense to history. These comments need to be recognized and put into the EIR as you scientists know exactly that what I say is accurate.
Fred Lopez
Good Afternoon,
Attached please find a copy of RCRC letter regarding BDCP Extension Request. If you have any questions, please contact Kathy Mannion at firstname.lastname@example.org.
Warmest Regards,
Maggie Chui
Regional Council of Rural Counties (RCRC)
1215 K Street, Suite 1650
Sacramento, CA 95814
Phone: (916) 447-4806
email@example.com
E-Mail Originated From: 1215 K Street, Suite 1650, Sacramento CA 95814 Electronic Privacy Notice: This e-mail, and any attachments, contains information that is, or may be covered by, the Electronic Communication Privacy Act, Title 18 U.S.C 2510-2521, and is also confidential and proprietary in nature. If you received this e-mail in error, please be advised that you are legally prohibited from retaining, using, copying, distributing, or otherwise disclosing this information in any manner. If you have received this e-mail in error, please contact our IT Department by e-mail at firstname.lastname@example.org, or by telephone at (916) 447-4806, indicating that you received this communication in error, and then immediately delete it. Thank you in advance for your cooperation.
May 20, 2014
Secretary John Laird
California Natural Resources Agency
1416 Ninth Street, Suite 1311
Sacramento, CA 95814
Regional Director David Murrillo
U.S. Bureau of Reclamation
2800 Cottage Way
Sacramento, CA 95825
Regional Director Ren Lohoefener
U.S. Fish and Wildlife Service
2800 Cottage Way
Sacramento, CA 95825
Regional Director Will Stelle
National Marine Fisheries Service
7600 Sand Point Way, NE
Seattle, WA 98115
Transmit via Email: email@example.com
RE: BDCP Public Comment Period Extension Request
Dear Secretary Laird and Regional Directors Murrillo, Lohoefener and Stelle:
On behalf of the Rural County Representatives of California (RCRC), I am writing to request a minimum extension of 60 days for responding to the draft Bay Delta Conservation Plan (BDCP) and draft Environmental Impact Report (EIR/EIS), which would extend the deadline to mid-August 2014. RCRC is an association of thirty-four rural California counties and the RCRC Board of Directors is comprised of elected supervisors from those member counties.
The Implementation Agreement (IA) is a critical element for review of the BDCP and as you know, the IA has not yet been released. The IA is woven into virtually every aspect of the BDCP, and RCRC therefore believes that the BDCP is not complete without the IA.
Additionally, the BDCP is certainly one of the most complex HCP/NCCP permit applications that has been attempted. For these reasons, RCRC respectfully requests an extension in order to adequately review and comment on the combined documents.
Sincerely,
KATHY MANNION
Legislative Advocate
cc: Director Mark Cowin, California Department of Water Resources
Director Chuck Bonham, California Department of Fish and Wildlife
Mr. Wulff:
Attached are the comments of Farmland Reserve, Inc. on the draft public review Bay Delta Conservation Plan and associated EIR/EIS. Please post this letter with other public comments received by the BDCP and forward the letter to the appropriate BDCP representatives for their consideration.
Please contact me if you have any comments or questions.
Thank you,
Joshua M. Horowitz
Bartkiewicz, Kronick & Shanahan
1011 Twenty-Second Street
Sacramento, CA 95816-4907
Telephone: (916) 446-4254
Facsimile: (916) 446-4018
E-mail: firstname.lastname@example.org
Website: www.bkslawfirm.com
CONFIDENTIALITY NOTICE: This communication and any attachments are confidential and privileged, and are intended for the sole use of the addressee(s). If you are not the intended recipient, or the employee or agent responsible for delivering this message to the intended recipient, you are advised that any use, copying, dissemination or distribution of this communication is strictly prohibited. Furthermore, any inadvertent disclosure shall not waive or compromise the attorney-client privilege, or any other legal privileges or protections, as to this communication or otherwise. If you have received this communication in error, please immediately notify us by reply e-mail or by telephone at (916) 446-4254, and delete the original transmission from your system without reading, copying, or saving it in any manner. Thank you.
IRS CIRCULAR 230 DISCLOSURE: To ensure compliance with requirements imposed by the IRS, we inform you that any tax advice contained in this communication, unless stated otherwise, was not intended or written to be used, and cannot be used, for the purpose of (i) avoiding tax-related penalties under the Internal Revenue Code, or (ii) promoting, marketing or recommending to another party any tax-related matter(s) addressed herein.
May 21, 2014
VIA U.S. MAIL
BDCP Comments
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
Re: Comments on Public Review Draft of Bay Delta Conservation Plan EIR
Dear Mr. Wulff:
Thank you for the opportunity to comment on the public review draft of the Bay Delta Conservation Plan (“BDCP”) and its related EIR/EIS. This letter presents Farmland Reserve, Inc.’s (“FRI”) preliminary comments on the BDCP.
FRI owns Byron Ranch, an agricultural property comprising approximately 3,440 acres in southeastern Contra Costa County. The southeastern edge of the ranch is immediately north of Italian Slough and northwest of Clifton Court Forebay. The northern edge of the ranch is near Discovery Bay. Byron Ranch puts approximately 3,300 acres to productive use for growing feed crops and pasture.
Because BDCP would site the proposed conveyance facilities’ final segment on Byron Ranch, including the twin tunnels’ exit shaft and appurtenant facilities and significant construction-related facilities, FRI is potentially one of the most impacted private landowners from the proposed conveyance facilities. While FRI believes that the BDCP project as proposed will cause significant permanent and long-term impacts to Byron Ranch (which likely would require the BDCP to compensate FRI for acquisition of Byron Ranch property interests), there is insufficient detail about the plan’s facilities and analysis of their impacts for FRI to determine the full extent of how those facilities would affect FRI’s operation of Byron Ranch and impacts to its value.
A. Summary of Proposed BDCP Impacts to Byron Ranch
The public draft of BDCP proposes significant impacts to Byron Ranch if the preferred BDCP alternative, referred to as Alternative 4 or the Modified Pipeline/Tunnel Alignment, were implemented. Those impacts would include:
- permanent siting of the shaft terminus of the two large tunnels that would be built under the Delta;
- permanent siting of a siphon to move water from the shaft terminus into the northern cell of Clifton Court Forebay;
- permanent siting of an access road across Byron Ranch to the shaft terminus and related structures;
- stacking of excavated tunnel muck, or reusable tunnel material (“RTM”), on Byron Ranch for dewatering, treatment, and storage, including possible long-term or permanent storage;
- construction of a 40-acre concrete batch station near the proposed shaft terminus during construction of the new conveyance facilities;
- construction of a 2-acre temporary fueling station during construction of the new conveyance facilities; and,
- construction of temporary barge unloading facilities on Byron Ranch, which presumably would involve the transport and delivery of a variety of hazardous materials.
In total, BDCP plan elements would impact approximately 963 acres of Byron Ranch, or 28 percent of ranch lands.
B. Insufficient Information on Potential Project Impacts
Alternative 4’s modified pipeline and tunnel alignment would divert water through three intakes near Clarksburg and move it south to Clifton Court Forebay through a series of tunnels and pipelines. (See BDCP EIR, Figure M3-4.) BDCP would site the permanent shaft terminus and related structures on the southeastern corner of Byron Ranch to the northwest of the existing Clifton Court Forebay. (See BDCP EIR, Figure M3-4, Sheet 11.) However, the public draft of BDCP lacks a detailed description or analysis of the shaft terminus and related structures, including their likely footprint. Without a more-specific description of the plan elements that would be sited on Byron Ranch, there is no way for FRI to determine what the scope of the direct and indirect impacts to the ranch would be and if those impacts have been properly analyzed and mitigated.
Byron Ranch diverts and uses surface water from points of diversion on Old River, Italian Slough, and Dredger Cut pursuant to a riparian right and two water right permits. The siting of permanent structures in the southeastern corner of Byron Ranch could affect FRI’s ability to use its existing facilities to divert and use surface water from Italian Slough, which runs along the southern boundary of the ranch. The BDCP EIR does not provide sufficient information on the extent to which the project would impact these water supplies.
The public draft of BDCP also proposes to control the amount of water in Old River to prevent blowout of the embankments around Clifton Court Forebay. (BDCP EIR 3C-41.) Without more information, however, FRI cannot evaluate whether those actions would interfere with FRI’s diversion of water from Old River for use on Byron Ranch.
C. Insufficient Information on Potential Project Construction Impacts
The public draft proposes RTM generated by tunnel boring would be stored on an undetermined number of acres on Byron Ranch. (BDCP EIR Figure M3-4, Sheets 12 and 13.) Based on the available maps, it appears that approximately 930 acres of the ranch would be affected. In addition, leachate would drain from the RTM areas into a leachate collection system, which would then be pumped to leachate ponds for possible additional treatment. (BDCP EIR 3C-55.) There is not sufficient information in the BDCP EIR to determine how DWR would ensure that RTM leachate will not leak and contaminate Byron Ranch over the 10-year timeline for construction of the conveyance facilities. The BDCP also states that it is possible RTM cannot be treated or transported, and therefore might be permanently sited on Byron Ranch and covered by stored topsoil. (BDCP EIR 24-143 to 144.) The BDCP EIR does not provide sufficient information on the impacts of permanent storage of hazardous RTM on Byron Ranch.
BDCP also proposes to site a 40-acre concrete batch plant and a 2-acre fuel station near the shaft terminus on Byron Ranch. (See BDCP EIR 3-30 and BDCP EIR Figure M13-4.) Bulk fuel would be stored and would potentially pose the risk of contaminating Byron Ranch land and groundwater from spills and leakage. (BDCP EIR 24-137.) There is insufficient information in the BDCP EIR on potential impacts from spills and leaks. (BDCP EIR 24-138 to 24-140.)
In addition, BDCP proposes to construct a temporary barge unloading facility on Byron Ranch. (BDCP EIR 3-115 and Figure M13-4, Sheet 6.) BDCP assumes that barge activities would take place on levees using a ramp barge in conjunction with a crane/excavator barge or a crane or excavator positioned on or near the levee. (See BDCP EIR 3-115.) There is no information in BDCP concerning the number of barges or frequency of unloading at Byron Ranch. Presumably, this activity would be related to delivery of supplies for the concrete batch plant, fuel for the fuel station, and possibly RTM. One or more of these activities would involve the transportation and unloading of hazardous materials on Byron Ranch, which increases the potential risk of releases of hazardous materials on the ranch. There is insufficient information and analysis about the scope of the barge-related activities and the risk of those activities for FRI to determine what impacts would occur at Byron Ranch and if those impacts would be properly mitigated to a level of insignificance.
D. Conclusion
The preferred BDCP alternative would create potentially significant permanent and temporary impacts on Byron Ranch. However, the public drafts of the BDCP and EIR/EIS do
not provide sufficient information for FRI to be informed as to the full extent of direct and indirect impacts and proposed mitigation measures. As noted, it appears that DWR will need to acquire significant property interests from FRI to implement the proposed project. Additional information on project impacts and mitigation measures is necessary for FRI to evaluate the extent of Byron Ranch property interests that might be impacted (and consequently acquired or compensated for) by the proposed project.
FRI appreciates your attention to these comments and looks forward to your response.
Sincerely,
Merrill N. Dibble
Vice President, California Operations
MD:
cc: Mark W. Cowin, Director, DWR
James Mizell, III, DWR, Office of Chief Counsel
Dear NOAA BDCP comments:
Please confirm by reply that you have received our attached comment letter dated May 21, 2014 and also its two attachments, the May 2013 EWC Responsible Exports Plan and the December 2012 EWC Reduced Exports Plan. These three documents are comments on the BDCP Draft Plan and Draft EIR/EIS.
Thank you,
Bob Wright
Senior Counsel
Friends of the River
Sacramento, CA
(916) 442-3155 x207
May 21, 2014
email@example.com (via email)
John Laird
Secretary
California Natural Resources Agency
1416 Ninth Street, Suite 1311
Sacramento, CA 95814
Mark Cowin
Director
California Department of Water Resources
P.O. Box 942836, Room 1115-1
Sacramento, CA 94236-0001
Chuck Bonham
Director
California Department of Fish and Wildlife
1416 9th Street, 12th Floor
Sacramento, CA 95814
David Murillo
Regional Director
U.S. Bureau of Reclamation
2800 Cottage Way
Sacramento, CA 95825
Ren Lohofefener
Regional Director
U.S. Fish and Wildlife Service
2800 Cottage Way
Sacramento, CA 95825
Will Stelle
Regional Director
National Marine Fisheries Service
7600 Sand Point Way, NE, Bldg 1
Seattle, WA 98115-0070
Additional Addressees at end of letter
Re: Comment Letter re Failure of BDCP Draft Plan and Draft EIR/EIS to Include a Range of Reasonable Alternatives Including the Responsible Exports Plan Submitted by the Environmental Water Caucus
Dear Federal and California Agencies, Officers, and Staff Members Carrying out the BDCP:
Fundamental threshold violations of the National Environmental Policy Act (NEPA), California Environmental Quality Act (CEQA), and the Endangered Species Act (ESA) are being carried out right now by the Bay Delta Conservation Plan (BDCP) process. The lead federal and State agencies have failed to develop a range of reasonable alternatives to new upstream conveyance such as the massive BDCP Water Tunnels. The Water Tunnels would increase rather than decrease the capacity for exports from the San Francisco Bay-Delta by
diverting enormous quantities of freshwater from the lower Sacramento River upstream from the Delta near Clarksburg.
**Failure to Develop any Alternatives Increasing Flows by Reducing Exports**
Of the 15 “action alternatives” evaluated in the Draft EIR/EIS, all save one alternative, alternative 9--Through-Delta--would construct, and then operate for decades new upstream conveyance ranging from a diversion capacity of 3000 cubic feet per second (cfs) to 15,000 cfs. (Draft EIR/EIS, Executive Summary, Table ES-5, pp. ES 28-30). Nine of the so-called “alternatives” have a North Delta diversion capacity of 15,000 cfs. (*Id.*). The Preferred Alternative 4 is claimed to have a capacity of 9000 cfs but as we have pointed out previously, that claim is false as the Water Tunnels have the capacity of 15,000 cfs or greater and it would be relatively easy to add two new intakes down the road to use the full capacity of the Tunnels. (Friends of the River (FOR) August 13, 2013 BDCP comment letter, Attachment 2 to FOR January 14, 2014 BDCP comment letter).
The BDCP process also claims to have considered 11 “alternatives” as “take” alternatives pursuant to the ESA. (BDCP Plan, Chapter 9, Alternatives to Take, table 9-7, p. 9-20). Of the 11 “take alternatives” all save one, alternative F, Through Delta, would construct, and then operate for decades new upstream conveyance by way of Water Tunnels similar to the descriptions of the “alternatives” contained in the Draft EIR/EIS. The Preferred Alternative 4 from the Draft EIR/EIS is referred to as the BDCP Proposed Action in Chapter 9 of the Plan.
To be clear, 14 of the so-called 15 “alternatives” in the Draft EIR/EIS and 10 of the so-called 11 “take alternatives” are not true alternatives at all. They are all peas out of the same pod that would create new upstream conveyance to divert enormous quantities of freshwater away from the lower Sacramento River, sloughs, and San Francisco Bay-Delta for export south. There is nothing new in this blinding of the BDCP process to development or at least consideration of a range of reasonable alternatives to construction and operation of new upstream conveyance. Three years ago the National Academy of Sciences declared in reviewing the then-current version of the draft BDCP that: “[c]hoosing the alternative project before evaluating alternative ways to reach a preferred outcome would be post hoc rationalization--in other words, putting the cart before the horse. Scientific reasons for not considering alternative actions are not presented in the plan.” (National Academy of Sciences, Report in Brief at p. 2, May 5, 2011).
Failure to Consider Alternatives Developed for the Agencies
In addition to failing to develop a range of reasonable alternatives, the BDCP lead agencies have also failed to even consider reasonable alternatives handed to the State on a silver platter. Friends of the River is a California nonprofit public interest organization devoted to river protection, conservation and restoration. Friends of the River is also a member of the California Environmental Water Caucus (EWC). The EWC is a coalition of over 30 nonprofit environmental and community organizations and California Indian Tribes. In our November 18, 2013 comment letter we urged those carrying out the BDCP to review the “Responsible Exports Plan” proposed by the EWC:
as an alternative to the preferred tunnel project. This Plan calls for reducing exports from the Delta, implementing stringent conservation measures but no new upstream conveyance. This Plan additionally prioritizes the need for a water availability analysis and protection of public trust resources rather than a mere continuation of the status quo that has led the Delta into these dire circumstances. Only that alternative is consistent with the EPA statements indicating that more outflow is needed to protect aquatic resources and fish populations. The EWC Responsible Exports Plan is feasible and accomplishes project objectives and therefore should be fully analyzed in a Draft EIS/EIR.”(FOR November 18, 2013 comment letter at p. 3, Attachment 4 to FOR January 14, 2014 comment letter).
We specifically pointed out (at p. 3, fn. 1) that the plan was online at http://www.ewccalifornia.org/reports/resonsibleexpltsplanmay2013.pdf. The failure in the BDCP process to consider the Responsible Exports Plan alternative is inexplicable given that a similar, earlier version of the plan, EWC’s “Reduced Exports Plan” of December 2012 was presented by Nick Di Croce, Co-Facilitator of the EWC to former California Resources Agency Deputy Secretary Jerry Meral and other BDCP agency officers in December 2012 and presented to Deputy Secretary Meral again in person on February 20, 2013 in his office in the Resources Agency building. The Reduced Exports Plan had previously been presented in May of 2012 at the Federal/State/NGO meeting in San Francisco. As stated by Co-Facilitator Di Croce in his December 2012 message to Deputy Secretary Meral:
Now that the project is nearing its EIR/EIS stage, we feel it is important to formally present it [Responsible Exports Plan] to you and request that you get it on the record as an alternative to be evaluated. We have done this with the Delta Stewardship Council and it is included as one of the Delta Plan alternatives being evaluated. As you know, CEQA and NEPA both require a full range of reasonable alternatives to be evaluated. And as far as we know, there are no alternatives being evaluated that do not include new
conveyance, except for the No Action alternative; this is certainly not a No Action alternative. (December 15, 2012 email Di Croce to Meral).
We attach (for firstname.lastname@example.org) and incorporate by this reference a copy of the 39 page “Responsible Exports Plan” of May 2013 (as well as a copy of the “Reduced Exports Plan” of December 2012) to this comment letter as setting forth a feasible alternative that must be considered in the BDCP process.
By way of brief summary, actions called for by the Responsible Exports Plan alternative include no development of new upstream conveyance; reducing exports to no more than 3,000,000 acre-feet in all years in keeping with State Water Resources Control Board (SWRCB) flow criteria; water efficiency and demand reduction programs including urban and agricultural water conservation, recycling, storm water recapture and reuse; reinforced levees above PL 84-99 standards; installation of improved fish screens at existing Delta pumps; elimination of irrigation water on drainage-impaired farmlands south of the Bay-Delta; return the Kern Water Bank to State control; restore Article 18 urban preference; restore the original intent of Article 21 surplus water in SWP contracts; conduct feasibility study for Tulare Basin water storage; provide fish passage above and below Central Valley rim dams for species of concern; and retain cold water for fish in reservoirs.
The Responsible Exports Plan alternative calls for a statewide benefit-cost analysis to determine economic desirability of any plan or alternative; water availability analysis to align water needs with availability; protecting the Delta ecosystem pursuant to public trust obligations; and meeting NCCP recovery standards for listed fish species. Other obvious alternatives would include actions ranging from meeting ESA recovery standards for listed fish species to halting the planting of almond orchards that cannot be fallowed in dry years on desert lands receiving export waters to consideration of the development of desalinated water supplies as is being done in the San Diego County Water Authority. (BDCP Plan Chapter 9, p. 9-43).
Instead of enthusiastically embracing the duties mandated by our environmental laws to develop and consider a range of reasonable alternatives the BDCP proponents have concealed or misrepresented reasonable alternatives presented to them. The EWC Responsible Exports Plan has simply been concealed and ignored. It is invisible in the alternatives chapters in the BDCP Plan and Draft EIR/EIS.
In addition to the EWC alternative, the Natural Resources Defense Council (NRDC) and several other environmental organizations and public agencies presented and requested consideration of the conceptual “Portfolio” alternative in December 2012. Like the EWC Plan, the Portfolio alternative emphasizes investment in such modern measures as:
local water supply tools including conservation, water recycling, and other approaches, [that] can provide reliable, sustainable and plentiful new sources of supply that will also be cost-effective over the long run. These sources can also be provided rapidly through additional investments. There is approximately as much new water available from these new water supply sources as is currently exported from the Delta.” (Portfolio alternative).
Unlike the EWC Plan, the Portfolio alternative also includes new 3,000 cfs upstream conveyance. The California Resources Agency began disparaging the Portfolio alternative almost immediately on its website. Then, after the release of the 40,000 pages of BDCP documents in December 2013, the government agencies running the BDCP website stopped posting any correspondence or comments from the public. The overt hostility of the State BDCP agencies to any evaluation and explanation of alternatives to the Water Tunnels is revealed by the spectacle of the February 19, 2014 letter and its attachment from Resources Secretary John Laird to NRDC Litigation Director Kate Poole disparaging the Portfolio alternative. What is ludicrous about this is that the Resources Agency posted its anti—Portfolio advocacy on its website without also posting the Portfolio alternative itself that the Resources Agency complains about.
Like the EWC Responsible Exports Plan alternative, the Portfolio alternative is hidden from public view in the Draft BDCP Plan and Draft EIR/EIS. The logical conclusion is that the BDCP Water Tunnels proponents are afraid of the appeal of the Responsible Exports Plan alternative and the Portfolio alternative if these alternatives are fairly and openly presented in the BDCP documents out for public review and comment.
**Crashing Fish Populations Cry Out for Evaluation of Alternatives Increasing Flows**
There should be a range of alternatives in the BDCP Draft EIR/EIS starting with the Responsible Exports Plan and related variants of that alternative. As pointed out in our previous comment letters (March 6, 2014 letter, January 14, 2014 letter and its four attachments) several listed fish species are already in catastrophic decline in the subject area. The reaches of the Sacramento River, sloughs, and the Delta that would lose significant quantities of freshwater and freshwater flows through operation of the proposed BDCP Water Tunnels are designated critical
habitats for listed endangered and threatened fish species including Winter-Run Chinook Salmon, Central Valley Spring-Run Chinook Salmon, Central Valley Steelhead, Southern Distinct Population Segment of North American Green Sturgeon, and Delta Smelt.
As explained last year by the U.S. Fish and Wildlife Service (USFWS) “There is clear evidence that most of the covered fish species have been trending downward.” (USFWS Staff BDCP Progress assessment, Section 1.2, p. 4, April 3, 2013). The National Marine Fisheries Service (NMFS) has pointed out that the Water Tunnels threaten the “potential extirpation of mainstem Sacramento River Populations of winter-run and spring-run Chinook salmon over the term of the permit...” (NMFS Progress Assessment, Section 1.17, 12, April 4, 2013). As explained by EPA in its 2013 letter to the SWRCB, “The State Board... has recognized that increasing freshwater flows is essential for protecting resident and migratory fish populations.” (EPA letter to SWRCB re: EPA’s comments on the Bay-Delta Water Quality Control Plan; Phase 1; SED, pp. 1-2, March 28, 2013). The EPA has also explained with respect to Administrative Drafts of the BDCP documents that “many of these scenarios of the Preferred Alternative ‘range’ appear to decrease Delta outflow (p. 5-52), despite the fact that several key scientific evaluations by federal and State agencies indicate that more outflow is necessary to protect aquatic resources and fish populations.” (EPA Comments on Administrative Draft EIR/EIS, III Aquatic Species and Scientific Uncertainty, Federal Agency Release, July 18, 2013).
The Delta Reform Act requires that:
For the purpose of informing planning decisions for the Delta Plan and the Bay Delta Conservation Plan, the board [SWRCB] shall, pursuant to its public trust obligations, develop flow criteria for the Delta ecosystem necessary to protect public trust resources. In carrying out this section, the board shall review existing water quality objectives and use the best available scientific information. The flow criteria for the Delta ecosystem shall include the volume, quality, and timing of water necessary for the Delta ecosystem under different conditions. California Water Code § 85086(c)(1).
The SWRCB did develop flow criteria, published at: www.swrcb.ca.gov/waterrights/water_issues/bay_delta/flow on August 3, 2010, p. 5. The criteria include:
75% of unimpaired Delta outflow from January through June;
75% of unimpaired Sacramento River inflow from November through June; and
60% of unimpaired San Joaquin River inflow from February through June.
These recommendations have not been the basis for the BDCP Water Tunnels preferred project and would preclude development of the preferred alternative making that alternative infeasible pursuant to water quantity and quality considerations. In contrast, EWC’s Responsible Exports Plan alternative reduces exports to increase flows and is designed to comply with SWRCB flow criteria. On the one hand, the BDCP Draft EIR/EIS does not use the SWRCB flow criteria to evaluate alternatives. And on the other hand, the BDCP process does not await completion of pending SWRCB proceedings to update flow objectives.
The basic, flawed BDCP premise that taking water away from the fish and their habitats will be good for them is both nonsensical and contrary to science. As the EPA has noted, “[t]he benefits of increasing freshwater flows can be realized quickly and help struggling fish populations recover.” (EPA comments on the Bay-Delta Water Quality Control Plan; Phase 1; SED, March 28, 2013 at 1). But in any event, it is necessary that the BDCP process develop and consider a range of reasonable alternatives that instead of decreasing Delta outflow, increase Delta outflow. Fair evaluation and consideration of a range of alternatives reducing exports would be a required first step in that process.
Alternatives reducing exports are consistent with the claimed project purpose of “Reducing the adverse effects on certain listed species due to diverting water.” (BDCP Draft EIR/EIS, Executive Summary, p. ES-10). Such alternatives are also consistent with findings that “the Delta is now widely perceived to be in crisis. There is an urgent need to improve the conditions for threatened and endangered fish species within the Delta.” (Id.). On the other hand, the stated purpose to “restore and protect the ability of the SWP and CVP to deliver up to full contract amounts” (Id.) is contrary to the prevalence of “paper water” reflected by “information indicating that quantities totaling several times the average unimpaired flows in the Delta watershed could be available to water users based on the face value of water permits already issued.” (p. ES-11). Alternatives such as the Responsible Exports Plan alternative are 21st century alternatives focused on efficient, cost-effective measures to establish a more reliable water supply such as conservation and recycling as opposed to costly huge new delivery projects further depleting our rivers and the San Francisco Bay-Delta.
Alternative 9, through-Delta, is **not** the Responsible Exports Plan alternative. Alternative 9 comes from the BDCP Steering Committee back in 2010. (BDCP Draft EIR/EIS Executive Summary, p. ES -30; Chapter 3, p. 3-6). Without new upstream conveyance, Chapter 9 of the
BDCP Plan discussing Alternatives to Take does concede that Take alternative F (similar to Draft EIR/EIS alternative 9) would result in measurably less take over the decades of project operations than the BDCP Proposed Action—the Water Tunnels—of Central Valley fall and late fall-run Chinook Salmon (p. 9-90); Central Valley Steelhead (p. 9-98); Sacramento Splittail (p. 9-104); White and Green Sturgeon (p. 9-112); and Pacific and River Lamprey (p. 9-121). The appendix to Chapter 9 also concedes that the through-Delta alternative would result in greater net economic benefits to the water exporters than would result from development of the Water Tunnels. (Chapter 9, appendix A, Table 9.A-2 at p. 9.A-4). The BDCP proponents, however, load up their so-called through-Delta alternative with construction features not included in the Responsible Exports Plan and then label the through-Delta alternative as resulting in greater take than the BDCP Proposed Action during construction.
Likewise, Draft EIR/EIS alternative 5 which includes a 3000 cfs Tunnel is not the Portfolio alternative. Alternative 5 (Take alternative D) comes from the BDCP Steering Committee back in 2010. (BDCP Draft EIR/EIS Executive Summary, p. ES-29).
None of the positive water supply availability action measures in the Responsible Exports Plan alternative or the Portfolio alternative have been included as alternatives or portions of alternatives in the BDCP Draft EIR/EIS currently out for public review and comment. The Water Tunnels proponents have “tunnel vision” confined to the sole alternative of developing new upstream conveyance. Moreover, there is no consideration of the opportunity cost that would result from construction and operation of the Water Tunnels costing many billions of dollars. Those billions of dollars would be lost to developing such modern water supply measures as conservation and recycling.
**The Absence of a Range of Reasonable Alternatives Violates CEQA, NEPA and the ESA**
The failure to include a range of reasonable alternatives violates CEQA. An EIR must “describe a range of reasonable alternatives to the project... which would feasibly attain most of the basic objectives of the project but would avoid or substantially lessen any of the significant effects of the project, and evaluate the comparative merits of the alternatives.” 14 Code Cal. Regs (CEQA Guidelines) § 15126.6(a). “[T]he discussion of alternatives shall focus on alternatives to the project or its location which are capable of avoiding or substantially lessening any significant effects of the project, even if these alternatives would impede to some degree the attainment of the project objectives, or would be more costly.” § 15126.6(b). Recirculation of a
new Draft EIR/EIS will be required by CEQA Guidelines section 15088.5(a)(3) because the Responsible Exports Plan alternative and other alternatives that would reduce rather than increase exports have not been previously analyzed but must be analyzed as part of a range of reasonable alternatives.
In addition, EIR conclusions must be supported by substantial evidence. “Argument, speculation, unsubstantiated opinion or narrative” “does not constitute substantial evidence.” CEQA guidelines, § 15384. All that the BDCP Draft EIR/EIS contains to support the Preferred Project alternative is argument, speculation, unsubstantiated opinion, narrative and saying “we don’t know.” For example, the Draft EIR/EIS made “no determination (ND)” findings under NEPA as to whether the Water Tunnels, even after “mitigation,” would have adverse impacts on spawning, incubation habitat, and migration conditions for winter-run Chinook salmon (Draft EIR/EIS, Executive Summary p. ES-73) and spring-run Chinook salmon (p. ES-75); and migration conditions for fall-run Chinook salmon (p. ES-77), steelhead (p. ES-79), green Sturgeon (p. ES-81), and white Sturgeon (p. ES-83. A new Draft EIR/EIS must be prepared and recirculated because “the draft EIR[EIS] was so fundamentally and basically inadequate and conclusory in nature that meaningful public review and comment were precluded.” CEQA Guidelines § 15088.5(a)(4).
The rules under NEPA are similar. Under the NEPA Regulations, “This [alternatives] section is the heart of the environmental impact statement. The alternatives section should “sharply” define the issues and provide a clear basis for choice among options by the decision-maker and the public. 40 C.F.R. § 1502.14. The EIS alternatives section is to “Rigorously explore and objectively evaluate all reasonable alternatives, and for alternatives which were eliminated from detailed study, briefly discuss the reasons for their having been eliminated.” § 1502.14(a). Moreover, if “a draft statement is so inadequate as to preclude meaningful analysis, the agency shall prepare and circulate a revised draft of the appropriate portion. The agency shall make every effort to disclose and discuss at appropriate points in the draft statement all major points of view on the environmental impacts of the alternatives including the proposed action.” § 1502.9(a).
Instead of discussing all major points of view, lost in the 40,000 pages of BDCP Plan and Draft EIR/EIS advocacy and speculation by the consultants who prepared the documents are any alternatives reducing exports and increasing flows instead of constructing and operating
expensive new upstream diversions with the capacity to increase exports and reduce flows.
Under NEPA as well as CEQA, recirculation of a new Draft EIR/EIS will be required because of the extreme deficiencies in the Draft EIR/EIS out for public review at this time. The deficiencies in the Draft EIR/EIS cannot and will not be evaded by responses to comments in a Final EIR/EIS.
With respect to the ESA, we have repeated several times over the past year that the failure of the federal agencies to have prepared the ESA required Biological Assessments and Opinions violates both the ESA Regulations (50 C.F.R. § 402.14(a) “at the earliest possible time” requirement and the NEPA Regulations (40 C.F.R. § 1502.25(a) “concurrently with and integrated with” requirement. (FOR January 14, 2014 comment letter and its four attachments). The missing Biological Assessments and Biological Opinions would be essential to any meaningful public review and comment on a project claimed to be responsive to crashing fish populations.
As conceded by BDCP Chapter 9, Alternatives to Take, the analysis of take alternatives must explain “why the take alternatives [that would cause no incidental take or result in take levels below those anticipated for the proposed actions] were not adopted.” (BDCP Plan, Chapter 9, pp. 9-1, 9-2). Here, the lead agencies failed to even develop let alone adopt alternatives reducing exports and increasing flows to eliminate or reduce take. The agencies ignored the Responsible Exports Plan (Reduced Exports Plan version) alternative and the Portfolio alternative that were handed to them on a silver platter a full year before they issued the Draft Plan and Draft EIR/EIS for public review and comment.
In short, the fundamental flaws in the alternatives sections in the BDCP Draft EIR/EIS and Chapter 9 of the BDCP plan have led to a Draft EIR/EIS and Alternatives to Take analysis “so fundamentally and basically inadequate and conclusory in nature that meaningful public review and comment were precluded.”
CONCLUSION
The most important and fundamental planning decision in the history of the Delta will be whether or not to on the one hand finally begin to reduce exports and increase flows or on the other hand to develop massive, new upstream conveyance from the Delta. An epic choice will be made between those two basic options. The BDCP Plan and Draft EIR/EIS are hopelessly deficient because they fail to illuminate in any way whatsoever the bases for making the epic
choice that will determine many important things including whether five or more endangered and threatened species of fish become extinct. Extinction is forever. Please call the undersigned at (916) 442-3155 ext. 207 with any questions you may have.
Sincerely,
/s/ E. Robert Wright
Senior Counsel
Friends of the River
(Encl. two attachments for email@example.com)
Additional Addressees, all via email:
Maria Rea, Assistant Regional Administrator
National Marine Fisheries Service
Michael Tucker, Fishery Biologist
National Marine Fisheries Service
Ryan Wulff, Senior Policy Advisor
National Marine Fisheries Service
Mike Chotkowski, Field Supervisor, S.F. Bay-Delta
U.S. Fish and Wildlife Service
Lori Rinek
U.S. Fish and Wildlife Service
Mary Lee Knecht, Program Manager
U.S. Bureau of Reclamation
Patty Idloff
U.S. Bureau of Reclamation
Deanna Harwood
NOAA Office of General Counsel
Kaylee Allen
Department of Interior Solicitor’s Office
Tom Hagler
U.S. EPA General Counsel Office
Tim Vendlinski, Bay Delta Program Manager, Water Division
U.S. EPA, Region IX
Stephanie Skophammer, Program Manager
U.S. EPA, Region IX
Erin Foresman, Bay Delta Coordinator
U.S. EPA
Sacramento, CA
Lisa Clay, Assistant District Counsel
U.S. Army Corps of Engineers
cc:
Congressman John Garamendi
Third District, California
Congresswoman Doris Matsui
Sixth District, California
RESPONSIBLE EXPORTS PLAN
Developed by the Environmental Water Caucus
May 2013
# CONTENTS
| Topic | Page |
|--------------------------------------------|------|
| Cover Page | 1 |
| Contents | 2 |
| Introduction | 3 |
| Preface | 6 |
| Reduce Exports | 9 |
| Water Efficiency and Regional Self Sufficiency | 14 |
| Public Trust Protections | 20 |
| Reinforce Levees | 21 |
| South Delta Fish Screens | 22 |
| Water Transfers | 25 |
| Impaired Farmlands | 27 |
| Delta Habitats | 29 |
| Kern Water Bank | 31 |
| Tulare Basin | 32 |
| Water Quality | 33 |
| Groundwater Usage | 34 |
| Fish Passage Above Dams | 34 |
| Retain Cold Water for Fish | 36 |
| Funding | 37 |
| Conclusion | 38 |
| EWC Members | 39 |
---
**ENVIRONMENTAL WATER CAUCUS**
**RESPONSIBLE EXPORTS PLAN**
INTRODUCTION
The consensus diagnosis for the Delta estuary is dire. The California Environmental Water Caucus prescribes more river flows and reduced fresh water exports to help the Delta recover. The EWC’s plan demonstrates how water supply reliability can be improved while reducing exports from the Bay Delta Estuary. Many of our recommendations have been presented to the Delta Stewardship Council as part of Alternative 2 for the Delta Plan. We have now packaged this series of related actions into a single alternative for evaluation in any future NEPA or CEQA evaluations, or by the State Water Resources Control Board. The actions are largely based on the EWC report *California Water Solutions Now*, (www.ewccalifornia.org), which can be referenced for supporting details. This package of actions (“The RX Plan”) represents the EWC alternative to the BDCP.
The RX Plan includes a unique combination of actions that will open the discussion for alternatives to the currently failed policies which continuously attempt to use water as though it were a limitless resource. *The RX Plan is about far more than just reduced exports*. The uniqueness of this Plan is that while it will reduce the quantity of water exported from the Bay Delta Estuary, in order to protect the health of the Estuary’s habitat and fisheries with increased inflows and outflows, it also contains actions that will reduce the demand for water and increase supplies for exporters south of the Delta in order to compensate for the reduced south-of-Delta exports. It is the only extant plan that will modernize existing facilities in the Bay-Delta with improved fish screens at the South Delta, levees reinforced above the PL84-99 standard, and significantly increased flows in order to recover habitat and fish stocks, while avoiding the huge infrastructure costs of tunnels under the Delta. It will also provide increased self-reliance for south-of-Delta water users through inter-regional water transfers and south of Delta groundwater storage. The reinforced levees will provide increased reliability of the water supplies through the Delta. And it will accomplish the legislated goals of Estuary restoration and water reliability for billions of dollars less than currently contemplated plans.
California is in the grip of a water crisis of our own making. Like all problems that humans create, we have the potential to use the crisis as an opportunity to make positive and long-lasting changes in water management. The crisis is not a water shortage – California has already developed sufficient water supplies to take us well into this century – the real crisis is that this supply is not used efficiently or equitably for all Californians, nor is it used wisely to sustain the ecosystems that support us.
The opportunity – and the basis for our positive vision – is that economically and technologically feasible measures are readily available to provide the water needed for our future. Our vision includes providing clean water for families to drink, providing water to improve the environmental health of our once-magnificent rivers, recovering our fisheries from the edges of extinction, fostering healthy commercial and recreational fisheries and a thriving agricultural industry, ensuring that all California communities have access to safe and affordable
drinking water, and contributing significantly to the state’s largest industries: recreation and tourism.\(^1\) \(^2\)
We need to make significant changes in our water management practices in order to provide the favorable outcomes that we describe in this report. These changes are based on the following Principles for a Comprehensive California Water Policy, developed by the Planning and Conservation League and the Environmental Justice Coalition for Water to guide California water policy reform.\(^3\) They instruct that:
1. California must respect and adjust to meet the natural limits of its waters and waterways, including the limits imposed by climate change.
2. Every Californian has a right to safe, sufficient, affordable, and accessible drinking water.
3. California’s ecosystems and the life they support have a right to clean water and to exist and thrive, for their own benefit and the benefit of future generations.
4. California must maximize environmentally sustainable local water self-sufficiency in all areas of the State, especially in the face of climate change.
5. The quality and health of California’s water must be protected and enhanced through full implementation and enforcement of existing water quality, environmental, and land use regulations and other actions, and through new or more rigorous regulations and actions as needed.
6. All Californians must have immediate and ready access to information and the decision-making processes for water.
7. California must institute sustainable and equitable funding to ensure cost-effective water reliability and water quality solutions for the state where “cost-effective” includes environmental and social costs.
8. Groundwater and surface water management must be integrated, and water quality and quantity must be addressed on a watershed basis.
9. California’s actions on water must respect the needs and interests of California Tribes, including those unrecognized Tribes in the State.
10. California must overhaul its existing, piecemeal water rights policies, which already over-allocate existing water and distribute rights without regard to equity.
A major influencing factor in future California water solutions will be the impact of global climate change. Based on the scientific information available, the natural limits of our water supply will become more obvious, the economics of water policies will change significantly, and our ability to provide sustainable water solutions for all Californians will become more challenging. Unless we manage our water more efficiently and account for the current and future effects of global climate change, the costs of providing reliable water to all users will overwhelm our ability to provide it.
---
\(^1\) California’s Rivers A Public Trust Report. Prepared for the State Lands Commission. 1993. P. 47. http://www.slc.ca.gov/Reports/CA_Rivers_Rpt.html
\(^2\) California Travel and Tourism Commission. California Travel Impacts by County. 2008 Preliminary State Estimates. Total direct travel spending alone was $96.7 billion in 2008. ES-2. http://tourism.visitcalifornia.com/media/uploads/files/editor/Research/CAImp08pfinal.pdf.
\(^3\) Aquafornia: the California Water News Blog of the Water Education Foundation. http://aquafornia.com/archives/8374.
In addition to the commonly accepted NEPA and CEQA requirements for any Delta Estuary plan, there are five fundamental criteria that any plan for recovering the health of the Bay Delta Estuary and fish species must successfully meet. Those criteria are:
1. A water availability analysis must be conducted to align water needs with availability.
2. A benefit/cost analysis must be conducted to determine economic desirability of any plan.
3. Public trust and sociological values must be balanced against the value of water exports.
4. Existing water quality regulations must be enforced in order to recover the Estuary.
5. The plan must meet the NCCP recovery standard for fish species.
All of the current and past plans for the Delta Estuary have failed, partly because the responsible state and federal authorities have refused to apply or to test their projects with these above criteria. The EWC would welcome this Responsible Exports Plan being judged by these pragmatic and acceptable criteria.
PREFACE
There are several overarching issues that run through all our efforts to develop sustainable, effective, and equitable water policies. They are: climate change, periodic drought, environmental justice, the preservation of cultural traditions by Native Americans, the precautionary principle, and population pressures. They are covered in this preface to avoid repetition in each of the individual actions described below.
Climate Change. Climate models indicate that climate change is already affecting our ability to meet all or most of the goals enumerated in this report and must be integrated into the implementation of the recommendations. The main considerations are:
- More precipitation will fall as rain rather than snow and will result in earlier runoff than in the past.\(^4\)
- Less snow will mean that the current springtime melt and runoff will be reduced in volume.
- Overall, average precipitation and river flow are expected to decrease. A recent paper in *Frontiers in Ecology and the Environment* \(^5\) predicts that the average Sacramento River flow will decrease by about 20 percent by the 2050s.
- Precipitation patterns are expected to become more erratic including both prolonged periods of drought and greater risks of flooding.
- Sea level rise will impact flows and operations within the Delta, endanger fragile Delta levees, and increase the salinity concentration of Suisun Bay and the Delta, as well as increase the salinity concentrations of some coastal groundwater aquifers.
These changing conditions could affect all aspects of water resource management, including design and operational assumptions about resource supplies, system demands, performance requirements, and operational constraints. To address these challenges, we must enhance the resiliency of natural systems and improve the reliability and flexibility of the water management systems. Specific recommendations are proposed as part of this document.
Periodic Drought. Drought is a consistent and recurrent part of California’s climate. Multiple-year droughts have occurred three times during the last four decades.\(^6\) In creating a statewide drought water “bank,” there is a clear need for a long-term version of a drought water bank. California’s experience of multiple-year droughts should force state and local water and land use authorities to recognize the recurrence of drought periods and to put more effective uses of water
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\(^4\) National Wildlife Federation and the Planning and Conservation League Foundation. On the Edge: Protecting California’s Fish and Waterfowl from Global Warming. 10-11. www.pcl.org/projects/globalwarming.html.
\(^5\) Margaret A Palmer, Catherine A Reidy Liemann, Christer Nilsson, Martina Flörke, Joseph Alcamo, P Sam Lake, Nick Bond (2008) Climate change and the world’s river basins: anticipating management options. Frontiers in Ecology and the Environment: Vol. 6, No. 2, pp. 81-89.
\(^6\) California Drought Update. May 29, 2009. P.5. http://www.water.ca.gov/drought/docs/drought_update.pdf.
in place permanently. The Governor’s current policy on water conservation\(^7\) should be mandatory for all water districts and become a permanent part of water policy, rather than a response to current dry conditions. Only by educating the public, recognizing limits, and learning to use the water we do have more efficiently can Californians expect to handle future drought conditions reasonably.
**Environmental Justice.** It is imperative that water policies and practices are designed to avoid compounding existing or creating new disproportionately adverse effects on low income Californians and communities of color. Conversely, water policies and practices must anticipate and prepare for anticipated disproportionately adverse effects and to provide equitable benefits to these communities, particularly those afflicted by persistent poverty and which have been neglected historically. For example, water moving south through the California Aqueduct and the Delta Mendota Canal flow past small valley towns that lack adequate or healthy water supplies. We know that under conditions of climate change and drought, catastrophic environmental changes will occur in California. Environmental justice requires that water policies and practices designed to account for climate change and drought include a special focus on preventing catastrophic environmental or economic impacts on environmental justice communities. Other, specific environmental justice water issues include:
- Access to safe, affordable water for basic human needs.
- Access to sufficient wastewater infrastructure that protects water quality and prevents overflows and other public health threats.
- Restoration of water quality so that environmental justice communities can safely feed their families the fish they catch in local waters to supplement their families’ diets.
- Equitable access to water resources for recreation.
- Equitable access to statewide planning and funding to ensure that in addition to safe affordable water, and wastewater services, environmental justice communities benefit equitably from improved conservation, water recycling and other future water innovations that improve efficiency and water quality.
- Mitigation of negative impacts from the inevitable reallocation of a portion of the water currently used in agriculture – the state’s biggest water use sector – to water for cities and the environment. Reallocation will reduce irrigated acreage, the number of farm-related jobs, and local tax revenues.
- Mitigation of third party impacts, including impacts on farm workers, associated with land conversion.
- Ideally, mitigation will be based on a comprehensive plan to transition local rural economies to new industries such as solar farms and other clean energy business models and provide the necessary job training and policies necessary to enable environmental justice community members to achieve the transition.
- Protection from the impacts of floods and levee breaks, including provisions for emergency and long-term assistance to renters displaced by floodwaters.
---
\(^7\) 20x2020 Water Conservation Plan DRAFT, April 30, 2009. Executive Summary. http://www.swrcb.ca.gov/water_issues/hot_topics/20x2020/index.shtml.
Native American Traditions. Many of California's Historical Tribes have a deep and intrinsic relationship with California's rivers, lakes, streams and springs. This relationship goes to the very core of their origin, cultural, and spiritual beliefs. Many of the Tribes consider the fish that reside in these waters as gifts from their creator, and the fish are necessary to the continued survival of their people and their cultural and spiritual beliefs. Historically, California's water policy has failed to recognize the importance of the needs of one of its greatest natural and cultural resources - its Historical Tribes - and has only sought to manage water for economic gain. California water policies and practices must change to provide sufficient water to support fisheries and their habitats for both cultural and economic sustainability, and provide for the restoration of and access to those fisheries for its Native Peoples.
The Precautionary Principle. The Precautionary Principle states that: "Where there is scientific evidence that serious harm might result from a proposed action but there is no certainty that it will, the precautionary principle requires that in such situations action be taken to avoid or mitigate the potential harm, even before there is scientific proof that it will occur." Numerous actions recommended in this report fit that criteria and the precautionary principle is therefore implicit throughout the report recommendations.
Population Pressures. California’s human population is expected to continue to increase from the current population of more than 37 million to 49 million by 2030 and 59 million by 2050. In 2008, 75 percent of the population growth came from natural growth (births) and 25 percent came from immigration, both foreign and interstate. In each of the data sources utilized in this report, population increases have been factored into the conclusions, unless otherwise noted.
---
8 A. I. Schafer, S. Beder. Role of the precautionary principle in water recycling. University of Wollongong. 2006. 1.1.
9 California Department of Finance, Demographic Research Unit. 2009. Table 1. http://www.dof.ca.gov/research/demographic/reports/#projections.
THE EWC RESPONSIBLE EXPORTS PLAN ACTIONS
The main actions included in The Plan are underlined and described below:
1. **Reduce Exports To No More Than 3MAF In All Years, In Keeping With SWRCB Flows Criteria.**
Numerous scientific and legal investigations have identified Delta export pumping by the state and federal projects as one of the primary causes of the decline of the health of the Delta estuary and its fish. They include the California Fish and Game Commission’s 2009 listing of longfin smelt under the Endangered Species Act; the US Fish and Wildlife Service’s 2008 Biological Opinion for Delta smelt; the National Marine Service June 4, 2009 Biological Opinion on Central Valley Project (CVP) and State Water Project (SWP) Operations, the State Water Resources Control Board’s Bay-Delta Water Quality Control Plan and Water Rights Decision 1641; the CALFED Bay-Delta Program’s 2000 Ecosystem Restoration Program Plan; and the Central Valley Project Improvement Act’s Anadromous Fish Restoration Program.
The guidelines of the Fish and Wildlife Service’s Biological Opinion require reduced pumping in order to minimize reverse flows and the resultant fish kills during times of the year when Delta Smelt are spawning and the young larvae and juveniles are present.
The long-term decline of the Delta smelt coincides with large increases in freshwater exports out of the Delta by the state and federally operated water projects, (Figure 1). CALFED’s Ecosystem Restoration Program reminds us that “the more water left in the system (i.e., that which flows through the Delta into Suisun Bay and eventually the ocean), the greater the health of the estuary overall; there is no such thing as ‘too much water’ for the environment.”
The main input to the Delta – the Sacramento River, which provides 70 percent of Delta inflow in average years\(^{11}\) – does not provide sufficient water for all the present claimants except in wet years, and climate change is expected to decrease flows in the future. The system cannot provide full delivery of water to the most junior CVP and SWP contract holders in most years. Recent court-ordered water export limits that protect endangered fish species, the continuously deteriorating Delta earthen levees and the potential adverse effects of climate change on water supplies combine to make Delta water supply reliability a roll of the dice.
---
\(^{10}\) CALFED Ecosystem Restoration Program. 2008. Stage 2 Implementation Draft. P. 23. http://www.delta.dfg.ca.gov/erp/reports_docs.asp
\(^{11}\) Delta Vision Final Report. 2008. State of California Resources Agency. P. 41. http://deltavision.ca.gov/BlueRibbonTaskForce/FinalVision/Delta_Vision_Final.pdf
According to the recent National Marine Services Biological Opinion, the proposed actions by the CVP and SWP to increase export levels will exacerbate problems in the Delta.\(^{12}\) We do not believe that the water exporters’ goals of maintaining or increasing Delta exports are attainable; neither are the junior water rights holders’ expectations that they should have a full contracted water supply each year, especially in view of the collapse of the Delta’s fisheries and the impacts of climate change.
**Figure 1**
*Historic Delta Exports and Estuarine Fish Populations*
![Graph showing fish abundance and average annual delta exports over time.]
Source: Environmental Defense Fund.\(^{13}\) Original source is California Data Exchange Center and California Department of Fish & Game - Midwater Trawl Data
*Strategic alternatives to the recent high levels of Delta water exports should now be the highest priority considerations for the state’s water planning – especially in tandem with aggressive water use efficiency measures. The two are closely linked.*
Over time, annual Delta outflows have been reduced on average by one half,\(^{14}\) with associated declines in native fish abundance. Export pumping from the Delta is a major cause of reduced outflows, but not the only one. Diversions for CVP contractors upstream of the Delta,
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\(^{12}\) National Marine Fisheries Service, Southwest Region. June 4, 2009. *Biological Opinion And Conference Opinion On The Long-Term Operations Of The Central Valley Project And State Water Project*. Page 629. http://swr.ucsd.edu/ocap/NMFS_Biological_and_Conference_Opinion_on_the_Long-Term_Operations_of_the_CVP_and_SWP.pdf.
\(^{13}\) Environmental Defense Fund. 2008. *Finding the Balance*. P. 3. http://www.edf.org/documents/8093_CA_Finding_Balance_2008.pdf
\(^{14}\) CALFED Ecosystem Restoration Program. 2008. *Stage 2 Implementation Draft*. P. 21. http://www.delta.dfg.ca.gov/erp/reports_docs.asp
combined with “non-project” (that is, non-federal, non-state) diversions, account for a significant portion of the reduction in outflow. In fact, 31 percent of upstream water is diverted annually before reaching the Delta.\textsuperscript{15} In the 1990s, under the threat of federal intervention, California increased the required outflow to the Bay, but not enough to restore the Delta ecosystem or prevent further declines.
Over the years, a number of processes have identified the need to dramatically improve outflows in order to recover listed species to a sustainable level and restore ecosystems in the Bay-Delta. From 1988, when the State Water Resources Control Board (SWRCB) proposed – but withdrew without public discussion – standards that would have required an average increase in outflow of 1.5 million acre-feet over the lower diversion levels of the period before the late 1980s, to 2009, when the California Legislature adopted a new policy of reducing reliance on the Delta for water supply uses, the need for greater outflow and reduced exports has been acknowledged – but not achieved. In 2010, the State Board is required to develop flow criteria that will fully protect public trust resources in the Delta. In all these years, no information has been developed that would contradict the Board’s 1992 draft finding that maximum Delta pumping in wet years should not exceed 2.65 million acre-feet in order to provide the necessary outflows to protect fish and the Bay-Delta ecosystems.\textsuperscript{16} The rebuttable presumption, consistent with the evidence of the last two decades and with the new state policy to reduce Delta water supply reliance, is that a total export number of no more than 3 million acre-feet in all water year types is prudent. The EWC organizations believe that a number at or near this level should now be used by the state and federal governments in planning and permitting future Delta export operations – with or without a Peripheral Canal – in order to promote the recovery of the Delta’s ecology and its fishery resources and to provide healthy Delta outflows to San Pablo and San Francisco Bays.
The Delta Flows Criteria promulgated by the State Water Resources Control Board (SWRCB) clearly indicates that the state has reached – and exceeded – the amount of water that can responsibly be diverted from the Bay Delta and Estuary. As a result, this plan anticipates future limitations on Delta exports below the level of the 2000-2007 time periods in its plan to meet Delta ecosystem restoration goals. The recent PPIC report reinforces this: “given the extreme environmental degradation of this region, water users must be prepared to take less water from the Delta, at least until endangered fish populations recover.”
As indicated in the recent SWRCB report,\textsuperscript{17} in order to preserve the attributes of a natural variable system to which native fish species are adapted, many of the criteria developed by the State Water Board are crafted as percentages of natural or unimpaired flows. These criteria include:
\textsuperscript{15} CALFED Ecosystem Restoration Program. 2008. Stage 2 Implementation Draft. P. 20. http://www.delta.dfg.ca.gov/erp/reports_docs.asp
\textsuperscript{16} California Department of Fish and Game. 1992. Testimony on the Sacramento-San Joaquin Estuary to SWRCB Hearings on Bay Delta Water Quality Hearings. Page 11.
\textsuperscript{17} State Water Resources Control Board and California Environmental Protection Agency. DRAFT Development of Flow Criteria for the Sacramento-San Joaquin Delta Ecosystem. July 2010. Pp. 5.
• 75% of unimpaired Delta outflow from January through June;
• 75% of unimpaired Sacramento River inflow from November through June;
• 60% of unimpaired San Joaquin River inflow from February through June.
This compares with the historic flows over the last 18 to 22 years, which have been:
• About 50% on average from April through June for Sacramento River inflows;
• Approximately 30% in drier years to almost 100% of unimpaired flows in wetter years for Delta outflows;
• Approximately 20% in drier years to almost 50% in wetter years for San Joaquin River inflows.
In 2014, the State Board is required to develop flow criteria that will fully protect public trust resources in the Delta and Estuary. In all the years since 1988, no information has been developed that would contradict the Board’s 1992 draft finding that maximum Delta pumping in wet years should not exceed 2.65 million acre-feet in order to provide the necessary outflows to protect fish and the Bay-Delta and Estuary ecosystems. The rebuttable presumption, consistent with the evidence of the last two decades and with the new state policy to reduce Delta water supply reliance, is that a total export number of no more than 3 million acre-feet in all water year types, except for drought years, is prudent.
The current approach of managing the Delta for water supply will almost certainly lead to intense pressures to make increased exports the major goal of a Peripheral Canal or tunnel while the health of the Delta and Estuary will be a lower priority. One of the main objectives of this Responsible Exports Plan is to decrease the physical vulnerability and increase the predictability of Delta supplies, not to increase average annual Delta exports. The current fallacy of the BDCP to increase exports while somehow recovering fish species and ecosystems leads directly to a warped scientific program as pointed out by The Bay Institute in their recent Briefing Paper on the BDCP Effects Analysis.\(^{18}\)
Recent letters from the EPA and the Bureau of Reclamation indicate that the EPA believes that the (BDCP) EIS/EIR will need to include a significant analysis of alternatives reflecting reduced Delta inflow and reduced exports\(^{19}\) and that a significant increase in exports out of the Delta is inconsistent with recent state legislation (to reduce reliance on the Delta).\(^{20}\)
Changing the infrastructure will not solve the problem of a shrinking Delta water supply. A vigorous debate is now underway over whether a new isolated conveyance facility to move water around or under the Delta should be constructed – a revised version of the Peripheral Canal. Even those who support a new facility (and dual conveyance) as a solution to improve
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\(^{18}\) The Bay Institute and Defenders of Wildlife. The BDCP Effects Analysis, Briefing Paper. February 2012. http://www.bay.org/assets/BDCP%20E%20Briefing%20Paper%2022912.pdf
\(^{19}\) http://www.epa.gov/region9/water/watershed/sfbaydelta/pdf/EPA_Comments_BDCP_3rdNO_051409.pdf
\(^{20}\) http://www.epa.gov/region9/water/watershed/sfbay-delta/pdf/EpaR9CommentsBdcnPurpSimt6-10-2010.pdf
environmental conditions and water supply reliability, including the Public Policy Institute,\textsuperscript{21} the Delta Vision Blue Ribbon Task Force, and some environmental groups, do not believe that constructing this new facility will generate any new water. Whether or not a new conveyance facility is approved and built, the inexorable trend will be for the reliability of north-to-south water transfers through or around the Delta to decline, and for water users who currently rely on Delta exports to seek alternative sources of supply and to increase their conservation and reuse of that supply.
According to the Bay Delta Conservation Plan,\textsuperscript{22} the version of the Peripheral Canal now under consideration would have the capacity to export 9,000 to 15,000 cubic feet of water per second (112,000 gallons per second) from a series of three to five massive intake structures on the Sacramento River north of the Delta. This almost exactly matches the existing capacity of the combined state and federal pumps. The current approach of managing the Delta for water supply will almost certainly lead to intense pressures to make increased exports the major goal of a Peripheral Canal while the health of the Delta will be a lower priority.
Reduced dependence on the Delta by south-of-Delta water users would also obviate the need for new conveyance around or under the Delta (a Peripheral Canal or tunnel) and new surface storage reservoirs, avoiding costs of perhaps tens of billions of dollars for taxpayers and the potential for stranded assets resulting from climate change and sea level rise in the Bay-Delta and Estuary. This reorientation will undoubtedly require some south-of-Delta infrastructure enhancements, but not nearly to the magnitude of costs for a Peripheral Canal or tunnels and a new reservoir north of the Delta.
Climate change projections indicate that over the longer term global warming will reduce the total amount of precipitation, including significant reductions in Sacramento River water. There is no indication that this has been factored into present plans, and it is possible that new conveyance for Sacramento River water may become a stranded asset.
\textbf{Implementation and Funding}. Implementation (and funding, if necessary) for the level of reduced exports will depend on the results of the State Water Resources Control Board hearings on Delta flows, which are scheduled to be completed during 2014. Subsequent to those hearings, implementation and funding plans will most likely fall within the purview of the state legislature.
\begin{footnotesize}
\begin{itemize}
\item[\textsuperscript{21}] Public Policy Institute of California. 2008. Comparing Futures for the Sacramento-San Joaquin Delta. P. 123-124. http://www.ppic.org/content/pubs/report/R_708EHR.pdf
\item[\textsuperscript{22}] Bay Development Conservation Plan. http://www.baydeltaconservationplan.com/CurrentDocumentsLibrary/Chapter_3_Conservation_Strategy_Combined_v2.pdf
\end{itemize}
\end{footnotesize}
2. **Expand Statewide Water Efficiency And Demand Reduction Programs Beyond The Current 20/20 Program And Maximize Regional Self-Sufficiency In Accordance With The 2009 Delta Reform Act.**
California has developed huge amounts of water for our cities and farms. Urban users consume 8.7 million acre-feet of water, and agriculture uses 34 million acre-feet in a typical year. (An acre-foot of water is the volume of water required to cover one acre of surface area to a depth of one foot, which is 325,900 gallons.) California has 1,400 major reservoirs with a combined storage capacity of 40 million acre-feet, thousands of miles of canals and enormous energy-consuming pumps to move the water around the state.
Despite all this abundance, there are fears of monumental water shortages, amplified by periodic drought conditions and climate change. One-third of water years in California since 1906 are considered “dry or critical” by the California Department of Water Resources; since 1960, dry or critical years have occurred 37 percent of the time, the increased frequency probably reflecting effects of our warming climate.\(^{23}\) The worst and longest modern droughts have occurred since 1976. Farmers are concerned that they will be driven out of business for lack of water. In response, politicians want to build more major dams and canals to store and move more water at a time when climate change will most likely make less water available. More than 90 percent of our rivers have already been diverted for our use and publicly subsidized farm water has created an insatiable appetite for more. In view of the critical nature of water supply, irrigating water-intensive crops and drainage-impaired lands with huge amounts of water hardly fits a 21\(^{st}\) century definition of the “beneficial and reasonable use” criteria called for in state law.
Recommendations made by the Environmental Water Caucus to the Delta Stewardship Council included an aggressive urban water conservation and efficiency program – more aggressive and of longer duration than the 20/20 program – and included both urban and agricultural users as a necessary component for reducing reliance on the Delta and achieving the water supply reliability goals for south-of-Delta users. A more aggressive conservation program also supports the goal of the reduced exports level of this alternative. We intend to continue our advocacy for this type of program with the Delta Stewardship Council.
Overwhelming evidence shows that a suite of aggressive conservation and water efficiency actions will reduce overall demand and provide cost effective increases in available and reliable water supply. These measures will handle California’s water needs well into the foreseeable future and will do so at far less financial and environmental cost than constructing more storage dams and reservoirs. This conclusion is reinforced by the current State Water Plan (Bulletin 160-09), by the Bay Institute’s “Collateral Damage” report, and by actual experience in urban areas and farms.
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\(^{23}\) California Data Exchange Center “WSIHIST,” Department of Water Resources. [http://cdec.water.ca.gov/cgi-progs/iodir/wsihist](http://cdec.water.ca.gov/cgi-progs/iodir/wsihist)
Southern California, with its huge urban populations, can provide the major conservation impetus for water savings and demand reduction, as highlighted by the “Where Will We Get the Water?” report produced by the Los Angeles Economic Development Corporation.\textsuperscript{24} This report shows a potential savings and demand reduction combination of approximately 1,700,000 million acre feet. These are potential savings that can be achieved through three main measures: urban conservation, recycling, and storm water capture. The potential recycling savings are larger with more investment in recycling facilities and potential future regulations related to outdoor urban usage. Southern California should clearly be the main focus for urban conservation measures.
These water efficiency and water use reduction actions are:
- **Urban Water Conservation** – including installing low-flow toilets and showerheads, high-efficiency clothes washers, retrofit-on-resale programs, rainwater harvest, weather-based irrigation controllers, reducing water for landscaping via drip and xeriscapes, more efficient commercial and industrial cooling equipment, and tiered price structures.\textsuperscript{25} According to the 2009 State Water Plan, total urban water demand can be reduced by 2.1 million acre-feet with these measures.\textsuperscript{26} The referenced Los Angeles Economic Development Corporation report found that in Los Angeles, Orange, San Bernardino, San Diego, Riverside and Ventura counties, “urban water conservation could have an impact equivalent to adding more than 1 million acre-feet of water to the regional supply” (about 25 percent of current annual use). The same LAEDC report shows that urban conservation is by far the most economical approach, at $210 per acre-foot, and especially compared with new surface storage at $760 to $1,400 per acre-foot.
- **Urban Conservation Rate Structures** – including the establishment of mandatory rate structures within the Urban Best Management Practices that strongly penalize excessive use and reward low water usage customers with lower rates, with the lowest being a lifeline rate to provide water for low income and low-water-using ratepayers. The savings that result from pricing policies are included in the 2.1 million acre-feet reduction cited above.
- **Agricultural Water Conservation** – including the continuing trend towards use of drip, micro sprinklers and similar higher technology irrigation, reduced deficit irrigation, transition to less water-intensive crops, reduced overall farmland acreage, elimination of the irrigation of polluted farmland, and tiered price structures. Conservation measures also include the elimination of indirect water subsidies provided to agriculture for Central Valley Project (CVP) water, which will drive some of the efficiencies shown in Figure 1.
\textsuperscript{24} Los Angeles County Economic Development Corporation (LAEDC). 2008. Where Will We Get the Water? Assessing Southern California’s Future Water Strategies. P 6. http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf.
\textsuperscript{25} A detailed treatment of urban water conservation is contained in Waste Not, Want Not: The Potential for Urban Water Conservation in California, by the Pacific Institute. http://www.pacinst.org/reports/urban_usage/waste_not_want_not_full_report.pdf.
\textsuperscript{26} California Department of Water Resources. Update 2009. California Water Plan Update. Bulletin 160-09. V-2, P3-23. http://www.waterplan.water.ca.gov/docs/cwpu2009/0310final/v2e03_urbwtruse_cwp2009.pdf.
Demand reduction of as much as 5 million acre-feet per year could be achieved by 2030, according to Pacific Institute’s *California Water 2030: An Efficient Future* report.\(^{27}\)
- **Recycled Water** – including the treatment and reuse of urban wastewater, gray water, and storm water, and achievement of the State Water Resources Board goal of increasing water recycling by at least an additional 2 million acre-feet per year by 2030. The 2009 State Water Plan indicates a figure of 2.25 million acre-feet that could be recovered. The LAEDC report shows recycled water costs $1,000 per acre-foot.
- **Groundwater Treatment, Demineralization and Desalination** – including the treatment of contaminated groundwater and the use of groundwater desalination. The cost of groundwater desalination ranges from $750 to $1,200 per acre-foot.
- **Conjunctive Management** – which engages the principles of conjunctive water use (the planned release of surface stored water to recharge groundwater basins), where surface water and groundwater are used in combination to improve water availability and reliability. It also includes important components of groundwater management such as monitoring, evaluation of monitoring data to develop local management objectives, and use of monitoring data to establish and enforce local management policies. Now that the value of maintaining integrated, healthy hydrologic systems for ecological and economic purposes is well known, the use of conjunctive management should give priority to seriously disrupted groundwater basins. Without scientific studies that are needed to support conjunctive water management, or judicial oversight in some cases, many aquifers and surrounding groundwater can be harmed by the biggest users.
- **Storm Water Recapture and Reuse** – The 2008 Scoping Plan for California’s Global Warming Solutions Act of 2006 promotes storm water collection and reuse. The plan finds that up to 333,000 acre-feet of storm water could be captured annually for reuse in urban southern California alone.\(^{28}\) The LAEDC report also found the potential for “hundreds of thousands of acre-feet” of water from storm water capture and reuse in southern California counties.\(^{29}\) The Los Angeles and San Gabriel Watershed Council has estimated that if 80 percent of the rainfall that falls on just a quarter of the urban area within the watershed (15 percent of the total watershed) were captured and reused, total runoff would be reduced by about 30 percent. That translates into a new supply of 132,000 acre-feet of water per year or enough to supply 800,000 people for a year.\(^{30}\)
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\(^{27}\) Pacific Institute. *California Water 2030: An Efficient Future*. September 2005. http://www.pacinst.org/reports/california_water_2030/ca_water_2030.pdf
\(^{28}\) Climate Change Scoping Plan Appendices Volume I. December 2008. Pursuant to AB 32 The California Global Warming Solutions Act of 2006. C-135. http://www.arb.ca.gov/cc/scopingplan/document/appendices_volume1.pdf.
\(^{29}\) Los Angeles County Economic Development Corporation (LAEDC). 2008. Where Will We Get the Water? Assessing Southern California’s Future Water Strategies. P 32-33. http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf.
\(^{30}\) California Department of Water Resources. Update 2005. California Water Plan Update. Bulletin 160-05. P. 21-3. http://www.waterplan.water.ca.gov/previous/cwpu2005/index.cfm
Based on data from the State Water Plan (Bulletins 160-05 and 160-09),\(^{31}\) the Planning and Conservation League (PCL)\(^{32}\) and the Pacific Institute,\(^{33}\) the savings that can be achieved from these efficiency scenarios are estimated to be 13 million acre-feet per year (Figure 2). Perhaps the most authoritative report on the subject, the Pacific Institute’s *California Water 2030: An Efficient Future* shows that overall statewide water usage can be reduced by 20 percent below 2000 levels – given aggressive efforts to conserve and reduce usage with readily available technology and no decrease in economic activity. The urban water savings of approximately 5 million acre-feet a year (when including recycled municipal water and part of the groundwater
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\(^{31}\) California Department of Water Resources. Update 2005. California Water Plan Update. Bulletin 160-05. V2 1-5. http://www.waterplan.water.ca.gov/previous/cwpu2005/index.cfm
\(^{32}\) Planning and Conservation League. 2004. Investment Strategy for California Water. P. 8–11. http://www.pcl.org/projects/investmentstrategy.html
\(^{33}\) Pacific Institute. 2005. California Water 2030: An Efficient Future. ES-2. http://www.pacinst.org/reports/california_water_2030/ca_water_2030.pdf
storage) shown in Figure 1 is enough water to support a population growth of almost 30,000,000 people. According to the California Water Plan Update 2009, the state’s population can be expected to increase by 22,000,000 over the next 40 years if current population trends hold. Clearly, a well-managed future water supply to take us to 2050 is within reach with current supplies and with an aggressive water conservation program.
In order to translate these aggressive efficiency measures into actual demand reductions, we need heightened public awareness of these targets and focused state oversight and coordination of local and statewide actions. Existing success stories from urban communities and on-farm operations reinforce the savings potentials and the need for efficiency-driven policies; they are described in detail in a number of the references cited in this report. The Governor’s recent mandate for a 20 percent reduction in per capita urban water use by 2020 is the kind of action that will help this effort, although it may prove insufficient in view of projected population growth. Under the Governor’s plan, per capita urban use would be reduced from the current 192 gallons per capita daily to 154 gallons, resulting in an annual savings of 1.74 million acre-feet. The projected water savings shown in Figure 1 are more aggressive than the Governor’s plan. A similar mandate should be extended to agriculture, since agriculture uses more than three quarters of the state’s developed water supplies. Water savings through efficiency measures can result in direct reductions in the volume of Delta exports since most of the savings would occur in cities and farms south of the Delta. These water savings are necessary to reduce the exports and to restore the stream flows called for in this plan.
The Natural Resources Defense Council’s report *Transforming Water Use: A California Water Efficiency Agenda for the 21st Century* cites the state’s successes in energy efficiency as a model for water efficiency while noting that the state lags far behind in water efficiency policies, programs, and funding. A key component of the success in energy efficiency has been the development of a priority system called a Loading Order.\(^{34}\) As applied to water policy, a Loading Order system would require demand reductions through improved water efficiency to be the first priority in addressing water supply, the second priority would be developing alternative sources including water recycling, groundwater clean-up and conjunctive use programs (with priority going to seriously disrupted hydrologic systems or where judicial oversight occurs), and third would be the use of more traditional supply options. A Loading Order approach, if applied to statewide, regional, and local water plans, would shift the emphasis to the more efficient and cost effective approaches advocated in this report. Reducing water use through conservation efficiencies or water recycling also has a favorable impact on energy use, as pointed out by *Energy Down the Drain*, a report produced by the Natural Resources Defense Council and the Pacific Institute.\(^{35}\) The report makes a strong case for the link between water and energy efficiencies. All of these conservation and efficiency methods are known to produce available water at significantly less cost than constructing new storage dams and reservoirs—the third
\(^{34}\) Natural Resources Defense Council. 2007. Transforming Water Use: A California Water Efficiency Agenda for the 21st Century. P. 2. www.deltavision.ca.gov/BlueRibbonTaskForce/Feb28_29/Handouts/BRTF_Item_5A_HO2.pdf.
\(^{35}\) Natural Resources Defense Council and Pacific Institute. 2004. Energy Down the Drain. ES-v. http://www.pacinst.org/reports/energy_and_water/index.htm.
option in the Loading Order. According to the Los Angeles County Economic Development Corporation (LAEDC) report, water produced from the proposed Sites and Temperance Flat Reservoirs would cost $760 to $1,400 per acre-foot, while conserved or recycled water typically costs between $210 and $1,000 per acre-foot. New surface storage is by far the highest cost alternative per acre-foot of water for all the alternatives examined by the Legislative Analysts Office (LAO) report *California Water: An LAO Primer*, while providing less total annual yield than most alternatives. Statewide, the costs of all of these efficiency measures will in all probability not exceed the potential $78 billion price tag for the various Peripheral Canal and new surface storage proposals. For all of these reasons – as well as the historically ecosystem damaging impacts of major dams – EWC member organizations oppose the construction of Sites and Temperance Flat Reservoirs and the raising of Shasta Dam in favor of the more effective efficiency measures described above. Raising Shasta Dam on the Sacramento River would also be illegal because of its impact on the Wild River status of the McCloud River and its damaging impact on Winnemen Wintu sacred areas.
**Implementation Considerations.** Implementation requires legislative to accomplish the following:
- Establish a statewide oversight unit responsible for the coordination of the level of supply enhancements and demand reductions called for in this report. This measure can be accomplished with little additional cost to the state by utilizing some of the existing DWR staff, supplemented with additional funding to coordinate the water efficiency program targets.
- Pass legislation and provide funding to establish a California water efficiency education and publicity program, similar to other health and safety programs that are sponsored and publicized by the state. The program must ensure the equitable distribution of conservation investments among rural and low income communities.
- Adopt the Natural Resources Defense Council’s recommendations to the Delta Vision Commission regarding water efficiency Loading Order. That would include a Loading Order policy through the State Water Control Resources Board, the State Public Utilities Commission and the Legislature that establishes water use efficiency as the top priority as well as a public goods surcharge on every acre-foot of water delivered in California, with the proceeds used to fund or subsidize efficiency programs.
**Implementation and Funding** for the above actions can come from existing or future bond funds, from Title 16 funding, or through regulatory changes. Additionally, since rate payers will bear the ultimate costs of these and other types of changes, rate payers will have to be given a voice in the choices made. Based on the LAEDC report, estimated costs for a statewide program along
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36 Los Angeles County Economic Development Corporation (LAEDC). 2008. Where Will We Get the Water? Assessing Southern California’s Future Water Strategies. P 32-33. [http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf](http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf).
37 Legislative Analyst’s Office. 2008. California’s Water: An LAO Primer. P. 67. [http://www.lao.ca.gov/2008/rsrc/water_primer/water_primer_102208.aspx](http://www.lao.ca.gov/2008/rsrc/water_primer/water_primer_102208.aspx).
38 Strategic Economic Applications Company. 2009. The Sacramento San Joaquin Delta – 2009, An Exploration of Costs, Examination of Assumptions, and Identification of Benefits, Draft.
the lines shown in Figure 2 might range up to $2.7 billion (through 2025), with most of the costs occurring in Southern California urban areas.
3. **Provide Public Trust Protections And Thorough Economic And Sociological Analyses Of Reasonable Alternatives To Various Export Levels.**
The California Supreme Court, in the Mono Lake decision, explicitly set forth the state’s “affirmative duty to take the public trust into account in the planning and allocation of water resources and to protect public trust uses whenever feasible.” Planning and allocation of limited and oversubscribed resources imply analysis and balancing of competing demands. So far we find little effort to balance the public trust obligations and resolve competing demands within the current planning processes (BDCP).
One of the significant flaws of previous and unsuccessful Bay-Delta proceedings has been the absence of a comprehensive economic evaluation of the benefits of protecting the estuary and in-Delta beneficial uses compared to the benefits of diverting and exporting water from the estuary. This absence has deprived decision makers and the public of critical information fundamental to reaching informed and difficult decisions on balancing competing demands.
Beyond protecting California’s common property right in public trust resources, the balancing of limited water supplies must address the relative economic value of competing interests. For example, what is the societal value in providing Kern County, comprising a fraction of one percent of the state’s population and economy, the same quantity of Delta water as the South Coast, with half the state’s population and economy? What is the value to society of using public subsidies to irrigate impaired lands to benefit some 600 landowners, and that, by the nature of being irrigated, discharge harmful quantities of toxic waste that impairs other beneficial uses? What is the economic value of using twice the amount of water to irrigate an orchard in the desert than is required elsewhere? What are the costs and benefits of reclamation, reuse, conservation, and development of local sources? The preceding are only examples of the difficult questions that must be addressed in any allocation of limited resources and balancing of the public trust. Economic analysis is crucial to providing the insight and guidance that will enable and Delta plan to meet its mandate. Without such analysis, we do not believe a Delta plan can successfully or legally comply with its legislative and constitutional obligations.
An excellent description of the public trust type of issues caused by the current operations in the Delta and Estuary are contained in the Bay Institute report “Collateral Damage.”
**Implementation and Funding** for a balancing of the public trust values will depend on the results of the State Water Resources Control Board hearings on Delta flows, which are
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39 The Bay Institute. Collateral Damage. March 2012. http://www.bay.org/publications/collateral-damage
scheduled to be completed during 2014. Subsequent to those hearings, implementation and funding plans will most likely fall within the purview of the state legislature.
4. **Reinforce Core Levees Above PL84-99 Standards.**
This plan accepts and supports the Delta Protection Commission’s recommendation in their Economic Sustainability Plan to: “Improve many core Delta Levees beyond the PL 84-99 standard that addresses earthquake and sea-level rise risks, improve flood fighting and emergency response, and allow for vegetation on the water side of levees to improve habitat. Improvement of most core Delta levees to this higher standard would cost between $2 to $4 billion.”\(^{40}\)
There is a plausible public interest in providing public funds to Delta reclamation districts and other Delta interests for levee upgrades since the Delta serves as the water conveyance facility for much of California. Water exporters should be required to identify which levees, if any, *they want to fund to a higher standard* (for example more earthquake resistant) to protect their water supply, beyond the current standards. Recommendations should also include assisting Delta counties and communities in meeting FEMA/NFIP programs. The plan should also contain a recommendation to support and increase public funding for permanent continuation of existing and highly successful statutory cost-share formula and funding for Delta (Subventions) Levee Program. Public safety and flood protection must remain the top priority of the State Plan of Flood Control, including its levees and bypasses. The levees should be vegetated with native species to help stabilize the levees and support endangered species.
Because earthquake risks to the levees are one of the main justifications for a Peripheral Canal or Tunnel in the Delta, and there is evidence that the earthquake risks to the Delta levees may have been exaggerated in previous drafts of the Economic Sustainability Plan, the comparison of costs of the two alternatives ($2 to $4 billion for levee strengthening versus $15-$16 billion for new conveyance) is significant and should be incentive enough to immediately initiate this levee reinforcement program and make catastrophic levee failure a questionable justification for new conveyance.
*Implementation and Funding* would be in keeping with the Delta Protection Commission’s Economic Sustainability Plan, between $2 to $4 billion.
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\(^{40}\) Draft Executive Summary, Economic Sustainability Plan for the Sacramento-San Joaquin River Delta, March 10, 2011
http://www.delta.ca.gov/res/docs/ESP ESUM.pdf
5. **Install Improved Fish Screens At Existing Delta Pumps.**
A recent report by Larry Walker Associates indicates that a 1996 report by DWR and DFG concluded that for every salmon salvaged at the fish protection facilities more than three are lost to predators or through fish screens.\(^{41}\) The same report also indicated that over a 15 year period (1979-1993), 110 million fish were reported to have been salvaged at the Skinner Fish Facility, the fish protection facility at the SWP. In 2000, the CALFED Record of Decision highlighted the need to improve the fish screens at the South Delta pumps. Between 2000 and 2011, more than 130 million fish have been salvaged at the State and Federal Project water export facilities in the South Delta, according to a more recent DFG report.\(^{42}\) Actual losses are far higher. For example, recent estimates indicate that 5-10 times more fish are lost than are salvaged, largely due to the high predation losses in and around water project facilities.\(^{43}\) Additionally, the fish screens are unable to physically screen eggs and larval life stages of fish from diversion pumps.\(^{44}\) The losses of eggs and larval stages of fish, as well as the enormous losses of zooplankton and phytoplankton that comprise the base of the aquatic food chain, go publically unacknowledged and uncounted.
As pointed out in the Walker Associates report, the fish protections at the South Delta pumps, including the fish screens and salvage facilities, remain largely unchanged since they were first engineered more than 40 years ago.\(^{45}\) Currently only about 11-18% of salmon or steelhead entrained in Clifton Court Forebay survive. Based upon numerous studies by DFG, DWR and academic researchers, 75% of fish entering Clifton Court Forebay are lost to predation, 20-30% of survivors are lost at the salvage facility louvers, 1-12% of salvaged fish are lost during handling and trucking plus an additional 12-32% lost to post-release predation.\(^{46}\) As related above, losses to other species, such as Delta smelt or the egg and larval stages of pelagic species and salmon fry, are believed to be much higher. For example, some species, like Delta smelt, cannot survive salvage transport, and the losses approach 100%.
According to the draft BDCP Effects Analysis’ Summary of Effects of BDCP on Entrainment of Covered Fish Species, South Delta export facilities could potentially increase entrainment of:
- Juvenile steelhead in dry and critical dry years,
- Juvenile Winter-run Chinook salmon in above normal & below normal years,
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\(^{41}\) Larry Walker Associates. *A Review of Delta Fish Population Losses from Pumping Operations in the Sacramento-San Joaquin River Delta*. January 2010. [http://www.srcsd.com/pdf/dd/fishlosses.pdf](http://www.srcsd.com/pdf/dd/fishlosses.pdf)
\(^{42}\) California Department of Fish and Game annual salvage reports for the State Water Project and Central Valley Project’s fish facilities, 2000-2011.
\(^{43}\) Larry Walker Associates. *A Review of Delta Fish Population Losses from Pumping Operations in the Sacramento-San Joaquin River Delta*. January 2010. P. 2. [http://www.srcsd.com/pdf/dd/fishlosses.pdf](http://www.srcsd.com/pdf/dd/fishlosses.pdf)
\(^{44}\) DWR. *Delta Risk Management Strategy*, final Phase 2 Report, Risk Report, Section 15, Building Block 3.3: Install Fish Screens. June 2011. P. 15-18.
\(^{45}\) Ibid, Larry Walker Associates,
\(^{46}\) Larry Walker Associates. *A Review of Delta Fish Population Losses from Pumping Operations in the Sacramento-San Joaquin River Delta*. January 2010. P. 2.
• Juvenile Fall-run Chinook salmon in all below normal & dry years and Fall-run smolts in all years,
• Juvenile late fall-run Chinook salmon in dry and critical dry years,
• Juvenile Longfin smelt in above normal, below normal, and dry years and adults in critical dry years, and
• Juvenile Sacramento splittail in all years.\textsuperscript{47}
Because of flow requirements and biological constraints affecting diversions from the Sacramento River, exports from the South Delta pumps will remain a significant percentage of total water exports with BDCP. BDCP currently estimates that 50% of State and Federal Project exports would come from the existing South Delta diversion facilities in average water years and as much as 75-84% in dry and critical water years.\textsuperscript{48} In fact, BDCP modeling suggests that exports and fish entrainment from South Delta diversions could potentially increase in certain water year types and for critical life stages of certain species.\textsuperscript{49}
The CALFED Bay-Delta Program \textit{Programmatic Record of Decision} and associated Biological Opinions required the construction of new state-of-the-art fish screens at existing South Delta export facilities in 2000.\textsuperscript{50} A funding plan was to be completed by early 2003, facilities design completed by the middle of 2004, and operations and performance testing to begin by the middle of 2006.\textsuperscript{51} However, the explicit commitment to construct new screens was put on hold in 2003 after the State and Federal Project Contractors indicated that they would not pay for them. New South Delta screens are not included as part of the BDCP. As BDCP will continue to rely on the South Delta pumps for a substantial percentage of project exports, new screens must be required to mitigate for project impacts.
DWR’s \textit{Delta Risk Management Strategy (DRMS) Phase 2 Report} found that the South Delta pumping facilities could be successfully screened by multiple in-canal vee-type screens of about 2,500 cfs capacity in each module. These new state-of-the-art South Delta screens, placed
\textsuperscript{47} ICF International. BDCP Effects Analysis, Entrainment, Appendix 5.B, Entrainment, Administrative Draft Bay Delta Conservation Plan. March 2012. PP. B.7-2 – B.7-4.
\textsuperscript{48} NRDC. A Portfolio-Based BDCP Conceptual Alternative. February 2013. http://switchboard.nrdc.org/blogs/bnelson/Portfolio%20Based%20BDCP%20Conceptual%20Alternative%201-16-13%20V2.pdf
\textsuperscript{49} ICF International. BDCP Effect Analysis, Appendix 5.B, Entrainment, Administrative Draft Bay Delta Conservation Plan. March 2012. P. B.0-8. http://baydeltaconservationplan.com/Libraries/Dynamic_Document_Library/BDCP_Effects_Analysis_-Appendix_5_B_Entrainment_3-30-2012.sflb.ashx
\textsuperscript{50} CalFed. Programmatic Record of Decision. August 2000. P. 49. Including Attachment 6A, U.S. Fish and Wildlife, Programmatic Endangered Species Act Section 7 Biological Opinion, P. 36 and Attachment 6B, National Marine Fisheries Service, Programmatic Endangered Species Act Section 7 Biological Opinion, P. 27. http://www.calwater.ca.gov/content/Documents/ROD.pdf
\textsuperscript{51} Larry Walker Associates. A Review of Delta Fish Population Losses from Pumping Operations in the Sacramento-San Joaquin River Delta. January 2010. P. 18.
at the entrance to Clifton Court Forebay, would eliminate the 75% predation in the Forebay and successfully protect fish longer than about 25 mm in length.\(^{52}\) While new screens would be expensive, still require transport of salvaged fish, not totally resolve debris removal issues or eliminate all fish entrainment, they would dramatically reduce the appalling fish losses that occur at present.\(^{53}\)
Modernizing the fish screens at the South Delta facilities is an integral part of the EWC’s RX Plan in order to reduce fish killing at the pumps. The South Delta pumps will continue to be the primary diversion facilities under this RX Plan.
While experience with the existing fish screens at the South Delta have yielded much data on how to design more effective fish screens, modernizing the fish screening designs and operations would also require hydraulic and physical modeling, dimensional testing of dynamic baffling systems, and consideration of future hydrologic conditions associated with climate change.
The EWC supports the development and implementation of significantly modernized, new fish screening facilities with the best available technology, in keeping with original CALFED plans, and at other existing in-Delta diversions. This would include installation of positive barrier fish screens on all diversions greater than 250 cfs in both the Sacramento and San Joaquin River Basins as well as a significant percentage of smaller and unscreened diversions in these ecosystems.
An alternative possibility is the use of non-physical barriers to deter fish from entering the intake zones of the South Delta pumps. Non-physical barriers include the use of the following methods: electrical barriers; strobe lights; acoustic fish deterrents; bubble currents; velocity barriers; chemical toxicants; pheromones; and magnetic fields. In view of the criticality of recovering fish populations through reduced mortality at the pumps, the feasibility of these types of non-physical barriers should not be overlooked. The Bureau of Reclamation has recorded some research results of the use of non-physical barriers.\(^{54}\)
Implementation and Funding. Based on unpublished CALFED cost estimates improved fish screen facilities at the Banks Pumps would be more than $1 billion in 2007 dollars; the cost estimate for Tracy would be $290 million.\(^{55}\)
\(^{52}\) DWR. Delta Risk Management Strategy, final Phase 2 Report, Risk Report, Section 15, Building Block 3.3: Install Fish Screens. June 2011. P. 15-18. http://www.water.ca.gov/floodsafe/fessro/levees/drms/docs/DRMS_Phase2_Report_Section15.pdf
\(^{53}\) Id. 18.104.22.168 Conclusion at PP. 15-19 & 15-20.
\(^{54}\) Bureau of Reclamation. Non-Physical Barrier (NPB) for Fish Protection Evaluation: Can an Inexpensive Barrier Be Effective for Threatened Fish? http://www.usbr.gov/research/projects/detail.cfm?id=8740
\(^{55}\) http://www.water.ca.gov/floodmgmt/dsmo/sab/drmsp/docs/DRMS_Phase2_Report_Section15.pdf
6. **Keep Water Transfers Within The Revised Delta Export Limits.**
Since the early 1990s, water transfers via market transactions have been used to overcome what some economists and water managers feel is the inflexibility of California water rights priorities—first in time, first in right. Such transfers typically become most visible to the public during drought years, when junior water rights holders like the federal Central Valley Project and the State Water Project face cutbacks as more senior water right holders exert their priority to what water that remains. Junior water rights holders attempt to obtain more surface water supplies by offering to purchase water directly from willing sellers, who are usually holders of senior water rights. With groundwater unregulated in California, these willing sellers are able to make large profits by pumping groundwater to irrigate their crops to substitute for the surface supplies they sold to other users.
This is a recipe for ecological disaster in the Delta and both ecological and economic disaster in the Sacramento Valley. Water transfers are intended to overcome water rights priorities, but they also have the potential to cause falling groundwater elevations, overdraft (pumped supplies outracing the rate of recharge to the aquifer), land subsidence (where the elevation of the land surface actually falls as emptied aquifers collapse and lose storage capacity), and increased stream flow losses (chasing a falling groundwater table). This has been the experience of agricultural regions in the Santa Clara Valley (before it urbanized into Silicon Valley) and the San Joaquin Valley, as well as in urban groundwater basins of the Los Angeles region. These conditions (falling groundwater elevations, overdraft, land subsidence, and stream flow losses) combined to destabilize once healthy hydrologic systems, which created the exploited conditions that make “conjunctive use” water strategies possible. This must not be repeated in the Sacramento Valley.
The State of California during past droughts has operated a “drought water bank” program which arranges the sales of Sacramento Valley region surface water to buyers south of the Delta. Two environmental problems arise from this program: First, the water that is sold must be moved through the Delta to be pumped by the dangerous export pumps of the CVP and SWP. Second, landowners selling their surface water may then pump groundwater to irrigate their crops, which causes groundwater elevations to fall for all users. If these conjunctive use programs continue in the Sacramento Valley, its aquifers are in jeopardy. This Valley’s agricultural economy, ecology, and surface waters are highly dependent on its natural groundwater abundance.
No net new water transfers should be exported from north of the Delta beyond those of the most senior water rights of the San Joaquin River Exchange Contractors in the San Joaquin Valley. Their supplies are already imported to the San Joaquin Valley as part of normal export operations of the Central Valley Project from the Delta, and the Exchange Contractors have already begun operating a water transfer program consisting of a maximum of 150,000 acre-feet for sale (about 5 percent of EWC’s recommended cap on Delta exports). This policy protects the Delta from new export pumping impacts, but it also protects for the long term the groundwater supplies of the Sacramento Valley. Having such a policy in place is the only way
for the Valley’s farmers to avoid having their groundwater usage go the way of the San Joaquin Valley’s in the 19th and 20th centuries. There are other senior water rights holders in the San Joaquin River Basin who are also being approached for dry year water supplies, such as San Francisco seeking to purchase water from irrigation districts along the Tuolumne and Stanislaus rivers.
Water transfers through the Sacramento-San Joaquin-San Francisco Delta and Estuary – which include individual water sales transactions, Article 21 State Water Project pumping and the pumping of the Central Valley and the State Water Projects’ contracts – play, at times, a significant role in the movement and transfer of water throughout the state and have significant impacts on the ecology of the Estuary. The two latter projects provide the largest percentage of transfers through the Delta while water sales and Article 21 pumping in some years is significant.
A new paradigm is needed in California water policy that would simultaneously reduce the transfer pumping through the Delta to a level that maintains a healthy ecosystem and is consistent with the most senior water rights of the Exchange Contractors while providing more logical and reliable sources of water for south-of-Delta water users. Instead of continuing to export extraordinary amounts of water from the Delta, south-of-Delta water users could obtain significant amounts of water from localized south-of-Delta sources in the San Joaquin Valley region. Such “south-to-south” of Delta trades would avoid the impacts on fish and wildlife species, water quality, ecosystem conditions, flow volumes and directions, and groundwater in the Sacramento Valley that come with excessive Delta export pumping. It would also avoid the groundwater substitution transfers that could ruin the agricultural economy of the Sacramento Valley and the vital streams necessary for already struggling aquatic and terrestrial species. This type of move toward regional self-sufficiency is now state law from passage of the Delta Reform Act of 2009. As of early 2012, however, pending federal legislation would go in the opposite direction and allow more dependence on Delta exports through water sales and “surplus” water pumping.
A more favorable scenario than the present and contemplated heavy north-to-south Delta pumping consists of the following changes in supply orientation:
- San Joaquin Valley water users could be incentivized to voluntarily share resources by providing southern Sierra water to south-of-Delta water users through new interties with existing infrastructure, or by providing for the movement of agricultural water from the east side of the San Joaquin Valley, where water is more abundant, to west side agriculture, where the water supply is more limited. This kind of change can be facilitated with efficiency incentives for east side water users and might result in as much as 500,000 acre-feet of additional water for the west side. Although politically difficult, this is an elegantly simple and effective solution for regional self-dependency for south-of-Delta agriculture users and for all of California. This kind of change would have to consider the required outflows to the Delta Estuary from the San Joaquin River.
• Supplies for the Metropolitan Water District and other south-of-Delta users could be sourced from the natural reservoir that is Tulare Lake by allowing flows from the Kern, Kings, Kaweah, and Tule Rivers to flow into the Tulare basin. This option is being advocated by the San Joaquin Valley Leadership Forum, which has determined that surface storage capacity in the Tulare Lake Basin could be more than 2.5 million acre-feet. This option may require a new Kern-San Joaquin intertie. Reorienting water transfer policies to benefit south-of-Delta water users will require further detailed analysis to confirm its feasibility; however, the potential for these measures to comply with the state requirement to reduce reliance on the Delta to the level recommended above deserves serious consideration.
A Water Transfer Matrix and a set of Water Transfer Principles are included in the referenced EWC report *California Water Solutions Now*.
As called for in the California Water Code, transfers that use State, regional or a local public agency’s facilities require that the facility owner determine that the transfers not harm any other legal user of water, not unreasonably affect fish and wildlife, and not unreasonably affect the overall economy of the county from which the water is transferred. Unfortunately, there is no enforcement mechanism except litigation, which is an onerous burden for the public. This is a particular concern in the Sacramento Valley, where existing healthy aquifers could be overdrafted by willing sellers in order to supply the same San Joaquin irrigators who caused the existing overdraft conditions in the San Joaquin areas. In addition, the State Water Plan points out that “some stakeholders worry that State laws and oversight of water transfers may not be adequate to protect the environment, third parties, public trust resources, and broader social interests that may be affected by water transfers, … and transfers that involve pumping groundwater, crop idling, or crop shifting.” The EWC plan would come down on the side of county of origin protections and the “precautionary principle” in order to protect existing healthy groundwater aquifers north of the Delta Estuary.
**Implementation and Funding.** No estimates available
7. **Eliminate Irrigation Water On Drainage-Impaired Farmlands Below The Bay Delta.**
Selenium, boron, molybdenum, mercury, arsenic and various other salts and minerals are highly concentrated in the soils of the Delta-Mendota Service Area and the San Luis Units of the CVP, as well as portions in the Kern and Tulare basins served by the SWP. Descriptions of these soils are presented in the 1990 joint federal and state report known as “The Rainbow Report.”
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56 U.S. Department of the Interior, California Resources Agency. September 1990. A Management Plan for Agricultural Subsurface Drainage and Related Problems on the Westside San Joaquin Valley. P. 2-3. http://www.water.ca.gov/pubs/groundwater/a_management_plan_for_agricultural_subsurface_drainage_and_related_problems_on_the_westside_san_joaquin_valley/rainbowreportintro.pdf
The San Luis Act of 1960 requires a drain system as a condition of approval of the San Luis Unit CVP contracts, which includes the Westlands Water District. Initially, the Bureau of Reclamation planned to build a San Luis Master Drain to the Bay-Delta from these lands, but construction of the drain to the Delta was stopped after 93 miles were completed to the Kesterson Reservoir near Los Banos. The US Geological Survey recently estimated that even if the San Luis Drain were completed, irrigation of the San Luis Unit of the CVP were halted, and 42,500 pounds of selenium a year were discharged into the Delta, it would take 65 to 300 years to eliminate the selenium already built up in valley groundwater.\(^{57}\)
Since the late 1960s and 1970s, the State Water Project and Central Valley Project have been supplying water to approximately 1.3 million acres of drainage impaired land on the west side of the San Joaquin Valley; this is a clear violation of the State Constitution’s prohibition against unreasonable use of the state’s water.\(^{58}\) Eliminating or reducing the irrigation of this land would save up to 2 million acre-feet of water in most years.\(^{59}\)
Farmers and water districts throughout the Western San Joaquin Valley try to reduce their drainage water. However, retiring these lands from irrigated agriculture remains by far the most cost-effective and reliable method to eliminate harmful drainage discharges to water bodies and aquifers. The Westlands Water District has already retired 100,000 acres; a recent federal report discusses an option to retire 300,000 acres of drainage-impaired lands.\(^{60}\) Any long-term solution to the west side’s drainage problem must be centered on larger-scale land retirement, complemented by selective groundwater pumping, improved irrigation practices, and application of new technologies where appropriate. Any approach that is not founded on land retirement will ultimately continue to store and concentrate selenium and salts in the shallow aquifers, where they may be mobilized by flood events or groundwater transport.
Taking much of these “badlands” out of production would reduce demand for Delta water diversions and significantly improve water quality in the San Joaquin River. A planned program of land retirement and other drainage volume reduction actions should also provide for mitigation for impacts to the farm labor community. Even if irrigation deliveries continue, these lands will ultimately go out of production because of drainage impairment, as pointed out in the federal “Rainbow Report.” A far better use of these impaired farmlands would be to provide state or federal incentives for the production of solar energy farms.
**Implementation and Funding.** No current estimates available.
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\(^{57}\) Presser, Theresa S. and Samuel N. Luoma. 2007. Forecasting selenium discharges to the San Francisco Bay-Delta Estuary: Ecological effects of a proposed San Luis Drain Extension. The US Geological Survey, Professional Paper 1646. Abstract P. 1. http://pubs.usgs.gov/pp/p1646/
\(^{58}\) California Constitution. Article 10, Section 2. http://www.leginfo.ca.gov/const/article_10.
\(^{59}\) Pacific Institute. 2008. More with Less: Agricultural Water Conservation and Efficiency in California. P.7. http://www.pacinst.org/reports/more_with_less_delta/index.htm
\(^{60}\) U.S. Geological Survey. 2008. Technical Analysis of In-Valley Drainage Management Strategies for the Western San Joaquin Valley, California
8. **Restore Delta Estuary and Riverine Habitats and Integrate Floodplains With Rivers.**
In keeping with the Legislature which has expressly declared that *permanent protection* of the Delta's natural and scenic resources is the *paramount* concern to present and future residents of the state and nation, habitat restoration projects should be aimed at public lands as a first priority. Habitat restoration projects must consider connectivity between areas to be restored and existing habitat areas needed for the full life cycle of species targeted to benefit from the restoration project. Where feasible, restoration should be accomplished along with levee reinforcement and where possible, restoration projects should emphasize the potential for water quality improvement. Restoration projects should also incorporate input from effected Delta landowners.
Priorities for restoration should include the following areas, since they would meet most of the criteria described above:
- Cache Slough Complex
- Cosumnes River–Mokelumne River Confluence
- Cosumnes River ground water basin depletion
- Lower San Joaquin River Floodplain
- Suisun Marsh
- Yolo Bypass
Although the EWC has not estimated the amount of acreage that would be involved in the priority areas, our priorities would go to the 50,000 acres of public lands, and our estimate would be well below the more than 100,000 acres called for in the BDCP plan. That plan is impractical from the viewpoint of costs and from the opposition it will engender among residents and landowners in the Delta. Any resulting plans would need to heavily involve residents of the Delta, something that has not been accomplished to date.
Floodplains benefit the people and ecology of California in numerous ways. Floodplains are extremely productive ecosystems that support high levels of biodiversity and provide valuable ecosystem services.\(^{61}\) The floodplain of a river is a relatively level area on both sides of the stream channel that carries excess waters the channel cannot handle at various times. During a flood, the floodplain becomes the additional part of the stream to do the extra work for the stream channel. The floodplain allows flood waters to spread out, thus reducing the flood water’s potential energy. As a result, less damage occurs downstream. If the flood plain is not allowed to work properly and the channel is narrowed, dredged, or rip wrapped the stream is forced to handle more of the flow and damage occurs. Channelization and dredging have caused the disappearance of the river’s healthy sandbars and islands. Flood plains contain wetlands which function to slow and filter flood water, thus improving water quality. Wetlands also provide habitat for a diversity of wildlife. Floodplains, therefore, are extremely productive ecosystems.
\(^{61}\) Postel, Sandra. Richter, Brian. 2003. *Rivers for Life*. Island Press. P 20-21. http://islandpress.org/bookstore/details.php?sku=1-55963-444-8.
that support high levels of biodiversity and provide valuable ecosystem services. Studies have shown that healthy floodplains can have an extremely high monetary value due to these ecosystem services, which also include flood attenuation, fisheries habitat, groundwater recharge, water filtration, and recreation.
To function properly, floodplains must, by definition, periodically flood. Floodplains store floodwaters that recharge groundwater supplies, maintain proper instream flows, prevent bed-bank scour, are a source of organic carbon, and support a healthy population of aquatic species essential to both ecosystems and our economy. (See photo.\(^{62}\)) The extent of functional floodplains in California has been dramatically reduced from historical conditions because levees, dams, flood control projects, and development have reduced or eliminated connectivity between rivers and floodplains. To reverse these losses, numerous agencies and organizations have spent significant resources to restore floodplains while simultaneously minimizing future flood risk.
With climate change, we can expect to have less snowpack, quicker spring snow melts, and increased flood pressures. Establishing natural floodplains connected with our rivers and avoiding development in floodplains will become more critical to community sustainability in the future.
The current restoration plans for the Yolo Bypass, including more frequent use of the Yolo Bypass, and similar conservation actions are encouraged as a part of this plan.
The following actions need to be included with any planned floodplain restoration:
- Where possible, remove or at least set levees back from riverbanks to allow for floodwaters to expand into the floodplain.
- Where it is not possible to remove levees, they should at least be vegetated with native riparian vegetation to provide the maximum achievable ecosystems functions.
- Make the purchase of floodplains or flowage easements a top priority for flood
During an experiment comparing the growth of juvenile Chinook in floodplain and river habitats of the Cosumnes River, fish reared in the floodplain (right) grew faster than those reared in the river (left). T.R. Sommer et al. 2001.
Photo by Jeff Opperman; from Cosumnes River field study by Carson Jeffres
\(^{62}\) Sommer T.R., Nobriga M. L., Harrell B., Batham W., Kimmerer W. J. 2001. Floodplain rearing of juvenile chinook salmon: evidence of enhanced growth and survival. Canadian Journal of Fisheries and Aquatic Sciences. P. 325-333. http://iep.water.ca.gov/AES/Sommer_et_al_2001.pdf
control agencies and prevent new levees from being constructed and development in floodplains.
- Ensure that low-income communities impacted by floodplain restoration are involved in the development of restoration plans, and that any impacts of restoration are fully mitigated.
**Implementation and Funding.** Costs might be approximately $1.6 billion, based on half of the comparable restoration costs of BDCP from 2010 documentation.\(^{63}\)
9. **Return The Kern Water Bank To State Control, Restore Article 18 Urban Preference, And Restore The Original Intent Of Article 21 Surplus Water In SWP Contracts.**
The Monterey Amendments changed significant provisions of the original State Water Project and, as an unintended consequence, increased pressure for exports from the Delta and increased pumping beyond healthy limits. The changes that caused these conditions were: the elimination of Article 18a, the “Urban Preference;” the elimination of Article 18b, the “Paper Water” safeguard; the change of orientation for Article 21 “surplus water;” and the privatization of the Kern Water Bank.
As a part of this plan, the following changes should be made in order to reduce reliance on the Delta, to assure Public Trust protections for a public resource, and to provide greater reliance for urban water users in the state’s largest population centers.
- The “urban preference,” that was eliminated as a component of State Water Project contracts due to the Monterey Amendments, must be reinstated. California should return to its original plan of giving priority to the water needs of its burgeoning population rather than giving farm water equal priority, per the Monterey Amendments changes.
- The contracted amounts of water for CVP and SWP Table A users are unrealistically high and must be brought in line with historic “firm yield” experience, as required in the contracts. The overall water supply reductions forecasted with global climate change adds to the urgency to bring these contracted amounts in line with current realities and for future planning.
- The pumping of “Article 21” (so-called surplus) water is unnecessary and has proven to be damaging to the fisheries and ecology of the estuary, especially the pumping of this “surplus” water in dry years, which should never be permitted. In reviewing the different types of water transfers that can occur throughout the state, some are more logical and favorable from an ecosystem and cost viewpoint, while others are clearly damaging by the same two criteria.
- The Kern Water Bank – initially a public asset – has been inappropriately turned over to private interests as a part of the Monterey Amendments and must be reestablished as a
\(^{63}\) Highlights of the BDCP, pamphlet published December 2010
state entity under the ownership and operational control of the Department of Water Resources (DWR) for the benefit of all Californians, as it was when DWR purchased the land for the bank in the 1980s. When combined with the reinstatement of the urban preference in the State Water Project, this change would enhance water supply reliability for urban southern California users and would eliminate profiteering from the public’s water by private corporate interests.
**Implementation and Funding.** No cost estimates available.
### 10. Conduct Feasibility Study For Tulare Basin Water Storage.
Supplies for south-of-Delta users and the Metropolitan Water District could be sourced from the natural reservoir that is Tulare Lake by allowing flows from the Kern, Kings, Kaweah, and Tule Rivers to flow into the Tulare basin. This option is being advocated by the San Joaquin Valley Leadership Forum, which has determined that surface storage capacity in the Tulare Lake Basin could be more than 2.5 million acre-feet.\(^{64}\) The concept would require bi-directional conveyance with both the Kern Canal and the California Aqueduct.
The restoration of the Tulare Lake basin in the San Joaquin Valley is a unique opportunity to provide for the quality, quantity, and reliable regional sourcing and use of water for agricultural, economic development and environmental needs on a self-sufficiency basis. At one time, Tulare Lake was the largest freshwater body west of the Mississippi River storing up to 25 million acre feet. The concept proposal put forth by the San Joaquin Valley Leadership Forum is based upon technical, financial, and environmental analysis which is superior to the only other storage proposal currently under study within the San Joaquin Valley – known as Temperance Flat on the Upper San Joaquin River above Millerton Lake/Friant Dam. As an example, the restoration of just 10% of the historic Tulare Lake would be nearly twice the surface storage capacity of Temperance Flat – let alone the fact that the Tulare Lake basin provides ground water storage capabilities as well – and Temperance does not. Another important distinction between Temperance Flat versus Tulare Lake is the fact that the Tulare Lake basin can support the collection and management of flood waters from at a minimum of four south Sierra river systems – Kings, Kaweah, Tule, and Kern – as well as the upper San Joaquin. Temperance Flat would only support the flood waters of the upper San Joaquin River.
There is a possibility of ground contaminants in the basin that may be at harmful levels. The feasibility study would need to examine this potential issue closely. California does not need another set of impaired lands similar to what already exists in the west side of the San Joaquin.
**Implementation.** This proposed concept should be evaluated as part of this “Responsible Exports” plan. The preliminary concept described by the San Joaquin Valley Leadership Forum is estimated to cost $800 million.
\(^{64}\) San Joaquin Valley Leadership Forum, www.sjvwlf.org
Implementation and Funding. According to the San Joaquin Valley Leadership Forum plan, under $1 billion.
11. Enforce Water Quality Standards In The Estuary And In Impaired Rivers.
California’s Porter-Cologne Act of 1969 and the 1972 federal Clean Water Act both were enacted with the goal of restoring the quality of our water resources. These resources have been seriously degraded by over a century of heavy industry and agriculture, the indiscriminate extraction of natural resources, and the continued discharge of inadequately treated sewage. Progress in reversing this degradation has been slow. While upgrades to wastewater treatment and discharge requirements for industrial polluters have improved water quality in many areas, the fact remains that almost 700 reaches of California waterways are still unable to support beneficial uses, including providing potable water supply and supporting ecosystem health.
These problems have contributed to ecosystem crashes in San Joaquin Valley rivers and the Delta, severe groundwater depletion and contamination in the San Joaquin Valley\(^{65}\) and Central Coast that impacts low-income rural communities, and ocean pollution. Though state and federal laws already give regulators ample powers to improve water quality, this authority has not been exercised sufficiently to protect the health of the state’s waterways or its residents. The continuing acceptance of agricultural waivers by Regional Water Quality Control Boards is a major contributor to the state’s impaired waterways.
Diverting Sacramento River flows for export without significantly protecting existing groundwater basins and increasing the amount of fresh water flow dedicated to reaching San Francisco Bay, as currently planned for BDCP, will only degrade water quality and habitat conditions and aggravate the negative impact on Delta aquatic and terrestrial species. On the other hand, a future scenario that places less emphasis on the Delta as a water supplier and allows more water to be left instream, can dramatically reduce the environmental and water quality effects of exporting water – whether through or around the Delta. Although increasing flows, as described in this “Responsible Exports” alternative, will improve many aspects of Delta water quality, this plan must continue to pursue specific and targeted water quality actions in order to contribute to restoring the health of the Delta.
Implementation and Funding. Implementation will depend on the results of the State Water Resources Control Board hearings on Delta water quality and flows, which are scheduled to be completed during 2014.
\(^{65}\) National Marine Fisheries Service. 2009. *Endangered Species Act Section 7 Consultation Biological Opinion Environmental Protection Agency Registration of Pesticides Containing Carbaryl, Carbofuran, and Methomyl*. P. 481-483. http://www.epa.gov/espp/litstatus/effects/comments-2nd-draft.pdf.
12. **Monitor And Report Statewide Groundwater Usage.**
Environmental organizations are generally disappointed with the groundwater monitoring features that were built into the Delta Reform Act of 2009. Earlier drafts of the 2009 legislation required groundwater monitoring and reporting throughout the state, while the final legislation was weakened to make groundwater reporting a voluntary effort. Since groundwater represents 30% of California’s water supply in most years, the state must face this politically difficult situation with actions for mandatory groundwater reporting throughout the state.
This action needs to include a discussion of the Water Code’s requirement for additional South-of-Delta underground storage, and the ability to meet that requirement through public control and expansion of the Kern Water Bank. The impacts of the additional capacity for Delta exports as provided by a public Kern Water Bank should be considered here. Given its location, size, and relative cost of development compared to surface storage, the Kern Water Bank is a facility which could greatly assist balanced export controls for the Delta and could be the single greatest improvement to overall state-wide water supply reliability. This plan strongly advocates for the return of the Kern Water Bank to state control as a water management conservation measure.
**Implementation and Funding.** No estimates available.
13. **Provide Fish Passage Above And Below Central Valley Rim Dams For Species Of Concern.**
Dams have made California a well-watered paradise for most of its human inhabitants. Dams are also killers of river habitats. Although California’s vast system of water storage, hydropower and flood control dams has provided enormous economic benefits, it is not without downsides. Dams have been a major factor - in many cases the major factor - in the decline and extinction of numerous fish species, especially anadromous fishes that migrate to and from the ocean and must have access to the more favorable upper reaches of rivers to spawn and rear the next generation\(^{66}\). Every salmon and steelhead run in Central Valley rivers is either extinct, endangered, or in decline due to the overall habitat destruction and degradation caused by dams.\(^{67}\) A 1985 California Department of Fish and Game study has indicated that the economic losses due to the declines of salmon, steelhead and striped bass which spawn in the Central Valley tributaries at $116,000,000 per year.\(^{68}\)
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\(^{66}\) National Marine Fisheries Service, Southwest Region. June 4, 2009. Biological Opinion And Conference Opinion On The Long-Term Operations Of The Central Valley Project And State Water Project. Page 660. http://swr.ucsd.edu/ocap/NMFS_Biological_and_Conference_Opinion_on_the_Long-Term_Operations_of_the_CVP_and_SWP.pdf.
\(^{67}\) Friends of the River. 1999. Rivers Reborn: Removing Dams and Restoring Rivers. P 4-16. http://www.friendsoftheriver.org/site/DocServer/RiversReborn.pdf?docID=224&AddInterest=1004.
\(^{68}\) California Department of Fish and Game. 1985. Administrative Report 85-03. http://deltavision.ca.gov/docs/externalvisions/EV8_Allied_Fishing_Group_Vision.pdf
The most serious fishery problem caused by major dams is the blockage of migratory fish passage. Over 95 percent of the historic salmon and steelhead spawning habitat in Central Valley river systems has been eliminated by the construction of large dams on every major river. Fish passage was not a serious consideration in the early part of the last century when most of the major dams were built; there were no Endangered Species Act or National Environmental Policy Act considerations at the time. California Fish and Game Code Section 5937, which mandates that dam operators keep fish in good condition below dams has largely been ignored outside the Mono Basin. The construction of Friant Dam on the San Joaquin River resulted in the extinction of the largest spring-run chinook population in the state. The dam blocked upstream spawning grounds that were known to be the best of the Central Valley rivers. Figure 3 shows the long-term downward trend for Chinook salmon in the Central Valley.
There are numerous solutions available that can provide fish passage around dams. They include construction of fish ladders or upstream fish channels, fish elevators, trap and truck operations, downstream bypasses, removal of smaller fish barriers, and dam removal. All of these techniques have been used at multiple locations with varying success rates. Some of the larger dams on the Columbia River system have been operating fish ladders for many years. While the costs of many of the techniques are substantial, the economics of industries and recreational activities that depend on healthy rivers and fish stocks can justify the investment. The appropriate comparison by which to measure such costs is the sum of agricultural, industrial, and municipal benefits that accrue via the diversion of tens of millions of acre-feet of water annually. Tourism and recreation is now California’s largest industry at more than $96 billion annually, and river recreation is a large part of that industry. Recreational fishing generates $1.5 billion annually in retail sales and provides thousands of jobs.\(^{69}\)
\(^{69}\) Restore the Delta. April 7, 2009. Press Release. http://archive.constantcontact.com/fs062/1102037578231/archive/1102546423830.html.
An important aspect of fish passage above dams is the benefits to Native American Tribes in gaining access to historic cultural resources. These would include: the Winnemen Wintu on the Upper Sacramento, McCloud, and Pit Rivers; the Karuk Tribe on the Klamath; and the California Valley Miwok and Maidu on the American and Feather Rivers.
This plan supports, as a conservation measure, the National Marine Fisheries Service Biological Opinion on CVP and SWP operations that recommends fish passage pilot program plans and analysis for dams connected to the Delta, such as the Sacramento, American and Stanislaus rivers. This plan also encourages the State Water Board to direct the controlling agency of each Central Valley rim dam connected to the Delta to study the feasibility of fish passage for each dam that blocks the passage of listed salmonid species, similar to the NMFS Biological Opinion. Costs should be borne by the dam operators since they are the main beneficiaries of the water storage operations.
**Implementation and Funding.** No estimates available.
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70 California Department of Fish & Game, Native Anadromous Fish & Watershed Branch. GRANDTAB Data Sets. http://www.calfish.org/IndependentDatasets/CDGFFisheriesBranch/tabid/157/Default.aspx
71 National Marine Fisheries Service, Southwest Region. June 4, 2009. Biological Opinion And Conference Opinion On The Long-Term Operations Of The Central Valley Project And State Water Project. Page 660. http://swr.ucsd.edu/ocap/NMFS_Biological_and_Conference_Opinion_on_the_Long-Term_Operations_of_the_CVP_and_SWP.pdf
14. **Retain Cold Water For Fish In Reservoirs.**
Salmon, steelhead, and trout need cold water for their existence. As California has grown in size, the dams that have been built on virtually every major river have significantly changed both upstream and downstream river flows; high downstream water temperatures are one of the damaging results. Temperatures of 57-67 degrees Fahrenheit (F) are typically ideal for upstream fish migration and 42-56 degrees (F) are ideal for spawning. Water temperatures over 70 degrees (F) can be lethal to anadromous fish but are common on major rivers in the summer. Some fish populations have been able to adapt and carry on spawning and rearing below these major barriers, though in much smaller numbers than previously. Because farms need the most water in the summer, water behind reservoirs is low by the fall when many of the remaining populations of migrating fish return to the rivers. At that point the lack of cold water is a clear threat to their survival. Many of these fish species are now listed under the federal Endangered Species Act (ESA), and maintaining water temperatures suitable for survival has become a critical part of the actions required under the ESA.
This plan supports, as a conservation measure, the NMFS Biological Opinion recommendations for cold water releases on rivers connected to the Delta, such as the Sacramento, American, and Stanislaus rivers,\(^{72}\) as well as supporting regulations and legislation to retain sufficient water in other major reservoirs to support fish populations in Delta-connected rivers below dams. The latter would include the Trinity River, so long as the current management plan protections for the Trinity are complied with.
**Implementation and Funding.** No estimates available.
15. **Fund Agencies With User Fees.**
Agencies that benefit from any new or existing conveyance facilities should pay the full cost of the facilities, including mitigation costs.
Costs of fixing the Delta and Estuary that are related to existing and planned water delivery systems, including related costs of environmental mitigation and restoration, should be financed by the agencies that deliver water and ultimately should be passed on to their retail customers.
Cost responsibilities for land acquisition and restoration of river and Delta floodplains should be distributed 75 percent through a broad-based water use fee (applied to all agencies whose supplies are diverted from a river or the Delta watershed.) and 25 percent through public funds.
\(^{72}\) National Marine Fisheries Service, Southwest Region. June 4, 2009. *Biological Opinion And Conference Opinion On The Long-Term Operations Of The Central Valley Project And State Water Project*. Pages 590-620. http://swr.ucsd.edu/ocap/NMFS_Biological_and_Conference_Opinion_on_the_Long-Term_Operations_of_the_CVP_and_SWP.pdf.
Agencies that divert water from the Delta should pay their fair share of maintaining and replacing the Delta levees on which they depend and for protecting water conveyance facilities. The share of Delta levee repair costs assigned to these agencies should reflect the extent to which the levee repairs are essential to ensuring uninterrupted diversions.
In developing funding sources, special care should be taken that low income communities not be impacted by new fees and second, that appropriate set-asides be created to ensure that these communities can access funding needed to comply with new regulations and policies.
**Implementation and Funding.** No estimates available.
**IN CONCLUSION**
California is at an historic point in the evolution of our water usage. With the onset of global climate change, the natural limits of our water supply have become more obvious and the economics of our solutions are changing drastically. No longer will policy makers be able to advocate for multi-billion dollar bonds that saddle Californians with decades of tax burdens. And no longer will they be able to sell the public on monumental changes to our rivers and bays in the guise of restoring our ecosystems or providing subsidized water to corporate agriculture. The results of decades of those kinds of decisions are now in full view and we know that more effective solutions are available. Intergenerational equity demands better solutions than those of the last century.
Unless we manage our water more efficiently and account for the current and future effects of global climate change, the costs of water to all urban, agricultural, and industrial water users will exceed our ability to provide Californians with reliable, affordable water. The needs of communities of color and the Native American Tribal claims will remain unmet.
The water efficiency and sustainability solutions that are proposed in this report have already proved to be more economical than overtaxing our rivers and bays with more dams and canals. The combination of water efficiency solutions and reduced reliance on the Delta that are recommended in this report obviate the need for increased surface storage and increased conveyance through the Delta. We have shown that water efficiency actions can provide California with the largest increment of future water supply that is currently available to us; the solutions will also provide ample water supplies for population growth, agricultural and industrial growth, and for improving the conditions of our natural landscapes.
The EWC consists of the following member organizations:
AquAlliance
The Bay Institute
Butte Environmental Council
California Coastkeeper Alliance
California Save Our Streams Council
California Sportfishing Protection Alliance
California Striped Bass Association
California Water Impact Network
California Water Research Associates
Citizens Water Watch
Clean Water Action
Desal Response Group
Earth Law Center
Environmental Justice Coalition for Water
Environmental Protection Information Center
Friends of the River
Foothill Conservancy
Food and Water Watch
The Karuk Tribe
Klamath Riverkeeper
Natural Resources Defense Council
Northern California Council Federation of Fly Fishers
Pacific Coast Federation of Fishermen’s Associations
Planning and Conservation League
Restore the Delta
Sacramento River Preservation Trust
Save the Bay
Sierra Club California
Sierra Nevada Alliance
Southern California Watershed Alliance
Winnemen Wintu Tribe
REDUCED EXPORTS PLAN
Developed by the Environmental Water Caucus
December 2012
The following summarizes the main actions supported by the Environmental Water Caucus in relation to the Sacramento-San Joaquin-San Francisco Bay Delta and Estuary. This plan demonstrates how water supply reliability can be improved while reducing exports from the Bay Delta Estuary. Many of these recommendations have been presented to the Delta Stewardship Council as part of Alternative 2 for the Delta Plan. We have now packaged this series of related actions into a single alternative for evaluation in any future NEPA or CEQA evaluations, or by the State Water Resources Control Board. The actions are largely based on the EWC report California Water Solutions Now, (ewccalifornia.org), which can be referenced for supporting details. This package of actions (“The Plan”) represents the EWC alternative to the BDCP.
This Plan includes a unique combination of actions that will open the discussion for alternatives to the currently failed policies which continuously attempt to use water as though it were a limitless resource. The Plan is about far more than just reduced exports. The uniqueness of this Plan is that while it will reduce the quantity of water exported from the Bay Delta Estuary, in order to protect the health of the Estuary’s habitat and fisheries with increased inflows and outflows, it also contains actions that will reduce the demand for water and increase supplies for exporters south of the Delta in order to compensate for the reduced south-of-Delta exports. It will also provide increased self-reliance for south-of-Delta water users through inter-regional water transfers and south of Delta water storage, and it will provide increased reliability of the water supplies through the Delta by strengthening Delta conveyance levees beyond current plans. And it will accomplish the legislated goals of Estuary restoration and water reliability for billions of dollars less costs than currently contemplated plans.
In addition to the commonly accepted NEPA and CEQA requirements for any Delta Estuary plan, there are five fundamental criteria that any plan for recovering the health of the Bay Delta Estuary and fish species must successfully meet. Those criteria are:
1. A water availability analysis must be conducted to align water needs with availability.
2. A cost/benefits analysis must be conducted to determine economic desirability of any plan.
3. Public trust and sociological values must be balanced against the value of water exports.
4. Existing water quality regulations must be enforced in order to recover the Estuary.
5. The plan must meet the NCCP recovery standard for fish species.
All of the current and past plans for the Delta Estuary have failed, partly because the responsible state and federal authorities have refused to apply or to test their projects with these criteria. The EWC would welcome this Reduced Exports Plan being judged by these pragmatic and acceptable criteria.
**PREFACE**
There are several overarching issues that run through all our efforts to develop sustainable, effective, and equitable water policies. They are: climate change, periodic drought, environmental justice, the preservation of cultural traditions by Native Americans, the precautionary principle, and population pressures. They are covered in this preface to avoid repetition in each of the individual actions described below.
**Climate Change.** Climate models indicate that climate change is already affecting our ability to meet all or most of the goals enumerated in this report and must be integrated into the implementation of the recommendations. The main considerations are:
- More precipitation will fall as rain rather than snow and will result in earlier runoff than in the past.
- Less snow will mean that the current springtime melt and runoff will be reduced in volume.
- Overall, average precipitation and river flow are expected to decrease. A recent paper in *Frontiers in Ecology and the Environment* predicts that the average Sacramento River flow will decrease by about 20 percent by the 2050s.
- Precipitation patterns are expected to become more erratic including both prolonged periods of drought and greater risks of flooding.
- Sea level rise will impact flows and operations within the Delta, endanger fragile Delta levees, and increase the salinity concentration of Suisun Bay and the Delta, as well as increase the salinity concentrations of some coastal groundwater aquifers.
These changing conditions could affect all aspects of water resource management, including design and operational assumptions about resource supplies, system demands, performance requirements, and operational constraints. To address these challenges, we must enhance the resiliency of natural systems and improve the reliability and flexibility of the water management systems. Specific recommendations are proposed as part of this document.
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1 National Wildlife Federation and the Planning and Conservation League Foundation. On the Edge: Protecting California’s Fish and Waterfowl from Global Warming. 10-11. www.pcl.org/projects/globalwarming.html.
2 Margaret A Palmer, Catherine A Reidy Liermann, Christer Nilsson, Martina Flörke, Joseph Alcamo, P Sam Lake, Nick Bond (2008) Climate change and the world’s river basins: anticipating management options. Frontiers in Ecology and the Environment: Vol. 6, No. 2, pp. 81-89.
Periodic Drought. Drought is a consistent and recurrent part of California’s climate. Multiple-year droughts have occurred three times during the last four decades.\(^3\) In creating a statewide drought water “bank,” there is a clear need for a long-term version of a drought water bank. California’s experience of multiple-year droughts should force state and local water and land use authorities to recognize the recurrence of drought periods and to put more effective uses of water in place permanently. The Governor’s current policy on water conservation\(^4\) should be mandatory for all water districts and become a permanent part of water policy, rather than a response to current dry conditions. Only by educating the public, recognizing limits, and learning to use the water we do have more efficiently can Californians expect to handle future drought conditions reasonably.
Environmental Justice. It is imperative that water policies and practices are designed to avoid compounding existing or creating new disproportionately adverse effects on low income Californians and communities of color. Conversely, water policies and practices must anticipate and prepare for anticipated disproportionately adverse effects and to provide equitable benefits to these communities, particularly those afflicted by persistent poverty and which have been neglected historically. For example, water moving south through the California Aqueduct and the Delta Mendota Canal flow past small valley towns that lack adequate or healthy water supplies. We know that under conditions of climate change and drought, catastrophic environmental changes will occur in California. Environmental justice requires that water policies and practices designed to account for climate change and drought include a special focus on preventing catastrophic environmental or economic impacts on environmental justice communities. Other, specific environmental justice water issues include:
- Access to safe, affordable water for basic human needs.
- Access to sufficient wastewater infrastructure that protects water quality and prevents overflows and other public health threats.
- Restoration of water quality so that environmental justice communities can safely feed their families the fish they catch in local waters to supplement their families’ diets.
- Equitable access to water resources for recreation.
- Equitable access to statewide planning and funding to ensure that in addition to safe affordable water, and wastewater services, environmental justice communities benefit equitably from improved conservation, water recycling and other future water innovations that improve efficiency and water quality.
- Mitigation of negative impacts from the inevitable reallocation of a portion of the water currently used in agriculture – the state’s biggest water use sector – to water for cities and the environment. Reallocation will reduce irrigated acreage, the number of farm-related jobs, and local tax revenues.
- Mitigation of third party impacts, including impacts on farm workers, associated with land conversion.
- Ideally, mitigation will be based on a comprehensive plan to transition local rural economies to new industries such as solar farms and other clean energy business models
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\(^3\) California Drought Update. May 29, 2009. P.5. http://www.water.ca.gov/drought/docs/drought_update.pdf.
\(^4\) 20x2020 Water Conservation Plan DRAFT, April 30, 2009. Executive Summary. http://www.swrcb.ca.gov/water_issues/hot_topics/20x2020/index.shtml.
and provide the necessary job training and policies necessary to enable environmental justice community members to achieve the transition.
- Protection from the impacts of floods and levee breaks, including provisions for emergency and long-term assistance to renters displaced by floodwaters.
**Native American Traditions.** Many of California's Historical Tribes have a deep and intrinsic relationship with California's rivers, lakes, streams and springs. This relationship goes to the very core of their origin, cultural, and spiritual beliefs. Many of the Tribes consider the fish that reside in these waters as gifts from their creator, and the fish are necessary to the continued survival of their people and their cultural and spiritual beliefs. Historically, California's water policy has failed to recognize the importance of the needs of one of its greatest natural and cultural resources - its Historical Tribes - and has only sought to manage water for economic gain. California water policies and practices must change to provide sufficient water to support fisheries and their habitats for both cultural and economic sustainability, and provide for the restoration of and access to those fisheries for its Native Peoples.
**The Precautionary Principle.** The Precautionary Principle states that: “Where there is scientific evidence that serious harm might result from a proposed action but there is no certainty that it will, the precautionary principle requires that in such situations action be taken to avoid or mitigate the potential harm, even *before* there is scientific proof that it will occur.”\(^5\) Numerous actions recommended in this report fit that criteria and the precautionary principle is therefore implicit throughout the report recommendations.
**Population Pressures.** California’s human population is expected to continue to increase from the current population of more than 37 million to 49 million by 2030 and 59 million by 2050.\(^6\) In 2008, 75 percent of the population growth came from natural growth (births) and 25 percent came from immigration, both foreign and interstate. In each of the data sources utilized in this report, population increases have been factored into the conclusions, unless otherwise noted.
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**THE EWC REDUCED EXPORTS PLAN ACTIONS**
The main actions included in The Plan are underlined and described below:
1. **Reduce Exports To No More Than 3MAF In All Years, In Keeping With SWRCB Flows Criteria.**
The Delta Flows Criteria promulgated by the State Water Resources Control Board (SWRCB) clearly indicates that the state has reached – and exceeded – the amount of water that can responsibly be diverted from the Bay Delta and Estuary. As a result, this plan anticipates future limitations on Delta exports below the level of the 2000-2007 time periods in its plan to meet Delta ecosystem restoration goals. The recent PPIC report reinforces this: “given the extreme
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\(^5\) A. I. Schafer, S. Beder. Role of the precautionary principle in water recycling. University of Wollongong. 2006. 1.1.
\(^6\) California Department of Finance, Demographic Research Unit. 2009. Table 1. http://www.dof.ca.gov/research/demographic/reports/#projections.
environmental degradation of this region, water users must be prepared to take less water from the Delta, at least until endangered fish populations recover.”
Over the years, a number of processes have identified the need to dramatically improve outflows in order to recover listed species to a sustainable level and restore ecosystems in the Bay-Delta and Estuary. During the last three decades both the SWRCB and the state legislature have recognized and acknowledged the need for greater outflow and reduced exports, which have not been achieved. That recognition started in 1988 with the SWRCB’s proposed standards that would have required an average increase in outflow of 1.5 million acre-feet over the lower diversion levels of the period before the late 1980’s; that proposal was withdrawn without public comment. Similarly, as recently as 2009 the California legislature adopted a new policy of reducing reliance on the Delta for water supply uses.
As indicated in the recent SWRCB report,\(^7\) in order to preserve the attributes of a natural variable system to which native fish species are adapted, many of the criteria developed by the State Water Board are crafted as percentages of natural or unimpaired flows. These criteria include:
- 75% of unimpaired Delta outflow from January through June;
- 75% of unimpaired Sacramento River inflow from November through June, compared with
- 60% of unimpaired San Joaquin River inflow from February through June.
This compares with the historic flows over the last 18 to 22 years, which have been:
- About 50% on average from April through June for Sacramento River inflows;
- Approximately 30% in drier years to almost 100% of unimpaired flows in wetter years for Delta outflows;
- Approximately 20% in drier years to almost 50% in wetter years for San Joaquin River inflows.
In 2014, the State Board is required to develop flow criteria that will fully protect public trust resources in the Delta and Estuary. In all the years since 1988, no information has been developed that would contradict the Board’s 1992 draft finding that maximum Delta pumping in wet years should not exceed 2.65 million acre-feet in order to provide the necessary outflows to protect fish and the Bay-Delta and Estuary ecosystems. The rebuttable presumption, consistent with the evidence of the last two decades and with the new state policy to reduce Delta water supply reliance, is that a total export number of no more than 3 million acre-feet in all water year types, except for drought years, is prudent.
The current approach of managing the Delta for water supply will almost certainly lead to intense pressures to make increased exports the major goal of a Peripheral Canal or tunnel while the health of the Delta and Estuary will be a lower priority. One of the main objectives of this Reduced Exports Plan is to decrease the physical vulnerability and increase the predictability of Delta supplies, not to increase average annual Delta exports. The current fallacy of the BDCP to increase exports while somehow recovering fish species and ecosystems leads directly to a
\(^7\) State Water Resources Control Board and California Environmental Protection Agency. DRAFT Development of Flow Criteria for the Sacramento-San Joaquin Delta Ecosystem. July 2010. Pp. 5.
warped scientific program as pointed out by The Bay Institute in their recent Briefing Paper on the BDCP Effects Analysis.\textsuperscript{8}
Recent letters from the EPA and the Bureau of Reclamation indicate that the EPA believes that the (BDCP) EIS/EIR will need to include a significant analysis of alternatives reflecting reduced Delta inflow and reduced exports\textsuperscript{9} and that a significant increase in exports out of the Delta is inconsistent with recent state legislation (to reduce reliance on the Delta).\textsuperscript{10}
Reduced dependence on the Delta by south-of-Delta water users would also obviate the need for new conveyance around or through the Delta (a Peripheral Canal or tunnel) and new surface storage reservoirs, avoiding costs of perhaps tens of billions of dollars for taxpayers and the potential for stranded assets resulting from climate change and sea level rise in the Bay-Delta and Estuary. This reorientation will undoubtedly require some south-of-Delta infrastructure enhancements, but not nearly to the magnitude of costs for a Peripheral Canal or Tunnels and a new reservoir north of the Delta.
Climate change projections indicate that over the longer term global warming will reduce the total amount of precipitation, including significant reductions in Sacramento River water. There is no indication that this has been factored into present plans, and it is possible that new conveyance for Sacramento River water may become a stranded asset.
\textit{Implementation and Funding}. Implementation (and funding, if necessary) for the level of reduced exports will depend on the results of the State Water Resources Control Board hearings on Delta flows, which are scheduled to be completed during 2014. Subsequent to those hearings, implementation and funding plans will most likely fall within the purview of the state legislature.
2. \textbf{Expand Statewide Water Efficiency And Demand Reduction Programs Beyond The Current 20/20 Program And Maximize Regional Self-Sufficiency In Accordance With The 2009 Delta Reform Act.}
Recommendations to the Delta Stewardship Council included an aggressive urban water conservation and efficiency program – more aggressive and of longer duration than the 20/20 program – and included both urban and agricultural users as a necessary component for reducing reliance on the Delta and achieving the water supply reliability goals for south-of-Delta users. A more aggressive conservation program also supports the goal of the reduced exports level of this alternative. We intend to continue our advocacy for this type of program with the Delta Stewardship Council.
Overwhelming evidence shows that a suite of aggressive conservation and water efficiency actions will reduce overall demand and provide cost effective increases in available and reliable water supply. These measures will handle California’s water needs well into the foreseeable
\textsuperscript{8} The Bay Institute and Defenders of Wildlife. The BDCP Effects Analysis, Briefing Paper. February 2012. http://www.bay.org/assets/BDCP%20EA%20Briefing%20Paper%2022912.pdf
\textsuperscript{9} http://www.epa.gov/region9/water/watershed/sfbaydelta/pdf/EPA_Comments_BDCP_3rdNO_051409.pdf
\textsuperscript{10} http://www.epa.gov/region9/water/watershed/sfbay-delta/pdf/EpaR9CommentsBdcpPurpStmt6-10-2010.pdf
future and will do so at far less financial and environmental cost than constructing more storage dams and reservoirs. This conclusion is reinforced by the current State Water Plan (Bulletin 160-09), by the Bay Institute’s “Collateral Damage” report, and by actual experience in urban areas and farms.
These water efficiency and water use reduction actions are:
- **Urban Water Conservation** – including installing low-flow toilets and showerheads, high-efficiency clothes washers, retrofit-on-resale programs, rainwater harvest, weather-based irrigation controllers, reducing water for landscaping via drip and xeriscapes, more efficient commercial and industrial cooling equipment, and tiered price structures.\(^{11}\) According to the 2009 State Water Plan, total urban water demand can be reduced by 2.1 million acre-feet with these measures.\(^{12}\) A Los Angeles Economic Development Corporation report found that in Los Angeles, Orange, San Bernardino, San Diego, Riverside and Ventura counties, “urban water conservation could have an impact equivalent to adding more than 1 million acre-feet of water to the regional supply” (about 25 percent of current annual use).\(^{13}\) The same LAEDC report shows that urban conservation is by far the most economical approach, at $210 per acre-foot, and especially compared with new surface storage at $760 to $1,400 per acre-foot.
- **Urban Conservation Rate Structures** – including the establishment of mandatory rate structures within the Urban Best Management Practices that strongly penalize excessive use and reward low water usage customers with lower rates, with the lowest being a lifeline rate to provide water for low income and low-water-using ratepayers. The savings that result from pricing policies are included in the 2.1 million acre-feet reduction cited above.
- **Agricultural Water Conservation** – including the continuing trend towards use of drip, micro sprinklers and similar higher technology irrigation, reduced deficit irrigation, transition to less water-intensive crops, reduced overall farmland acreage, elimination of the irrigation of polluted farmland, and tiered price structures. Conservation measures also include the elimination of indirect water subsidies provided to agriculture for Central Valley Project (CVP) water, which will drive some of the efficiencies shown in Figure 1. Demand reduction of as much as 5 million acre-feet per year could be achieved by 2030, according to Pacific Institute’s *California Water 2030: An Efficient Future* report.\(^{14}\)
- **Recycled Water** – including the treatment and reuse of urban wastewater, gray water, and storm water, and achievement of the State Water Resources Board goal of increasing water recycling by at least an additional 2 million acre-feet per year by 2030. The 2009 State Water Plan indicates a figure of 2.25 million acre-feet that could be recovered. The LAEDC report shows recycled water costs $1,000 per acre-foot.
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\(^{11}\) A detailed treatment of urban water conservation is contained in *Waste Not, Want Not: The Potential for Urban Water Conservation in California*, by the Pacific Institute. [http://www.pacinst.org/reports/urban_usage/waste_not_want_not_full_report.pdf](http://www.pacinst.org/reports/urban_usage/waste_not_want_not_full_report.pdf).
\(^{12}\) California Department of Water Resources. Update 2009. California Water Plan Update. Bulletin 160-09. V-2, P3-23. [http://www.waterplan.water.ca.gov/docs/cwpu2009/0310Final/v2c03_urbwtruse_cwp2009.pdf](http://www.waterplan.water.ca.gov/docs/cwpu2009/0310Final/v2c03_urbwtruse_cwp2009.pdf).
\(^{13}\) Los Angeles County Economic Development Corporation (LAEDC). 2008. Where Will We Get the Water? Assessing Southern California’s Future Water Strategies. P.6. [http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf](http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf).
\(^{14}\) Pacific Institute. California Water 2030: An Efficient Future. September 2005. [http://www.pacinst.org/reports/california_water_2030/ca_water_2030.pdf](http://www.pacinst.org/reports/california_water_2030/ca_water_2030.pdf)
• **Groundwater Treatment, Demineralization and Desalination** – including the treatment of contaminated groundwater and the use of groundwater desalination. The cost of groundwater desalination ranges from $750 to $1,200 per acre-foot.
• **Conjunctive Management** – which engages the principles of conjunctive water use (the planned release of surface stored water to recharge groundwater basins), where surface water and groundwater are used in combination to improve water availability and reliability. It also includes important components of groundwater management such as monitoring, evaluation of monitoring data to develop local management objectives, and use of monitoring data to establish and enforce local management policies. Without scientific studies that are needed to support conjunctive water management many aquifers and surrounding groundwater can be harmed by the biggest users. While conjunctive management does not reduce water demand, it does reduce the need for costly new surface storage.
• **Storm Water Recapture and Reuse** – The 2008 Scoping Plan for California’s Global Warming Solutions Act of 2006 promotes storm water collection and reuse. The plan finds that up to 333,000 acre-feet of storm water could be captured annually for reuse in urban southern California alone.\(^{15}\) The LAEDC report also found the potential for “hundreds of thousands of acre-feet” of water from storm water capture and reuse in southern California counties.\(^{16}\) The Los Angeles and San Gabriel Watershed Council has estimated that if 80 percent of the rainfall that falls on just a quarter of the urban area within the watershed (15 percent of the total watershed) were captured and reused, total runoff would be reduced by about 30 percent. That translates into a new supply of 132,000 acre-feet of water per year or enough to supply 800,000 people for a year.\(^{17}\)
Based on data from the State Water Plan (Bulletins 160-05 and 160-09),\(^{18}\) the Planning and Conservation League (PCL)\(^{19}\) and the Pacific Institute,\(^{20}\) the savings that can be achieved from these efficiency scenarios are estimated to be 13 million acre-feet per year (Figure 1). Perhaps the most authoritative report on the subject, the Pacific Institute’s *California Water 2030: An Efficient Future* shows that overall statewide water usage can be reduced by 20 percent below 2000 levels – given aggressive efforts to conserve and reduce usage with readily available technology and no decrease in economic activity. The urban water savings of approximately 5 million acre-feet a year (when including recycled municipal water and part of the groundwater storage) shown in Figure 1 is enough water to support a population growth of almost 30,000,000 people. According to the California Water Plan Update 2009, the state’s population can be
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\(^{15}\) Climate Change Scoping Plan Appendices Volume I. December 2008. Pursuant to AB 32 The California Global Warming Solutions Act of 2006. C-135. http://www.arb.ca.gov/cc/scopingplan/document/appendices_volume1.pdf.
\(^{16}\) Los Angeles County Economic Development Corporation (LAEDC). 2008. Where Will We Get the Water? Assessing Southern California’s Future Water Strategies. P 32-33. http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf.
\(^{17}\) California Department of Water Resources. Update 2005. California Water Plan Update. Bulletin 160-05. P. 21-3. http://www.waterplan.water.ca.gov/previous/cwpu2005/index.cfm
\(^{18}\) California Department of Water Resources. Update 2005. California Water Plan Update. Bulletin 160-05. V2 1-5. http://www.waterplan.water.ca.gov/previous/cwpu2005/index.cfm
\(^{19}\) Planning and Conservation League. 2004. Investment Strategy for California Water. P. 8-11. http://www.pcl.org/projects/investmentstrategy.html
\(^{20}\) Pacific Institute. 2005. California Water 2030: An Efficient Future. ES-2. http://www.pacinst.org/reports/california_water_2030/ca_water_2030.pdf
expected to increase by 22,000,000 over the next 40 years if current population trends hold. Clearly, a well-managed future water supply to take us to 2050 is within reach with current supplies and with an aggressive water conservation program.
**Figure 1**
**PROJECTED WATER SAVINGS**
In order to translate these aggressive efficiency measures into actual demand reductions, we need heightened public awareness of these targets and focused state oversight and coordination of local and statewide actions. Existing success stories from urban communities and on-farm operations reinforce the savings potentials and the need for efficiency-driven policies; they are described in detail in a number of the references cited in this report. The Governor’s recent mandate for a 20 percent reduction in per capita urban water use by 2020 is the kind of action that will help this effort, although it may prove insufficient in view of projected population growth. Under the Governor’s plan, per capita urban use would be reduced from the current 192 gallons per capita daily to 154 gallons, resulting in an annual savings of 1.74 million acre-feet. The projected water savings shown in Figure 1 are more aggressive than the Governor’s plan. A similar mandate should be extended to agriculture, since agriculture uses more than three quarters of the state’s developed water supplies. Water savings through efficiency measures can result in direct reductions in the volume of Delta exports since most of the savings would occur in cities and farms south of the Delta. These water savings are necessary to reduce the exports and to restore the stream flows called for in this plan.
The Natural Resources Defense Council’s report *Transforming Water Use: A California Water Efficiency Agenda for the 21st Century* cites the state’s successes in energy efficiency as a model for water efficiency while noting that the state lags far behind in water efficiency policies, programs, and funding. A key component of the success in energy efficiency has been the development of a priority system called a Loading Order.\(^{21}\) As applied to water policy, a Loading Order system would require demand reductions through improved water efficiency to be the first priority in addressing water supply, the second priority would be developing alternative sources including water recycling, groundwater clean-up and conjunctive use programs, and third would be the use of more traditional supply options. A Loading Order approach, if applied to statewide, regional, and local water plans, would shift the emphasis to the more efficient and cost effective approaches advocated in this report. Reducing water use through conservation efficiencies or water recycling also has a favorable impact on energy use, as pointed out by *Energy Down the Drain*, a report produced by the Natural Resources Defense Council and the Pacific Institute.\(^{22}\) The report makes a strong case for the link between water and energy efficiencies. All of these conservation and efficiency methods are known to produce available water at significantly less cost than constructing new storage dams and reservoirs—the third option in the Loading Order. According to the Los Angeles County Economic Development Corporation (LAEDC) report,\(^{23}\) water produced from the proposed Sites and Temperance Flat Reservoirs would cost $760 to $1,400 per acre-foot, while conserved or recycled water typically costs between $210 and $1,000 per acre-foot. New surface storage is by far the highest cost alternative per acre-foot of water for all the alternatives examined by the Legislative Analysts Office (LAO) report *California Water: An LAO Primer*,\(^{24}\) while providing less total annual yield than most alternatives. Statewide, the costs of all of these efficiency measures will in all probability not exceed the potential $78 billion price tag for the various Peripheral Canal and new surface storage proposals.\(^{25}\) For all of these reasons – as well as the historically ecosystem damaging impacts of major dams – EWC member organizations oppose the construction of Sites and Temperance Flat Reservoirs and the raising of Shasta Dam in favor of the more effective efficiency measures described above. Raising Shasta Dam on the Sacramento River would also be illegal because of its impact on the Wild River status of the McCloud River and its damaging impact on Winnemen Wintu sacred areas.
**Implementation and Funding.** Implementation requires legislative to accomplish the following:
- Establish a statewide oversight unit responsible for the coordination of the level of supply enhancements and demand reductions called for in this report. This measure can be accomplished with little additional cost to the state by utilizing some of the existing DWR staff, supplemented with additional funding to coordinate the water efficiency program targets.
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\(^{21}\) Natural Resources Defense Council. 2007. Transforming Water Use: A California Water Efficiency Agenda for the 21st Century. P. 2. www.deltavision.ca.gov/BlueRibbonTaskForce/Feb28_29/Handouts/BRTF_Item_5A_HO2.pdf.
\(^{22}\) Natural Resources Defense Council and Pacific Institute. 2004. Energy Down the Drain. ES-v. http://www.pacinst.org/reports/energy_and_water/index.htm.
\(^{23}\) Los Angeles County Economic Development Corporation (LAEDC). 2008. Where Will We Get the Water? Assessing Southern California’s Future Water Strategies. P 32-33. http://www.laedc.org/consulting/projects/2008_SoCalWaterStrategies.pdf.
\(^{24}\) Legislative Analyst’s Office. 2008. California’s Water: An LAO Primer. P. 67. http://www.lao.ca.gov/2008/rsrc/water_primer/water_primer_102208.aspx.
\(^{25}\) Strategic Economic Applications Company. 2009. The Sacramento San Joaquin Delta – 2009, An Exploration of Costs, Examination of Assumptions, and Identification of Benefits, Draft.
• Pass legislation and provide funding to establish a California water efficiency education and publicity program, similar to other health and safety programs that are sponsored and publicized by the state. The program must ensure the equitable distribution of conservation investments among rural and low income communities.
• Adopt the Natural Resources Defense Council’s recommendations to the Delta Vision Commission regarding water efficiency Loading Order. That would include a Loading Order policy through the State Water Control Resources Board, the State Public Utilities Commission and the Legislature that establishes water use efficiency as the top priority as well as a public goods surcharge on every acre-foot of water delivered in California, with the proceeds used to fund or subsidize efficiency programs.
Funding for the above actions can come from existing or future bond funds, from Title 16 funding, or through regulatory changes. Additionally, since rate payers will bear the ultimate costs of these and other types of changes, rate payers will have to be given a voice in the choices made.
3. **Provide Public Trust Protections And Thorough Economic And Sociological Analyses Of Reasonable Alternatives To Various Export Levels.**
The California Supreme Court, in the Mono Lake decision, explicitly set forth the state’s “affirmative duty to take the public trust into account in the planning and allocation of water resources and to protect public trust uses whenever feasible.” Planning and allocation of limited and oversubscribed resources imply analysis and balancing of competing demands. So far we find little effort to balance the public trust obligations and resolve competing demands within the current planning processes (BDCP).
One of the significant flaws of previous and unsuccessful Bay-Delta proceedings has been the absence of a comprehensive economic evaluation of the benefits of protecting the estuary and in-Delta beneficial uses compared to the benefits of diverting and exporting water from the estuary. This absence has deprived decision makers and the public of critical information fundamental to reaching informed and difficult decisions on balancing competing demands.
Beyond protecting California’s common property right in public trust resources, the balancing of limited water supplies must address the relative economic value of competing interests. For example, what is the societal value in providing Kern County, comprising a fraction of one percent of the state’s population and economy, the same quantity of Delta water as the South Coast, with half the state’s population and economy? What is the value to society of using public subsidies to irrigate impaired lands to benefit some 600 landowners, and that, by the nature of being irrigated, discharge harmful quantities of toxic waste that impairs other beneficial uses? What is the economic value of using twice the amount of water to irrigate an orchard in the desert than is required elsewhere? What are the costs and benefits of reclamation, reuse, conservation, and development of local sources? The preceding are only examples of the difficult questions that must be addressed in any allocation of limited resources and balancing of the public trust. Economic analysis is crucial to providing the insight and guidance that will
enable and Delta plan to meet its mandate. Without such analysis, we do not believe a Delta plan can successfully or legally comply with its legislative and constitutional obligations.
An excellent description of the public trust type of issues caused by the current operations in the Delta and Estuary are contained in the Bay Institute report “Collateral Damage.”\textsuperscript{26}
\textit{Implementation and Funding} for a balancing of the public trust values will depend on the results of the State Water Resources Control Board hearings on Delta flows, which are scheduled to be completed during 2014. Subsequent to those hearings, implementation and funding plans will most likely fall within the purview of the state legislature.
4. \textbf{Reinforce Core Levees Above PL84-99 Standards.}
This plan accepts and supports the Delta Protection Commission’s recommendation in their Economic Sustainability Plan to: “Improve many core Delta Levees beyond the PL 84-99 standard that addresses earthquake and sea-level rise risks, improve flood fighting and emergency response, and allow for vegetation on the water side of levees to improve habitat. Improvement of most core Delta levees to this higher standard would cost between $2 to $4 billion.”\textsuperscript{27}
There is a plausible public interest in providing public funds to Delta reclamation districts and other Delta interests for levee upgrades since the Delta serves as the water conveyance facility for much of California. Water exporters should be required to identify which levees, if any, \textit{they want to fund to a higher standard} (for example more earthquake resistant) to protect their water supply, beyond the current standards. Recommendations should also include assisting Delta counties and communities in meeting FEMA/NFIP programs. The plan should also contain a recommendation to support and increase public funding for permanent continuation of existing and highly successful statutory cost-share formula and funding for Delta (Subventions) Levee Program. Public safety and flood protection must remain the top priority of the State Plan of Flood Control, including its levees and bypasses. The levees should be vegetated with native species to help stabilize the levees and support endangered species.
Because earthquake risks to the levees are one of the main justifications for a Peripheral Canal or Tunnel in the Delta, and there is evidence that the earthquake risks to the Delta levees may have been exaggerated in previous drafts of the Economic Sustainability Plan, the comparison of costs of the two alternatives ($2 to $4 billion for levee strengthening versus $15-$16 billion for new conveyance) is significant and should be incentive enough to immediately initiate this levee reinforcement program and make catastrophic levee failure a questionable justification for new conveyance.
\textit{Implementation and Funding} would be in keeping with the Delta Protection Commission’s Economic Sustainability Plan.
\textsuperscript{26} The Bay Institute. Collateral Damage. March 2012. http://www.bay.org/publications/collateral-damage
\textsuperscript{27} Draft Executive Summary, Economic Sustainability Plan for the Sacramento–San Joaquin River Delta, March 10, 2011 http://www.delta.ca.gov/res/docs/ESP_ESUM.pdf
5. **Install Improved Fish Screens At Existing Delta Pumps.**
The EWC supports the development and implementation of significantly improved fish screens with the best available technology at the existing Delta Estuary export pumps, in keeping with original CALFED plans, and at other existing in-Delta diversions. This would include installation of positive barrier fish screens on all diversions greater than 250 cfs in both the Sacramento and San Joaquin River Basins as well as a significant percentage of smaller and unscreened diversions in these ecosystems.
6. **Keep Water Transfers Within The Revised Delta Export Limits.**
Water transfers through the Sacramento-San Joaquin-San Francisco Delta and Estuary – which include individual water sales transactions, Article 21 State Water Project pumping and the pumping of the Central Valley and the State Water Projects’ contracts – play a significant role in the movement and transfer of water throughout the state and have significant impacts on the ecology of the Estuary. The two latter projects provide the largest percentage of transfers through the Delta while water sales and Article 21 pumping in some years is significant.
A new paradigm is required that would simultaneously reduce the transfer pumping through the Delta to a level that maintains a healthy ecosystem while providing more logical and reliable sources of water for south-of-Delta water users. Instead of continuing to export extraordinary amounts of water from the Delta – with the impacts on fish and wildlife species, water quality, ecosystem conditions, flow volumes and directions, and the condition of groundwater aquifers in the Sacramento Valley – south-of-Delta water users could obtain significant amounts of water from localized south-of-Delta sources in the San Joaquin Valley region. This type of move toward regional self-sufficiency has been a large component of the two most recent State Water Plans (Bulletin 160). As of early 2012, however, pending federal legislation would go in the opposite direction and allow more dependence on Delta exports through water sales and “surplus” water pumping.
A more favorable scenario than the present and contemplated heavy north-to-south Delta pumping consists of the following changes in supply orientation:
- San Joaquin Valley water users could be incentivized to voluntarily share resources by providing southern Sierra water to south-of-Delta water users through new interties with existing infrastructure, or by providing for the movement of agricultural water from the east side of the San Joaquin Valley, where water is more abundant, to west side agriculture, where the water supply is more limited. This kind of change can be facilitated with efficiency incentives for east side water users and might result in as much as 500,000 acre-feet of additional water for the west side. Although politically difficult, this is an elegantly simple and effective solution for regional self-dependency for southof-Delta agriculture users and for all of California. This kind of change would have to consider the required outflows to the Delta Estuary from the San Joaquin River.
- Supplies for the Metropolitan Water District and other south-of-Delta users could be sourced from the natural reservoir that is Tulare Lake by allowing flows from the Kern, Kings, Kaweah, and Tule Rivers to flow into the Tulare basin. This option is being advocated by the San Joaquin Valley Leadership Forum, which has determined that surface storage capacity in the Tulare Lake Basin could be more than 2.5 million acre-feet. This option may require a new Kern-San Joaquin intertie. Reorienting water transfer policies to benefit south-of-Delta water users will require further detailed analysis to confirm its feasibility; however, the potential for these measures to comply with the state requirement to reduce reliance on the Delta to the level recommended above deserves serious consideration.
A Water Transfer Matrix and a set of Water Transfer Principles are included in the referenced EWC report *California Water Solutions Now*.
As called for in the California Water Code, transfers that use State, regional or a local public agency’s facilities require that the facility owner determine that the transfers not harm any other legal user of water, not unreasonably affect fish and wildlife, and not unreasonably affect the overall economy of the county from which the water is transferred. Unfortunately, there is no enforcement mechanism except litigation, which is an onerous burden for the public. This is a particular concern in the Sacramento Valley, where existing healthy aquifers could be over drafted by willing sellers in order to supply the same San Joaquin irrigators who caused the existing overdraft conditions in the San Joaquin areas. In addition, the State Water Plan points out that “some stakeholders worry that State laws and oversight of water transfers may not be adequate to protect the environment, third parties, public trust resources, and broader social interests that may be affected by water transfers, … and transfers that involve pumping groundwater, crop idling, or crop shifting.” The EWC plan would come down on the side county of origin protections and the “precautionary principle” in order to protect existing healthy groundwater aquifers north of the Delta Estuary.
7. **Eliminate Irrigation Water On Drainage-Impaired Farmlands Below The Bay Delta.**
Since the late 1960s and 1970s, the State Water Project and Central Valley Project have been supplying water to approximately 1.3 million acres of drainage impaired land on the west side of the San Joaquin Valley; this is a clear violation of the State Constitution’s prohibition against unreasonable use of the state’s water. Eliminating or reducing the irrigation of this land would save up to 2 million acre-feet of water in most years.
Farmers and water districts throughout the Western San Joaquin Valley try to reduce their drainage water. However, retiring these lands from irrigated agriculture remains by far the most cost-effective and reliable method to eliminate harmful drainage discharges to water bodies and aquifers. The Westlands Water District has already retired 100,000 acres; a recent federal report discusses an option to retire 300,000 acres of drainage-impaired lands. Any long-term solution to the west side’s drainage problem must be centered on larger-scale land retirement,
complemented by selective groundwater pumping, improved irrigation practices, and application of new technologies where appropriate. Any approach that is not founded on land retirement will ultimately continue to store and concentrate selenium and salts in the shallow aquifers, where they may be mobilized by flood events or groundwater transport.
Taking much of these "badlands" out of production would reduce demand for Delta water diversions and significantly improve water quality in the San Joaquin River. A planned program of land retirement and other drainage volume reduction actions should also provide for mitigation for impacts to the farm labor community. Even if irrigation deliveries continue, these lands will ultimately go out of production because of drainage impairment, as pointed out in the federal "Rainbow Report." A far better use of these impaired farmlands would be to provide state or federal incentives for the production of solar energy farms.
8. **Restore Delta Estuary and Riverine Habitats and Integrate Floodplains With Rivers.**
In keeping with the Legislature which has expressly declared that *permanent protection* of the Delta's natural and scenic resources is the *paramount* concern to present and future residents of the state and nation, habitat restoration projects should be aimed at public lands as a first priority. Habitat restoration projects must consider connectivity between areas to be restored and existing habitat areas needed for the full life cycle of species targeted to benefit from the restoration project. Where feasible, restoration should be accomplished along with levee reinforcement and where possible, restoration projects should emphasize the potential for water quality improvement. Restoration projects should also incorporate input from effected Delta landowners.
Priorities for restoration should include the following areas, since they would meet most of the criteria described above:
- Cache Slough Complex
- Cosumnes River–Mokelumne River Confluence
- Cosumnes River ground water basin depletion
- Lower San Joaquin River Floodplain
- Suisun Marsh
- Yolo Bypass
Although the EWC has not estimated the amount of acreage that would be involved in the priority areas, our priorities would go to the 50,000 acres of public lands, and our estimate would be well below the more than 100,000 acres called for in the BDCP plan. That plan is impractical from the viewpoint of costs and from the opposition it will engender among residents and landowners in the Delta. Any resulting plans would need to heavily involve residents of the Delta, something that has not been accomplished to date.
Floodplains benefit the people and ecology of California in numerous ways. The flood plain of a river is a relatively level area on both sides of the stream channel that carries excess waters the channel cannot handle at various times. During a flood, the floodplain becomes the additional
part of the stream to do the extra work for the stream channel. The floodplain allows flood waters to spread out, thus reducing the flood water’s potential energy. As a result, less damage occurs downstream. If the flood plain is not allowed to work properly and the channel is narrowed, dredged, or rip wrapped the stream is forced to handle more of the flow and damage occurs. Channelization and dredging have caused the disappearance of the river’s healthy sandbars and islands. Flood plains contain wetlands which function to slow and filter flood water, thus improving water quality. Wetlands also provide habitat for a diversity of wildlife. Floodplains, therefore, are extremely productive ecosystems that support high levels of biodiversity and provide valuable ecosystem services. Studies have shown that healthy floodplains can have an extremely high monetary value due to these ecosystem services, which also include flood attenuation, fisheries habitat, groundwater recharge, water filtration, and recreation.
To function properly, floodplains must, by definition, periodically flood. The extent of functional floodplains in California has been dramatically reduced from historical conditions because levees, dams, flood control projects, and development have reduced or eliminated connectivity between rivers and floodplains. To reverse these losses, numerous agencies and organizations have spent significant resources to restore floodplains while simultaneously minimizing future flood risk.
With climate change, we can expect to have less snowpack, quicker spring snow melts, and increased flood pressures. Establishing natural floodplains connected with our rivers and avoiding development in floodplains will become more critical to community sustainability in the future.
The current restoration plans for the Yolo Bypass, including more frequent use of the Yolo Bypass, and similar conservation actions are encouraged as a part of this plan.
The following actions need to be included with any planned floodplain restoration:
- Where possible, remove or at least set levees back from riverbanks to allow for floodwaters to expand into the floodplain.
- Where it is not possible to remove levees, they should at least be vegetated with native riparian vegetation to provide the maximum achievable ecosystems functions.
- Make the purchase of floodplains or flowage easements a top priority for flood control agencies and prevent new levees from being constructed and development in floodplains.
- Ensure that low-income communities impacted by floodplain restoration are involved in the development of restoration plans, and that any impacts of restoration are fully mitigated.
9. **Return The Kern Water Bank To State Control, Restore Article 18 Urban Preference, And Restore The Original Intent Of Article 21 Surplus Water In SWP Contracts.**
The Monterey Amendments changed significant provisions of the original State Water Project and, as an unintended consequence, increased pressure for exports from the Delta and increased pumping beyond healthy limits. The changes that caused these conditions were: the elimination of Article 18a, the “Urban Preference;” the elimination of Article 18b, the “Paper Water” safeguard; the change of orientation for Article 21 “surplus water;” and the privatization of the Kern Water Bank.
As a part of this plan, the following changes should be made in order to reduce reliance on the Delta, to assure Public Trust protections for a public resource, and to provide greater reliance for urban water users in the state’s largest population centers.
- The “urban preference,” that was eliminated as a component of State Water Project contracts due to the Monterey Amendments, must be reinstated. California should return to its original plan of giving priority to the water needs of its burgeoning population rather than giving farm water equal priority, per the Monterey Amendments changes.
- The contracted amounts of water for CVP and SWP Table A users are unrealistically high and must be brought in line with historic “firm yield” experience, as required in the contracts. The overall water supply reductions forecasted with global climate change adds to the urgency to bring these contracted amounts in line with current realities and for future planning.
- The pumping of “Article 21” (so-called surplus) water is unnecessary and has proven to be damaging to the fisheries and ecology of the estuary, especially the pumping of this “surplus” water in dry years, which should never be permitted. In reviewing the different types of water transfers that can occur throughout the state, some are more logical and favorable from an ecosystem and cost viewpoint, while others are clearly damaging by the same two criteria.
- The Kern Water Bank – initially a public asset – has been inappropriately turned over to private interests as a part of the Monterey Amendments and must be reestablished as a state entity under the ownership and operational control of the Department of Water Resources (DWR) for the benefit of all Californians, as it was when DWR purchased the land for the bank in the 1980s. When combined with the reinstatement of the urban preference in the State Water Project, this change would enhance water supply reliability for urban southern California users and would eliminate profiteering from the public’s water by private corporate interests.
10. **Conduct Feasibility Study For Tulare Basin Water Storage.**
Supplies for south-of-Delta users and the Metropolitan Water District could be sourced from the natural reservoir that is Tulare Lake by allowing flows from the Kern, Kings, Kaweah, and Tule Rivers to flow into the Tulare basin. This option is being advocated by the San Joaquin Valley Leadership Forum, which has determined that surface storage capacity in the Tulare Lake Basin could be more than 2.5 million acre-feet.\(^{28}\) The concept would require bi-directional conveyance with both the Kern Canal and the California Aqueduct.
\(^{28}\) San Joaquin Valley Leadership Forum, www.sjvwlf.org
The restoration of the Tulare Lake basin in the San Joaquin Valley is a unique opportunity to provide for the quality, quantity, and reliable regional sourcing and use of water for agricultural, economic development and environmental needs on a self-sufficiency basis. At one time, Tulare Lake was the largest freshwater body west of the Mississippi River storing up to 25 million acre feet. The concept proposal put forth by the San Joaquin Valley Leadership Forum is based upon technical, financial, and environmental analysis which is superior to the only other storage proposal currently under study within the San Joaquin Valley – known as Temperance Flat on the Upper San Joaquin River above Millerton Lake/Friant Dam. As an example, the restoration of just 10% of the historic Tulare Lake would be nearly twice the surface storage capacity of Temperance Flat – let alone the fact that the Tulare Lake basin provides ground water storage capabilities as well – and Temperance does not. Another important distinction between Temperance Flat versus Tulare Lake is the fact that the Tulare Lake basin can support the collection and management of flood waters from at a minimum of four south Sierra river systems – Kings, Kaweah, Tule, and Kern – as well as the upper San Joaquin. Temperance Flat would only support the flood waters of the upper San Joaquin River.
There is a possibility of ground contaminants in the basin that may be at harmful levels. The feasibility study would need to examine this potential issue closely. California does not need another set of impaired lands similar to what already exists in the west side of the San Joaquin.
**Implementation.** This proposed concept should be evaluated as part of this “Reduced Exports” plan. The preliminary concept described by the San Joaquin Valley Leadership Forum is estimated to cost $800 million.
### 11. Enforce Water Quality Standards In The Estuary And In Impaired Rivers.
California’s Porter-Cologne Act of 1969 and the 1972 federal Clean Water Act both were enacted with the goal of restoring the quality of our water resources. These resources have been seriously degraded by over a century of heavy industry and agriculture, the indiscriminate extraction of natural resources, and the continued discharge of inadequately treated sewage. Progress in reversing this degradation has been slow. While upgrades to wastewater treatment and discharge requirements for industrial polluters have improved water quality in many areas, the fact remains that almost 700 reaches of California waterways are still unable to support beneficial uses, including providing potable water supply and supporting ecosystem health.
These problems have contributed to ecosystem crashes in San Joaquin Valley rivers and the Delta, severe groundwater depletion and contamination in the San Joaquin Valley and Central Coast that impacts low-income rural communities, and ocean pollution. Though state and federal laws already give regulators ample powers to improve water quality, this authority has not been exercised sufficiently to protect the health of the state’s waterways or its residents. The continuing acceptance of agricultural waivers by Regional Water Quality Control Boards is a major contributor to the state’s impaired waterways.
Diverting Sacramento River flows for export without significantly protecting existing groundwater basins and increasing the amount of fresh water flow dedicated to reaching San Francisco Bay, as currently planned for BDCP, will only degrade water quality and habitat conditions and aggravate the negative impact on Delta aquatic and terrestrial species. On the other hand, a future scenario that places less emphasis on the Delta as a water supplier and allows more water to be left instream, can dramatically reduce the environmental and water quality effects of exporting water – whether through or around the Delta. Although increasing flows, as described in this “Reduced Exports” alternative, will improve many aspects of Delta water quality, this plan must continue to pursue specific and targeted water quality actions in order to contribute to restoring the health of the Delta.
12. **Monitor And Report Statewide Groundwater Usage.**
Environmental organizations are generally disappointed with the groundwater monitoring features that were built into the Delta Reform Act of 2009. Earlier drafts of the 2009 legislation required groundwater monitoring and reporting throughout the state, while the final legislation was weakened to make groundwater reporting a voluntary effort. Since groundwater represents 30% of California’s water supply in most years, the state must face this politically difficult situation with actions for mandatory groundwater reporting throughout the state.
This action needs to include a discussion of the Water Code’s requirement for additional South-of-Delta underground storage, and the ability to meet that requirement through public control and expansion of the Kern Water Bank. The impacts of the additional capacity for Delta exports as provided by a public Kern Water Bank should be considered here. Given its location, size, and relative cost of development compared to surface storage, the Kern Water Bank is a facility which could greatly assist balanced export controls for the Delta and could be the single greatest improvement to overall state-wide water supply reliability. This plan strongly advocates for the return of the Kern Water Bank to state control as a water management conservation measure.
13. **Provide Fish Passage Above And Below Central Valley Rim Dams For Species Of Concern.**
Dams have made California a well-watered paradise for most of its human inhabitants. Dams are also killers of river habitats. Although California’s vast system of water storage, hydropower and flood control dams has provided enormous economic benefits, it is not without downsides. Dams have been a major factor - in many cases the major factor - in the decline and extinction of numerous fish species, especially anadromous fishes that migrate to and from the ocean and must have access to the more favorable upper reaches of rivers to spawn and rear the next generation. Every salmon and steelhead run in Central Valley rivers is either extinct, endangered, or in decline due to the overall habitat destruction and degradation caused by dams. A 1985 California Department of Fish and Game study has indicated that the economic losses due to the
declines of salmon, steelhead and striped bass which spawn in the Central Valley tributaries at $116,000,000 per year.
The most serious fishery problem caused by major dams is the blockage of migratory fish passage. Over 95 percent of the historic salmon and steelhead spawning habitat in Central Valley river systems has been eliminated by the construction of large dams on every major river. Fish passage was not a serious consideration in the early part of the last century when most of the major dams were built; there were no Endangered Species Act or National Environmental Policy Act considerations at the time. California Fish and Game Code Section 5937, which mandates that dam operators keep fish in good condition below dams has largely been ignored outside the Mono Basin. The construction of Friant Dam on the San Joaquin River resulted in the extinction of the largest spring-run chinook population in the state. The dam blocked upstream spawning grounds that were known to be the best of the Central Valley rivers.
There are numerous solutions available that can provide fish passage around dams. They include construction of fish ladders or upstream fish channels, fish elevators, trap and truck operations, downstream bypasses, removal of smaller fish barriers, and dam removal. All of these techniques have been used at multiple locations with varying success rates. Some of the larger dams on the Columbia River system have been operating fish ladders for many years. While the costs of many of the techniques are substantial, the economics of industries and recreational activities that depend on healthy rivers and fish stocks can justify the investment. The appropriate comparison by which to measure such costs is the sum of agricultural, industrial, and municipal benefits that accrue via the diversion of tens of millions of acre-feet of water annually. Tourism and recreation is now California’s largest industry at more than $96 billion annually, and river recreation is a large part of that industry. Recreational fishing generates $1.5 billion annually in retail sales and provides thousands of jobs.
An important aspect of fish passage above dams is the benefits to Native American Tribes in gaining access to historic cultural resources. These would include: the Winnemen Wintu on the Upper Sacramento, McCloud, and Pit Rivers; the Karuk Tribe on the Klamath; and the California Valley Miwok and Maidu on the American and Feather Rivers.
This plan supports, as a conservation measure, the National Marine Fisheries Service Biological Opinion on CVP and SWP operations that recommends fish passage pilot program plans and analysis for dams connected to the Delta, such as the Sacramento, American and Stanislaus rivers. This plan also encourages the State Water Board to direct the controlling agency of each Central Valley rim dam connected to the Delta to study the feasibility of fish passage for each dam that blocks the passage of listed salmonid species, similar to the NMFS Biological Opinion. Costs should be borne by the dam operators since they are the main beneficiaries of the water storage operations.
14. **Retain Cold Water For Fish In Reservoirs.**
Salmon, steelhead, and trout need cold water for their existence. As California has grown in size, the dams that have been built on virtually every major river have significantly changed both
upstream and downstream river flows; high downstream water temperatures are one of the damaging results. Temperatures of 57-67 degrees Fahrenheit (F) are typically ideal for upstream fish migration and 42-56 degrees (F) are ideal for spawning. Water temperatures over 70 degrees (F) can be lethal to anadromous fish but are common on major rivers in the summer. Some fish populations have been able to adapt and carry on spawning and rearing below these major barriers, though in much smaller numbers than previously. Because farms need the most water in the summer, water behind reservoirs is low by the fall when many of the remaining populations of migrating fish return to the rivers. At that point the lack of cold water is a clear threat to their survival. Many of these fish species are now listed under the federal Endangered Species Act (ESA), and maintaining water temperatures suitable for survival has become a critical part of the actions required under the ESA.
This plan supports, as a conservation measure, the NMFS Biological Opinion recommendations for cold water releases on rivers connected to the Delta, such as the Sacramento, American, and Stanislaus rivers, as well as supporting regulations and legislation to retain sufficient water in other major reservoirs to support fish populations in Delta-connected rivers below dams. The latter would include the Trinity River, so long as the current management plan protections for the Trinity are complied with.
15. **Fund Agencies With User Fees.**
Agencies that benefit from any new or existing conveyance facilities should pay the full cost of the facilities, including mitigation costs.
Costs of fixing the Delta and Estuary that are related to existing and planned water delivery systems, including related costs of environmental mitigation and restoration, should be financed by the agencies that deliver water and ultimately should be passed on to their retail customers.
Cost responsibilities for land acquisition and restoration of river and Delta floodplains should be distributed 75 percent through a broad-based water use fee (applied to all agencies whose supplies are diverted from a river or the Delta watershed.) and 25 percent through public funds.
Agencies that divert water from the Delta should pay their fair share of maintaining and replacing the Delta levees on which they depend and for protecting water conveyance facilities. The share of Delta levee repair costs assigned to these agencies should reflect the extent to which the levee repairs are essential to ensuring uninterrupted diversions.
In developing funding sources, special care should be taken that low income communities not be impacted by new fees and second, that appropriate set-asides be created to ensure that these communities can access funding needed to comply with new regulations and policies.
Forget pipes from the Delta to L.A. Especially with Global Warming getting ready to flood the Delta with salt water.
Instead built pipes to bring water from the Columbia River to Shasta Lake. I have witnessed huge amounts of clean water exiting the river, unused, into the ocean. Let's use it!
Phil LaZier
Sacramento, CA
firstname.lastname@example.org
(916)362-7224
Hello,
The water tunnels are a terrible idea. The new water forebay near Byron, CA would require a fleet of heavy machinery that would operate for a decade. This would cause noise pollution and potentially fill the region's air with diesel particulates. This could result in terrible air quality that would pose a cancer risk to children, elderly and anyone with existing health problems.
It is going to destroy families businesses such as the pear farm run by a man on Sutter Island. Some of his trees are 100 years old. Plus the Delta ecosystem is very fragile already from the massive removal of fresh water that's being sent south. Southern California will have to figure out something else as to where their water will come from.
No thank you Gov. Brown and anyone else who thinks this benefits us.
Sincerely
Liz Haemmel
L # 677
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Please send a DVD of the BDCP to Susan Timm, PO Box 1000, Dixon, CA 95620
I sent a request for the DVD of the Draft BDCP and draft EIR/EIS.
Thank you for submitting a formal comment on the Draft BDCP and Draft EIR/EIS. All comments received on the Draft EIR/EIS will be considered in the Final EIR/EIS and decision-making process. For more information, assistance in locating the documents or if you have special needs, contact 866-924-9955. Additional information can be found at www.baydeltaconservationplan.com
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As a lifelong resident of California, I am well aware of the water issues facing our state. I also agree we need a long term plan for a scarce resource. That plan must address the problem of drought years for all of California which should be conservation or reducing supplies.
Below are my comments regarding the BDCP EIR/EIS:
1. From reading the EIR for the BDCP and related documents, it is clear that the purpose of diverting water around the delta is to provide water to water contractors to the south (of Sacramento). The alternatives only listed methods to route water around the delta – and nothing else.
I would suggest there are other alternatives to this plan that are not listed – including conservation. Also, it is not clear how much water will be allocated for agriculture and how much for personal use in both the central valley and Southern California.
For reference, an excerpt from the Executive Summary:
“The current and projected future inability of the SWP and CVP to deliver water to meet the demands of certain south-of-Delta SWP and CVP water contractors—in all water year types and considering ecosystem and species requirements—is a very real concern. More specifically, there is an overall declining ability to meet defined water supply delivery volumes and water quality criteria to support water users’ needs for human consumption, manufacturing uses, recreation, and crop irrigation.”
2. Throughout the EIR/EIS are statements “improving water supply reliability in the state of California”.
It is unclear how the BDCP will improve water supply reliability for us in Placer County and those counties to the north? This generic statement needs to be revised through-out the EIR/EIS
3. Funding – how much will each alternative cost and who will pay? Those who benefit from any project like this should pay ALL the costs.
4. It is not clear how Folsom Dam or San Juan Water or Placer County Water Agency will be affected by the BDCP. This needs to be made crystal clear (with 100+ year contracts) before proceeding.
Bob Lundin
PO Box 1345
Loomis CA. 95650
email@example.com
(916) 652-4169
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To: Mr. Ryan Wulff
National Marine Fisheries Service
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
Dear Mr. Wulff,
I am writing you with great hopes that you will do what you can to prevent the construction of the twin tunnels in the Sacramento and Solano Area Delta. I live in Solano County which will be severely affected by the redirection of fresh water from our rivers into these tunnels.
I have been aware of this proposal for some time, have attended panels where speakers have introduced both sides of the issue and have come to the conclusion that this proposal will be extremely detrimental to our very important delta region for the following domino-effect reasons:
- Ground water and flowing water salinity levels will be changed and detrimentally affect the ecosystem.
- Salinity levels will then affect water tables, available well water, and surrounding soil.
- The citizens of Solano County depend on this water as a partial source of our consumable water.
- Contamination of soil will affect invaluable Solano (and other) County agriculture.
- Delta flora and fauna will certainly be affected by this change in their ecosystem.
The Delta is an unusual and invaluable natural resource. Please join our efforts to see that these twin tunnels are either denied or at least postponed until more thorough studies are made that will determine the cause/effect relationships to the above and other concerns that have been expressed by concerned citizens of Solano County and other counties in California.
Sincerely,
Patricia Harrington
Patricia Harrington
124 Banbury Way
Benicia, CA 94510
For the record:
We, hereby, wish to express our opinion about the proposed tunnels. We DO NOT WANT the tunnels built. The plan is a disaster for the Delta, for the state of California, and for the U.S. and state taxpayers. BDCP itself is a misnomer - Bay Delta Conservation Plan - is NOT a conservation plan. We are Delta residents and scientists. We agree with the Independent Science Board review and conclusions that the plan makes no sense scientifically. We believe the Plan is not only scientifically flawed, but dangerous to the health of the Delta and its wildlife, and most importantly, our water supply. And, the fiscal ramifications are a complete unknown, despite the already outrageous "estimated" $60 billion price tag. We do not need to redistribute our decreasing water supplies. We need to put our money toward a readily available supply of water - the ocean - and build desalination plants, as is being done, successfully, worldwide. Today's technology is scientifically sound and more economic than in the past. The tunnel proposal must be stopped, without spending one more penny on a politically-driven proposal that would be a scientific and fiscal disaster.
Patricia C. Ziobro
Ray G. Warthen
PO Box 789
1900 Taylor Road
Bethel Island CA 94511-0789
May 25, 2014
BDCP Comments
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100 Sacramento, CA 95814 Email to firstname.lastname@example.org
It is not possible to comment adequately to the current BDCP in a few hundred words. It is best just to say that it is a very bad plan. It lacks vision and the basic consideration of certain laws of nature, laws as simple as "water runs down hill" and "all species evolve".
The BDCP could not begin to solve a problem when the problem has never been properly defined or stated. Simply put we are trying to enhance the availability of a water environment to a given set of the human species at the least negative effect upon the total set of all species, wherein the in particular given species is a subset of the human species called "Southern Californians" (SoCal), and the principal subset of all other species include but are not limited to the human species called "Northern Californians" (NorCal).
Principally we are concerned with the efficient use of a given quantity of water that is continually recycled through the atmosphere and is returned to the State of California through precipitation and other waters that are returned by border states that may drain into California 70% of which is currently being wasted by being returned to the Pacific Ocean by California's river system and we have determined NorCEal has more water than it needs except in drought years in which water becomes a problem for NorCal as well as SoCal.
Some years ago a periphery canal was built to carry water from NoCal to SoCal but this rather massive structure runs very dry most of the year. Obviously NoCal has not sufficient water to make use of this canal in the manner of which it was designed.
I see nothing in subject plan that considers the effect of Global Warming which our scientists tell us is causing ocean water levels to rise at even high exponential than we had surmised just one short year ago. This phenomena left unattended will very soon turn the entire Bay Area and the Delta into a salt water lake and will deprive millions of people of their homes and livelihood, exacerbated by the draining of the Delta by the BDCP.
This fact makes it apparent our concern should primarily be focused on keeping the large quantity of fresh water from going to sea by way of our river systems and converting our wastewater treatment plants to recycle pure water. Converting WWTP's to recycle potable water is the first and easiest move and something that SoCal can implement immediately to alleviate its water supply problems (www.ediwwtp.com) while NoCal gets busy keeping that 70% of fresh water from going to sea thus saving a few million of the human species from loosing their homes and businesses.
Simultaneously hundreds and probably thousands of lakes and holding pound sites must be defined an constructed, prioritizing their construction to provide the greatest number of acre foot capacity per dollars expended and doing these first. This action will provide backup for SoCal, Bay and Delta fresh water in dry years.
Returning the Bay and Delta to a fresh water habitat will most certainly eliminate certain species while enhancing the habitat of other species. Overall the "restore" people will see their precious species of the 1800's increase dramatically and a certain amount of evolvement will take place among some species, which is normal and to be expected.
I should not have to point out that as sources of fresh water are developed and acre feet and other characteristics are known of them, that all water sources in the state must be monitored and controlled by a master computer system.
Long range planning in water is not a quick fix as put forward in the current BDCP, it requires a long range plan in the order of several hundred years. It is obvious to any person concerned with the long range welfare of all life species that this BDCP in its current form will only lead to another boondoggle of the States resources as was the peripheral canal before it. This is not a condemnation of the members of the comity, it is a condemnation of the short sightedness of the State's leadership in their lack of vision. They plan not to be around after the plan is put into practice so what do they care what happens to California when they are out of office. To this I can only say: 'SHAME ON YOU". This plan should not be a political issue.
I thank you for the opportunity to express in some small measure my concerns, which are many and can hardly begin to be numerated herein, with regard to the BDCP.
Sincerely,
Herman P Miller III, PE, MASCE
email@example.com
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
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Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
firstname.lastname@example.org
Dear Mr. Wulff,
Our organization, Lao Family Community Empowerment, is writing to you to request information about the Bay Delta Conservation Plan in the Hmong language. We have not received any informational materials about the Bay Delta Conservation Plan in Hmong to educate or to provide to our community in Stockton. This is a concern for us because one of our areas of assistance to our Stockton Hmong community is health education. Our community members are avid fishers and a majority of our families depend on fish for a huge part of their dietary and nutritional needs.
We are aware of the possible negative impacts of the Bay Delta Conservation Plan’s twin tunnels, which will affect the health, dietary and recreational lifestyle for many families in the Delta region and we’d like to know more details about it. The commentary period for the Bay Delta Conservation Plan will end in June and I don’t have access to necessary information to make an informed comment and to share with our Hmong constituents. Please send our organization informational materials on the Bay Delta Conservation Plan translated in Hmong. Thank you for your time.
Sincerely,
Sallee Her
Program Supervisor/Health Ed.
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
May 19, 2014
1917 N Dwight Av
Camarillo, CA 93010
805-482-5282
BDCP Comments
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
Re: Alternative Bay Delta Conservation Plan
Mr. Wulff;
Mother Nature raised mountains surrounding San Joaquin Valley. I am confident this effort involved multiple earthquakes. There is no evidence that salty sea water invaded the Delta. This is because the Delta’s waterways and “islands” were full of fresh water. That is until man changed Nature’s handiwork.
Man began agricultural operations decades ago by clearing the “islands.” This allowed the peat soil to dry and strong winds blew away surface materials. To protect agricultural activities soil was heaped along water courses. Oxidation of the peat material and wind continued to remove the detritus. Today the interior of “protected islands” is 10 to 25 feet below sea level, thus inviting salty sea water to inundate these man-made depressions.
Today’s efforts should be to restore the Delta to Nature’s plan:
Step 1. Public ownership of all “islands.”
Step 2. Breach the “levees.” Returning the Delta to capacity with fresh water would negate any threat of salty sea water intrusion. It would also remove all costs of strengthening 1,100 miles of existing “levees.”
Step 3. Lavish praise upon the efficiency of existing fish screens.
Step 4. “Fish Out” the Bass. Bass eat small fish, i.e., Delta Smelt.
Step 5. To serve federal and state pumps, allow thru Delta flow. This would negate any call for a peripheral canal or tunnels.
Thanks
Don Hauser, CE
cc: Gov. J. Brown State Capitol Bld, Sac, CA, 95814
Rep. Dist. 37 D. Williams St Cap Rm 4005 PO Box 942849 Sac. CA 94249
Rep. Dist. 44 J. Gorell St Cap Rm 6031 PO Box 942849 Sac CA 94249
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
firstname.lastname@example.org
May 19, 2014
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
My comments are directed at Chapter 14 Agricultural Resources 22.214.171.124 South Delta Restoration Opportunity Area. (Conservation Strategy, CM4, Section 126.96.36.199.1)
Approximately 5,000 acres are targeted to become freshwater tidal habitat. I have lived in the Delta all my life. My family began farming here in 1871 and my farm is located on upper Roberts Island within that 5,000 acres. It does not make sense to me how this can be considered “tidal habitat” because most of the acreage in this area is 9'-12' above sea level and we do not have 12' tides. It would be necessary to pump water up and out of the San Joaquin River to make this freshwater habitat. What entity will be paying for that? Technically I don’t believe that this 5,000 acres can be considered a Habitat Conservation project.
The majority of the 5,000 acres is considered prime farmland. This “restoration” will take highly productive land out of production in order to allow water to be shipped south to irrigate marginal farmland. This does not protect the agricultural value of the Delta under the coequal goals required by the Delta Reform Act.
I am unable to ascertain where the funding will come from for all of the eminent domain payouts that will be required since there is little indication that there are willing sellers. The Habitat Conservation Plan is required to identify funding for its implementation. This information should have been set forth in an Implementing Agreement 60 days prior to the final draft but that has not been done.
There are mistakes and inaccuracies in this EIR/EIS and there is no financial commitment to date that has been recorded, so I believe that it should be rejected. Thank you for the opportunity to comment.
Most Sincerely,
Lynn A. Miller
1277 Undine Rd.
Stockton, CA 95206
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
May 20, 2014
Ryan Wulff, NMFS
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
RE: Public Comment
Bay Delta Conservation Plan (BDCP)
Dear Mr. Wulff,
The following comments are based upon our reading of the Bay Delta Conservation Plan and its EIR/EIS released for public review and dated November 2013. We have found the documents deficient because, despite their volume, they are incomplete, and their provisions violate CEQA and NEPA requirements.
1) The Draft EIR/EIS, while voluminous, lacks summaries and reference guides that would make the document understandable to ordinary readers. Throughout the documents, complicated, redundant, and disconnected analysis, coupled with a lack of clear comparison tables, make well-informed decisions about the alternatives impossible. The law is clear: “Environmental impact statements shall be written…so that decision makers and the public can readily understand them” (Council on Environmental Quality 1502.8). The BDCP Plan and EIR/EIS are in violation of environmental law regarding document content.
2) Comparisons of the many alternatives (including alternatives discarded in the screening process) are incomplete relative to their “unavoidable impacts”. Analysis of the CEQA preferred alternative (Alternative 4 – North Delta Diversion - and mitigation actions 2-22) includes a “Summary of Significant and Unavoidable Adverse Impacts” (BDCP EIR/EIS pp 31-9). A similar in-depth analysis of unavoidable impacts should be clearly charted for all other alternatives to allow for accurate comparison. Without such clear disclosure of impacts, the choice of the preferred Alternative 4 cannot be proved to be anything but an arbitrary decision.
3) There is no clear funding mechanism set forth. This violates the Endangered Species Act requirement that habitat conservation plans specify that the applicant “ensure that adequate funding will be provided” to implement conservation actions that minimize and mitigate effects on covered species (USC 1539(a)(2)(A). This further violates the Natural Community Conservation Planning Act which requires that the natural community conservation plans contain
provisions that ensure adequate funding to carry out the conservation actions identified in the Plan” (Fish & Game Code 2820(a)(10)). Funding for mitigation measures 2-22 includes a combination of future California State Water Bonds and Federal Funding which has not been approved. Both funding sources are out of the control of BDCP planners, and as such cannot be construed as “adequate”.
Section 8.4.2 (p8-122) of the BDCP Public Draft (Actions Required in the Event of a Shortfall in State or Federal Funding) states: “Actions to be considered to address such shortfalls include adjusting the scope of the Plan in proportion to the public funding shortfall.” Since the “shortfall” could be in the billions of dollars in funding, to rely upon anticipated “adjusting” does not meet the letter of the NEPA or CEQA requirements.
Further, no Implementation Agreement has been signed by project proponents, stipulating exact project funding commitments. Public comments have been solicited on a plan for which there is no financing commitment. Clearly this is in violation of CEQA/NEPA requirements.
4) With the choice of Alternative 4 (North Delta Diversion) and Mitigation Measures 2-22 the BDCP violates a provision of the 2009 Delta Reform Act, calling for meeting the coequal goals of water supply reliability and ecosystem restoration while protecting the Delta as an evolving place. This provision is set forth in the Water Code Section 85020(b): “protect and enhance the unique cultural, recreational, and agricultural values of the California Delta as an evolving place.” With over 50 Significant and Unavoidable and Adverse Impacts (listed in Table 31-1 pp 31-9 to 31-13 of Chapter 31 of the Draft EIR/EIS) BDCP violates the intent of the 2009 Delta Reform legislation to protect the Delta as a place.
This set of documents presents a host of further areas of concern; these are but a few of the most important.
Rogene Reynolds
William H. Reynolds
PH: (209) 464-8054
Em: firstname.lastname@example.org
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
May 21, 2014
Bay Delta Conservation Plan Comments
Ryan Wulff, National Marine Fisheries Service
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
Dear Mr. Wulff:
On behalf of the Foothill Municipal Water District, I would like to provide the following comments on the draft Bay Delta Conservation Plan (BDCP) and its environmental impact statement/report as released on December 13, 2013.
The State Water Project is a vital component of Southern California’s water system, providing roughly 30 percent of the region’s water needs. As the Southland expands its conservation and local supply efforts, state project water will remain an essential source to replenish groundwater basins and reservoirs and enhance water quality in the region.
In recent years, both state and federal project deliveries have been repeatedly interrupted and reduced due to operational conflicts with threatened and endangered Delta species. Additionally, both projects risk complete failure given the vulnerability of the Delta levee system to catastrophic earthquake and flood events -- threatening water supplies for Southern California, the Bay Area, the Central Coast and the Central Valley for up to three years. These risks are unacceptable, and conditions are expected to worsen with climate change unless steps are taken now to mitigate these concerns. The proposed BDCP, being developed under provisions of the State and federal endangered species protection laws, is the most promising plan developed to date to solve these challenges and resolve decades of conflicts between agricultural, urban and environmental water users with a comprehensive solution that achieves California’s Co-Equal goals of a reliable water supply and a restored Delta ecosystem for the benefit of all water users.
The release of the public draft BDCP represents an important milestone in this eight-year stakeholder process. In exhaustive detail, the draft BDCP illustrates the complexity of the problems and the need for a comprehensive approach to resolve conflicts in the Delta through a multi-species habitat conservation plan that protects the state’s water resources and infrastructure.
We are supportive of the BDCP’s proposed twin-tunnel conveyance system that isolates and protects drinking water supplies and helps restore natural flow patterns in the Delta for the benefit of native species, as well as the complementary habitat restoration, water quality and predator control measures outlined in the BDCP. We also support the plan’s recognition that changing conditions in the Delta will require ongoing scientific review.
and real-time monitoring so the plan can effectively adapt over time to emerging science and the evolving ecosystem. The draft plan also provides an important framework for a range of operational outcomes and level of certainty necessary for a final plan to merit investment by participating public water agencies and by the state and federal governments.
Key decisions remain relating to specifics on cost allocations, operations, outflow range, financing and other issues; however, the current draft details a workable solution to the challenges facing California’s water resources and the Delta.
The Metropolitan Water District of Southern California, of which we are a member, has established six benchmarks for a comprehensive Delta solution, providing the following basis to analyze the draft BDCP.
- **Provide Water Supply Reliability.** Conveyance options need to provide water supply reliability consistent with DWR’s most recent State Water Project Reliability Report (2005). Comment: BDCP has the potential to regain State Water Project supplies and meet this benchmark. BDCP potential water supplies are within the range of recent 20-year averages. For the participating public water agencies, reliable and adequate supplies are necessary to make this project financeable.
- **Improve Export Quality.** Conveyance options should reduce bromide and dissolved organic carbon concentrations. Existing in-Delta intakes cause direct conflict between the need to reduce organic carbon to meet stricter urban drinking water standards, and the need to increase carbon to promote a healthy food web for fish. Comment: Existing in-Delta supplies are in the range of 300 milligrams per liter salinity. Upstream supplies on the Sacramento River are in the range of 100 milligrams per liter salinity. The construction of intakes in the northern Delta, and BDCP’s dual conveyance water operations strategy, would improve and protect export water quality.
- **Allow Flexible Pumping Operations in a Dynamic Fishery Environment.** Water supply conveyance options should allow the greatest flexibility in meeting water demands by taking water where and when it is least harmful to migrating salmon and in-Delta fish species. All options should reduce the inherent conflict between fisheries and water conveyance. Comment: The new screened intakes proposed by BDCP in the northern Delta would eliminate reverse flow conditions when water is diverted in the north and lead to a far more natural flow pattern in the estuary.
- **Enhance Delta Ecosystem.** Conveyance options should provide the ability to restore fishery habitat throughout the entire Delta and minimize disruption to tidal food web processes, and provide for fluctuating salinity levels. Comment: The modernization of the Delta conveyance system as proposed by BDCP is essential in order for the proposed habitat restoration to have its intended effect.
• **Reduce Seismic Risks.** Conveyance options should provide significant reductions in risks to export water supplies from seismic-induced levee failure and flooding.
Comment: The twin tunnels to transport northern Delta supplies would protect this critical supply from future disasters. The twin-tunnel subsurface design provides important operational redundancy and reduces risks associated with surface movement -- such as levee failure and liquefaction-- during earthquakes, allowing for the isolation of repairs if needed to specific tunnel segments, rather than compromising the entire Delta water supply with saline ocean water, should there be a multiple island failure. Seismic preparedness is crucial for this vulnerable segment of the statewide water delivery system.
• **Reduce Climate Change Risks.** Conveyance options should reduce long-term risks from salinity intrusion associated with rising sea levels. Intake locations should be able to withstand an estimated 1- to 3-foot sea-level rise in the next 100 years.
Comment: The proposed intakes in the northern Delta are upstream of predicted long-term salinity intrusion due to climate change. The future water system must be sized sufficiently to capture water when available in the face of climate change.
In addition to the Metropolitan 2007 Delta Benchmarks, the draft BDCP raises other issues that merit public comment, including:
• **Governance Comment:** The final BDCP governance structure must provide for public water agencies to be full participants in the implementation process in a manner that maintains the existing authorities of the state and federal wildlife agencies. Metropolitan must be among the project permittees in order to assure its active participation in BDCP.
• **Assurances Comment:** As a Habitat Conservation Plan under Section 10 of the federal Endangered Species Act and a Natural Community Conservation Plan pursuant to Fish and Game Code Section 2800 et seq BDCP offers a path of regulatory stability for both the public water agencies and the wildlife agencies. It is important to better define and describe this regulatory stability so that the final BDCP offers a clearer choice between this approach and today’s ineffective species-by-species approach to regulation and ESA enforcement.
• **Co-Equal Goals Comment:** The Delta Reform Act of 2009 passed by the California Legislature established the co-equal goals of a reliable water supply for California and ecosystem restoration for the Delta. The BDCP must be implemented in a manner consistent with the co-equal goals.
• **In-Delta Impacts Comment:** We are encouraged by recent changes in the proposed intake/tunnel project that will reduce by 50 percent the overall footprint of the project. While the hydrological simulation model in the BDCP analysis suggests that Delta salinity objectives may be exceeded in some instances, the DEIR/S explains that this is due to modeling anomalies. In any event, the Project would be operated to meet all
Delta Salinity Standards thus it is not expected to have a significant impact to local agriculture.
- Habitat restoration, meanwhile, is expected to lead to a net increase of 50,000 local Delta-area jobs. Continued efforts to reduce in-Delta impacts and increase in-Delta benefits of BDCP will improve the final project.
Metropolitan and its member agencies, retail agencies and ratepayers have been investing in the State Water Project for more than four decades, and have additionally invested in regional storage and conveyance to allow Southern California to capture water when it is plentiful and reduce demands on imported supplies during dry and critically dry years. These investments are effectively stranded, if water deliveries from the project continue to degrade.
The state project provides essential water supply and water quality benefits to Southern California and helps the region achieve other water resource development objectives. When blended with the Southland’s more saline water resources, its high quality improves regional water quality. State project water also facilitates water recycling and groundwater replenishment. Recycling might otherwise be prohibited since Colorado River water is significantly higher in salinity level and recycling concentrates salts to levels that can exceed protective groundwater basin standards. Similarly, recharge of imported water to groundwater basins would have similar challenges in meeting basin plan standards without sufficient State project supplies.
The proposed BDCP is the most comprehensive effort ever undertaken to address the chronic water challenges facing the state and federal water projects in a manner that is protective of the Delta environment. We urge the state to move forward with the draft plan and focus on resolving those remaining issues needed to provide assurances that the plan will achieve California’s co-equal goals of water supply reliability and ecosystem restoration in a cost-effective manner.
Thank you for the opportunity to comment on this historic draft plan.
Sincerely,
Nina Jazmadianian
General Manager
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
firstname.lastname@example.org
May 15, 2014
BDCP Comments
Ryan Wulff, National Marine Fisheries Services
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
RE: Comments on the BDCP and Associated Draft EIR/EIS
Dear Mr. Wulff:
The League of Women Voters of California (LWVC) appreciates the opportunity to comment on the Bay Delta Conservation Plan (BDCP, or plan) and its draft Environmental Impact Report/Environmental Impact Statement (EIR/EIS). We have analyzed the BDCP from the perspective of our state and national League consensus positions on water resources, agriculture, energy, and land use. Our positions are the result of League studies and long-time member involvement in these issues.
Although we acknowledge the considerable financial and technical resources expended on the draft EIR/EIS, we believe the draft EIR/EIS is inadequate because it has resulted in a preferred alternative that is unlikely to meet the coequal goals of ecosystem restoration and water supply reliability. We ask that you not certify the draft EIR/EIS because of the likelihood that the plan will fail to meet both coequal goals, and because of inadequate disclosure of impacts arising from critical issues identified below.
Over-allocation of Waters—Water rights within the watersheds feeding into the Delta, plus the maximum contracted flows planned for export to contractors, exceed the long-term hydrologic capacity of this water resource, and the BDCP compounds these mistakes.
We find the stated project objective of meeting the full contract amounts of the State Water Project and Central Valley Project unrealistic, given the hydrologic history of California:
Restore and protect the ability of the SWP and CVP to deliver up to full contract amounts, when hydrologic conditions result in the availability of sufficient water, consistent with the requirements of State and federal law and the terms and conditions of water delivery contracts and other existing applicable agreements. (Public draft BDCP EIR-EIS, Chapter 2, p. 3).
So long as this remains a stated objective, reducing reliance on the Delta will not be achieved.
The statement from the Executive Summary of the plan, “The geographic scope of the Plan Area encompasses the Sacramento–San Joaquin Delta, as defined in California Water Code Section 12220 . . . ,” implies that this plan is designed to ignore the actual watersheds of the Sacramento River. The assumption that there will always be water to move through the tunnels is problematic, considering the DWR climate change models that project the greatest loss of the snowpack will occur in the watershed of the Feather River, source of the water stored behind Oroville Dam.
Failure to Meet the *Delta Vision Strategic Plan* and the Delta Reform Act of 2009—The BDCP is not consistent with the “coequal goals” of providing a more reliable water supply for California and protecting, restoring, and enhancing the Delta ecosystem.
The *Delta Vision Strategic Plan*\(^1\) calls for the state to “Legally acknowledge the co-equal goals of restoring the Delta ecosystem and creating a more reliable water supply for California” and sets forth the following strategy and actions, among others:
**Strategy 1.1:** Make the co-equal goals the foundation of Delta and water policy making.
**Action 1.1.1:** Write the co-equal goals into the California Constitution or into statute.
**Action 1.1.2:** Incorporate the co-equal goals into the mandated duties and responsibilities of all state agencies with significant involvement in the Delta.
**Action 1.1.3:** Require the achievement or advancement of the co-equal goals in all water, environmental, and other bonds, and operational agreements and water contracts or water rights permits, that directly or indirectly fund activities in the Delta.
The subsequent Delta Reform Act of 2009\(^2\) defines “coequal goals”\(^3\) as:
“two goals of providing a more reliable water supply for California and protecting, restoring, and enhancing the Delta ecosystem. The coequal goals shall be achieved in a manner that protects and enhances the unique cultural, recreational, natural resource, and agricultural values of the Delta as an evolving place.”
The Delta Reform Act of 2009 also calls for reduced reliance on the Delta through investments in improved regional supplies, conservation, and water use efficiency.\(^4\)
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\(^1\) "Delta Vision Strategic Plan," prepared by the Blue Ribbon Task Force created by Governor Schwarzenegger’s Executive Order S-17-06, and released by the State of California Resources Agency, October 2008.
\(^2\) Added by Stats. 2009, 7th Ex. Sess., Ch. 5, Sec. 39. Effective February 3, 2010, as codified in the California Water Code (CWC), Division 35, starting at section 85000.
\(^3\) CWC, section 85054.
\(^4\) CWC, sections 85021 and 85004(b).
believe that large public investments in interbasin water transfers must be informed by a recognition that California’s water resources have been over-allocated (see above) by as much as five times. Additional options for water supply reliability should include groundwater management, watershed and forest management for water capture, conjunctive use of surface and groundwater, and more conservation and improved water use efficiencies.
We believe that the BDCP is not consistent with the *Delta Vision Strategic Plan* and the Delta Reform Act of 2009, in that it is not a realistic plan that will meet the coequal goal of restoring the Delta ecosystem. In addition to their relying on unrealistic flows of water, we believe that the plan and associated draft EIR/EIS are inadequate for the reasons given in the subsequent sections:
Ecosystem Restoration—The plan is missing updated flow objectives, a key factor in the success of habitat restoration.
Water Supply Reliability—More encouragement is needed for the state, local governments, and urban and agricultural end-users to conserve and improve efficiencies before resorting to dual tunnels under the Delta.
Finances—The BDCP does not demonstrate that funding all elements—in particular, habitat restoration—will be realistically achieved.
Governance—Agencies and advocates for natural resources need to be elevated in the proposed governance structure to ensure that ecosystem restoration actually has coequal status under the BDCP.
**Ecosystem Restoration—The plan is missing updated flow objectives, a key factor in the success of habitat restoration.**
The current proposal is to begin construction of a facility with a 9,000 cubic feet per second capacity before an updated determination is made of flows necessary to protect fisheries. The Delta Reform Act mandated completion some years ago of the new flow criteria. While recognizing that these flow criteria may not be considered pre-decisional with regard to consideration of permits, we stress that without them certain important decisions would be left to permittees—permittees whose primary goal is to deliver up to full contract amounts of export water, not to operate the facility to benefit habitat. (See our comments below on Governance.)
As long-time advocates of placing limits on water that is exported through and around the Delta, we believe that proceeding with the preferred alternative before updated flow objectives are established and implemented will not protect the Bay-Delta ecosystem.
Water Supply Reliability—More encouragement is needed for the state, local governments, and urban and agricultural end-users to conserve and improve efficiencies before resorting to dual tunnels under the Delta.
We are concerned that construction of the dual tunnels, which represents a substantial investment by beneficiaries, will drastically reduce incentives for urban, agricultural, and other users to do all they can—through conservation, recycling, and development of regional water sources—to reduce reliance on the Bay-Delta freshwater flows. We acknowledge that both urban and agricultural districts have made strides in these areas. However, as long as it is easy to move water under the Delta, we see no discernible incentive for the permittees to put the same financial resources into conservation and recycling that they have invested in the BDCP preferred alternative.
In acknowledging progress over the past two decades by the urban sector to recycle treated wastewaters, we understand that government leadership—including financial support from the federal, state and local levels—has been important in realizing accomplishments such as the Edward C. Little Water Recycling Facility in the south bay of Los Angeles County. We believe that there is significant additional potential to conserve water and improve water use efficiencies, and that state and local governments must take more action to achieve this potential. For example, in the urban sector, ramped-up efforts to establish a new landscape norm can significantly cut consumption.
To reiterate, should efforts be concentrated on the large structural twin tunnels in the preferred alternative, we expect that valuable incentives to maximize conservation and opportunities to develop integrated regional water management planning for efficient water use will be lost.
Finances—The BDCP does not demonstrate that funding all elements—in particular, habitat restoration—will be realistically achieved.
We have concerns about the proposed funding for ecosystem restoration over the 50-year life of the preferred alternative. A Habitat Conservation Plan (HCP) is required to identify funding for its implementation; funding must be sufficient for all proposed activities, and all financial contributors and planned allocation of funds must be identified. As we prepare these documents, there is no Implementing Agreement specifying these funding matters, and we will not see one in time for adequate public review before the close of the BDCP and draft EIR/EIS comment period.
Initial state funding will largely come from two new water bonds, the first proposed for the 2014 statewide ballot. Federal funding is expected to come mostly from the same sources and authorizations used in the past to support Delta restoration efforts. New federal funding authorizations will also likely be needed to support the BDCP. (BDCP Executive Summary, p. 26)
In raising our concerns regarding inadequate financing, we asked the Department of Water Resources (December 6, 2013) if construction of the preferred alternative could begin if voters do not approve the anticipated water bonds. The answer was that full funding for habitat restoration is not required before the water conveyance facility can be built and operated. Again, we find this aspect of the BCDP to be inadequate to ensure that the required goal of habitat restoration can be met.
**Governance—**Agencies and advocates for natural resources need to be elevated in the proposed governance structure to ensure that ecosystem restoration actually has coequal status under the BDCP.
Successful governance and the very best science are central to pursuit of the coequal goals of ecosystem restoration and water supply reliability. We believe the proposed governance system needs to be improved. The fishery agencies, other resource agencies, and non-agency parties impacted by the projects need to be elevated so that they have an equal voice in the top tier of the decision makers and the decision-making process regarding how the state and federal projects are operated and how habitat restoration projects are implemented.
The adaptive management strategy needs to be more fully described. Experiments in tidal marsh and in-delta restoration, alternative fish screen designs, and other elements of any BDCP plan should have a proven record of success before any BDCP alternative goes forward.
We do not believe these documents are adequate as a basis for issuing permits. The Endangered Species Act requires that a Habitat Conservation Plan contribute to the recovery of endangered and threatened species, and the California Fish and Game Code requires that a Natural Communities Conservation Plan assist in providing for the conservation of covered species. We are not persuaded that the BDCP can meet those requirements because of problems with the adaptive management strategy and governance.
**Conclusion**
In summary, the League of Women Voters of California believes that, before construction of any large-scale infrastructure for the Bay-Delta, technical and financial resources must be made available to maximize statewide efforts for conservation, recycling, watershed management, regional water supply development, completion of delta habitat restoration already underway, and for any other measure that will reduce reliance on Bay-Delta exports now and in the future. Further, we recommend that the information generated by the current BDCP planning process be utilized by the Department of Water Resources to develop a Bay-Delta management regime that will fairly balance all the needs and uses of
water resources in the state, without a bias toward the contractors for the State Water Project and the Central Valley Project.
We thank the Department of Water Resources for responses to our several inquiries. Please contact us if you wish additional information about any of our comments.
Sincerely,
Jennifer A. Waggoner
President
cc: Mark W. Cowin, Director, California Department of Water Resources
Felicia Marcus, Board Chair, State Water Resources Control Board
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
May 20, 2014
RYAN WULFF, N.M.F.S.
650 CAPITOL MALL, SUITE 5-100
SACRAMENTO, CA. 95814
Dear Ryan:
The enclosed comments are directed towards my opposition to the proposed Bay Delta Conservation Plan (BDCP). Re: Twin Tunnel Project.
I will admit at this time I have not completely digested the $254 million 40,000 page document, but it proves one thing, that the consultants who drafted it are being well compensated.
Historically, water diversions from the Sacramento-San Joaquin Delta Region have resulted in salt water intrusion into the system which has affected the economy, especially agribusiness, habitat and the loss of our fisheries. In 1952 the original water contracts were adopted which stated:
(a) During wet years only excessive water may be conveyed out of the Delta.
(b) During dry years no water may be conveyed out of the Delta.
These contracts are still in force today, but the terms have been violated continuously.
Looking back at the construction of Friant Dam whereby the San Joaquin River was completely diverted to the southern part of the state and the destructive it caused on our salmon, steelhead fisheries and the Kesterson Wildlife Refuge Area due to high selenium levels. Now they want to do the same thing by diverting the Sacramento River through two 40' diameter pipelines.
It seems that man would learn from his mistakes, but here we are heading once again in the wrong direction.
Political influence is responsible for this huge water grab whereby southern California water districts will benefit including the Kern County Water District, Westlands Water District and Paramount Farms. This is considered a political payback for their past contributions they have made to elect the past three governors amounting to six figures each. The old Saying, "Money Goes Where Water Flows."
My only hope is that the National Marine Fisheries Service takes into consideration that the Sacramento River draws a vast majority of our remaining anadromous fisheries including; green sturgeon, white sturgeon, salmon, steelhead, striped bass and American shad for the propagation of their species. Their is very little spawning activity on the San Joaquin River due to poor water quality.
In conclusion I am 77 years old and have spent my entire life out on the Delta waterways where I have observed over the years the loss of habitat and populations of our fisheries.
The big question is do we continue to put the largest inland estuary in the western hemisphere in jeopardy or do we make the necessary decisions to bring it back to a healthy viable restoration plan for the enjoyment of future generations. We will never achieve this by adopting this "Boon Doggle."
I submit these concerns and comments for your consideration during the review with these thoughts, "If you are not part of the solution you can certainly be part of the problem."
Respectfully Submitted By
Jay R. Sorensen
Membership affiliations: Founder, California Striped Bass Association, Member, Board of Director of the Discover the Delta Foundation, Restore the Delta, United Anglers of California, California Sportfishing Protection Alliance, outdoor columnist River News Herald-Isleton Journal and the Linden Herald News.
Enclosure: My personal thoughts about the Twin Tunnel Project.
Enjoy!
"I want to get shit done!" ~ Jerry Brown ~
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
firstname.lastname@example.org
El Plan de Conservación del Delta de la Bahía (BDCP) que propone el estado ignora a la comunidad latina. Una de las cosas que más me sorprendió cuando busqué información al respecto, es que esperan comentarios públicos del reporte del BDCP en español, pero no existe ninguna traducción. Aparentemente, se realizaron conferencias donde hablaron de los impactos del plan, pero fueron en inglés y no fueron anunciadas a las noticias locales ni otras organizaciones latinas.
Probablemente lo más alarmante es que la naturaleza de estos túneles gemelos van a afectar el estilo de vida de muchas familias, incluyendo la mía, en la región del Delta y me gustaría saber más detalles. El periodo de comentarios, según esto, termina este junio y no tengo acceso a la información necesaria para que pueda dar un mejor comentario y leer con más precaución. No es muy justo que impongan este plan tan masivo sin informar a la comunidad latina que tiene una historia muy larga con el Delta. Nuestro restauran depende de productos frescos y de la comunidad de Stockton, que es la más grande en el Delta. Este plan amenaza nuestro negocio y familia. Necesito más información.
Sinceramente,
Rodolfo Padilla
Head Chef
Susy’s Mexican Restaurant
120 W Harding Way, Stockton, CA 95204
I have attached the following (10) comments for your review:
Copies have been made and are in your mailbox and the originals are up front at the receptionist desk.
---
Anita deGuzman
Administrative Assistant
NOAA Fisheries * West Coast Region
U.S. Department of Commerce
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
916-930-3600 - main
916-930-3629 - fax
email@example.com
Re: COMMENT LETTER and REQUEST for EXTENSION OF TIME and NEW DRAFT PLAN and DRAFT EIR/EIS for PUBLIC REVIEW because of the Government’s Failure to Release a Draft Implementing Agreement, Violating NEPA, ESA, CEQA, and NCCPA
Dear Federal and California Agencies, Officers, and Staff Members Carrying out the BDCP:
Despite releasing of the Draft Bay Delta Conservation Plan (BDCP) and its Draft Environmental Impact Report-Environmental Impact Statement (EIR/EIS) in December 2013, the government has not released a draft Implementing Agreement (IA). The Natural Community Conservation Planning Act requires each conservation plan to include an IA which contains, among other things, “provisions for establishing the long-term protection of any habitat.”
provisions ensuring implementation of the monitoring program and adaptive management program," and "mechanisms to ensure adequate funding to carry out the conservation actions . . ." Cal. Fish & G. Code § 2820(b).
For purposes of the BDCP, the IA is a commitment from each party under the BDCP specifying its contribution to the cost, construction, and operation of the proposed project. The IA is an integral and indispensable necessity to the development and function of the BDCP. However, the parties to the BDCP, water contractors who expect to benefit from the BDCP, have failed to enter an IA which establishes each party's contribution to the cost, construction, and operation of the BDCP. Without the draft IA, it is not possible for the public to meaningfully review the draft BDCP and EIR/EIS. Accordingly, the absence of the draft IA has resulted in a violation of the National Environmental Policy Act (NEPA), NEPA regulation 40 C.F.R. § 1502.25, Endangered Species Act (ESA) regulations 50 CFR § 17.22(b)(1)(i); § 222.307(b)(4), the California Environmental Quality Act (CEQA), and the Natural Communities Conservation Planning Act (NCCPA).
Critical information is missing from the review process. For example, the BDCP proponents have been internally admitting the obvious to the State, that "The cost of the BDCP is high, and there is significant concern that it will increase. Recent experience shows that the cost of large public works projects tends to increase during construction. The cost of the BDCP is so high there is no room for any increase in cost." We attach a copy of the May 13, 2014 letter to BDCP agency directors from the Natural Resources Defense Council, Defenders of Wildlife, American Rivers, The Nature Conservancy, and The Bay Institute requesting a 60 day extension of time for public comments based on several factors including the absence of the draft Implementation Agreement. That letter includes a one-page attachment, the Critical Issues document, edited by J. Maher (January 27, 2014). These examples including the above are taken from the attached Critical Issues document.
Another example is that the BDCP proponents seek a level of water supply assurances of "water supply reliability of approximately 75% for both SWP and CVP water service contractors." (Critical Issues document). The water contractors also seek "Strong regulatory assurances [to] increase the willingness of local public agencies to fund the BDCP and construction of the new conveyance facilities [tunnels]." (Critical Issues document). Any commitments like those would significantly worsen the already horrendous impacts on
endangered fish species, the Sacramento River, and the San Francisco Bay-Delta resulting from operations of the massive BDCP Water Tunnels.
It is also not possible for the public to meaningfully review the draft BDCP and EIR/EIS because of the failures, violating both the ESA and NEPA, of the federal agencies to have prepared the Biological Assessments and Biological Opinions required by the ESA. These violations have been pointed out to you previously in our comment letters of June 4, August 13, September 25, and November 18, 2013, our comment letters of January 14, and March 6, 2014, and at our meeting with federal agency representatives in Sacramento on November 7, 2013.
This absence of the critical information for public review and review by the decision-makers that would be found in the missing Implementing Agreement, Biological Assessments, and Biological Opinions makes a mockery of the environmentally informed public and decision-maker review provisions and purposes of NEPA, CEQA, and the ESA. In addition, the absence of the essential information that would be furnished by the draft Implementing Agreement, Biological Assessments, and Biological Opinions unlawfully segments and postpones the review of those documents from the current review of the Draft BDCP Plan and Draft EIR/EIS.
Violation of NEPA
Under NEPA, each EIS must contain a discussion of the “environmental impacts of the proposed action . . . .” 42 U.S.C. § 4332(C)(i). An EIS “shall provide full and fair discussion of significant environmental impacts and shall inform decision-makers and the public of the reasonable alternatives which would avoid or minimize adverse impacts . . . .” 40 C.F.R. § 1502.1.
The Draft BDCP Chapters 6, 7, and 8 frequently refer to the IA as a regulatory force of the BDCP operations, ensuring that the project will operate in accordance with law. Nowhere does the Draft BDCP or EIR/EIS list the terms or specific provisions that the IA will contain. Thus, the IA’s terms and requirements are not available for the public or decision makers to review. Because the IA will contain information concerning impacts and mitigation, it is a critically important component of the environmental review mandated by NEPA. Without the IA, it is impossible for the EIS to provide a “full and fair discussion” of the impacts and mitigation measures. Consequently, the EIS is incomplete and insufficient to provide meaningful public review of BDCP impacts and mitigation measures.
Violation of NEPA Regulation 40 C.F.R. § 1502.25
Under NEPA regulations, "To the fullest extent possible, agencies shall prepare draft environmental impact statements concurrently with and integrated with environmental impact analyses and related surveys and studies required by the . . . Endangered Species Act . . ." 40 C.F.R. § 1502.25. Thus, agencies must prepare environmental impact review documents concurrently.
Because the BDCP is expected to result in the take of endangered and threatened species, the parties must acquire an incidental take permit (ITP) before implementing the BDCP. 16 U.S.C. § 1539(a)(1). A party applying for an ITP must submit a conservation plan that specifies, among other things, "what steps the applicant will take to minimize and mitigate such impacts, and the funding that will be available to implement such steps . . ." 16 U.S.C. § 1539(a)(2)(A)(ii) (emphasis added). The Draft BDCP and EIR/EIS lack this information and suggest that it will appear in the IA.
Accordingly, the BDCP is incomplete without the IA because the BDCP does not specify any commitments the parties have made to fund and promote mitigation measures. As an impact analysis, the IA was required to have been prepared concurrently with the EIS. Nevertheless, the parties to the BDCP have failed to produce even a draft IA specifying their individual commitments to ensuring the integrity of the project. This has resulted in the staggered or piecemeal environmental review that NEPA Regulation 40 C.F.R. § 1502.25 prohibits.
Violation of ESA Regulations
The BDCP is the heart of an application for an ITP. All applications for ITPs must include a "complete description of the activity sought to be authorized . . ." 50 C.F.R. § 17.22(b)(1)(i). Further, all conservation plans must include "steps . . . that will be taken to monitor, minimize, and mitigate [the] impacts, and the funding available to implement such measures . . ." 50 C.F.R. § 222.307(b)(5)(iii). Before approving a conservation plan, the government must provide notice of the application and an opportunity for the public to review the application. 16 U.S.C. § 1539(c).
The Draft BDCP fails to provide a complete description of the project because it does not specify the steps that will be taken to mitigate impacts and fund such mitigation. Instead, it insists that the IA will clarify details concerning mitigation measures and funding. Consequently,
the Draft BDCP and EIR/EIS lack critical information concerning how the conservation plan will address mitigation and funding requirements, rendering the review period inadequate under ESA Regulations.
**Violation of CEQA**
Under CEQA, California agencies must make draft EIRs available for public review and comment. 14 CCR § 15087. An EIR “shall include a detailed statement setting forth . . . [a]ll significant effects on the environment of the proposed project” and “[m]itigation measures proposed to minimize significant effects of the environment . . . .” Cal. Pub. Res. Code § 21100(b). Regulations define *project* to mean “the whole of an action, which has a potential for resulting in either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment . . . .” 14 CCR § 15378(a) (italics added). Before approving a proposed project, the “lead agency shall determine whether a project may have a significant effect on the environment based on substantial evidence in light of the whole record.” Cal. Pub. Res. Code § 21082.2(a) (italics added). *Substantial evidence* does not include “speculation” or “unsubstantiated opinion”; on the contrary, *substantial evidence* includes “facts, reasonable assumptions predicated upon facts, and expert opinion supported by facts.” Cal. Pub. Res. Code § 21082.2(c). Courts applying CEQA have held over and over that:
An accurate, stable and finite project description is the sine qua non [absolutely indispensable requirement] of an informative and legally sufficient EIR. [Citation]. However, a curtailed, and enigmatic or unstable project description draws a red herring across the path of public input. [citation] Only through an accurate view of the project may the public and interested parties balance the proposed project’s benefits against its environmental cost, consider appropriate mitigation measures, assess the advantages of terminating the proposal and properly weigh other alternatives.
*San Joaquin Raptor Rescue Center v. County of Merced*, 149 Cal.App.4th 645, 672 (2007) (internal citations omitted).
The IA is part of the project but has not even been placed before the public for review during the Draft EIR/EIS public review period. Because the IA will contain critical project information that is not in the Draft EIR/EIS, the Draft EIR-EIS does not describe the *whole of the action*. Consequently, the EIR-EIS fails to provide an “accurate view of the project” and the public is incapable of understanding how the proposed project will operate. Further, this missing information demonstrates that the incomplete EIR/EIS fails to support its conclusions as to the
impacts of the project. Whereas CEQA requires environmentally informed agency decisions, the absence of the IA prevents the agencies from forming valid decisions. Instead, the agencies rely on speculation as to what the terms of the IA might include.
**Violation of NCCPA**
The NCCPA requires that any draft documents associated with an NCCP are made available for public review and comment. Cal. Fish & G. Code § 2815. As mentioned above, the NCCPA requires the NCCP to include an IA. Cal. Fish & G. Code § 2820(b). The Act further imposes a “requirement to make available in a reasonable and timely manner . . . planning documents associated with a natural community conservation plan that are subject to public review.” Cal. Fish & G. Code § 2815 (italics added).
Because the impact and mitigation analyses in the EIR/EIS rely on the IA, the government agencies needed to make the draft IA available at the same time as the draft EIR/EIS in order to meet the *reasonable and timely manner* requirement. Releasing the draft IA months after the Draft EIR/EIS is neither reasonable nor timely because the government could have waited for completion of the draft IA before releasing the draft EIR/EIS.
**How to Remedy These Violations**
The government’s plans to hold a 60-day public comment period for the draft IA after the Draft BDCP and Draft EIR/EIS comment period closes will not cure these defects. Staggering the release and comment periods for BDCP documents deprives the public of adequate review opportunities in two ways. First, once the government releases the Draft IA containing specific details concerning BDCP operation, interested parties’ understanding of the project will change. It is likely that new information released in the IA will supersede comments received during the Draft BDCP and EIR/EIS comment period, undermining the integrity of the comment period. To ensure that interested parties have an adequate opportunity to review and comment on the project, all documents relating the BDCP need to be available for comment at the same time.
Second, a 60-day comment period is drastically insufficient to provide interested parties enough time to review the IA and its effects on BDCP operations. Interested parties will need to both review the draft IA and determine how it alters 40,000+ pages of BDCP documents. Accomplishing this type of review in a mere 60 days is impossible. Limiting the draft IA
comment period to 60 days will effectively ensure that interested parties are incapable of meaningfully reviewing the totality of the BDCP.
In order to provide meaningful public review, the BDCP federal and State agencies need to hold a new Draft BDCP comment period with every BDCP document -- Implementing Agreement, Biological Assessments and Biological Opinions, and Draft BDCP Plan and Draft BDCP EIR/EIS-- available for public review and comment during the same time period. Additionally, the new comment period must remain open for at least four months. NEPA regulation 40 C.F.R. 1502.7 declares that the text of an EIS for "proposals of unusual scope or complexity shall normally be less than 300 pages." Here, there are already 40,214 pages of released documents which represent 20% more pages than the 32 volumes of the last printed edition of the Encyclopedia Britannica. The government's original four month comment period and subsequent two-month extension tacitly conceded that extended public review periods are necessary for a project as massive as the BDCP.
**Conclusion**
The absence of the Draft IA during the Draft BDCP and Draft EIR/EIS comment period has violated NEPA, CEQA, ESA, and NCCPA. These violations have rendered the comment period inadequate to support meaningful public review and comments. In order to remedy these violations, the government must release the Draft IA and open a new, four-month Draft BDCP comment period with every BDCP document available for public review and comment. Beyond these violations of law, the government must open a new public comment period to restore any public confidence in the integrity of the BDCP. It is absurd to expect the public to trust the BDCP process without full disclosure of the project's impacts, costs, and who will pay those costs.
For these reasons, Friends of the River urges you to open a new public comment period on all BDCP documents, including the IA when it is released, for at least four months. Please call Robert Wright, Senior Counsel, Friends of the River at (916) 442-3155x 207 with any questions you may have.
Sincerely,
/s/ E. Robert Wright
Senior Counsel
Friends of the River
(Encl. two attachments)
Additional Addressees, all via email:
Maria Rea, Assistant Regional Administrator
National Marine Fisheries Service
Michael Tucker, Fishery Biologist
National Marine Fisheries Service
Ryan Wulff, Senior Policy Advisor
National Marine Fisheries Service
Mike Chotkowski, Field Supervisor, S.F. Bay-Delta
U.S. Fish and Wildlife Service
Michael Hoover, Assistant Field Supervisor
Bay-Delta FWO
U.S. Fish and Wildlife Service
Lori Rinek
U.S. Fish and Wildlife Service
Mary Lee Knecht, Program Manager
U.S. Bureau of Reclamation
Patty Idloff
U.S. Bureau of Reclamation
Deanna Harwood
NOAA Office of General Counsel
Kaylee Allen
Department of Interior Solicitor’s Office
Tom Hagler
U.S. EPA General Counsel Office
Tim Vendlinski, Bay Delta Program Manager, Water Division
U.S. EPA, Region IX
Stephanie Skophammer, Program Manager
U.S. EPA, Region IX
Erin Forcsman, Bay Delta Coordinator
U.S. EPA
Sacramento, CA
Lisa Clay, Assistant District Counsel
U.S. Army Corps of Engineers
cc:
Congressman John Garamendi
Third District, California
Congresswoman Doris Matsui
Sixth District, California
Which entities make up the JPA?
Thank you,
Burt Wilson, editor
Public Water News Service
We would like a DVD, as suggested: “If you would like to request a DVD copy of the documents, please send an email request to firstname.lastname@example.org.”
Warren Felger
Felger Ag Resources, LLC
6264 North Van Ness Boulevard
Fresno, CA 93711-1240
(559) 447-9650 office
(559) 447-9675 fax
(559) 312-6943 cell
Email: email@example.com
NOAA,
Comments regarding the Bay Delta Conservation Plan:
First, establish the minimum amount of water necessary from the Sacramento river and other tributaries to maintain the health of San Francisco bay and delta. A baseline of the amount required will then determine how much excess water can be budgeted to other water users, including the proposed new water intake and two tunnels. Determining a water baseline should be the main factor in designing the size of the new water intake and tunnels, as it may be evident the current design could be scaled back. Any amount of water in excess of the baseline would be available to the new plan.
Understanding how much water from the Sacramento river can be budgeted to the water districts paying for the tunnels is paramount in designing the scope of the project. I believe the main water priority is to maintain the health of SF bay and delta, the environment it creates, and the viability of local agriculture. It is the responsibility of our government to see the SF bay and delta are not destroyed because too much water is diverted elsewhere. Can the bay and delta really afford the capability of such a large diversion proposal?
If decisions regarding the scope of the plan and the amount of water desired by the plan supporters is not reconciled with the a baseline water amount, the SF bay and delta and the Sacramento river will be at risk of becoming a lost resource. It is unacceptable to allow the loss of Sacramento river water to the extent that has happened to the former San Joaquin river which no longer flows to the bay due to diversions.
Extremely Concerned,
Greg Gisler
My husband, Dave Spensley and I oppose the BDCP TWIN TUNNELS DELTA WATER DIVERSION Project, our reasons are listed below:
We have been boaters, farmers and residents of the Sac. Delta since 1975 and strongly oppose the water and land grab by the State of CA to benefit the Resnicks, the Metropolitan Water District and Kern County Water Hogs, and would like the State to put a stop to this idiotic plan to destroy the Delta.
The proposed twin 40' diameter tunnels have little to do with habitat restoration, and should be separated from the Habitat Conservation Plan (HCP). The EIR for the tunnels should not be a HCP, and, therefore, should include all economic impacts including the impact of reduced property values and tax revenues in the 5 counties, and the impact on the local economy, both during and following construction.
The Cost / Benefits Analysis (Table 9-32) identifies a net benefit of $4.5 to $5.3 billion, given an incremental cost of $13.5 billion. There are several flaws in this analysis, including not taking into account the cost of bond interest, the cost of mitigation, which is necessary to experimentally offset the additional water take, the economic loss due to poor water quality in the south delta, and the economic loss of taking productive delta farmland out of production. The analysis uses "apples and oranges" e.g. using 60 years for the benefit, and 50 for the operating costs. The project is only 10% designed: a 37% contingency is inadequate - look at the Bay Bridge cost.
The BDCP (Chapter 1B.1) and EIR (Table 3.1) fail to include alternatives that actually produce more water for California: Desalination, storage, and re-use. After correcting the BDCP costs noted above, the cost / acre foot exceeds $1,000, ($1,900 for urban rate payers) which equals the estimated cost of desalination. Given that pumps would no longer be necessary to transport delta water over the Grapevine, the energy differential is even lower.
The Authorized Entity Group, which has jurisdiction over real-time operation of the tunnels, includes the Water Contractors. The BDCP, Chapter 188.8.131.52, has deferred the actual decision-making roles to a later date. possibly to avoid comments. Water Contractors should be non-voting members with regard to the amount of water allowed in the tunnels, and pumped out of Clifton Court Forebay, to avoid "the fox guarding the hen house".
10% of fertile delta cultivated farmland is proposed to be taken (Chapter 184.108.40.206.2) via eminent domain for experimental mitigation efforts, so more desert can be irrigated. This makes no sense given the additional water requirement / acre and delivery expense to irrigate the southern San Joaquin Valley.
The BDCP assumes (as part of its Benefit Analysis, Appendix 9A Sec. 9A.5) massive levee failures over the 50 year life of the Plan (2% probability /
year), yet we have never had a levee failure due to earthquake in recorded history, and UCLA researchers could not cause a levee to fail with a simulated 7.0 earthquake. Levee failures have occurred due to high water runoff, a time when pumping would not be affected. Additionally, the BDCP benefit is not reduced by earthquake risk to the tunnels, which would suffer the same liquefaction. The State would be better served by strengthening the San Luis dam and the Aqueduct over the Grape Vine, both of which actually straddle earthquake faults.
No new water sources are identified as part of the BDCP, which makes it a waste of taxpayer / rate payer money. Instead, the State should require mandatory water conservation and re-use, and invest in new sources of water via new water storage and desalination.
Planting of future permanent crops on desert soil should be denied as part of the BDCP, and when permanent crops are plowed under, only seasonal crops should be allowed.
The impact of the costs to rate payers is not in the BDCP. Once they find out, support for the BDCP will dwindle.
The impact on navigation and safety in the Delta has not been adequately addressed.
Proposed recreation mitigation does not benefit the south Delta (EIR Chapter 15).
Construction of the BDCP may damage the aquifers, subjecting them to foaming agents and other hazardous chemicals.
The BDCP allows the X2 salinity line to move inland, jeopardizing water quality and the ability of communities such as Antioch to use the water for drinking or farming. Fisheries will be impacted.
The giant muck ponds are forever in the Delta, and are too close to communities like Discovery Bay.
Citizens have attended public out-reach meetings such as the one at the Brentwood City Library, where the consultants were unable to answer any of our questions or comments. Promises that they would respond have been ignored, and the only changes made to the BDCP have made recreation near Discovery Bay worse. This is not a transparent process.
The 57 species being covered under the BDCP excludes many species that are at exactly the same level of risk and that live in the Delta. The BDCP Plan Appendix 1-A was not updated to cover the lesser sand hill crane even though the new alignment goes through a sensitive sand hill crane reserve. The BDCP Plan also does not cover the endangered great blue heron, egrets, geese and other waterfowl that live here and could be adversely affected by water quality degradation.
Recreation e.g., waterskiing, wakeboarding, and tubing would be effectively eliminated (EIR Ch. 15 Page 268) on the two primary recreational sloughs near Discovery Bay used for those activities: Short-term due to barges and docks; Long-term because the EIR does not include plans to repair damage done to sloughs from docks and barges (e.g., replanting the center berm(s) and levees along primary recreational channels).
Destroying recreational boating for Discovery Bay residents will seriously impact the marine-based economy that relies on boating.
The BDCP has chosen the wrong alignment and in fact doesn't study the logical alignment. The goal of the Delta Plan was to preserve the scenic beauty of the Delta. A 10 to 15 year construction project through the
heart of the Delta is in direct conflict with the Delta Plan. Instead, the construction should be planned in a route with less impact, such as next to Hwy 5 then across from Stockton near where the East Alignment is shown. That would avoid heavy trucks on the levees, avoid trucks on farm and small roads not adequate for heavy traffic (like Hwy 160 and Hwy 4) and construct year round. That would move the pollution to an area where there is already pollution due to high traffic volumes. Minimize the effect on Delta waterfowl and fish. Reduce the impact to Delta farms and communities. Avoid having to dewater small communities and farmers' wells for long periods of time. The muck could be used to build additional lanes for Hwy 5 in the congested area between Stockton and Sacramento.
The BDCP marketing collateral and press releases announced that the tunnel muck is not harmful after all. Instead, it is now being called "Reusable Tunnel Material" or "RTM". The glossy brochure stated all of the possible benefits and where it could be used (fill in islands to make shallower/better wetlands, improve levees). However, the BDCP Plan Chapter 4 sections about tunnel muck are exactly the same EXCEPT the word "muck" was replaced by "RTM". Yet the write-up still talks about how the RTM needs to be stored in lined ponds so as not to pollute the groundwater and the maps still show large muck ponds.
The EIR grossly understates the impact ten years of construction will have on recreation and the Delta's economy.
The EIR does not adequately capture the economic impact to marinas due to construction. For example, Chapter 15 page 259 states that use of the Bullfrog Landing Marina's boating facilities would not be effected but then goes on to say it is in the construction area and boaters "would be disturbed by noise and visual disruptions and 5 mile/hour zones which could last up to 8 years, resulting in a long-term adverse effect". This shows how the writers of the BDCP know absolutely nothing about boating, fishing, etc. That marina will be affected. Boaters will move their boats to quieter marinas away from the construction zone. The marina will go broke.
The EIR does not even identify a primary anchorage in the South Delta - Mildred Island - nor label it on any map (e.g., Chapter 15 Mapbook Figure M15-4: Sheet 5 of 8, page 31). There are barge sites planned affecting getting there from the north or the south and noise disruption through the summer will make it unusable. Not having access to an anchorage in the South Delta will affect our communities' economy.
Thank you for your consideration.
Clare M. Spensley-- Isleton, CA
Cellular- 209-479-6154 |
TIGER '91
Digitized by the Internet Archive
in 2011 with funding from
LYRASIS Members and Sloan Foundation
http://www.archive.org/details/tiger1991yearboo43stud
Beneath circling sky
She stands by the sea
a stream of glorious years
of history
Rising resolutely
Redeeming Savannah's marshland
Stands Savannah State College
stands a promise
stands a dream
Unmeasured her strength
Unsung her gifts
For lives changed by her
Change still.
From "She Stands"
by Ja A. Johannes
TABLE OF CONTENTS — 2, 3
HISTORY — 4
FACULTY, STAFF & ADMINISTRATION — 28
SALUTATIONS — 28
EVENTS — 28
CLASSES — 66
STUDENT LIFE 114
ORGANIZATIONS 130
SPORTS — 152
HISTORICAL MEMORABILIA — 172
ALUMNI SALUTE — 180
ADVERTISEMENTS — 190
A PROUD HERITAGE
By Act of the General Assembly on November 26, 1890, the State of Georgia "established in connection with the State University, and forming one of the departments thereof, a school for the education and training of Negro students." This institution was "located within or near the corporate limits of a city or town in the state which offered the best inducements for such locations." This new school was controlled by a Commission appointed by the governor. Once appointed, the Commission procured the necessary grounds and buildings, and prescribed a course of study which was required by the Morill-Land Grant Acts of 1862 and 1890. The Commission on the School for Negro Students consisted of "five fit and discreet persons, residents of the state."
The Chancellor of the University of Georgia was given general supervision of the school. During the summer of 1891, the Commissioner, Chancellor Boggs, inaugurated a preliminary session of the school in the Baxter Street School Building in Athens, Georgia. RICHARD R. WRIGHT, the first principal, and three other instructors comprised the faculty.
On October 7, 1891, the school was moved to the old Warren Place near Thunderbolt, six miles southeast of Savannah. The beautiful new site, shaded by a grove of magnificent water oaks festooned with moss, was donated by G.W. Parson, the wealthy owner of Warsaw Island, and P.W. Meldrim of Savannah.
The school was named the "Georgia State Industrial College for Colored Youth," and a faculty was selected which consisted of a president, Major Wright, an English instructor, a mathematics instructor, a natural science teacher, a superintendent of the mechanical department and a foreman of the farm.
Georgia State Industrial College, at the time of its inception, was the only school in Georgia for Blacks that was supported by the State. The school opened with only eight students. The first building program consisted of an assembly hall, six classrooms, one men's dormitory, one machine shop, a barn, and a stable with 4 horses and 4 cows.
The first women students were admitted as boarders in 1921. The criteria for admission of a student to the institution during the early years were that he should be fourteen years of age or more, be of good moral character, and be able to pass an examination in the elementary English studies. There were no tuition charges to students who were residents of Georgia.
The funding of the Georgia State Industrial College was extremely meager during its formative years, with the state making an annual appropriation of $8,000 due Georgia from the 1862 Land-Grant Act, and an additional $2,000 from the state treasury. As late as 1918, the total income of the school from both state and federal sources was only $26,000.
Although the institution graduated its first college students in 1898, the enrollment remained relatively small, reaching 585 by the end of Richard Wright's tenure as President.
The 1991 Centennial Landmark Edition of the Tiger is dedicated to our nine former presidents who provided Savannah State College with excellent leadership. Because of their many contributions to the college family over the past century, Savannah State College stands today as a permanent monument to their years of dedicated service.
A CENTURY OF LEADERSHIP
DEDICATED TO
RICHARD R. WRIGHT 1891-1921
CYRUS G. WILEY 1921-1926
BENJAMIN F. HUBERT 1926-1947
JAMES A. COLSTON 1947-1949
WILLIAM K. PAYNE 1949-1963
TIMOTHY G. MEYERS (acting) July-Nov. 1963
HOWARD JORDAN, JR. 1963-1971
PRINCE A. JACKSON, JR. 1971-1978
CLYDE W. HALL (Acting) 1978-1980
WENDELL G. RAYBURN 1980-1988
WILEY S. BOLDEN (Acting) 1988-1989
WILLIAM E. GARDNER, JR. 1989-Present
Under brooding oaks and by Edenic waters, Warmed by the abiding, golden sun, Planted firmly on nurturing, primeval earth, Touched by winds wafting from old savannas, This wonderful place is hallowed ground, Shrine to work of hands and hearts and minds That will ever inspire and inspire The watchers of the dream foretold by the founders.
Just tell them
We are rising
We are rising
— From "For All That Rises"
by Luetta C. Milledge
During Major Richard R. Wright’s thirty years as the first principal and later President of the Georgia State Industrial College for Colored Youth, many far-reaching accomplishments were made which laid the groundwork for the Savannah State College we know today. A man of keen insight and great vision, Wright was a tremendous leader who worked persistently to see the small institution reach its potential as an institution of higher education. Under his leadership programs in tailoring, dairy farming, mathematics, carpentry, brickmaking, English, social studies and science were incorporated into the curriculum which included normal school and college courses. The first faculty to serve under Wright included an English instructor, a mathematics instructor, a natural science teacher, a superintendent of the mechanical department and a foreman of the farm.
Georgia State Industrial College, at the time of its inception, was the only school in Georgia for Blacks that was supported by the State. The school opened with only eight students. The first building program consisted of an assembly hall, six classrooms, one men’s dormitory, one machine shop, a barn, and a stable with 4 horses and 4 cows.
Major Wright’s tenure ended in 1921. After leaving Savannah, Wright moved to Philadelphia where he became a prominent banker.
Major Richard Wright served as the first President of Savannah State College from 1890 to 1921. His leadership at this Institution is fully recognized and appreciated throughout the state. What is less known of former President is that he sponsored and succeeded in having legislated, the first national holiday for African-Americans in the United States — National Freedom Day — February 1. (Signed into Law June 30, 1948)
On January 25, 1949, President Harry Truman issued proclamation No. 2824, declaring February 1, as National Freedom Day. This culminated eight years of persistent attempts by Major Wright who died at age 91: 11 months before the bill was signed into law. Unfortunately, too many Americans, and especially Georgians, are unaware of this legacy of strong Black leadership at the national level that is associated with Savannah State College. In addition to this accomplishment, Wright was the first sponsor of the Booker T. Washington Stamp and the 13th Amendment Stamp.
President Harry S. Truman signs into law the Freedom Day Legislation which Major R.R. Wright fought assiduously to see pass. Standing as observers of the enactment are: Mary McCleod Bethune (Center) and Major Wright's daughter, along with several of his brothers and other relatives.
Cyrus G. Wiley, the second president of Georgia State Industrial College for Colored Youth, was appointed to the presidency in 1921. Under Wiley, the criteria for admission of a student to the institution during its early years were that he should be fourteen years of age or more, be of good moral character, and be able to pass an examination in the elementary English studies. There were also no tuition charges to students who were residents of Georgia.
Although the institution graduated its first college students in 1898, the enrollment remained relatively small, reaching 585 by the beginning of Wiley's tenure. Under Wiley, the first women students were admitted as boarders in 1921. Also, the first summer session was conducted in 1922 and in 1925 the governing body of the college was changed from a Commission to a Board of Trustees whose members were appointed for four-year terms. Wiley's presidency ended in 1926.
Under the leadership of Benjamin F. Hubert, 1925-1947, the entire college program was reorganized. The high school and normal departments were discontinued. The school became a four year college, offering the Bachelor of Arts degree and the Bachelor of Science degree in agriculture and home economics.
In 1931, Georgia State Industrial College was integrated into the reorganized university system under the Board of Regents' control and began operation with an $8,000 federal budget. Under the leadership of Benjamin F. Hubert, Georgia State Industrial College was renamed Georgia State College in 1936 and an extensive building program was begun.
During the administration of Benjamin F. Hubert, the following buildings were added to the physical plant: Adams Hall (1931), Willie Powell Laboratory School (1932), Wilcox Gymnasium (1936), Information Cabin (1940), and the Hodge Community House (1941).
OUR FOURTH PRESIDENT
James A. Colston
President
Georgia State College
On July 1, 1947, James A. Colston became the fourth president of Savannah State College. President Colston quickly sensed the task that awaited him, and began immediately charting the course for a greater college by renovating and enlarging the physical plant, enlarging, and strengthening the faculty, improving curricula offerings, setting up a new student personnel service, and unifying the entire program of the college. Under his administration, the College Infirmary was built and operated by a full-time nurse and physician. During Colston’s administration, Georgia State College had an enrollment of 885 students and its annual income was $343,000. The library had 15,000 volumes and the physical plant was valued at $880,000.
OUR FIFTH PRESIDENT
Dr. William K. Payne
President
Savannah State College
Dr. & Mrs. William K. Payne at home in Hodge Hall.
Dr. W.K. Payne became acting president of the college on September 1, 1949. The Regents of the University System of Georgia changed the name of the College from Georgia State College to Savannah State College on January 18, 1950. Dr. Payne became the fifth President of the college in March 1950; he served in this capacity until his death on July 26, 1963.
At the beginning of Dr. Payne’s administration, Savannah State College was granted membership in the American Council of Education. During the course of his administration the curriculum was expanded and improved and the institution was admitted to membership in the Southern Association of Colleges and Schools. In addition, the academic program of the College was organized under seven divisions — Business Administration, Education, Humanities, Natural Sciences, Social Sciences, Technical Sciences, and Home Study.
OUR SIXTH PRESIDENT
Howard Jordan, Jr.
President
Savannah State College
Under the leadership of Dr. Howard Jordan, Jr. (November 1, 1963 through January 31, 1971), significant, far-reaching and innovative programs were initiated in all aspects of the College's development. Curricula improvements in the general education program of teacher education, and in business administration, as well as other areas, were carried forward. A graduate studies program in elementary education was initiated in the summer of 1968. The mantle of educational leadership at Savannah State College passed from Dr. Jordan to Dr. Prince A. Jackson, Jr., on February 1, 1971.
A leader of definite action ... prophetic words ... understanding deeds ... respect and sincerity ... loyal school spirit ... unusual humor — Our Sixth President . . . Dr. Howard Jordan, Jr.
OUR SEVENTH PRESIDENT
Dr. Prince A. Jackson, Jr.
President
Savannah State College
Many of the improvements and innovations begun during the administration of President Jordan, came into fruition during the first year of Dr. Prince A. Jackson's tenure. At the time of his appointment, Dr. Jackson served as Chairperson of the Division of Natural Sciences and Director of the Institutional Self-Study, which resulted in reaccreditation of the College by the Southern Association of Colleges and Schools in December, 1971. During that same year the College was accredited by the National Council for the Accreditation of Teacher Education (NCATE). The three engineering technology programs — civil, electronics, and mechanical — were accredited by the Engineer's Council for Professional Development in 1973.
In his second full term as president, 59% of the faculty held the earned Doctorate, two new dormitories were opened, new academic programs were added (two-year programs in fire science technology and applied sciences; a four- and two-year engineering program was established — making it second only to Georgia Tech in the State), the Board of Regents authorized the college's application for a 10-watt FM Radio station, and the ground-breaking for a new library was held.
President Jackson, the first alumnus of the College to serve as President, provided vigorous and dynamic leadership until March 27, 1978, when he was succeeded by Dr. Clyde W. Hall, who at the time of his appointment was serving as Chairperson of the Division of Technical Sciences.
Wendell G. Rayburn
President
Savannah State College
Dr. Rayburn received a scholarship and donations from Wilton C. Scott, former Director of Public Relations. Dr. Suresh Persad and Dr. Benjamin Lewis also pictured.
Dr. Rayburn and Sen. Al Scott pose with the first student to be honored as Regent Merit Scholar, Lorna Jones.
Dr. Wendell Rayburn achieved many milestones while he was here at Savannah State College. Dr. Rayburn organized the college into its present three schools — School of Business, School of Humanities and Social Sciences and the School of Sciences and Technology. Under his administration, Rayburn developed a grievance procedure for the college and established tenure and promotion review procedures. He created a strategic long-range planning process in order to set goals for the college. He also modified the college's mission so it could reflect the new urban mission and he brought in new academic programs such as the Master of Public Administration program and the New Liberal Arts program. Under Dr. Rayburn's administration, the college received accreditation for the Social Work program and the Athletic program was enhanced.
Because of Dr. Rayburn, Savannah State College became an institution in which the percentage of successful first-time Regent's test-takers increased.
Because of him, the Elderhostel program was formulated and he strengthened the relationship between Savannah State College and Savannah State College (SSC and ASC). The School of Business was selected to spearhead the urban mission initiative and the desegregation and affirmative action goals for the school were met annually.
Finally, former President Rayburn led Savannah State College to be chosen as one of the five most desegregated institutions in the University System of Georgia and he established a scholarship endowment up to $500,000 in funds.
The faculty and staff of Savannah State College turned out in full force at a reception to welcome our president, Dr. Wendell G. Rayburn and his family to our campus. Shown from left to right are: Wendell, Jr.; Mrs. Gloria Rayburn; daughter, Rhonda and President Rayburn.
Rev. Louis Stell presents a check for the Louis Stell Scholarship fund in behalf of his late father, Rev. L. Scott Stell. Mr. Thomas Hines, former Development Officer and Mrs. Beauline Hardwick, Administrative Assistant to the President, look on.
OUR NINTH PRESIDENT
Dr. William E. Gardner, Jr.
President
Savannah State College
John H. Johnson, owner/publisher of the Johnson Publishing Company, chats with Dr. Gardner after the Martin Luther King Business Breakfast.
Dr. William E. Gardner, Jr., 52, became the ninth president of Savannah State College on September 1, 1989. Dr. Gardner came to the College from Lincoln University, Pennsylvania where he served as Vice President for Academic Affairs.
A man of pre-eminent vision, Dr. Gardner projects the future for Savannah State College that will place the College at the zenith of institutions of higher education. Among his myriad accomplishments are the following:
—Recruitment strategies resulting in a thirteen percent increase in student enrollment
—The development of a management team which emphasizes strategic planning
—The funding of grants for the renovation of Hill Hall and for the implementation of an Advanced Water Technology Institute ($2,000,000)
—The successful completion of the College Self-Study for SACS re-accreditation
—The permanent display on campus of the Blue Angel flown by Lt. Commander Donnie Cochran, the first Black member of the Blue Angels
—The renovation of Adams Hall for the establishment of the W. E. B. DuBois Archives
—The development of a proposal designated to increase the number of secondary teachers via a joint venture with Armstrong State College
—The renovation and installation of computer laboratories to enhance the programs in computer science and mathematics
—Revitalization of the academic programs of the College, with an emphasis upon the Core Curriculum
—Emphasis upon academic excellence and student development
Under Dr. Gardner’s leadership, the physical and intellectual ambience of the College has been improved and re-vitalized. His mental acuity, his sincere empathy, and his inspired vision makes him an academic leader without peer. His vision for Savannah State College is based upon an analytical knowledge of higher education, modern social trends, and a keen awareness of human needs, resources, and aspirations.
Dr. Gardner pictured above with his family immediately after he was inaugurated as the ninth president. (L-R) William E. Gardner, III, Dr. Dorothy Gardner and Kim Gardner. At right, Dr. & Mrs. Gardner pictured in front of Homecoming viewing stand.
Dear Students, Faculty, Staff, and Alumni:
Savannah State College has been an illustrious citadel of higher learning for one hundred years. From a meager beginning in October, 1891 as the Georgia State Industrial College for Colored Youths with three faculty and eight students, the College has developed into a high tech institution of approximately 130 faculty and over 2300 students.
The College has an alumni cadre of over 10,000 distributed over the United States and the world. Our graduates have gone on to great careers as doctors, entrepreneurs, lawyers, educators, computer scientists, corporate leaders, and politicians. In short, current students at Savannah State College are the recipients of a tremendous and valuable educational legacy.
The onus is now upon current and prospective Savannah State College students to carry the mantle of leadership, achievement, academic excellence, and humane concern for others in the society into the 21st century and the next one hundred years.
May the vigorous and pioneering spirit of Richard R. Wright, First President of Savannah State College, guide and bless each student, faculty, staff member, and each alumnus as a universal and indomitable spirit allows each of you to advance the banner of excellence and achievement in the name of Savannah State College, our beloved "College by the Sea."
"In our hearts we'll build a shrine for thee . . . ."
Sincerely,
William E. Gardner, Jr.
An Equal Opportunity/Affirmative Action Employer
Greetings:
On behalf of the executive board and members of the Savannah State College National Alumni Association, Inc., I consider it a privilege and honor to have been given an opportunity to greet the Savannah State College family from the Historic Landmark Edition of the 1991 Tiger Yearbook. The Tiger Yearbook staff is to be commended for their efficient preparation and publication of this Centennial Edition.
As we celebrate our Centennial, let us be reminded of the challenges we have overcome in the past so that we will confront similar challenges which lie ahead with vigor and valor. Savannah State College has 100 years of a glorious history, and we must continue to trust God, who has all power in His hands, that all the efforts of our founders, forefathers, and alumni have not been in vain.
The National Alumni Association will continue to lead in the struggle to acquire and provide the resources needed to preserve, develop and enhance Savannah State College and its historical mission. Savannah State College has a bright future ahead and we request your participation and prayers as we commit our efforts to building stronger bridges that will yield maximum results and a Bicentennial Celebration of Savannah State College!
Sincerely,
Charles G. Young
President
Savannah State College
National Alumni Association, Inc.
WHAT COSTS MORE THAN AN EDUCATION — The lack of it!
GOVERNOR ZELL MILLER
STATE OF GEORGIA
OFFICE OF THE GOVERNOR
ATLANTA 30334
Zell Miller
GOVERNOR
GREETINGS:
It is with great pleasure that I extend best wishes upon the occasion of the Savannah State College's Centennial celebration.
Historically, Savannah State College has stood as a beacon of academic excellence, producing the finest doctors, lawyers, politicians and educators in the country.
As Governor, one of my top priorities is the strengthening of education in the State of Georgia, and I applaud and commend you for your continued commitment and dedication to that cause.
Congratulations, and again, best wishes for a very momentous 100th birthday!
With kindest regards, I remain
Sincerely,
Zell Miller
ZM/lg
SAVANNAH STATE COLLEGE FAMILY
Greetings:
On behalf of the Mayor and Aldermen of the City of Savannah, I extend congratulations and best wishes to you upon the 100th birthday of Savannah State College. The college continues to be an outstanding asset to this community. I look forward to being a major supporter as we move into the next 100 years.
With warmest regards, I am
Sincerely,
John P. Rousakis
Mayor
FACULTY FACES SPAN A CENTURY
1 W.E. Griffin
History
2 Geraldine Abernathy
Physical Education
3 B.T. Griffith
Biology
4 Joseph Wortham
Biology
5 Blanton Black
Geography
6 Virgil Winters
Mathematics & Physics
7 Varnetta Frazier
Dietician
8 Joan Gordon
Social Work
9 Sylvia Bowen
Mathematics
10 E.K. Williams
Social Sciences
11 John B. Clemmons
Mathematics
1. Dr. John W. Johnson, President of the University of Maryland, College Park, and former President of Howard University.
2. Dr. Mary McLeod Bethune, educator, civil rights leader, and founder of Bethune-Cookman College in Daytona Beach, Florida.
3. A group of students in a classroom setting, likely at a university or college.
4. A man in a suit standing next to a globe, possibly in an educational or professional setting.
1 Clyde W. Hall
Engineering & Acting President
2 Ella W. Fisher
Physical Education
3 Faculty attend a Sunday afternoon lecture in the A.V. Center in 1964.
4 Elmer J. Dean
History
5 A. Peacock
Social Science
6 Martha Wilson
Mathematics — College Dean
7 Maurice Stokes
Social Science
8 Eltonnie J. Josey
Librarian
9 Susan P. Waters
Fine Arts
1. Dr. J. W. H. Smith, Dr. L. M. Smith, and Dr. J. W. H. Smith Jr.
2. Dr. J. W. H. Smith presenting an award to a student.
3. Dr. J. W. H. Smith with two other individuals in a laboratory setting.
4. Dr. J. W. H. Smith in a formal portrait.
5. Dr. J. W. H. Smith smiling in a portrait.
6. Dr. J. W. H. Smith in a formal portrait.
7. Dr. J. W. H. Smith in a formal portrait.
1 Dr. Griffith instructs students.
2 Marcelle Rodriguez (Business) receives Delta's "Teacher of the Year" Award.
3 Willie Tucker
Chemistry
4 C. Vernon Clay
Engineering
5 Robert C. Long
Business
6 Louise Lautler Owens
English
7 Janie Lester
English Language & Literature
8 Calvin L. Kiah
Dean of Faculty
9 Wilbur McAfee
History
10 Frank Tharpe
Industrial Arts
11 James L. Thompson
Music
12 Raymond Hopson
Physical Education
13 James Eaton
Education
14 Commander Virgil Mcghee (third from left)
First NROTC Commander
The School of Business provides professional education in business administration through major programs in Accounting, Information Systems, Management, and Marketing. In designing programs which prepare the student for a dynamic environment, the faculty recognizes the stable principles and the evolving methods on which business and other enterprises are based.
The purpose of the School of Business is to provide to each student a sound educational foundation for gainful employment which is economically and socially effective in our contemporary culture. The School provides curricular offerings, supervised work experiences, co-curricular activities and individual counseling.
Mrs. Swannie Richards receives a plaque from Fr. Gardner after being selected as Distinguished Teacher of the Year during 1990.
Mrs. Richards's Introduction to Business class listening to a guest speaker.
FACULTY NOT PICTURED
Dr. Edward Alban (ASOP)
Dr. Tsehai Alemayehu (ASOP)
Dr. Hayward S. Anderson (PROF)
Dr. Barbara Bart (ASOP)
Dr. Howard Berman (ASTP)
Dr. George Conlin (ASTP)
Mr. Carl David (INST)
Dr. Thomas Eason* (PROF)
Dr. Lynda Evans (ASOP) (ASTP)
Mr. Alexander Heilin (ASTP)
Dr. Jeraline D. Haven (PROF)
Mr. Mark James (ASOP)
Mr. Robert Jensen (ASTP)
Dr. Mary Lou Lamb (ASOP)
Mr. Arthur Levy (ASTP)
Dr. Robert Morgan (ASOP)
Dr. Janice Phillips (ASOP)
Dr. Henri C. Pusker (PROF)
Dr. George Reid (ASOP)
Mrs. Carol Tapp (INST)
Dr. Ralph Traxler (PROF)
* As to presentation by Levy, Jewell personnel.
Management major prepares class assignment.
SCHOOL OF HUMANITIES AND SOCIAL SCIENCES
Black History Month Seminar featured Dr. Hanes Walton, Professor. Ms. Gaye Hewitt looks on.
Jane Fowles
Assistant Professor
Dr. Rene Immele
Assistant Professor
Sanford Gray
Professor
Dr. David Richardson
Associate Professor
Daniel Smith
Instructor
Dr. Carver Waters
Assistant Professor
Dr. Robert L. Stevenson
Professor
Debra Wilson
Instructor
Dr. Ja Arthur Jahannes, Dean of the School of Humanities and Social Science, raises a question at a college symposium.
Students complete work assignments in the English and Reading Laboratory.
The School of Humanities and Social Sciences is comprised of five departments: the Departments of Fine Arts, the Department of Humanities, the Department of Recreation, the Department of Social and Behavioral Sciences, and the Department of Social Work and Applied Sociology. The School offers majors in English, Mass Communications, Music, History, Criminal Justice and Social work, Sociology, Political Science, Recreation and Parks Administration, and Urban Studies. Minors are offered in the following areas: Mass Communications, English, Art, Music, Religion and Philosophy, Afro-American Studies, Psychology, History, Sociology, Criminal Justice, Gerontology, Political Science, Recreation, Parks Administration, Voice, and Theatre.
FACULTY NOT PICTURED
Dr. Luetta C. Milledge (PROF), Head
Dr. Victor D. Anderson (ASOP)
Dr. Russell D. Chambers (ASOP)
Dr. Charles J. Elmore (ASOP)
Mrs. Novella Cross-Holmes (ASTP)
Mrs. Yvonne L. Mathis (ASOP)
Dr. Percy W. Miller (ASOP)
Dr. George J. O'Neill (PROF)
Mrs. Linda J. Peerson (ASTP)
Mrs. Gloria C. Shipp (ASTP)
Dr. Terry Thompson (ASTP)
Mrs. Clara Aguero (ASTP)
Mr. Willie E. Jackson (ASTP)
Dr. Christine E. Oliver (PROF)
Dr. Terrance Anderson
Professor, Department Head
Farnese Lumpkin
Associate Professor
Lawrence Hutchins
Assistant Professor
Randy Duncan
Acting Choral Director
SOCIAL AND BEHAVIORAL SCIENCES
Dr. Modupe Akin-Deko
Assistant Professor
Diana A. Pattillo
Assistant Professor
Dr. Eke makes a point to his Government class.
Joenelle Gordon, Associate
Dr. Steven Smith
Professor
Dr. Daniel Washington
Professor
Dr. Craig Winston
Assistant Professor
Johnnie Mitchell
Activities Coordinator
Dr. Merolyn Stewart lectures to History 102 class.
Professor, lectures to her students.
Dr. Warren Whitton
Associate Professor
Dr. Mohamed Turay
Associate Professor
SCHOOL OF SCIENCES AND TECHNOLOGY
The School of Sciences and Technology comprises under-graduate programs in Biology, Chemistry, Mathematics, Physics, and Computer Science; Engineering Technology, and Naval Science. It offers Bachelor of Science degree program with majors in Biology, Environmental Studies, Marine Biology, Medical Technology, Chemistry, Mathematics, Physics, Civil Engineering Technology, Electronics Engineering Technology, Mechanical Engineering Technology, and Computer Science Technology.
Dr. Margaret C. Robinson
Dean
Dr. Frissell Hunter
Professor, Biology and Life Sciences
Dr. Hetty Jones
Associate Professor, Biology and Life Sciences
Dr. P.V. Krishnamurti
Professor, Biology and Life Sciences
Mr. Henry A. Taylor
Assistant Professor, Engineering Technology
Dr. Bernard Woodhouse
Professor, Biology and Life Sciences
Dr. George Williams
Professor, Chemistry
Dr. Matthew Giligan
Associate Professor, Biology and Life Sciences
Dr. Joe Richardson
Associate Professor, Biology and Life Sciences
Dr. Jacqueline Byers
Professor, Mathematics
Dorothy S. Murchison
Associate Professor, Mathematics
Joseph Owens
Instructor, Mathematics
Dr. Theresa Anthony
Professor, Engineering Technology
Chemistry major, Connie Lynch, prepares experiment.
Dr. K.B. Raut
Professor, Chemistry
Dr. G.K. Nambiar
Professor, Biology
Raymond Schlueter
Associate Professor, Engineering Technology
Dr. Alex Kau
Assistant Professor, Engineering Technology
Dr. Sylvester Chukwukere
Assistant Professor, Engineering Technology
Engineering students use state-of-the-art equipment.
Dr. Hede Ma
Assistant Professor, Engineering Technology
Rex Ma
Assistant Professor, Engineering Technology
Asad Yousuf
Assistant Professor, Engineering Technology
Commander Claven Williams
Commanding Officer
Commander Gordon Lannou
Executive Officer
Lt. Alfredo Arredondo
Lt. Matthew Gail
YNC (SW) Jamel Ragin
Lt. Thelonious Vaults
Spring Review 1991
SKC (SW) Vic Victoria
DEVELOPMENTAL STUDIES
Even though these students are under remediation, the undergirding philosophy of this program is to encourage students to improve their learning ability and to motivate them into learning. The program supports the contention that students should not only concentrate on their strengths, but also their weaknesses. In order to facilitate students' inner growth and development, each of the four components in Developmental Studies have created a number of objectives designated to promote the Program's overall mission. These directives are based on the staff's desire to support the students' pursuit of academic excellence and life survival skills.
Clara Elmore-Bain
Assistant Professor
Rosalind Kent
Assistant Professor
Dr. Joyce McLemore
Associate Professor
Khani Morgan
Assistant Professor
Charlie Bryan
Mathematics Program Assistant
Mary Ann Goldwire
Reading Program Assistant
Lawrence Simmons
English Program Assistant
Dr. George W. Reid
Vice President for Academic Affairs
Dr. James B. Ewers
Vice President for Student Affairs
Prince K. Mitchell
Vice President for Business & Finance
Dr. Benjamin F. Lewis
Interim Director of Development & College Relations
Dr. Charles Elmire
Assistant Vice President
Dr. George O'Neill
Assistant Vice President for Academic Affairs
THE ROLES OF A VICE PRESIDENT.
Vice President Ewers & Assistant, Rev. Sam Williams, present X-mas donations to Greenbrier personnel.
Vice President Reid contemplates his remarks before presiding over a faculty meeting.
Juanita Adams
Public Relations
Ellen Addison
Registrar’s Office
Janice Allen
Business & Finance
Vara Allen
Comprehensive Counseling
Catherine Baker
Title III
Vivian Brannen
Business & Finance
Angela Brown
Personnel
Naomi Calhoun
Development & College Relations
Elaine Cannick
Comprehensive Counseling
Elizabeth Chapman
Infirmary
Rachel Claiborne
Comprehensive Counseling
Marchnita Coleman
Cooperative Education
Karen Conner
Secretarial Center
Gwendolyn Cummings
Admissions
Carolyn Smith Fletcher
Personnel
Gwendolyn Frazier
Infirmary
Beulah Gardner
Business & Finance
Glenn Lee
Procurement
Carol Gordon
Radio Station
Shelia Hayes
Business & Finance
Audretta Holder
Business & Finance
Bonnie Howard-Holt
Development & College Relations
Sylvia Hutchinson
Infirmary
Edna B. Jackson
Alumni Affairs
Staff members enjoy a reception at the President's residence
Doris Jackson
Secretarial Center
Dr. Roy A. Jackson
Admissions
Shirley James
Comprehensive Counseling
Judy Johnson
Infirmary
Jerrie Knight
Financial Aid
V. Koganti
Personnel
Carless Lawyer
Mathematics
Anne Lipsey
Financial Aid
Laura McGraw
Office of the Vice President for Academic Affairs
Almisha Mattox
Cashier's Office
GARDNERS ENTERTAIN FACULTY AND STAFF
Vice Presidents serve as chefs.
First Lady, Dorothy Gardner, plays hostess to Shevon Carr.
Winifred Mincey
Financial Aid
Margaret Mitchell
Library
Tommie Mitchell
Financial Aid
Ruby Morris
Business & Finance
Wanda Moran
NROTC
Savita Raut
Business & Finance
Robert L. Ray
Registrar
Elizabeth Robinson
Business & Finance
Evadne Roberts
Admissions
Patricia Rutledge
Personnel
Donald Shavers
Business & Finance
Martha Stafford
President's Office
Henton Thomas
Comprehensive Counseling
Jeannette Westley
Business & Finance
Diane Williams
Business & Finance
Clyde Wilson
Cashier's Office
Rose Harris Wright
Property Control
Patricia Young
Financial Aid
QUEENS FROM THE PAST
Elizabeth Wells-Benton
Miss GSC 1988-89
Thelma Purry-Wallace
Miss GSC 1947-48
Vernice Thompson Myers
Miss GSC 1948-49
Akhatha McIntosh
Miss GSC 1949-50
Dorothy Murchinson
Miss SSC 1957-58
Beatrice Hardwick
Miss SSC 1957-58
Yvonne McGlocklin McNeill
Miss SSC 1963-64
Jacquelyn Frytes-Harris
Miss SSC 1967-68
Sharon Lowie Pritchett
Miss SSC 1971-72
Patricia Johnson Brown
Miss SSC 1975-76
Gail Merkerson
Miss SSC 1976-77
Patricia Y. Houston
Miss SSC 1980-81
Trinace Williams Gayden
Miss SSC 1984-85
Gwendolyn Cummings
Miss SSC 1985-86
Onetiville Lullien
Miss SSC 1987-88
CORONATION
Vanessa Trinidad
Miss Freshman
Nicole D. Johnson
Miss Lackrite Hall
Shannon D. Hall
Miss Peacock Hall
Laurna Isham
Miss Camilla-Hubert Hall
Angie Dulls
Miss Pan Hellenic Council
Vananda Spencer
Miss 1974-75
Crystal Williams
Miss Junior Councilor
Cynthia Williams
Miss Army ROTC
Crystal Collins
Miss Leiker Hall
Regina Berdell
Miss Nursing
Mari Rice
Miss Sociology Club
1990
Charmayne E. Smith
Miss Senior
Latricia Harris
Miss Alpha Phi Alpha
Nicole Blount
Miss Sophomore
Karina Shaye Robinson
Miss Alpha Kappa Alpha
Emma Moore
Miss Alpha Phi Omega
Nita Nash
Miss Time Yourbook
Dionne Hostens
Miss Delta Sigma Theta
Tanya Brown
Miss Beta Sigma
Stephanie J. Johnson
Miss Newtman
Nadia Servies
Miss Bostic Hall
Yachmie Jeeter
Miss NHOTC
Ivy Yolanda Brennan
Miss Student Union
THE RUNNERS UP ARE
Miss Jackson is robed by former Miss SSC, Janelle Westley.
Jenean Brown beams with excitement after being crowned 2nd Runner-Up.
Miss Jenean Brown makes her entrance.
Miss SSC 1990
SHARON BERRY
Miss SSC 1990-91, Sharon Berry, poses with Miss Georgia State College 1933-34, Miss Georgia Wells-Benton.
Former Queens of Savannah State College gather for final salute.
This will be a birthday to remember.
The Financial Aid Office takes part in the celebration.
SSC has endured the decades.
NROTC takes part in SSC's Homecoming parade.
The Alumni Association is always on hand for SSC activities.
The band steps lively for SSC supporters.
Miss Ebony Fair 1990-91, LaSandra Roberts.
Miss Bostic Hall, Nadia Service.
Drum Major, Sal Mulgrav, leads SSC band during halftime activities.
Some SSC students take us back to the 50's by identifying with this phony.
Savannah State College players greet opposing team.
SSC supporters came out in record number for Homecoming 1990.
Coach Thomas (left) watches the game.
Miss SSG 1990, Sharon Berry, is presented with the team football.
SSC's Alumni Association presents the school with a check.
The football team puts SSC one step closer to a Homecoming victory.
Band Director Lawrence Hutchins directs the band during the alumnatur.
The Founder's Day Convocation drew hundreds of faculty, staff, students, alumni, community leaders, and local dignitaries. The guest speaker for the occasion was the Honorable Clarence Thomas, a native Savannahian, Judge of the United States Court of Appeals for the District of Columbia Circuit.
The Founder's Day Convocation commemorated the founding of the Georgia Industrial College for Colored Youth on November 26, 1890.
President William E. Gardner, Jr. delivers words of the occasion.
Judge Clarence Thomas
U.S. Court of Appeals
SSC faculty and staff participate in Founders Day celebration.
What was the site of the former dining hall for residence students over a span of five decades, has now been refurbished as the archival showcase of much of Savannah State College's invaluable memorabilia and artifacts.
Spearheaded by the efforts of Dr. & Mrs. Gardner, a Committee of faculty, staff and retirees was garnered to locate, assemble and reshape the many misplaced pieces of SSC history which for years had languished in the file cabinets and storage rooms of many college offices, or gathered years of dust in the basements, attics or closets of college alumni and former employees of the College.
The Plant Operations Unit, under the supervision of Dr. Jeffrey Jenkins, in a matter of a few short weeks, turned the long neglected building into a showplace which left even the Archives Committee members amazed at the magnificence of the architecture, and the sheer aesthetic beauty of the building.
High ranking women of junior status who have excelled in the area of academics, as well as community services and extra-curricular campus activities were recognized at an awards banquet on Sunday, February 10, 1991, at 7:30 p.m. in the King-Frazier Complex.
Six young ladies entered the competition which was extended to all junior women with grade point averages of 3.0 and above. Criteria for judging included academic accomplishments, an essay describing meaningful, stimulating, and goal related experiences in the student's chosed field of study, participation in campus and community activities, demonstration of leadership and citizenship, as well as accomplishments in other areas. Ava Phoenix, a junior Chemistry major from Savannah, was selected to receive the Junior Women of Excellence Award.
The top junior women participated in the Mantle Passing Ceremony — a traditional form of recognition for junior women of excellence at Savannah State College which was last performed in 1971. The last recipient (1971), Mrs. Joan S. Green, performed the ceremony this year. Dr. Luetta Milledge, Head of the Department of Humanities, was the main speaker at the banquet, and former Mantle recipients also participated. Freshman and Sophomore young ladies with a 3.0 GPA and above were special guests for the evening.
Dr. Luetta Milledge delivers an inspiring address.
Dr. Annette Brock introduces the speaker.
Audience gives Dr. Milledge their rapt attention.
Dr. Gardner lends a congratulatory smile to award finalists.
Dr. Ewers, Vice President for Student Affairs, and Ava Phoenix after award ceremony.
The Savannah State College Players By The Sea opened its Centennial production under the direction of Dr. Robert L. Stevenson, professor of English. The Players By The Sea presented the play *Rashomon*, by Fay and Michael Kanin.
The story line was relatively simple: A murder had been committed and four different versions of the same story were told. The viewer was left to determine which story was the correct one. However, the meaning behind the plot was much more complex. Without compromising the integrity of the play and viewer, it was safe to argue that one point being stressed was the fallibility of human beings. Juxtaposed with this was the idealism represented by the priest in the play. As viewers of 5th century B.S. learned from Aeschylus, we discovered that religious concepts must grow and change in order to accommodate man.
The play was staged in the Kennedy Fine Arts auditorium on November 29, 30 and December 1, 1990.
The play "The King and I" was performed by the students of the Department of Dramatic Arts, Faculty of Fine Arts, Chulalongkorn University, in 1965. The performance was directed by Professor Somsak Khampheng.
HAYDEN/BERN
GENERAL BIOLOGY
GEORGE B. MOLEND, MOSBY
Newell
Chemistry
SECOND EDITION
Little, Brown
KANE
PHYSICS
2ND ED
STERNHEIM
WALLSBAK, TAYLOR, BAILEY, JEWSBURY
Civilization Past & Present
SINGLE VOLUME - FIFTH EDITION - SPECIAL PRINTING
byrns stone
economics
Algebra Two with Trigonometry
Third Edition
GEOMETRY
Hoffier
Calculus and Analytic Geometry
Dublin Modern Algebra
Liley
Trim
The Careful Writer
A Student's Guide to English Usage
The Oxford Anthology of English Literature
Volume 2
KERMODE
HOLLANDER
BLOOM
PRIME
TRAPP
TRILLING
OXFORD
Freshman class officers for the 1990-91 were dedicated and hard working. Elected at the beginning of the academic year, these students led a spirited campaign to capture the confidence and support of their peers in the freshman class election.
Also elected during this time was Miss Freshman, Venus Trawick from Sandersville, Georgia.
Historian John Hope Franklin signs autographs for visiting elementary school students as Robert James and Dr. Coleridge Braithwaite look on.
Dr. John Hope Franklin, noted historian, addresses the audience during Honors Convocation Day.
“MOMMA DON’T” CAST VISITS SSC
Member of “Momma Don’t” cast poses for a quick shot while signing autographs at SSC.
Melodic sounds from crew members of the production “Momma Don’t.”
Former member of the world renown Blue Angels and SSC alumnus Commander Donnie Cochran, speaks to a class during an impromptu visit.
Commander Cochran receives the Centennial Circle award from the School of Sciences and Technology.
WHCJ RADIO PROVIDES VALUABLE ON-THE-JOB TRAINING
Cathy Kennedy interns at WHCJ Radio Station.
Catherine McIntyre and Dionna Johnson host a talk show at WHCJ Radio Station.
Anita McWhorter
Norma Mitchell
Lee Morris
Ato Myers
Trisan Napier
Lanie Morris
Sun, Sun, SSC’s boat, docked at the pier.
A scenic view of the waterway behind Camilla Hubert Hall.
"Go nati!" Members of the Phi Beta Sigma Fraternity, Inc. of West Georgia College perform at the Delta Icebreaker.
Not a seat remained empty at the 1991 Delta Icebreaker.
Shaunce Riley
Anita Roberts
Derrick Seymore
Regina Sims
Kenneth Stieff
Steven Stroud
A "tiny" replica of the Blue Angels Squadron during SSC's Homecoming Parade.
"I salute you." The next Donnie Cochran?
ACADEMICS IS SERIOUS BUSINESS AT SSC.
"Carefuul!!!" Testing, experimenting
... listening and studying — that's what it's all about.
SSC's Players By The Sea strike a pose during a rehearsal of "Rashomon."
(Left to Right) Oladimeji Fayoyin, Tonya Walton, Damon Elmore, Placide "Peaches" Johnson.
S-O-P-H-O-M-O-R-E-S
THE CENTENNIAL FLAG
The Centennial Flag is symbolic of the one hundred years of tradition, pride, and progress associated with this historic institution, which are created by an act of the Georgia General Assembly on November 26, 1890.
The school's colors of blue and orange are arranged in three alternate vertical panels to represent the three major divisions of the college. Vertical panels were chosen to represent the quest for upward mobility and the search for excellence that characterizes the administration, faculty, staff, students, and alumni of the College. The initial designation of the College was "The Georgia State Industrial College for Colored Youth." In 1935, the name was changed to Georgia State College. The Regents of the University System of Georgia changed the name of the college from Georgia State College to its present name on January 18, 1968.
The Centennial logo is embellished in blue on the center orange panel. The Centennial logo is an adaptation of the college logo used for the one hundredth anniversary plaque. The Centennial logo was designed by Nancy Brown, graphic artist, Atlanta, Georgia. The distinctive line drawing of Hill Hall in the centennial logo was drawn by Dennis Frampton, President, Atlantic Printing Company in 1982 on the occasion of the inauguration of Wendell G. Rayburn as the eighth president of Savannah State College. The Roman numeral "C" of the circle in Hill Hall, the oldest building on campus, now in the Historic Registry. Below the sketch of Hill Hall are displayed the beginning year and the centen-year separated by the letter C, the Roman numeral symbol for one hundred. The word Centennial is displayed below this configuration. The Latin phrase -- "Lux Et Veritas" is the college's motto -- "Light and Truth."
Centennial seal is a striking emblem at a flag's center.
Centennial flag was designed by Dr. Lester Johnson, Professor of Engineering Technology.
Card Catalog is a helpful resource for research Bibliographies.
Conference rooms are available for independent study.
Stephanie Cutler
Carol Davis
Cathy Dewese
Milton Davis
Joseph Delaney
David Dicks
SERIOUS STUDENTS STUDY WHEREVER THEY CAN.
Memorization works for the moment.
Letting a little sunshine on the subject.
Asa Gordon delivers Centennial lecture.
A Reception was held in honor of Asa Gordon, Jr. immediately following his lecture.
Andrea Harrell
Shannon Hill
Sonya Hill
Erica Hughey
Alisa Ivery
Dwayne Jenkins
DYNAMITE DUOS OR SENSATIONAL SINGLES?
Tennis Anyone?
The International Spring Festival gets underway with a parade led by SSC's foreign students.
Stephanie Stovall
Tangela Sharpe
Tonya Simmons
Andre Trowel
Thelvie Winston
April Williams
Beverly West
Reina Williams
Wilfred Young
Quiet Contemplation
Serene Sophistication
New Webster's Dictionary of the English Language
JUNIORS
Algebra Two with Trigonometry
Third Edition
Newell
Chemistry
An Introduction
Second Edition
TENTH EDITION
OF THE TENNIS
OF RICE AND MEN JOHN STEINBECK
Little, Brown
540
12.13
John Havish
JUST US JUNIORS!
Cheesing for the camera
Anguinette Young strikes a lovely pose.
Juniors take their classwork seriously.
Miss Junior, Veronica Bedell, rides in the homecoming parade.
Xernona Clayton of Turner Broadcasting addresses Martin Luther King Memorial Assembly.
Mrs. Clayton pictured with Vice President George Reid and Rev. B.R. Mitchell, Jr., chairman of the ML King Observance in Savannah.
Nancy Albers
Veronica Bedell
Elizabeth Brinson
Janet Brown
Dionne Clark
Labronza Cotton
Robin Williams, senior officer, leads Spring Review of the NROTC Unit.
The Blue Angels A-4J Skyhawk aircraft, formerly flown by Commander Donnie Cochran, permanently resides on the SSC campus. The Blue Angel symbolizes for SSC students what one can earn through hard work and effort.
Tia Curry
David Dicks
Evangel Davis
Caroline Evers
Stephanie Fleming
Rhonda Gordon
Willie Jackson, tenor, and SSC Choral Director performs during Centennial Week.
SSC Concert Choir, under the direction of Willie Jackson and Randy Duncan, performs for Founders Day Program. Jerome Glover is the accompanist for the choir.
Amy Graham
Traci Green
Gerald Grier
Toni Grimes
Renee Hogan
Desiré Holmes
All alone with my homework and Pooh Bear!
Cards pass the time for some.
Detra Howard
Lisa Jefferson
Absolon Kent
Lashorn Linen
Joseph Manning
Bridgett McClain
Serena McCoy entered the race for "Miss Junior" class and won.
Serena responds to impromptu question during the Pageant. Ron Wallace of WTOC was guest emcee.
Margaret Mellows
Theresa Miller
Zenobia Mitchell
Venus Moore
Melinda Mullings
Mustafa MuHammed
Dionne Hoskins, a MARC scholar, shows what it takes to maintain a high G.P.A.
Two heads are better than one.
Juanita Nixon
Tracey Parker
Michael Parrish
Tammy Perkins
Joy Polite
Timeke Richard
Dr. Luetta Milledge presents yearbook award to a high school student Editor at the annual Southern Regional Press Institute
Southern Regional Press Institute participants at Annual Luncheon.
Katrina Robinson
Angela Sabir
Tonia Scott
Sharon Stewart
Shea Stephens
Debra Simmons
Studying in the stacks.
Mrs. Ella Sims makes a point to her Sociology class.
Bobby Sims
Rozelle Slaymon
Wendy Stephenson
Connie Strange
Grabiele Taylor
Donald Vaner
Dawn captivates the crowds at Homecoming Parade.
Halftime shows belong to the Marching Tigers.
Carver Waters
Brian Watkins
Terrance Williams
Anra Wright
Anquinette Young
SENIORS
Renee Hunt, Senior Class President
Kerven Hardnett, Vice President; Tamara Jones, Secretary
Senior, Karen Bell, receives special honors from the Board of Regents.
Tonya Bowles
Jereen Brown
Sherrell Campbell
Oscar Carters
William Davis, Jr.
Schyler Dennis
Schorida Dortch
Seletria Elliot
Gerald Ferrebee
Marie George
Shera Herron
Toni Holmes
Tony Howard
Sherry Holsley
Jayme Jaycox
Damon Johnson
Pamela Jones
Cathy Kennedy
Julie Mackey
Janice Mitchell
Ernestine Moore
Dedre Morris
Shansalu Oyekan
Betty Foilte
Dolan Russell
Harry Scott
Demetria Smalls
Denise Strachan
Mia Swanson
April Walton
Tasha Whitefield
Pheon Williams
Bruce K. Wilson
Kenneth Wilson
Seniors Janeen Brown and Cathy Kennedy enjoy lunch with some friends.
Relious Stephenson
Micheal Wiltshire
James Young
Melanie Young
Seniors hard at work completing course assignments
FORGET ME NOT
LIFE . . .
It's the little things in life that make us happy.
Stepping' hard!
Education is a wonderful thing.
We're producing our own television show.
Carl and Samantha serve as host and hostess.
Who is it now!
Fuzzy comfort.
IN THE EYES . . .
OF A ...
And that's how it's done.
It's good to see you.
There is always time for friendship.
Students report the list of activities for the opening of Adaric's Hall.
SBS Time after viewing the school sport.
Peace! From all of us...
One can always find a place to study.
I'm all smiles for you!
These are delicious... have some!
Spivey and Norman create a little magic in the biology lab.
One drop is all I need!
A serious study session.
Tennie anyone!
Zenobia at work.
"You have the study just to make it today."
Students sign up to have I.D. photos made.
"Skee-Wee"
Cynthia strikes a lovely pose as she serves as a hostess for the Archives opening.
Studying alone, in a corner, but not in the dark.
All studying sessions are for what they're worth.
ICE-BREAKER
Deltas steppin' out.
"Kappas raise kane".
SSC's A Phi A.
Que Psil
Greek observers.
Sigmas get set!
Zetas get into their routine.
Nupes of SSC.
AKA's step to a first place finish.
Greeks
A DAY IN THE LIFE . . .
Charlful Owens shows a student some BSU paraphernalia.
Wow! If you slow down a little, I'm trying to write this down.
Some students take a lunch break in the Snack Bar.
This is very interesting. I think I'll read a little more.
OF A SSC STUDENT
SSC Cheerleaders inspire the crowd during a pre-game pep rally.
I can't believe it... snow at SSC!
Student Government President, Keith Erwin, stimulates crowds during a pep rally.
Chusee!
Pool anyone?
It can't be... students smiling during registration.
Vice President, Dr. Ewers, waiting on a student... now that's service.
I can't believe I'm doing this!
Are you talking to us?
Just another taste before I go.
I'm here world!
Oh, I forgot the answer!
Everybody's talking about Tiger's Holt.
Sigma Greeks clownin' in Georgia's park.
SSC is known for its beautiful women.
Studying is the key to success.
I'll take my bike any day.
A HAIRY SITUATION
Shaved?
Boxed!
Mad-Hattered?
Coiffed!
Savannah State College is fortunate to have the Title III Program as a part of federally supported resources. This program has generated improved resources in almost every academic area of the College which gives students an opportunity to achieve first hand experience on state-of-the-art equipment. Business Labs are equipped with computers; Mass Communications students work in a modern broadcasting studio; science labs reflect current apparatus and resources and engineering and physics courses are reinforced with equipment that enhances instruction.
The curriculum at Savannah State College provides students with excellent opportunities to study in an environment conducive to learning. Faculty members utilize diverse teaching styles which give students a chance to learn through lectures, laboratory, group instruction, and independent study. Also field experiences and internships are required in some disciplines where students learn in off-campus settings. Students are encouraged to become independent thinkers and most classes allow for oral and written expressions of those thoughts.
David doing his "thing". (Below) Zenobia strolls.
Lost in
Georgette Thompkins strikes a candid pose during
A-Maze!
Homecoming Parade.
Sal says he’s got it going on.
Just me, myself and I. (Below) Student Center hanging.
A time-old tradition at SSC has been the Annual Midnite Breakfast held prior to the beginning of final examinations. The event is sponsored each Fall quarter by the Student Affairs Office, with the cooperation of ARA Services and the Student Government Association.
ARA staffer, Jean Glover, poses with a student before serving line opens.
Crowds arrive early and eagerly await service from the faculty and staff.
The Midnite Breakfast is prepared and served by volunteer faculty and staff members. The menu usually includes, grits, bacon, eggs, sausage, toast, biscuits, and juice.
Rodney Johnson gives a "Victory" sign to indicate his meal was a winner.
Dr. Gardner pitches in, but would rather serve juice than cook.
FUN, FOOD AND FELLOWSHIP
With final exams only a few hours away, students release a lot of pent-up emotions and stress. Eating at Midnight is nothing new to many of the serious midnite oil burners.
Dr. Prince Prince A. Jackson, Jr. looks quite at home in his bibbed apron. He generates smiles and laughter from students.
Dr. Victor Carpenter serves from the serving line.
READY TO HIT THE BOOKS
The Office of Student Affairs views this activity as one they feel students really look forward to. It gives the faculty and the students an opportunity to come together in a very relaxed atmosphere.
A smiling trio indicates that all went well.
Even the ARA staff personnel get into the joy of the evening.
CAMPUS BLUES
The campus is beautiful and peaceful, with many trees and greenery surrounding the buildings. The architecture is a mix of modern and traditional styles, with brick buildings and large windows. The campus is well-maintained and clean, with well-groomed lawns and gardens. There are several buildings on campus, including the main administration building, the library, and several academic buildings. The campus is located in a quiet neighborhood, with no traffic or noise pollution. The campus is also close to several parks and recreational areas, making it an ideal location for students who enjoy outdoor activities. Overall, the campus is a great place to study and live, with plenty of opportunities for socializing and relaxation.
HITTING THE BOOKS
PAYS OFF IN THE END
Scholarship recipients receive recognition for their hard work.
ORGANIZATIONS
The Dancer and the Dance
Merce Cunningham
The Newtonian Society was founded in 1955 with membership consisting of Mathematics and General Science majors. The purpose of the society is to promote student research in mathematics, science, and computer science.
Delta Sigma Pi is a professional fraternity organized to foster the study of business in universities and colleges, to encourage scholarship, social activity and the association of students for their mutual advancement by research and practice. It was founded on November 7, 1907 at New York University. Mrs. Swannie Richards serves as faculty advisor.
SOCIAL WORKERS OF TOMORROW
Social Workers of Tomorrow is an organization composed of students interested in the profession of social work. The purpose of this organization is to aid in promoting challenging, dynamic and progressive educational experiences, enhance communication among all student and faculty members in the SSC Social Work Program and to think and work with others to improve community life. Dr. Lillian Reddick and Joenelle Gordon are faculty advisors.
SOCIOLOGY CLUB
The purpose of the Sociology Club is to provide an avenue for students to network as paraprofessionals within their discipline. Field experience and guest lecturers are often utilized as linkages to the professional workforce of sociology. Ella Sims serves as faculty advisor.
The Black Male Leadership Council is a new student organization at SSC. Organized in the Spring of 1990, the organization hopes to address many of the current social issues germane to the African-American male and to implement strategies which would lead to plausible solutions. Lawrence Simmons is the faculty advisor.
Campus All-Star Quiz Bowl Team members competed for the second year in the National competition sponsored by Association of College Unions — International and the National Association for Equal Opportunity in Higher Education. Dr. Annette Brock and Festine Butler are advisors and coaches. (Pictured are: A. Handy, L. Brooks, W. Davis, T. Jahannes, D. Elmore, S. Flint, W. Sullivan, M. Mullings, F. Butler and A. Brock.
Beta Beta Beta Biological Society is a society for students, especially undergraduates. It seeks to encourage scholarly attainment in this field of learning by reserving its active membership for those who achieve superior academic records and who indicate special aptitude for and major interest in the sciences. It desires to cultivate intellectual interest in the natural sciences and to promote a better appreciation of the value of biological study and thus welcomes into associate membership all those students who are interested in biology.
Chartered three years ago, the Rho Mu Chapter of Phi Beta Lambda is a student fraternity for students interested in the Business profession. Students network and obtain valuable training which will assist them in their career field. Dr. Jereline Harven is faculty advisor.
UNITED NATIONS MODEL CLUB
This organization provides an opportunity for its participants to serve as delegates in a U.N. Conference setting representing nations of the world. This Fall, the SSC delegation represented Saudi Arabia at the Sixth Annual conference. Dr. Kenoye Eke is advisor.
ARMY ROTC
The Army ROTC program qualifies the college graduate for a commission as an officer in the U.S. Army, United States Reserve, or the U.S. Army National Guard. Qualifying for a commission adds an extra dimension to the student's employment capability in that upon graduation from college, the student has military or civilian employment options. Captain Joseph Johnson is Head of the Department.
NAVAL ROTC
The NROTC unit, established in 1971, prepares young Black Naval officers for the 21st century. Miss NROTC (Center) poses with unit.
BAPTIST STUDENT UNION
Alan Neely (Right Front) provides the BSU with excellent leadership. The BSU sponsors varied spiritual programs which uplift and spread the message of Christ.
GRADUATE ASSOCIATION OF PUBLIC ADMINISTRATION
The Graduate Association of Public Administration serves as a resource base for Savannah State College and surrounding Chatham County areas. The association offers research information and association assistance in promoting better organizational, managerial and operational skills. The association hopes to improve the visibility of the Public Administration program in our community. Faculty advisor is Dr. Kenneth Jordan.
ART CLUB
The Art Club is comprised of Art majors who lend their talent and artistic creativity to the college community. They sponsor exhibits periodically and invite guest lecturers in the art medium. Mrs. Farnese Lumpkin is the Art Club advisor.
The Peer Counselors Association is comprised of upperclassmen who are concerned with the growth and development of Freshmen. They organize a week of activities to cultivate pride and to instill a family atmosphere for the new students. The Peer Counselors are under the direction of Mrs. Shirley B. James whose main objective is to instill positive ideas in each Peer Counselor.
The purpose of the Psychology Club is to provide an avenue for newly found psychological information to be filtered into the Savannah State family via the clubs, displays, programs, and projects. It seeks to provide psychology minors and required-course-taking students with a means of pooling their resources so as to strengthen their grasp on psychology matter.
PLAYERS BY SEA
The Players By The Sea functions under the Department of Fine Arts and is directed by Dr. Robert L. Stevenson. Interested students develop their artistic skills through productions in the areas of Drama, Music, and Dance. In addition to quarterly performances, they also compete at the National Association of Dramatic Speech and Arts conference (NADSA), which rotates annually on various campuses.
CLUB ROYAL BOHAMIAN
Student Natives of the Bahamas affiliate in a closely knit association of their peers. The organization sponsors activities which bring them together in a social setting and they often participate in the International Students Association Festival.
On January 17, 1990 the efforts of a group of concerned students culminated into the emergence of A.T.O.M., the Association of The Original Man. The ATOM was formed under the premise of Black Nationalism.
ATOM is a well-rounded group with no boundaries on gender, age, religiosity or socio-economic status. It sees liberation as a primary focus in our struggle and encourages study, spirituality, courage and discipline. AFRIKAN-NESS IS THE MOTIVE!!!
The Forum spearheads campus efforts to provide an opportunity for students to be enlightened on all sides of national and international issues and policies. It conducts forums and seminars which feature panels of students, faculty and national experts who share in the exchange of opinions, ideas and experiences. Dr. Lawrence Harris serves as the faculty sponsor.
Front Row (L to R): Karen Bell, Lahoma Mobley, Renee Hunt, Makeita Spaulding, Pamela Nails and Patrice "Angie" Dula. Back Row (L to R): Candice Neal, Connie Lynch, Katrina Robinson, Tameka Small, LeAlice Morrell, LaZenza McGill, April Wayne, DeAnna Caples. Not Pictured: DeAndrea Gray, Janet Jackson, Cassandra Walden, Michelle Stadifler, and Lavette Chester.
On January 16, 1908, a group of young women at Howard University caught the inspiration of a fellow student, Ethel Hedgerman, and initiated the movement of Greek letter sororities among black women in America. She was assisted in her efforts by Lillian Burke, Beulah Burke, Margaret Flagg, Marie Woodard, Lavania Norman, Anna Brown, Lucy Slowe, and Majorie Hill.
Gamma Upsilon Chapter, at Savannah State College has as its intent or purpose: to cultivate and encourage high scholastic and ethical standards, to promote unity and friendship among college women. Membership, nationwide, has grown to over 75,000 college women.
The first Black Greek Letter Organization, founded in America, Alpha Phi Alpha, was conceived during a time when Blacks were being disenfranchised and lynching was widespread, by Henry Collis, Charles Chapman, Eugene Knickle, George Kelly, Robert Ogle, and Vernier Tandy. These men are referred to as the "Jewel Nine" because they banded together because of the social and racial limitations placed on them. Dec. 4, 1906, in New York at Cornell University is the birthplace and date of the world's pioneer Black Greek organization.
Delta Eta was founded in 1949 to carry out aims of the fraternity, manly deeds, scholarship and love for all mankind. It was founded by 20 of the college's outstanding young men.
In 1913 at Howard University, twenty-two strong-willed young black women envisioned and founded an organization pledged to serious endeavors, scholarship and public service to mankind. On these principles, Delta Sigma Theta Sorority Incorporated was founded. Today it stands strong with a membership fast approaching 200,000 members as a beacon of hope and light striving to uphold the image of love and public service to mankind. At SSC, the women of Delta Nu chapter have continued in the footsteps of their illustrious founders by spearheading community service projects which have benefitted the Savannah Community and Savannah State College. They also sponsor baby showers for unwed mothers, blood drives, and clothing and canned food drives for the homeless shelters in the community. This year, the Sorors of Delta Sigma Theta also sponsored for the very first time what they hope to make an annual event, and that is the DELTAs AGAINST DRUNK DRIVING (DADD) project.
KAPPA ALPHA PSI
Eric Allen, Jeffery Dinkins, Borato Broughton, Eddie Simmons, James Mitchell, Darryl McCormick, Carey Mills, and Bryan Easterling.
KAPPA’S OF THE EARLY 70’S
On January 5, 1911 at Indiana University, Kappa Alpha Psi fraternity was founded, first known as the Kappa Alpha Nu fraternity, in 1914 it’s name was changed to Kappa Alpha Psi. Three men were outstanding in the early years of the fraternity, there were Elder W. Diggs, Bron Armstrong, and John Lee.
Gamma Chi Chapter, was chartered on the Savannah State College campus in 1950. The chapter came out of the night into the minds of ten men, who were bonded together with a desire to stress ACHIEVEMENT through BROTHERHOOD.
Sigma Gamma Rho Sorority, Inc., was organized on November 12, 1922 in Indianapolis, Indiana by Mary Lou Gardner Little and six other school teachers. The growth of the Sorority since its founding has been remarkable. From the small nucleus of seven inspired young women in the capital city of Indiana, it has expanded throughout the United States, District of Columbia, and Africa. Activities of the Sigma Gamma Rho Sorority are encouraged that will further in every way possible the advantages of its members intellectually, morally, and socially.
Pictured are: Charmayne Smith, Malinda Womack, Trina Harris, Charmet Anderson, Parneta Williams, and Michelle Allen.
Phi Beta Sigma Fraternity, Inc. was founded in the year of 1914 by A. Langston Taylor, Leonard E. Moorse, and Charles J. Brown at Howard University for the purpose of promoting brotherhood, scholarship, and service to humanity. Throughout the year Sigma has exemplified these three characteristics for the upgrading of all mankind regardless of race, creed, or color.
Richard Dindins, Allen Williams, Lamont Nelson, James Scott, Michael Summers and Lamonica Bell; (Kneeling) Raymond McClellan.
"No man is an island." This idea of togetherness and dependence among men also applies to the relationship between men and women. In 1920 the brothers of Phi Beta Sigma decided that instead of adopting a sister organization they would assist in the organization of a new Sorority. This Sorority would be their true eternal and universal sisters. This idea was discussed with Miss Arizona Cleavor who later met four other young women. They decided to organize a Sorority which they hoped would reach college women in all parts of the world who were Sorority minded and desired to affiliate with a group which has as its objectives the ideas of service, scholarship and sisterhood and for its ideal — finer womanhood.
REMEMBER WHEN
Omega Psi Phi fraternity was organized on November 17, 1911 in the office of Ernest Just, Professor of Biology at Howard University. Its three founders were students in the college of liberal arts: namely, Edgar Love, Oscar Cooper, and Frank Coleman, with Professor Just as their faculty Advisor.
Alpha Gamma Chapter, founded in 1949, here on our campus has as its purpose to attract men of good rapport into the folds of Omega to provide wholesome experience in a group work situation and leadership, to establish a broad program which will inspire participation of members to fulfill the task of providing real meaning to life, to establish a long-life and worthy friendship between men, and to cooperate with the school of which they are a part.
(Standing — L to R) Toderick Dodson, Fred Goodman, Corde Jordan, Michael Summers, Richard Dinkins. (Middle L to R) William "Bill" Davis, Jr., Jenleen Brown, Makeita Spaulding, Melinda Womack, April Waye, Veronica Bedell, Anthony Handy. (Front Row) Angie Dula Keith Brown.
PAN HELLENIC COUNCIL
The Pan Hellenic Council is composed of representatives from each of the traditionally black social services fraternities and sororities on campus. The members of Alpha Kappa Alpha, Alpha Phi Alpha, Delta Sigma Theta, Alpha Phi Omega, Sigma Gamma Rho, Kappa Alpha Psi, Zeta Phi Beta, Omega Psi Phi, Phi Beta Sigma, put aside their differences to combine and create a cohesive atmosphere of social, political and religious awareness for the campus and neighboring communities.
SSC Cheerleaders
Teresa Austin, Tiffany Cutler, Angie Dula, Charlotte Lawrence, Adrienne McIntosh, Jacqueta Williams, and Dionne Hoskins, Captain. Vara Allen is staff advisor.
CHAMPIONSHIP TECHNIQUES IN TRACK AND FIELD
BREMS
THE FIT SWIMMER 120 WORKOUTS & TRAINING TIPS
SOCCER U.S.A. CHUCK CASPIN
PSYCHODYNAMIC TENNIS
SKIING RIGHT
THE BASEBALL READER
Charles Einstein
ATHLETICS
Bob Glover and Fete Schuder The COMPETITIVE RUNNER'S Handbook
MODERN GYMNASTICS Peter Aykroyd
EAT TOWN
1990 Savannah State College Football Numerical Roster
| NO | NAME | CL | HT | WT | POS | HOMETOWN |
|----|---------------|-----|------|-----|---------|------------------|
| 1 | Marc Staton | JR | 5'7" | 160 | WR | Charlotte, NC |
| 5 | Clarence Phillips | SO | 5'9" | 160 | WR | Houston, TX |
| 7 | Greg Leverett | SO | 5'11"| 192 | DB | Lincolnton, GA |
| 8 | Eric Allen | JR | 6'0" | 200 | CB | Knoxville, TN |
| 10 | Johnny Jeffery| SR | 6'3" | 210 | OB | W. Columbia, SC |
| 11 | Frederick Hawkins | SR | 5'9" | 195 | FB | Columbia, SC |
| 13 | Chad Alexander| SO | 6'2" | 190 | DB | Augusta, GA |
| 18 | Steve Wheeler | SO | 5'9" | 180 | WR | Lansing, MI |
| 16 | Corey Blount | FR | 5'10"| 165 | DB | Savannah, GA |
| 17 | Malcom Goosby | FR | 5'7½| 150 | CB | Decatur, GA |
| 19 | Jamie Gerido | FR | 5'7" | 175 | CB | Augusta, GA |
| 20 | James Park | JR | 5'9" | 165 | FS/CB | Atlanta, GA |
| 21 | Ulysses Smith | FR | 6'1" | 170 | DB | Dublin, GA |
| 22 | Corey Ladson | JR | 6'1" | 215 | CB | Savannah, GA |
| 23 | Clifford Cooper | SR | 5'7" | 165 | RB | Greenville, SC |
| 25 | Lucas Cole | SO | 6'0" | 190 | RB | Richmond, VA |
| 27 | Doug Grant | FR | 5'9" | 170 | WR | Atlanta, GA |
| 29 | Ronald Rogers | SO | 5'11"| 192 | RE | Jacksonville, FL |
| 30 | Curry Love | JR | 6'0" | 185 | RB | Atlanta, GA |
| 32 | Paul Gavin | JR | 6'0" | 189 | RB | Augusta, GA |
| 33 | Donald DuPont | SO | 6'0" | 182 | CB | Savannah, GA |
| 34 | Bernard Mack | SR | 5'9" | 180 | SS | Orangeburg, SC |
| 36 | David Dicks | SO | 5'8" | 183 | RB | Augusta, GA |
| 38 | Robert Mydell | JR | 6'0" | 195 | SS | Augusta, GA |
| 40 | David Coleman | JR | 5'9" | 220 | FB | Bruce, MS |
| 42 | Courtney Easley | FR | 5'9" | 200 | FB | Savannah, GA |
| 43 | Glenn Allen | JR | 5'10"| 180 | DS | Knoxville, TN |
| 45 | Daniel Johnson| SR | 5'10"| 232 | RB | Formerville, LA |
| 46 | Patrick Dean | SO | 5'10"| 190 | DB | Knoxville, TN |
| 47 | Dion Jennings | SR | 6'0" | 190 | DB | St. Thomas, VI |
| 48 | Rod Johnson | SR | 6'1" | 210 | LB | Atlanta, GA |
| 49 | Henry Washington | FR | 5'7" | 170 | DB | Thomasville, GA |
| 50 | Norman McGeathy | SR | 6'1" | 230 | ILB | Jacksonville, FL |
| 51 | Orlando Dean | SO | 6'2" | 240 | OLB | Macon, GA |
| 52 | Paris Harvey | JR | 5'10"| 178 | OLB | Macon, GA |
| 53 | Tracy Turner | FR | 6'0" | 220 | OLB | Atlanta, GA |
| 54 | Jamie Gerido | SO | 6'0" | 220 | ILB | Rincon, GA |
| 55 | Eugene Brantley | SR | 6'1" | 225 | LB | Estill, SC |
| 59 | Tony Wheeler | SO | 6'5" | 230 | OLB | Dallas, TX |
| 60 | Steven Jones | JR | 5'10"| 280 | C | Atlanta, GA |
| 61 | Rodney McClellan | JR | 6'3" | 245 | OL | Vidalia, GA |
| 64 | Bryant Swinson | SR | 6'3" | 240 | OL | Spartanburg, SC |
| 66 | Earnest Greene | SO | 6'6½| 280 | OL | Savannah, GA |
| 67 | John Parks | JR | 6'1" | 250 | OL | Lincoln, GA |
| 68 | Brandon Turner | FR | 6'2½| 221 | OL | Atlanta, GA |
| 70 | Bernard Green | JR | 6'0" | 255 | OG | Newark, NJ |
| 71 | John Thomas | SR | 6'1" | 260 | DL | St. Thomas, VI |
| 74 | David Lake | SR | 6'3" | 230 | DL | St. Thomas, VI |
| 75 | Kevin Gates | FR | 6'6" | 330 | OL | Atlanta, GA |
| 76 | Tracy Russell | FR | 6'5" | 260 | OL | Darlington, SC |
| 78 | Kenneth Wright | SO | 6'2" | 260 | DL | Hinesville, GA |
| 79 | Rodney Lovett | JR | 6'1" | 230 | OL | Savannah, GA |
| 81 | Mike Graham | JR | 6'3" | 230 | TE | Adel, GA |
| 82 | Kenneth Brown | SR | 6'2" | 246 | TE | Savannah, GA |
| 83 | Calvin Thompson | FR | 6'2½| 185 | WR | Savannah, GA |
| 86 | Rodney Ballard | FR | 6'4" | 265 | HB | Houston, TX |
| 87 | Charles Hamburg | SR | 6'1" | 175 | WR | Columbia, SC |
| 88 | Carey Johnson | SO | 6'1½| 192 | WR | Atlanta, GA |
| 89 | Kenneth Leach | SO | 5'11"| 165 | WR | Savannah, GA |
| 91 | Rodney Gerido | JR | 6'0" | 220 | OLB | Rincon, GA |
| 92 | Mike Graham | FR | 6'0" | 257 | DL | Adel, GA |
| 93 | Marc McClendon | JR | 6'3" | 250 | DL | Houston, TX |
| 95 | Jerry Byrd | JR | 6'1¼| 258 | DL | Darlington, SC |
| 97 | Daren Danzey | JR | 6'2" | 240 | DL | Sandersville, GA |
| 98 | Damon McKinney | FR | 6'6½| 215 | DL | Decatur, GA |
| 99 | Alfredo Givens | FR | 6'2" | 275 | DL | Beaufort, SC |
Last year, after struggling through the first few games, SSC roared to a 7-4-0 record. They opened last season losing to Bethune-Cookman in the annual Georgia Tech's Peach Bowl. The Tigers returned home the following week to host the Golden Tigers of Tuskegee University and dropped the home opener 33-20 to post an early 0-2 record.
The next game was more in line with the Tiger tradition as SSC pounded Morehouse College 26-7 in Ted Wright Stadium. SSC's other defeats came at the hands of Alabama A & M (37-25 in Huntsville) and Georgia Southern University (54-7 in Statesboro).
Savannah State's other wins last season were a 40-6 drubbing of Morehouse (54-12 in Atlanta), a 30-16 victory over C. Smith University, a 29-28 escape over Clark-Atlanta University, a 64-22 schackelling of Fort Valley, a 34-21 strapping of Albany State and a 41-3 annihilation of Fayetteville State University.
Over the past three years, the SSC Tigers have posted an impressive 23-6-0 record. Things look very promising for the future of Tiger football. The program is alive, well and winning; our loyal fans have been with us every step of the way.
FOOTBALL RESULTS 1990
1990 FOOTBALL RESULTS
| SSC | OPP |
|--------------|---------|
| Bethune-Cookman | 28 |
| Tuskegee University | 33 |
| Morehouse College | 7 |
| Alabama A & M University | 38 |
| Morris Brown | 6 |
| Johnson C. Smith Univ. | 12 |
| Clark Atlanta University | 28 |
| Fayetteville State Univ. | 3 |
| Georgia Southern Univ. | 54 |
| Fort Valley State | 22 |
| Albany State College | 21 |
85, 86, 88, 89, 91, 92, 93, 95, 97, 98, 99
62, 66, 67, 68, 70, 72, 75, 76, 78, 80
0, 42, 43, 46, 49, 51, 52, 53, 54, 58
21, 22, 24, 25, 27, 29, 30, 32, 36
5, 7, 8, 12, 13, 16, 17, 18
55, 47, 87, 45, 71, 10, 74
23, 11, 50, 64, 82
TIGERS
A WINNING SEASON
Eugene Brantley, Linebacker, takes time out between plays.
POST
OPENING
SEASON
Quarterback, Johney Jeffery, looks the situation over.
Dynamic Tiger Head Coach, William "Bill" Davis, is a giant on and off the playing field. Coach instills a sense of leadership and team spirit in every Tiger player. (Above: Coach Davis addresses a Weekly Press Luncheon during football season.)
Coach James Mitchell instructs offensive line.
Joseph Crosby
Defensive Coordinator
Richard Bass
Quarterbacks Coach
Daryl McNeill
Quarterbacks and Wide Receivers Coach
Wesley McGriff
Runningbacks Coach
Mike Wallace
Defensive Back Coach
Allen Williams
Assistant Offensive Line Coach
Coaches: L to R Standing: Daryl McNeill, James Mitchell, Joe Crosby, George Small, Kerry Mills, Ken McWhorter; Kneeling: Richard Basil, Paul Heard, Allen Williams, Bill Davis, Anthony Barney, Mike Wallace.
Quarterbacks: L to R Standing: Kelton Spann, Johnny Jaffery, Chad Alexander; Kneeling: Greg Leverett, Richard Basil, Lou Brown.
Defensive Line: L to R Standing: Damon McKinney, Daren Danzy, Marc McClendon, Kenneth Wright, David Lake, George Small; Kneeling: Jerry Byrd, Tony Graham, Paul Heird, John Thomas, Alfredo Givens.
Offensive Line: L to R Standing: Kenneth Brown, Tracy Russell, Ernest Greene, Bryant Swinson, Shawn Gates, David Graham; Kneeling: Bernard Green, Raymond McClellan, Allen Williams, James Mitchell, Steven Aycock, John Parks.
1990-91 MEN'S BASKETBALL ROSTER
| NO | NAME | HT | POS | HOMETOWN |
|----|---------------|-----|-----|------------------|
| 10 | Chris Brock | 6'0 | G | Savannah, GA |
| 11 | Darryl McDuffie | 6'1 | G | Tallahassee, FL |
| 13 | Freddie Butts | 6'1 | G | Milledgeville, GA|
| 30 | Richard Lockett | 6'2 | G | Macon, GA |
| 32 | Sean Robinson | 6'5 | F-C | Jacksonville, FL |
| 33 | Chad Faulkner | 6'7 | G-F | Palmetto Royal, SC|
| 35 | Young Rucker | 6'4 | G-F | Atlanta, GA |
| 40 | Dwayne Ruff | 6'4 | F | Greensboro, SC |
| 41 | Victor Grant | 6'6 | F | Macon, GA |
| 42 | DeRonnie Turner | 6'4 | F | Saginaw, MI |
| 44 | Mark McLaughlin | 6'7 | C | Dillon, SC |
| 45 | Jerry Royal | 6'4 | F-C | Washington, DC |
| | Eric Woodard | 6'2 | G | Augusta, GA |
| | Michael Fayoyon | 6'4 | F | Washington, DC |
Tiger fans gave loyal and consistent support to Men's Basketball team although it was a losing season.
1990-91 MEN'S BASKETBALL RESULTS
| SSC | OPP |
|-------|---------|
| 67 | Albany State College 90 |
| 68 | GA Southwestern 77 |
| 71 | Claflin College 64 |
| 75 | Benedict College 79 |
| 66 | Morehouse College 101 |
| 55 | Valdosta State College 92|
| 83 | Elton College 60 |
| 83 | LeMoyne Owens 89 |
| 75 | Clark Atlanta College 86 |
| 82 | Alabama A & M 89 |
| 84 | Fort Valley State 83 |
| 86 | Clark Atlanta College 104|
| 70 | Paine College 87 |
| 72 | Georgia College 87 |
| 95 | Fort Valley State 107 |
| 68 | Morris Brown 84 |
| 110 | Alabama A & M 129 |
| 56 | Payne College 66 |
| 77 | Tuskegee University 74 |
| 89 | Morris Brown 111 |
| 73 | Miles College 77 |
| 80 | Albany State College 84 |
| 94 | Edward Waters 86 |
| 67 | Albany State College 70 |
1990-91 Tiger Basketball Squad.
Head Coach — John Williams
Assistant Coach — Daryl McNeill
Tiger basketball continued on the road to rebuilding this season posting a 6-20 win/lost record. However, as in all athletics competition where individual talents are showcased, SSC had some outstanding performances.
Young Rucker, Victor Dixon, and Chad Faulkner added light to an otherwise dismal season. Together, the "Tiger Basketball Future" averaged 40.5 points per game and 21 rebounds. Stay tuned! Brighter days are ahead!!!
SSC 1990-91 Women's Basketball Roster
| POS | HT | HOMETOWN |
|---------|------|----------------|
| 12 | Butts, Kimberly | Forward 5'10 Macon, GA |
| 22 | Chester, Lavette | Forward 5'7 Greensboro, GA |
| 15 | Grimes, Desarne | Guard 5'0 Monticello, GA |
| 25 | Cox, Lea | Guard 5'4 Stone Mountain, GA |
| 4 | Gibson, Stephanie | Guard 5'4 Augusta, GA |
| 24 | Johnson, Stephanie | Forward 5'9½ Cadwell, GA |
| 40 | Sanders, Marcel | Center 6'3 Augusta, GA |
| 30 | Scott, Donna | Center 6'1 Atlanta, GA |
| 5 | Standifer, Michelle | Guard 5'4 Monticello, GA |
| 11 | Thurmond, Deanna | Forward 5'10 Augusta, GA |
| 23 | Ward, Anita | Forward 5'10½ Fairburn, GA |
| 10 | West, Natasha | Forward 5'8 Hartsfield, GA |
| 21 | Williams, April | Forward 5'7 Doerun, GA |
| 20 | Mills, Jacqueline | Guard 5'3 Jacksonville, FL |
Head Coach: Phillip Wallace
Athletic Director: William R. Davis
Sports Information Director: Lee G. Pearson
LADY TIGERS IN ACTION
ELLA FISHER TOURNAMENT
1990-91 WOMEN'S BASKETBALL RESULTS
| SSC | OPP |
|------|--------------|
| 53 | Albany State College |
| 80 | Knoxville College |
| 72 | Armstrong State College |
| 72 | Benedict College |
| 101 | Edward Waters College |
| 72 | Columbus College |
| 89 | LeMoyne Owens College |
| 75 | Clark Atlanta University |
| 64 | Alabama A & M |
| 73 | Fort Valley State College |
| 79 | Clark Atlanta University |
| 59 | Paine College |
| 73 | Benedict College |
| 52 | Armstrong State College |
| 72 | Fort Valley State College |
| 69 | Morris Brown |
| 63 | Alabama A & M |
| 69 | Paine College |
| 63 | Tuskegee University |
| 76 | Morris Brown |
| 77 | Miles College |
| 77 | Albany State College |
| 97 | Edward Waters College |
| 73 | Albany State College |
THAT MAN IS A SUCCESS
Who has lived well,
Laughed often and loved much;
Who has gained the respect
of intelligent women and men
and the love of children;
Who never lacks appreciation
of the earth's beauty
or fails to express it;
Who follows his dreams
and pursues excellence in each task;
and who brings out the best in others,
and gives only the best of himself.
Norman Benedict Elmira, Jr.
Professor of English
May 6, 1941-February 2, 1991
Lives of great men all remind us
We can make our lives sublime
And in parting leave behind us
Footprints on the sands of time
Meldrim Hall was a campus landmark for more than six decades. It housed the Administration offices of the College and the campus Auditorium.
Dr. C. Vernon Clay, marshal, leads the Commencement processional to Meldrim Auditorium during the 1950's.
Alumni Walk is a fitting memorial to deceased alumni.
Yvette Hunter stands near marker which designates Savannah State College as an historic landmark.
Dr. Coleridge Braithwaite peruses photos of the earlier years in the newly renovated Adams Hall Archives.
THE PRESENT
Homecoming Queens of the past gather around the old Meldrim well which was located near the marshlands.
Typical dormitory room in Wright Hall, which housed all male students in the sixties.
Dr. Howard Jordan, Jr., presides over building dedication service in Wiley gymnasium.
This campus duo strikes a pose in the fashions of the fifties.
Jammin' to the Coasters in the early fifties.
Student Council Executive Staff, 1947-48. (Left to Right) Clyde Hall, President; Felix Shields, Beaurene Hardwick; Standing — James Morley, Joanie Harris, General Stone, Bennie Brown, Alton Spells, Moses Walker, Ephraim Williams.
WSOK brought live radio broadcasting to Press Institute students in 1967. Ervin Gardner, "Rock-the-Jock," pictured at left.
During the mid-50's, students got all dressed up for every reception held on campus.
Campus co-ed relaxes on a new mercury in the fifties.
Coca Cola sponsored Press Institute beverages for participants in the mid-fifties.
Students are hooded for Alpha Kappa Mu induction.
Campus co-eds below majestic oaks.
Dr. Benjamin E. Mays and Dr. W.K. Payne receive faculty (Mrs. Yvonne Mathis) and students in receiving line.
J.B. Clemmons (far right) served as advisor to the College Drama Club.
Education majors pose outside of Gordon Library in the early 70's.
Students take a coke break in the "Corner Shop" across from the campus.
Student office workers pictured with administrative secretary.
Johnson High School faculty enjoyed a close affiliation with SSC when it opened its doors in the early sixties.
Mrs. Dorothy Jamerson was employed as a librarian for several decades.
The Men's Glee Club made an annual east coast tour. Shown here is the Glee Club during the early 70's.
Dr. & Mrs. W.K. Payne pictured at a Sunday evening Lyceum lecture in Gordon Library.
Dr. Coleridge Braithwaite (above) chats with a colleague after Lyceum Concert.
Tiger Yearbook Staff 1957
Cheerleaders led in school spirit and cheered us to victory in the fifties.
Georgia State College
A Starting Football Team, 1946
The faculty was treated to a Hawaiian luau in Peacock Hall during the early 60's.
Harriette Wright Hines, former SSC President Richard R. Wright's daughter and Williams Weston, Past National Alumni President
Dr. Benjamin F. Mays, President Emeritus of Morehouse College addresses faculty and students in the 1950's.
Dr. Benjamin F. Lewis presents Mrs. Lula Smith, "THIS IS YOUR LIFE." Bowen-Smith was named in her honor.
Past National Alumni President, Willie McBride, James O. Thomas, Dr. Frankie G. Ellis, John McCloudton, and Dr. Daniel Washington
Members of the Class of 1929
Members of the Class of 1948
Miss National Alumni, Martha Johnson; Attendants, Edith James and Priscilla Thomas, reigned in the late 1950's.
Class of 1948 luncheon
Members of the Ft. Valley Alumni Chapter under the Presidency of John Demons.
Benjamin and Nadine Lewis perform during the Alumni Talent Show in the 50s.
Savannah Alumni Chapter under the Presidency of Robert DeLoach in the 1980s.
President W.E. Gardner visit to the Washington, DC Chapter in 1989.
Former President Prince A. Jackson and college officials Robert Bess and Benjamin F. Lewis visit the Miami, Fla. Alumni Chapter in the 1970s.
Atlanta Alumni Chapter in the late 1980s.
1981 Alumni President Roy Jackson presents Big "S" plaque to Charles Young, Alumni President 1988-1990.
The Conyers Brothers from Bainbridge, GA
Alumni Members, Mr. & Mrs. Alvin Carpenter (deceased), Mrs. Louise Owens, and Cornelius Hunter.
1983 Big "S" Club Members, former SSC President Wendell G. Rayburn and Eloise Alston of the Washington, DC Chapter. Connie Johnson looks on.
Alumni pose for photo in the 1970s — Daniel Washington, Alvernia Wilson, Edna Jackson, Robert Bess, Margaret Robinson, Mettella Maree, Norman Elmore, Juanita Adams, and Tommie Mitchell.
Gerron Glover (deceased), former director of the SSC Wesleyan Gospel Choir, receives plaque from former Alumni President, William Weston in 1970s.
Alumni registration during Centennial Homecoming (right)
Former National Alumni President, Dr. Jimmie C. Jackson, addresses annual Homecoming Meeting (below)
Alumni President, Charles G. Young and Jeanette Westley enjoy president's reception (lower left)
Alumni gather for Centennial Meeting
Alumni Centennial Golf Tournament held at Bacon Park
President and Mrs. Gardner host reception for Alumni during Centennial Homecoming
National Alumni Executive Board Meeting during the Centennial Homecoming
Dr. Jimmie C. Jackson addresses the Life Membership Luncheon during Homecoming
Ice carving commemorates 100th birthday of the College
Dr. Mary Bain presented the "Alumnus of the Year" award by Charles G. Young, National President (below)
Alumni and friends enjoy Centennial Banquet (lower left)
Former interim President, Dr. Wiley S. Bolden, accepts the President's Award from Dr. Jimmie C. Jackson (right)
Homecoming Breakfast — Seated Chairperson, Alvencia Wilson; Alumni Director, Edna B. Jackson; National Treasurer, Clemmontine Washington; Member, Gertrude Jennings
SSC President, William E. Gardner, Jr.; Public Relations Director, Juanita J. Adams; and others bus stop at the Alumni Centennial Dance (above right)
TIGER YEARBOOK STAFF
Sametria McFall
Yearbook Editor
Bonnie Howard Holt; Naomi Calhoun; Deidre Mathis, Edna Jackson, Rose Washington, Juanita Adams. Not pictured Melanie Davis, Jennifer Washington, and Lee Pearson.
Leonard Jones
Photographer
As the final pages of the 1990-91 yearbook are completed, I am proud to say that the production of this book was a success. The task of producing a yearbook is never easy especially when one tries to capture the true essence of the institution; however, I must say that with all the wonderful people volunteering their time my job was a lot easier. I would like to extend my gratitude to: Dr. Clyde Hall and Mr. Robert Mobley for allowing us to use their old photographs; Mr. Leonard Jones for volunteering his talents as a photographer; the Office of Development — Mrs. Bonnie Holt, Mrs. Edna Jackson, Mrs. Naomi Calhoun, Rose Washington, and Lee Pearson for typing countless pages of copy and creating layouts; Miss Jennifer Washington for spending numerous weekends at my house to prepare layouts; Miss Dedra Mathis for writing and proofreading copy; and Mrs. Juanita Adams for being a very patient and understanding advisor — thank you all very much for your individual talents and contributions. If there is anyone I have failed to mention please accept my apology and know that your contributions were very much appreciated.
Sincerely,
Sametria R. McFall
THE LAW FIRM OF
LESTER B. JOHNSON, III, P.C.
ATTORNEYS AND COUNSELLORS AT LAW
216 WEST BROUGHTON STREET
SUITE 201
POST OFFICE BOX 8285
SAVANNAH, GEORGIA 31412-8285
(912) 238-5100
LESTER B. JOHNSON, III, ESQ.
PRINCE A. JACKSON, III, ESQ.
SPECIALTIES: Personal Injury (Automobile Accidents); Wrongful Death; Property (Real Estate Closings); Domestic Relations (Uncontested Divorces); Workers' Compensation (On the Job Injuries); Criminal; Probate (Wills and Estate Work); Social Security; and, Incorporation (Profit and Non-Profit)
CONGRATULATIONS
ON YOUR CENTENNIAL
Compliments of
Suresh Persad, M.D.
FACOG, FRCS
361 B Commercial Drive
Savannah, Georgia 31406
CHATHAM
steel corporation
P.O. BOX 2567 • SAVANNAH, GA 31498
Savannah, GA (912) 233-5751
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At Trust Company Bank of Savannah, strength and stability are nothing new. We are proud to report continued growth in assets and back this record growth with more than adequate capital and abundant reserves.
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"AND STILL WE RISE"
— Major Richard R. Wright
| Date | Time | Location | Event Description |
|------------|--------|-----------|-------------------|
| 2023-10-01 | 14:00 | Room A | Workshop on Data Analysis |
| 2023-10-02 | 09:00 | Auditorium| Annual Meeting |
| 2023-10-03 | 16:30 | Lab B | Research Presentation |
| 2023-10-04 | 10:00 | Conference Center | Symposium on Sustainable Practices |
*Note: All times are in local time.* |
When Dosers Turn Off: A Case Study in Raccoon Creek, Ohio
Natalie A. Kruse\textsuperscript{1}, Jennifer R. Bowman\textsuperscript{1}, Amy L. Mackey\textsuperscript{2}, Benny McCament\textsuperscript{3}, Kelly Johnson\textsuperscript{4}
\textsuperscript{1}Voinovich School of Leadership and Public Affairs, \textsuperscript{1}Ohio University, Athens, Ohio, 45701, United States of America, \textsuperscript{2}Raccoon Creek Partnership, \textsuperscript{1}Ohio University, Athens, Ohio, 45701, United States of America, \textsuperscript{3}Ohio Department of Natural Resources Department of Mineral Resources Management, 280 East State Street, Athens, Ohio, 45701, United States of America, \textsuperscript{4}Department of Biological Sciences, \textsuperscript{1}Ohio University, Athens, Ohio, 45701, United States of America
Abstract Hewett Fork in Raccoon Creek, Ohio, was traditionally a large source of acid mine drainage to the main stem. To reduce this impact, the Carbondale doser was installed in the Hewett Fork subwatershed. From its installation in 2004, the doser has raised the pH of the mine discharge from about 3 to about 9 and has improved the biology in Hewett Fork and Raccoon Creek. During the summer of 2010, the doser was off-line for approximately one week. While the chemistry of Hewett Fork has rebounded well the fish and macroinvertebrate community suffered from this week of non-treatment.
Key Words calcium oxide, active treatment, doser, biological recovery
Introduction
Hewett Fork is a subwatershed in the headwaters of Raccoon Creek watershed in Southern Ohio (Figure 1). Three major sources of acid mine drainage (AMD) affect Hewett Fork, Carbondale East and West drifts (River Mile 11.0), Carbondale Creek (River Mile 10.8) and Trace Run (River Mile 10.35) (Figure 2). Before treatment, mine drainage from Hewett Fork caused fish kills in the mainstem of Raccoon Creek (Rice et al. 2002).
After previous wetland treatment did not meet acidity load reduction targets (NPS 2009), an Aquifix lime-doser (Figure 2) was installed in the Spring of 2004 using the discharge of Carbondale East drift to power the auger. Passive treatment systems were found to be either insufficient or cost prohibitive at this site. While the initial use of kiln dust caused bridging in the doser, subsequent dosing with calcium oxide has been effective in not only treating Carbondale East and West,
Figure 1 Raccoon Creek Watershed with Hewett Fork subwatershed highlighted in darker grey.
Figure 2 Map of Sampling Points in the Hewett Fork subwatershed of Raccoon Creek.
but also Carbondale Creek and Trace Run (NPS 2009). Initially, the goal of the Carbondale Doser was to reduce the impact that Hewett Fork had on the mainstem of Raccoon Creek, 11 miles downstream. While achieving warm water habitat use designation in Hewett Fork was never an articulated goal, monitoring since construction has shown that it is achievable.
**Warm Water Habitat:** The Ohio EPA (OEPA) classifies streams based upon use designation recommendations that take into account a combination of biological, chemical and physical attributes (OEPA 1997). Raccoon Creek is considered a warm water stream since water temperatures are too high to support salmonids. The use designation categories used in Raccoon Creek are Exceptional Warm Water Habitat (EWH), Warmwater Habitat (WWH) and Limited Resource Water – Acid Mine Drainage (LRW-AMD). Attainment of each use designation is based upon several biocriteria as show in Table 1. While MAIS is not officially used for stream designation, it is used here because the MAIS (Macroinvertebrate Aggregate Index for Streams) dataset in Southern Ohio is richer than that for the official measure, ICI (Invertebrate Community Index). Hewett Fork was originally designated at LRW-AMD, suggesting that it has no near term prospect for reclamation, however, some sites in the lower reaches of Hewett Fork are in partial attainment (meeting some but not all of the biocriteria) of WWH.
This paper is a case study of the effects of the Carbondale Doser running out of calcium oxide for about a week during the summer of 2010.
**Methods**
Water chemistry was measured multiple times per year at the monitoring sites show in Figure 2 including monthly samples from HF090 to HF010 from July 2010 to June 2011. Biological quality was assessed at each site; what communities were assessed varied by year. These include habitat (Qualitative Habitat Evaluation Index or QHEI), fish (Index of Biotic Integrity or IBI) and macroinvertebrates (MAIS). This paper will focus on IBI and MAIS. This study focuses on the biological indices at HF090 (Waterloo) which is a site of transitional water quality 2.7 stream miles downstream from the doser and HF010 (Moonville) at the mouth of Hewett Fork and the chemistry at HF131 (Carbondale) which is the discharge from the Carbondale East and West drifts before April 2004 and the discharge from the doser after April 2004, Waterloo and Moonville.
Field data was measured with a sonde (equipment: Yellow Springs Institute 600 XLM data-sonde) and included temperature (degrees Celsius), pH, specific conductivity (µS/cm), and dissolved oxygen (mg/L and percentage of saturation). Water flow was measured at each site with either a SonTek Flow Tracker Handheld-ADV, a pygmy flow meter, a Marsh-McBirney flow meter, or a Baski collapsible cutthroat flume. Filtered preserved, non-filtered preserved, and non-filtered non-preserved samples were gathered and sent to the Ohio Department of Natural Resources – Division of Mineral Resources Management Environmental Lab in Cambridge, Ohio for analysis of chemical water quality characteristics. Analysis was performed for acidity, alkalinity, pH, temperature, specific conductance, hardness, total dissolved solids, total suspended solids, dissolved oxygen, sulfate, calcium, magnesium, aluminum, iron and manganese using a Perkin Elmer Optima 2000 ICP, a Dionex ICS-2000 Ion Chromatography system and a Brinkmann Automated Titration system. All field data is catalogued on the Voinovich School’s web-based watershed database (http://www.watersheddata.com).
**Index of Biotic Integrity (IBI)**
The index of biotic integrity (IBI) is a multimetric index for fish populations (Karr 1981). It is used in Ohio to assess the attainment of water quality use designations for warm water streams (OEPA 2007). The IBI is calculated based upon 12 different factors; each factor is given a score of either 1, 3 or 5. The minimum score is 12 and the maximum is 60. A score of 44 is required to attain a warm water habitat use designation for wading sites. The factors that are included in this multimetric index for wading streams are total number of species, number of darter species, number of sunfish species, number of sucker species, number of intolerant species, percent tolerant species, percent omnivores, percent insectivore specie, percent top carnivores, number of individuals, percent simple lithophils and percent with DeL anomalies. The sites samples on Hewett Fork are all sampled using a 100 meter long line electrofishing unit to sample a 200 meter reach of stream from downstream to upstream.
**Macroinvertebrate Aggregated Index for Streams (MAIS)**
The Macroinvertebrate Aggregated Index for Streams (MAIS) is a family level rapid bioassessment method for macroinvertebrates (Smith and Voshell 1997) accepted by the Ohio EPA as a level
---
**Table 1 Ohio EPA Bicriteria for Stream Use Designations (OEPA 2007).**
| | EWH | WWH | LRW-AMD |
|-------|-----|-----|---------|
| QHEI | 75 | 60 | ? |
| IBI | 50 | 44 | 18 |
| MAIS | | 12 | |
*Note: MAIS is not officially used by OEPA as a bicriteria.*
2 (rapid) bioassessment method for assessment of mine impacted streams in the Western Allegheny Plateau ecoregion, including Raccoon Creek (Johnson 2009). MAIS scores are calculated based on nine factors and can range from 0 to 18. The factors used to calculate MAIS scores are number of caddisfly, stonefly and mayfly families, number of mayfly families, percent abundance of mayflies, percent of population made up by the five most dominant taxa combined, Simpson Diversity Index (integrates richness and evenness), Modified Hilsenhoff Biotic Index (taxa are weighted by pollution tolerance), number of intolerant taxa, percent of the sample that are scrapers (macros that feed on periphyton) and percent of that sample that are haptobenthos (macros that require clean, coarse, firm substrates) (Johnson 2009). The sites on Hewett Fork are all sampled using standard methods. Within a 150 meter reach, three riffles are sampled using kick nets and all other available habitats are sampled with 20 jabs of a dip net. All individuals are picked from each net in the field and preserved for later identification and quantification.
The Summer of 2010
While the Carbondale Doser had improved the chemical and biological quality of Hewett Fork, during late June 2010, the doser was inadvertently left empty for approximately a week. Prior to June 2010, the last IBI measurement was in 2008 with a score of 24 (up from the pre-treatment value of 12); the last MAIS measurement was in 2009 with a score of 6 (no pre-treatment data exists). In the week prior to the doser being off-line (on June 23, 2011), an electrofishing demonstration (not a full survey) was performed at Waterloo (HF090) by the authors. During this demonstration, in addition to many pollution tolerant species, several longear sunfish, brook lamprey and redfin shiners were found indicating water quality and habitat improvements. Redfin shiner and brook lamprey were new species at this site.
While the empty doser was discovered within a few days, material ordering and shipping times led to a down-time of nearly one week. In addition to the empty doser, the concrete channel downstream of the doser that channels dosed mine water to Hewett Fork was emptied of excess calcium oxide precipitates by vacuum truck during Spring 2010, so any residual buffering capacity was removed.
All 2010 bioassessments were performed after the doser was offline and subsequently refilled. Macroinvertebrate surveys were performed during July 2010, most sites were sampled within two to three weeks after the doser was refilled. Fish surveys were collected from August 3rd – 6th, 2010 with a second survey on September 20, 2010 at key sites. The results presented here show the response to a week of non-treatment both chemically and biologically.
Results
While sparse data is available prior to construction of the doser, Carbondale East and West (site HF131) contributed over 700 lbs/day of acid into Hewett Fork. Before June 2010 when the doser was off-line (see Figure 4), all three of the monitoring sites presented here were net alkaline. Since the doser was refilled, the dosing rate has been adjusted several times. This, along with low flow effects have contributed to the variability of net alkalinity at both Waterloo and Carbondale. The net alkalinity at Moonville, however, has remained consistently positive both before and after the doser was off-line. This reasonably quick chemical recovery is expected, but does not demonstrate full recovery since the biological communities will be slower to recover.
Figure 3 Net alkalinity measurements at HF010 (Moonville), HF090 (Waterloo) and HF131 (Carbondale) focussing on the period of non-treatment.
Since the construction of the doser, biological health has improved throughout the Hewett Fork subwatershed, as seen in Figures 4 and 5. The IBI at Waterloo pre-treatment was 12, the lowest possible score. During the next few years, the IBI improved to a maximum of 30, and consistently achieved a score of 24. In the 2010 sampling season, fish were surveyed twice at Waterloo; both surveys resulted in a score of 12. In addition, the MAIS score in 2010 returned to the pretreatment level of 3. The 2007 MAIS survey also had a low score, reflecting another, shorter, period of non-treatment that was buffered by in-stream and in-channel calcium oxide. Additionally, the 2010 fish survey at Waterloo had the lowest number of fish collected since treatment began. Although there is hope that biological assessments during 2011 will show improvement, an electrofishing demonstration on June 9, 2011, at Waterloo yielded only one pollution tolerant fish (a yellow bullhead).
While consistent biological recovery at Waterloo is not necessarily a realistic expectation in Hewett Fork, recovery at Moonville, 11 miles downstream from the doser may be a realistic expectation. As seen in Figure 5, since treatment, the IBI score has been consistently high. During the 2010 fish survey at Moonville, less than half the number of fish were collected when compared to the 2008 survey, although this did not affect the IBI score. The fish catch may have decreased due to gradual deepening of the sample site which makes sample collection more difficult. Additionally, the 2010 MAIS score dropped by four points from the 2009 survey.
**Conclusions**
While alkaline addition treatment can be extremely effective at minimizing the impacts of AMD and improving biological communities, equipment failures, human error and lack of maintenance can lead to treatment shutdown. A seemingly insignificant mistake can take its toll on the health of a watershed for years to come. Hewett Fork did not have the resilience to quickly bounce back from a week of non-treatment. While this system has allowed biological communities
to return to Hewett Fork and the headwaters of Raccoon Creek, it is not sustainable improvement without consistent and continued treatment of AMD at Carbondale.
Acknowledgements
This work was supported by a foundation grant from American Electric Power and by the Ohio Department of Natural Resources Division of Mineral Resources Managment.
References
Johnson, K.S. (2009). Performance of a family-level macroinvertebrate index (MAIS) for assessing acid mine impacts on streams in the Western Allegheny Plateau. Final Report for Ohio Department of Natural Resources. Div. Mineral Resources. 45 pp.
Karr, J.R.(1981). Assessment of Biotic Integrity Using Fish Communities. Fisheries. Vol. 6, No. 6, 21—27.
NPS (2009). 2009 NPS Report – Raccoon Creek Watershed – Carbondale II Doser. Non-Point Source Monitoring System. www.watersheddata.com.
Ohio Environmental Protection Agency (1997) Biological and Water Quality Study of The Raccoon Creek Basin (1995). Ecological assessment Unit, Division of Surface Water, OEPA Technical Report, Number MAS/1996—12—7.
Ohio Environmental Protection Agency (2007). Water use designations and statewide criteria. OEPA Rule, Number 3745—1—07.
Smith, E. P. and J. R. Voshell (1997). Studies of benthic macroinvertebrates and fish in streams within EPA Region 3 for development of Biological Indicators of Ecological Condition. Part 1, Benthic Macroinvertebrates. Report to U. S. EPA. Cooperative Agreement CF821462010. EPA, Washington, D.C.
Rice, C, Hoy, JB, Hoy, R, Last, J, Farley, M, Grow, J, Knapp, M, Simon, K (2002). Acid Mine Drainage Abatement and Treatment (AMDAT) Plan for the Headwaters of the Raccoon Creek Watershed. Raccoon Creek Partnership, Athens, Ohio. |
Course Essential Questions (from Phase I report):
1. How does enjoyment of physical activity promote lifelong fitness?
2. What is the connection between physical activity and increased academic achievement?
3. What are the components of physical fitness?
4. What is the importance of developing sportsmanship and personal and social behaviors through physical education?
5. How do nutrition and exercise impact overall health?
Phase II Curriculum
Unit: #1 Invasion Games
Essential Questions:
1. Why do invasion games target the development of motor skills?
2. What is acceptable behavior when participating in physical activity?
Essential Understanding:
- Motor skills are necessary in performing a wide variety of physical activity.
- The development of fine and gross motor skills are essential in maximizing enjoyment, challenge, and endurance during competitive play.
- Social behaviors (sportsmanship) impact teamwork and relationships during game play.
Curriculum Standards - DOK noted where applicable with Standards
*Standard 1: *(DOK 1, 2, 3) A physically educated person demonstrates competency in motor skills and movement patterns needed to perform a variety of physical activities.
Benchmarks:
LEVEL 3 Performance:
A. Locomotor, selected manipulative and non-manipulative skills during participation;
B. Five element movement sequence with flow.
LEVEL 2 Performance:
C. Using tactics during modified game play.
Level 1 Performance:
D. Movement concepts in the following manipulative skills: chest pass, bounce pass, hand dribble, volley, overhead pass, and punt.
E. Using tactics during modified game play.
*Standard 2: *(DOK 1, 2, 3) A physically educated person demonstrates understanding of movement
concepts, principles, strategies, and tactics as they apply to the learning and performance of physical activities.
**Benchmarks:**
**LEVEL 3 Performance:**
A. Applies knowledge of critical elements of movement concepts while performing non-manipulative, locomotor, and manipulative skills during participation;
B. Uses internal (prior knowledge) and external feedback to improve performance;
C. Applies knowledge of movement concepts and skills to design a five element movement sequence with flow;
D. Applies knowledge of selected skills to design games.
**LEVEL 2 Performance:**
E. Applies knowledge of tactics during modified game play.
* **Standard 5:** *(DOK 1,2,3)* A physically educated person exhibits responsible personal and social behavior that respects self and others in physical activity settings.
**Benchmarks:**
Demonstrates Level 4 performance in the following:
A. Identifies key behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
B. Exhibits behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
Demonstrates Level 3 performance in the following:
C. Analyzes the benefits of possessing each of the following personal/social character traits: responsibility, best effort, cooperation, compassion, and leadership.
D. Exhibits behaviors which exemplify each of the following personal/social character traits: constructive competition, initiative, and leadership.
E. Identifies key behaviors which exemplify the personal/social character traits of leadership
### LEARNING TARGETS
| Knowledge/Content I Know … | Skills/Processes I Can … |
|----------------------------|--------------------------|
| - The dynamics of offensive and defensive play strategies. | - Demonstrate ready positions in all aspects of game play. |
| - That motor skills are necessary to perform a variety of physical activities. | - Show defensive positioning by proper placement of one's body between the offense and goal. |
| - Why it is best to throw a spiral in football. | - Demonstrate proper form when shooting a basketball in a controlled setting within one foot from the basket. |
| - In-line concept of shooting a basketball. | - Demonstrate spatial awareness during team play. |
| - How to put a ball in play after it goes out of bounds in a soccer game. | - Demonstrate proper throwing form in a controlled situation. |
| - That progressive motor skills (fine and gross) are essential in team play activities. | - Demonstrate proper catching form in a controlled situation. |
| - Procedure for a kick-off in soccer. | - Demonstrate understanding of game rules. |
| - Rules related to game play. | |
### Phase III Textbook/Materials
updated 10/2015
Phase IV Summative Assessment Evidence
| Common Summative Unit Assessments: | Agreed Upon Interim Summative Assessments: (*identifies Performance Task) |
|-----------------------------------|--------------------------------------------------------------------------|
Phase II Curriculum
Unit: #2 Net Games
Essential Questions:
1. How do net games lead to refined motor skills?
2. How does sportsmanship and prosocial behavior enhance one’s participation in net game activities?
3. Which movement strategies, positioning skills, and tactics are beneficial when participating in net game experiences?
Essential Understanding:
- Net games are one type of physical activity which helps develop motor skills necessary to carry on a variety of activity.
- Positive social behaviors impact enjoyment, performance, challenge, and social relationships during participation in net game activities.
- Specific tactics, movement strategies, and positioning skills enhance one’s experience and performance during net game activities.
Curriculum Standards - DOK noted where applicable with Standards
Standard 1: (DOK 1, 2, 3) A physically educated person demonstrates competency in motor skills and movement patterns needed to perform a variety of physical activities.
Benchmarks:
A. Locomotor, selected manipulative and non-manipulative skills during participation in net games.
B. Five element movement sequence (e.g., rhythmic, aerobic, or gymnastics activities) with flow.
C. Demonstrates Level 2 performance in the following:
Using tactics during modified game play.
Demonstrates Level 1 performance in the following:
D. Movement concepts in the following manipulative skills: chest pass, bounce pass, hand dribble, volley, overhead pass, and punt.
E. Using tactics during modified game play.
Standard 2: (DOK 1, 2, 3) A physically educated person demonstrates understanding of movement concepts, principles, strategies, and tactics as they apply to the learning and performance of physical activities.
Benchmarks:
Demonstrates Level 3 performance in the following:
A. Applies knowledge of critical elements of movement concepts while performing non-manipulative, locomotor, and manipulative skills during participation in net games.
B. Uses internal (prior knowledge) and external feedback to improve performance.
C. Applies knowledge of movement concepts and skills to design a five element movement sequence (e.g., simple rhythmic or aerobic activities) with flow.
D. Applies knowledge of selected skills to design games.
E. Demonstrates Level 2 performance in the following: Applies knowledge of tactics during modified game play.
Demonstrates Level 1 performance in the following:
F. Identifies basic game strategies used during modified game play.
**Standard 6:** *(DOK 1, 2, 3)* A physically educated person values physical activity for health, enjoyment, challenge, self-expression, and/or social interaction.
**Benchmarks:**
Demonstrates Level 4 performance in the following:
A. Chooses to exercise regularly outside of physical education for personal enjoyment and benefit.
B. Chooses to participate in activities that are personally challenging.
C. Chooses to participate in activities that allow for self-expression.
D. Recognizes physical activity as a positive opportunity for social interaction.
Demonstrates Level 3 performance in the following:
E. Exhibits indicators of enjoyment for the aesthetic and creative aspects of skilled performance.
### LEARNING TARGETS
| Knowledge/Content I Know … | Skills/Processes I Can … |
|----------------------------|--------------------------|
| - The dynamics of offensive and defensive strategies during game situations. | - Demonstrate ready positions in all aspects of game play. |
| - Specific motor skills necessary to perform a variety of physical activities. | - Show offensive strategy (such as opening up to a person on a team that is passing in volleyball). |
| - How to score a point in volleyball. | - Demonstrate proper forearm pass with flat platform and athletic position. |
| - Social behaviors impact performance in game play situations. | - Demonstrate overhand volleyball serve. |
| - Communication is important in a team setting. | - Keep score (say points) in a volleyball match. |
| | - Demonstrate sportsmanship to opponents after a match (Shake hands, wish well). |
| | - Determine which team serves first through techniques such as rock, paper, scissors. |
### Phase III Textbook/Materials
### Phase IV Summative Assessment Evidence
| Common Summative Unit Assessments: | Agreed Upon Interim Summative Assessments: (*identifies Performance Task) |
|------------------------------------|--------------------------------------------------------------------------|
updated 10/2015
Phase II Curriculum
Unit: #3 Striking and Fielding
Essential Questions:
1. How do motor skills impact effective participation in Striking and Fielding Games?
2. What role do social behaviors play in determining effective participation in Striking and Fielding Games?
3. What must a player know about positioning, tactics, and rules for Striking and Fielding Games?
4. How can Striking/Fielding Games enhance overall health?
Essential Understanding:
- Motor skills are necessary to effectively participate in game situations.
- Social behaviors (sportsmanship) can positively or negatively impact performance, teamwork, and enjoyment during participation in game activity.
- Specific positioning skills, tactics, and knowledge of rules impacts the quality and enjoyment of one's experience in striking and fielding games.
- Opportunities to engage in physical activity outside the school day and physical education enhance health and fitness.
Curriculum Standards - DOK noted where applicable with Standards
Standard 1: (DOK 1, 2, 3) A physically educated person demonstrates competency in motor skills and movement patterns needed to perform a variety of physical activities.
Benchmarks:
A. Locomotor, selected manipulative and non-manipulative skills during participation in striking and fielding games.
B. Five element movement sequence (e.g., rhythmic, aerobic, or gymnastics activities) with flow.
Demonstrates Level 2 performance in the following:
C. Using tactics during modified game play.
Demonstrates Level 1 performance in the following:
D. Movement concepts in the following manipulative skills: chest pass, bounce pass, hand dribble, volley, overhead pass, and punt.
E. Using tactics during modified game play.
Standard 2: (DOK 1, 2, 3) A physically educated person demonstrates understanding of movement concepts, principles, strategies, and tactics as they apply to the learning and performance of physical activities.
Benchmarks:
Demonstrates Level 3 performance in the following:
A. Applies knowledge of critical elements of movement concepts while performing non-manipulative, locomotor, and manipulative skills during participation in striking and fielding games.
B. Uses internal (prior knowledge) and external feedback to improve performance.
C. Applies knowledge of movement concepts and skills to design a five element movement sequence (e.g., simple rhythmic or aerobic activities) with flow.
D. Applies knowledge of selected skills to design games.
Demonstrates Level 2 performance in the following:
E. Applies knowledge of tactics during modified game play.
Demonstrates Level 1 performance in the following:
F. Identifies basic game strategies used during modified game play.
Standard 3: (DOK 1,2,3) A physically educated person participates regularly in lifelong physical activity.
Benchmarks:
Accumulates time in physical activities that are moderate to vigorous in intensity while:
A. Exploring a wide variety of striking fielding games and fitness-related activities in and outside of physical education.
B. Participating primarily in physical activities that focus on combining locomotor and manipulative skills and applying strategies in modified game play.
C. Participating most days of the week in a variety of health-enhancing physical activities outside of physical education.
Standard 5: (DOK 1,2,3) A physically educated person exhibits responsible personal and social behavior that respects self and others in physical activity settings.
Benchmarks:
Demonstrates Level 4 performance in the following:
A. Identifies key behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
B. Exhibits behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
Demonstrates Level 3 performance in the following:
C. Analyzes the benefits of possessing each of the following personal/social character traits: responsibility, best effort, cooperation, compassion, and leadership.
D. Exhibits behaviors which exemplify each of the following personal/social character traits: constructive competition, initiative, and leadership.
E. Identifies key behaviors which exemplify the personal/social character traits of leadership.
Standard 6: (DOK 1,2,3) A physically educated person values physical activity for health, enjoyment, challenge, self-expression, and/or social interaction.
Benchmarks:
Demonstrates Level 4 performance in the following:
A. Chooses to exercise regularly outside of physical education for personal enjoyment and benefit.
B. Chooses to participate in activities that are personally challenging.
C. Chooses to participate in activities that allow for self-expression.
D. Recognizes physical activity as a positive opportunity for social interaction.
Demonstrates Level 3 performance in the following:
E. Exhibits indicators of enjoyment for the aesthetic and creative aspects of skilled performance.
F. Accepts differences between idealized body images and elite performance levels portrayed by the media and their own personal characteristics and skills.
LEARNING TARGETS
| Knowledge/Content | Skills/Processes |
|-------------------|------------------|
| **I Know …** | **I Can …** |
| - Dynamics of offensive and defensive play strategies. | - Demonstrate ready positioning in all aspects of game play. |
| - Specific motor skills necessary to perform a variety of activities. | - Demonstrate proper level swing when addressing and hitting a softball or baseball. |
| - Safety rules associated with batting. | - Demonstrate proper dropping (vs. throwing) of bat after striking the ball. |
| - Rules specific to fielding games (i.e., softball, baseball). |
- Rules of sportsmanship and its effect on quality of individual and team experiences.
- The importance of communication within the game setting.
- The difference between a force out and a tag out.
- Exhibit understanding of ways to reach first base including, stand-up and run-through options.
- Demonstrate knowledge base running rules (run-through for first base, contact with base for second base through home plate).
- Describe or list selected elements of infield tactical problems (first base running, pop-fly rule, force out).
- Demonstrate proper throwing form in a controlled situation.
- Demonstrate proper catching form in a controlled situation.
- Demonstrate sportsmanship including congratulating opponent for exceptional play, modeling fair play, and refraining from taunting.
- Demonstrate communication skills with teammates, coaches, and/or officials regarding number of outs, time outs, signaling plays, and/or strategies.
**Phase III Textbook/Materials**
**Phase IV Summative Assessment Evidence**
| Common Summative Unit Assessments: | Agreed Upon Interim Summative Assessments: (*identifies Performance Task) |
|------------------------------------|--------------------------------------------------------------------------|
| | |
Phase II Curriculum
Unit: #4 Fitness and Nutrition
Essential Questions:
1. How does regular participation in physical activity contribute to lifelong fitness?
2. How does food choice impact one's fitness and overall health level?
3. What is the relationship of nutrition to fitness?
4. What role do social behaviors play in the area of fitness and nutrition?
Essential Understanding:
- Physical activity enhances overall fitness and helps maintain lifelong health.
- Balanced nutritional health helps maintain overall health by reducing obesity, providing nutrients for cell repair, and maintaining muscle mass.
- Proper nutrition enhances fitness for life.
- Personal responsibility, effort, and encouraging workout partners are important social behaviors applicable to the area of fitness and nutrition.
Curriculum Standards - DOK noted where applicable with Standards
Standard 3: (DOK 2) A physically educated person participates regularly in lifelong physical activity.
Benchmarks:
A. Exploring a wide variety of target, net/wall, invasion, striking/fielding/running games; rhythmic activities; outdoor pursuits; and fitness-related activities in and outside of physical education.
B. Participating primarily in physical activities that focus on combining locomotor and manipulative skills and applying strategies in modified game play.
C. Participating most days of the week in a variety of health-enhancing physical activities outside of physical education.
Standard 4: (DOK 1, 2, 3) A physically educated person achieves and maintains a health-enhancing level of physical fitness.
Benchmarks:
A. Meets criterion-referenced age- and gender-specific, health-related fitness standards for cardiorespiratory, muscular strength and endurance, flexibility, and body composition (e.g., Fitnessgram, President’s Challenge, and Brockport Physical Fitness Test).
B. Self-assesses health-related fitness status.
C. Recognizes the principles of training (e.g., Frequency, Intensity, Type, Time (F.I.T.T.), overload, specificity).
D. Applies the physiological indicators associated with moderate to vigorous physical activity to monitor and/or adjust participation/effort (e.g., palpitating pulse, using pedometers and/or heart rate monitors to train in target heart rate zones).
E. Develops and implements a plan for improving or maintaining their health-related fitness status, with assistance from the teacher.
F. Monitors the effects of physical activity and nutrition on the body.
Standard 5: (DOK 1, 2, 3) A physically educated person exhibits responsible personal and social behavior that respects self and others in physical activity settings.
Benchmarks:
Demonstrates Level 4 performance in the following:
A. Identifies key behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
B. Exhibits behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
Demonstrates Level 3 performance in the following:
C. Analyzes the benefits of possessing each of the following personal/social character traits: responsibility, best effort, cooperation, compassion, and leadership.
D. Exhibits behaviors which exemplify each of the following personal/social character traits: constructive competition, initiative, and leadership.
E. Identifies key behaviors which exemplify the personal/social character traits of leadership.
**LEARNING TARGETS**
| Knowledge/Content I Know … | Skills/Processes I Can … |
|----------------------------|--------------------------|
| - What basic health research says about the importance of physical exercise and nutrition.
- Standards for what constitutes "good fitness" levels according to the Presidential Physical Fitness Test.
- The symbiotic relationship of nutrition and fitness.
- Fitness and nutrition impact lifelong health and welfare.
- Fitness and nutritional health require personal commitment and responsibility.
- An individual’s personal health pyramid may be unique depending on overall health factors.
- Fitness needs and focus change over a lifetime.
- Proper fitness and nutrition help reduce incidence of injury and disease.
- Fitness and nutrition help reduce the effects of negative stressors. | - Communicate research based knowledge about the importance of physical exercise and nutrition.
- Complete the components of the Presidential Physical Fitness Test.
- Self-assess their health related fitness status.
- Develop a plan for improving or maintaining health related fitness status with assistance from the teacher.
- Monitor their heart rate: resting and after exercise.
- Cite personal or community based support systems for staying engaged in fitness and nutritional health plans.
- Explain the main components of physical fitness.
- Describe or list the health, social and economic benefits of proper nutrition and physical fitness.
- Explain the social benefits of partnering with others on a planned fitness routine. |
**Phase III Textbook/Materials**
**Phase IV Summative Assessment Evidence**
**Common Summative Unit Assessments:**
**Agreed Upon Interim Summative Assessments:** (*identifies Performance Task)
Phase II Curriculum
Unit: #5 Outdoor Pursuits
Essential Questions:
1. How do outdoor pursuits provide opportunities for lifelong physical activity?
2. Why is it necessary to exercise personal responsibility while participating in outdoor pursuits?
3. What are social benefits of involvement in outdoor pursuits?
4. What are some physical and mental health benefits of participating in outdoor pursuits?
Essential Understanding:
- Outdoor pursuits may be enjoyed regardless of age or physical limitations.
- Exercising personal responsibility protects natural resources.
- Personal responsibility ensures safety of all participants.
- Outdoor activities provide social interaction, personal challenge, and opportunity for self-expression and enjoyment.
- Outdoor pursuits provide an outlet from everyday stressors, opportunity for moderate to vigorous exercise, and relaxation.
Curriculum Standards - DOK noted where applicable with Standards
Standard 3: (DOK 1, 2) A physically educated person participates regularly in lifelong physical activity.
Benchmarks:
Accumulates time in physical activities that are moderate to vigorous in intensity while:
A. Exploring a wide variety of outdoor pursuits; and fitness-related activities in and outside of physical education.
B. Participating primarily in physical activities that focus on combining locomotor and manipulative skills and applying strategies in modified game play.
C. Participating most days of the week in a variety of health-enhancing physical activities outside of physical education.
Standard 5: (DOK 1, 2) A physically educated person exhibits responsible personal and social behavior that respects self and others in physical activity settings.
Benchmarks:
Demonstrates Level 4 performance in the following:
A. Identifies key behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
B. Exhibits behaviors which exemplify each of the following personal/social character traits: responsibility, best effort, cooperation, and compassion.
Demonstrates Level 3 performance in the following:
C. Analyzes the benefits of possessing each of the following personal/social character traits: responsibility, best effort, cooperation, compassion, and leadership.
D. Exhibits behaviors which exemplify each of the following personal/social character traits: constructive competition, initiative, and leadership.
E. Identifies key behaviors which exemplify the personal/social character traits of leadership.
Standard 6: (DOK 1, 2) A physically educated person values physical activity for health, enjoyment, challenge, self-expression, and/or social interaction.
Benchmarks:
Demonstrates Level 4 performance in the following:
A. Chooses to exercise regularly outside of physical education for personal enjoyment and benefit.
B. Chooses to participate in activities that are personally challenging.
C. Chooses to participate in activities that allow for self-expression.
D. Recognizes physical activity as a positive opportunity for social interaction.
Demonstrates Level 3 performance in the following:
E. Exhibits indicators of enjoyment for the aesthetic and creative aspects of skilled performance
| LEARNING TARGETS |
|------------------|
| **Knowledge/Content** | **Skills/Processes** |
| I Know … | I Can … |
| - The seven principles of "Leave No Trace" (PEAK).
- How to properly fit and wear a personal flotation device.
- How to paddle a canoe.
- How to safely cast a fishing line from a boat or the shore.
- Fishing etiquette.
- How to express and share enjoyment of outdoor pursuits. | - Describe principles of "Leave No Trace" (PEAK version).
- Work with a teammate to navigate a canoe in a river.
- Demonstrate how to cast a fishing line.
- Explain fishing etiquette (e.g.: quiet).
- Discuss various social, physical, and mental health benefits of participation in outdoor pursuits. |
**Phase III Textbook/Materials**
**Phase IV Summative Assessment Evidence**
| Common Summative Unit Assessments: | Agreed Upon Interim Summative Assessments: (*identifies Performance Task) | |
XO-1
MODEL 6407
TRAXXAS
OWNER'S MANUAL
Thank you for purchasing the XO-1™. This model is capable of extreme performance and high speeds unsurpassed by any other R/C vehicle, with the durability and ease of use that are hallmarks of Traxxas’ Ready-To-Race™ models. The included TQi 2.4GHz transmitter with Docking Base is ready to accept your Apple iPhone® or iPod Touch® and the Traxxas Link™ application for a new level of tuning sophistication and convenience. The included Power Cell Lithium polymer (LiPo) batteries give the XO-1 the ability to reach speeds over 100mph once you ‘unlock’ the power system’s full-power mode.
This manual contains the instructions you will need to operate and maintain your model so that you can enjoy it for years to come. We know you’re excited about getting your new model on the road, but it’s very important that you take some time to read through the Owner’s Manual. This manual contains all the necessary set-up and operating procedures that will allow you to unlock the performance potential that Traxxas engineers designed into your model. **Also be sure to read and follow ALL precautions and warnings in this manual, on all documents enclosed with your model, and on all labels or tags attached to your model or model’s accessories. They are there to educate you on how to operate your model safely and also get maximum life and performance from your model.** Even if you are an experienced R/C enthusiast, it’s important to read and follow the procedures in this manual and all accompanying documents. Thank you again for going with Traxxas. We work hard every day to assure you receive the highest level of customer satisfaction possible. We truly want you to enjoy your new model!
**Traxxas Support**
Traxxas support is with you every step of the way. Refer to the next page to find out how to contact us and what your support options are.
**Quick Start**
This manual is designed with a Quick Start path that provides an overview of the necessary procedures to get your model up and running. The Quick Start is NOT a substitute for reading the entire manual. The Quick Start is merely intended to direct you to sections of the manual to more quickly familiarize yourself with the basics of this model’s operation. Do not run the model without thoroughly reading all of the instructions, warnings, and precautions supplied with your model. Pay particular attention to the warnings in the beginning and throughout the remainder of this manual. The Quick Start guide is located on page 9.
Experts Only! This product is not a toy. This product carries our highest skill level rating, 10, and is not intended for use by children or minors younger than 16 years old. Individuals younger than 18 years old require responsible adult supervision during operation and maintenance. The XO-1 is only intended to be owned and operated by experienced users, with advanced skills, and expert driving ability. Responsibility, maturity, and common sense are required. This model must be treated with absolute respect and caution to ensure the safety of yourself and others around you. It must only be driven at its top speed on a closed course such as a racetrack or drag strip where there are safety barricades and pedestrian access controls. Operating the XO-1 in a careless, unsafe manner, without adequate care and preparation, can result in collisions with catastrophic consequences such as serious injury or death. Know your limits. Be honest with yourself about your true ability and be certain you have a location where you can safely run the model.
The XO-1 contains LiPo batteries. LiPo batteries have a severe risk of fire and injury if they are improperly handled, abused, or misused. User must read and understand all included instructions, warnings, and precautions regarding the handling, care, and use of LiPo batteries. A LiPo balance charger (such as the Traxxas EZ-Peak Plus sold separately) is required to charge the batteries. Consult Traxxas or your hobby dealer if you do not know what a LiPo balance charger is. NEVER USE A NiMH OR NiCD CHARGER TO CHARGE LIPO BATTERIES AS THIS CAN CAUSE FIRE RESULTING IN PROPERTY DAMAGE, AND/OR PERSONAL INJURY OR DEATH.
Liability Statement:
This product is surrendered by Traxxas to the purchaser with the understanding that the purchaser accepts the responsibility that driving this model and using the enclosed accessories in a careless, improper, or unsafe manner can result in serious injury or death. Also, the purchaser assumes all liability resulting from any misuse, unsafe handling, failure to follow instructions, or any action that constitutes a violation of any applicable laws or regulations. Traxxas, and all Traxxas suppliers and component makers, shall not be liable for personal injury, loss of property, or loss of life, resulting from the use of this product under any circumstances, including intentional, reckless, negligent, or accidental behavior. Traxxas, and all Traxxas suppliers and component makers, shall also not be liable for any special, indirect, incidental, or consequential damages arising out of the assembly, installation, or use of their products or any accessory or chemical required to use their products. By the act of operating/using the product, the user accepts all resulting liability and releases Traxxas, and all Traxxas suppliers and component makers, of any and all liability associated with its use.
If you as the user do not accept liability of ownership, Traxxas requests that you do not use this product. Do not open any of the enclosed materials. Return the model to your hobby dealer. Your hobby dealer absolutely cannot accept an item for return or exchange after it has been run or is otherwise no longer in as-new condition.
All information contained in this manual is subject to change without notice. Traxxas reserves the right to make changes and improvements to products without incurring any obligation to incorporate such improvements into products previously sold.
Safety Is Your Responsibility!
All instructions and precautions outlined in this manual should be strictly followed to ensure safe operation of your model.
All of us at Traxxas want you to safely enjoy your new model. The precautions outlined in this manual should be strictly followed to help ensure safe operation. You alone must see that the instructions are followed and the precautions are adhered to.
The XO-1 contains LiPo batteries. **DO NOT charge the included batteries with a NiMh Charger.** LiPo batteries have a severe risk of fire and injury if they are improperly handled, abused, or misused. User must read and understand all included instructions, warnings, and precautions regarding the handling, care, and use of LiPo batteries. A LiPo balance charger (such as the Traxxas EZ-Peak Plus sold separately) is required to charge the batteries. Read the additional warnings for LiPo batteries on Page 5 of this manual.
• Because your model is controlled by radio, it is subject to radio interference from many sources that are beyond your control. Since radio interference can cause momentary losses of radio control, always allow a safety margin in all directions around the model in order to prevent collisions.
• Range test your radio system in the area that you will be running the model to ensure that you have range that covers the area you want to drive. After range testing, drive slowly in the area at first to make sure there is no interference that can cause momentary lapses of control.
Always use new or freshly charged batteries in your model to maximize signal power output and range.
• The motors, batteries, and speed control can become hot during use. Be careful to avoid getting burned.
• Choose the right location to drive. Your model is absolutely not intended for use on public roads or congested areas where its operation can conflict with or disrupt pedestrian or vehicular traffic.
Only drive the XO-1 on a closed course with safety barricades and pedestrian access controls. This is to prevent the possibility of injury or death resulting from collision with the model by another human being or animal.
• Do not drive the XO-1 by yourself. Bring a friend along to act as a spotter to alert you if a person or animal is approaching your driving course.
• Do not operate your model at night, or anytime your line of sight to the model may be obstructed or impaired in any way.
• Do not drive the model close to you where a mistake or loss of control could cause the model to collide with you or any spectator.
• Inspect the area you will be driving in for uneven or broken pavement and debris of any sort. Debris and poor road surfaces could cause damage and/or loss of control of the model.
• Always carefully inspect your model for damage or loose components before running. Do not drive the model if it is damaged in any way. Tighten any loose hardware. Tighten the wheel nuts before each running session and periodically check the tightness of the wheel nuts while you are running.
• Never pick up the model by its tires or wheels. Always keep your hands safely clear of moving parts whenever the batteries are plugged in.
• Keep the XO-1 stored with the batteries removed, out of the reach of children and protected from access by any other unauthorized driver. Lock the power system whenever the model is stored to prevent access to its full 100mph capability by unauthorized drivers.
• Always disconnect the batteries when it is not in use. Never store the vehicle with batteries in the model, as this can cause a fire leading to property damage, serious personal injury or even death.
• Most importantly, use good common sense at all times.
This list of warnings and precautions is not comprehensive. Be sure to read this entire manual and note other more detailed warnings and precautions contained within.
WARNING! CAUTION! DANGER!
FIRE HAZARD! Before use, read and follow all manufacturer’s charging and handling instructions, warnings and precautions! Lithium Polymer batteries pose a severe risk of fire if not properly handled and charged per the instructions. Never allow children under 14 years old to charge batteries without the supervision of a responsible, knowledgeable adult.
• While charging, always place the battery in a fire retardant/fire proof container and on a non-flammable surface such as concrete.
• ALWAYS charge batteries in a well-ventilated area.
• REMOVE flammable items and combustible materials from the charging area.
• ONLY use a Lithium Polymer (LiPo) balance charger with a balance adapter to charge LiPo batteries.
• NEVER leave batteries unattended while charging.
• If any battery or cell is damaged in any way, do NOT charge, discharge, or use the battery.
• BEFORE you charge, ALWAYS confirm that the charger settings exactly match the battery type (chemistry), specification and configuration to be charged.
• Do NOT exceed the maximum recommended charge rate.
• Do NOT disassemble, crush, short circuit or expose to flame or other source of ignition.
WARNING - Lithium Polymer (LiPo) batteries are significantly more volatile than other rechargeable batteries. Charging and discharging batteries has the potential for fire, explosion, serious injury, and property damage if not performed per the instructions.
ONLY use a LiPo Balance charger specifically designed for LiPo batteries. Traxxas recommends our EZ-Peak Plus Charger #2933. NEVER USE NiMH OR NiCD TYPE CHARGERS OR CHARGE MODES TO CHARGE LIPO BATTERIES. The use of a NiMH or NiCD charger or charge mode will damage the batteries and may cause fire and personal injury.
NEVER charge or use a LiPo battery or pack that shows any kind of damage or deformity. Swelling is a sign of internal damage. If a battery becomes swollen, deformed or appears damaged, DO NOT CHARGE. Follow the disposal instructions below to properly and safely dispose the battery.
NEVER allow children under 14 years old to charge batteries without the supervision of a responsible, knowledgeable adult.
ALWAYS inspect your LiPo batteries carefully before charging. Look for any loose leads or connectors, damaged wire insulation, damaged cell packaging, impact damage, fluid leaks, swelling (a sign of internal damage), cell deformity, missing labels or any other damage or irregularity. If any of the above conditions are observed, DO NOT CHARGE or use the battery or pack. Follow the “BATTERY DISPOSAL INSTRUCTIONS” included and safely dispose of the battery.
Do NOT let any exposed battery contacts or wires touch each other. This will cause the battery to short circuit and create the risk of fire.
ALWAYS charge batteries in a flame retardant/fire proof container. Traxxas recommends the use of Traxxas Battery Charging Bag that is available separately or with its EZ-Peak Plus Charger.
NEVER charge batteries, in your model, on wood, cloth, carpet or on any other flammable surfaces. Keep a chemical fire extinguisher in nearby in case of fire.
Do NOT store or charge LiPo batteries with or around other batteries or battery packs of any type, including other LiPos. Store and transport your LiPo batteries in a cool dry place. Do not store in direct sun light. Do not allow the storage temperature to exceed 140°F / 60°C or the cells may be damaged and risk of fire created.
Do NOT disassemble LiPo cells and charge.
Do NOT attempt to build your own LiPo battery Pack from loose cells. STORE battery packs safely out of the reach of children and pets. ALWAYS proceed with caution and use good common sense at all times.
BATTERY CHARGING AND DISCHARGING PRECAUTIONS
Charging and discharging LiPo batteries, unlike other batteries, has a greater risk of fire resulting in personal injury and property loss. Traxxas LiPo Power Cells feature a separate balancing port that isolates each cell in a pack and charges each cell independently. This ensures that all cells balance equally and discharge at the same rate during use. The balancing port is identified by the multi wire Molex® plug. Always use a balance charger with all Traxxas LiPo Battery packs. Traxxas recommends the EZ-Peak Plus Charger.
Always make sure that your charger settings match those listed on the battery pack label. Improper battery information inputting will result in battery damage and create a serious risk of fire.
Do NOT leave the charger and battery unattended while charging, discharging, or anytime the charger is ON. If there are any signs of a malfunction, unplug the power source to stop the charging process immediately.
If at any time during the charging or discharging process the battery begins to balloon or swell, discontinue charging (or discharging) immediately. Quickly and safely disconnect the battery, then place it in a safe, open area away from flammable materials to observe it for at least 30 minutes. Continuing to charge or discharge a battery that has begun to balloon or swell pose a can result in a fire. A battery that has ballooned or swollen even a small amount must be removed from service permanently.
Make sure charger settings match the battery type and specifications. Refer to the battery label for the proper cell count and charging amperage setting.
• Battery Chemistry
• Cell Configuration
• Maximum Charge Rate
• Voltage
Make sure the battery connections are connected in the correct polarity. Black is negative (-) and Red is positive (+). A wrong connection will damage the battery and create a serious risk of fire.
Any time a battery gets hot to the touch during charging process (temperature greater than 110°F / 43°C), discontinue charging immediately and disconnect battery from charger.
Never charge LiPo battery packs in series or parallel without using the Traxxas Dual Balance Board (sold separately). Charge each battery pack individually only. Charging packs in series or parallel may result in improper charger cell recognition and an improper charging rate that may lead to overcharging, cell imbalance, cell damage and fire. We recommend using the Traxxas EZ-Peak Plus when charging your LiPo batteries. The Traxxas EZ-Peak Plus is specifically designed to automatically peak charge individual pack cells (up to 6 cell packs) with convenience and ease.
Do not attempt to charge a battery with low voltage below 2.8V per cell.
Do not exceed the maximum recommended charging rate.
Never charge a LiPo battery to more than 4.2 Volts per cell. Any cell that is charged to a voltage higher than 4.2V can be damaged and potentially catch fire. Never “trickle” charge a LiPo battery. Trickle charging at even the lowest possible rate will cause the cells within the battery to charge beyond 4.2V, resulting in cell damage and potential fire.
Do not charge a 2S (7.4V nominal) battery to more than 8.4V. Do not charge a 3S (11.1V nominal) battery to more than 12.6V
The Battery’s temperature is important. Use the following temperature ranges as guidelines:
a. Charge Temp Range: 32 - 110°F / 0-43°C
b. Discharge Temp Range: 32 - 140°F / 0-60°C
For optimum performance in cold climates, warm the pack to 100°F/ 37°C before use. After use or discharging, the battery must cool to ambient temperature before charging.
BATTERY DISPOSAL INSTRUCTIONS
1. Discharge battery pack to 2.8 Volts per cell or less.
2. Fill a bucket with enough water to submerge the battery pack completely.
3. Add salt to the water until no more salt will dissolve; the water is now saturated with salt.
4. Place the battery pack in the bucket and leave submerged in the salt-water solution for 24 hours.
5. Remove the battery pack from the salt water and test the voltage with a voltmeter.
6. If the voltage does not read 0.0 Volts, re-submerge and re-test until the voltage reads 0.0 Volts.
7. Once the battery pack has been discharged to 0.0 Volts, it is safe to dispose.
8. Recycle by calling RCRC at (800) 822 8831 for the nearest recycling drop off location.
The XO-1 features a Castle Creations Brushless System pre-installed from the factory. The XO-1 is manufactured by Traxxas and is backed by full Traxxas factory support. The installed Mamba Monster Extreme power system (electronic speed control, motor, on/off switch) is manufactured by Castle Creations. Traxxas will direct warranty claims and related support for the power system directly to Castle Creations and those claims will be subject to Castle Creations’ warranty and service terms. Traxxas does not provide direct service and support for the installed power system. If you cannot accept this product support arrangement, do not run the model or open any of the enclosed materials. Return the model to your hobby dealer. **Note that your hobby dealer absolutely cannot accept an item for return or exchange after it has been run or is otherwise no longer in as-new condition.**
**Support**
If you have any questions about your model or its operation, call the Traxxas Technical Support line toll-free at: 1-888-TRAXXAS (1-888-872-9927)*
Technical support is available Monday through Friday from 8:30am to 9:00pm central time. Technical assistance is also available at Traxxas.com. You may also e-mail customer support with your question at firstname.lastname@example.org. Join thousands of registered members in our online community at Traxxas.com.
Traxxas offers a full-service, on-site repair facility to handle any of your Traxxas service needs. Maintenance and replacement parts may be purchased directly from Traxxas by phone or online at BuyTraxxas.com. You can save time, along with shipping and handling costs, by purchasing replacement parts from your local dealer.
Do not hesitate to contact us with any of your product support needs. We want you to be thoroughly satisfied with your new model!
**Warnings, Helpful Hints, & Cross-References**
Throughout this manual, you’ll notice warnings and helpful hints identified by the icons below. Be sure to read them!
- **⚠️** An important warning about personal safety or avoiding damage to your model and related components.
- **💡** Special advice from Traxxas to make things easier and more fun.
- **🔗** Refers you to a page with a related topic.
Your model comes with a set of specialty metric tools. You’ll need to purchase other items, available from your hobby dealer, to operate and maintain your model.
**SUPPLIED TOOLS AND EQUIPMENT:**
- Shock wrench
- Suspension multi-tool
- 4-way wrench
- 17mm wheel wrench
- 8mm/4mm wrench
- Two LiPo battery packs with Traxxas High-Current Connectors
**RECOMMENDED EQUIPMENT**
These items are not required for the operation of your model, but are a good idea to include in any R/C toolbox:
- Safety glasses
- Thin, hobby-quality cyanoacrylate instant tire glue (CA glue)
- Hobby knife
- Side cutters and/or needle nose pliers
- Phillips screwdriver
- Soldering iron
**REQUIRED EQUIPMENT**
(SOLD SEPARATELY)
- 4 AA alkaline batteries
- LiPo Balance Charger EZ-Peak Plus recommended (Part#2933)
- LiPo Charging Bag
**REQUIRED FOR 100MPH OPERATION**
(SEE PAGE 28)
- Optional Pinion Gear
- 100mph Splitter
- Traxxas TQi Docking Base
- Internet-enabled iPhone® or iPod touch® (sold separately)
- Traxxas Link™ application (sold separately)
*Battery and equipment style are subject to change and may vary from images.*
ANATOMY OF THE XO-1
Shock (Oil Damper)
Half Shaft
Rear Body Mount
Traxxas High-Current Connector
Electronic Speed Control
Drive Shaft
Receiver Box
LED Light Pipe
Antenna Mount
Front Suspension Arm
Turnbuckle (Front Camber Link)
Front Body Mount
Diffuser
Turnbuckle (Rear Camber Link)
Rear Shock Tower
Rear Suspension Arm
Motor
Motor Mount
Spur Gear
Temperature Sensor
Battery Hold-Down Batteries
Chassis Brace Cooling Duct
Steering Servo
Turnbuckle (Toe Link)
Half Shaft
Front Shock Tower
Foam Bumper
Front Canard
Splitter
Shock (Oil Damper)
The following guide is an overview of the procedures for getting your model running. Look for the Quick Start logo on the bottom corners of Quick Start pages.
1. Read the safety precautions beginning on page 3
For your own safety, understand where carelessness and misuse could lead to property damage, fire, personal injury, or death. Safety is your responsibility.
2. Charge the battery packs • See page 13
Fully charge the included battery packs. Begin charging batteries right away. Use a LiPo balance charger for the included LiPo batteries. Never use a NiMH or NiCd charger to charge LiPo batteries.
3. Install batteries in the transmitter • See page 12
The transmitter requires 4 new AA alkaline batteries.
4. Install the battery packs in the model • See page 14
Your model requires two fully charged battery packs.
5. Turn on the radio system • See page 15
Make a habit of turning the transmitter on first, and off last.
6. Check servo operation • See page 16
Make sure the steering servo is working correctly.
7. Range test the radio system • See page 16
Follow this procedure to make sure your radio system works properly at distance and that there is no interference from outside sources.
8. Detail your model • See sidebar, page 10
Apply other decals if desired.
9. Drive your model • See page 19
Driving tips and adjustments for your model.
10. Maintaining your model • See page 23
Follow these critical steps to maintain the performance of your model and keep it in excellent running condition.
The Quick Start is NOT a substitute for reading the entire manual. The Quick Start is merely intended to direct you to sections of the manual to more quickly familiarize yourself with the basics of this models operation. Do not run the model without thoroughly reading all of the instructions, warnings, and precautions supplied with your model. Pay particular attention to the warnings in the beginning and throughout the remainder of this manual.
INTRODUCTION
Your model includes the latest Traxxas TQi 2.4GHz transmitter with Traxxas Link™ Model Memory. The transmitter’s easy-to-use design provides instant driving fun for new R/C enthusiasts, and also offers a full compliment of pro-level tuning features for advanced users – or anyone interested in experimenting with the performance of their model. The steering and throttle channels feature adjustable Exponential, End Points, and Sub-Trims. Steering and braking Dual Rate are also available. Many of the next-level features are controlled by the Multi-Function knob, which can be programmed to control a variety functions. The detailed instructions (page 31) and Menu Tree (page 33) included in this manual will help you understand and operate the advanced functions of the new TQi radio system. For additional information and how-to videos, visit Traxxas.com.
RADIO AND POWER SYSTEM TERMINOLOGY
Please take a moment to familiarize yourself with these radio and power system terms. They will be used throughout this manual. A detailed explanation of the advanced terminology and features of your new radio system begins on page 31.
2.4GHz Spread Spectrum – This model is equipped with the latest R/C technology. Unlike AM and FM systems that require frequency crystals and are prone to frequency conflicts, the TQi system automatically selects and locks onto an open frequency, and offers superior resistance to interference and “glitching.”
Balance Charger – A LiPo battery contains individual cells (for example, the Power Cell LiPo batteries included with your model each have three cells). A balance charger monitors the voltage of each cell and charges the cells equally. This assures maximum performance and battery life by preventing individual cells within the pack from over-charging. Traxxas recommends the EZ-Peak Plus balance charger for Traxxas Power Cell LiPo batteries.
BEC (Battery Eliminator Circuit) - The BEC can either be in the receiver or in the ESC. This circuit allows the receiver and servos to be powered by the main battery pack in an electric model. This eliminates the need to carry a separate pack of 4 AA batteries to power the radio equipment.
Brushless Motor - A D/C brushless motor replaces the brushed motor’s traditional commutator and brush arrangement with intelligent electronics that energize the electromagnetic windings in sequence to provide rotation. Opposite of a brushed motor, the brushless motor has its windings (coils) on the perimeter of the motor can and the magnets are mounted to the spinning rotor shaft.
Charging bag – A fire-retardant sleeve used to contain batteries during charging. The charging bag is designed to mitigate the effects of a fire or explosion due to the use of an incorrect charger or charger setting, or a damaged battery. ALWAYS charge LiPo batteries in a charging bag or other fire-containment vessel designed for battery charging.
Cogging - Cogging is a condition sometimes associated with brushless motors. Typically it is a slight stutter noticed when accelerating from a stop. It happens for a very short period as the signals from the electronic speed control and the motor synchronize with each other.
Current - Current is a measure of power flow through the electronics, usually measured in amps. If you think of a wire as a garden hose, current is a measure of how much water is flowing through the hose.
Docking Base – Accessory base for the TQi transmitter that permits the installation of an Apple iPod Touch® or iPhone®.
ESC (Electronic Speed Control) - An electronic speed control is the electronic motor control inside the model. Electronic speed controls use power more efficiently than mechanical speed controls so that the batteries run longer. An electronic speed control also has circuitry that prevents loss of steering and throttle control as the batteries lose their charge.
Frequency band - The radio frequency used by the transmitter to send signals to your model. This model operates on the 2.4GHz direct-sequence spread spectrum.
kV Rating - Brushless motors are often rated by their kV number. The kV rating equals no-load motor rpm with 1 volt applied. The kV increases as the number of wire turns in the motor decreases. As the kV increases, the current draw through the electronics also increases.
LiPo – Abbreviation for Lithium polymer batteries. This type of battery chemistry provides the maximum possible performance for your model. However, LiPo batteries are not for novice users.
and require specific charging and handling to provide reliable and safe operation. Follow all the warnings and precautions in this manual before charging the batteries and operating your model.
mAh – Abbreviation for milliamp hour. A measure of the capacity of the battery pack. The higher the number, the longer the battery will last between recharges.
Neutral position - The standing position that the servos seek when the transmitter controls are at the neutral setting.
NiMH - Abbreviation for nickel-metal hydride, the most common radio-control battery type. NiMH packs have lower current handling ability and less capacity than LiPo packs, but are generally lower in cost and provide reliable performance.
Receiver - The radio unit inside your model that receives signals from the transmitter and relays them to the servos.
Resistance - In an electrical sense, resistance is a measure of how an object resists or obstructs the flow of current through it. When flow is constricted, energy is converted to heat and is lost.
Rotor - The rotor is the main shaft of the brushless motor. In a brushless motor, the magnets are mounted to the rotor, and the electromagnetic windings are built into the motor housing.
Sensor - Device in the model that gathers data for telemetry such as temperature, voltage or RPM.
Sensored - Sensored refers to a type of brushless motor that uses an internal sensor in the motor to communicate rotor position information back to the electronic speed control.
Sensorless - Sensorless refers to a brushless motor that uses advanced instructions from an electronic speed control to provide smooth operation. Additional motor sensors and wiring are not required.
Servo - Small motor unit in your model that operates the steering mechanism.
Telemetry – Describes the capability for the model to provide real-time information such as speed, temperature, RPMs, and voltage back to the transmitter for display.
Transmitter - The hand-held radio unit that sends throttle and steering instructions to your model.
Traxxas Link – iPhone/iPod Touch application that provides access to telemetry data and adjustments in the TQi radios system. Sold separately on the App Store (Apple.com).
Trim - The fine-tuning adjustment of the neutral position of the servos, made by adjusting the throttle and steering trim knobs on the face of the transmitter. Note: The Multi-Function knob must be programmed to serve as a throttle trim adjustment.
Thermal Shutdown Protection - Temperature sensing electronics used in the electronic speed control detect overloading and overheating of the transistor circuitry. If excessive temperature is detected, the unit automatically shuts down to prevent damage to the electronics.
2-channel radio system - The TQi radio system, consisting of the receiver, the transmitter, and the servos. The system uses two channels: one to operate the throttle and one to operate the steering.
Voltage - Voltage is a measure of the electrical potential difference between two points, such as between the positive battery terminal and ground. Using the analogy of the garden hose, while current is the quantity of water flow in the hose, voltage corresponds to the pressure that is forcing the water through the hose.
IMPORTANT RADIO SYSTEM PRECAUTIONS
• For maximum range, always point the front of transmitter toward the model.
• Do not kink the receiver’s antenna wire. Kinks in the antenna wire will reduce range.
• DO NOT CUT any part of the receiver’s antenna wire. Cutting the antenna will reduce range.
• Extend the antenna wire in the model as far as possible for maximum range. It is not necessary to extend the antenna wire out of the body, but wrapping or coiling the antenna wire should be avoided.
• Do not allow the antenna wire to extend outside the body without the protection of an antenna tube, or the antenna wire may get cut or damaged, reducing range. It is recommended to keep the wire inside the body (in the antenna tube) to prevent the chance of damage.
Your model is equipped with the newest TQi 2.4 GHz transmitter with Traxxas Link™ Model Memory. The transmitter has two channels for controlling your throttle and steering. The receiver inside the model has 5 output channels. Your model is equipped with one servo and an electronic speed control.
**TRANSMITTER AND RECEIVER**
- **Set Button**
- **Red/Green Status LED**
- **Menu Button**
- **Throttle Neutral Adjust**
- **Steering Wheel**
- **Steering Trim**
- **Multi-Function Knob**
- **Sensor Expansion Port**
- **Throttle Trigger**
- **Link Button**
- **LED**
- **Power Switch**
- **Battery Compartment**
**MODEL WIRING DIAGRAM**
- **Antenna**
- **Volt/Temp Sensor**
- **Receiver**
- **Motor (Castle 1650Kv)**
- **Channel 1 Steering Servo**
- **V/T - Voltage/Temp Sensor Port**
- **RPM - RPM Sensor Port**
- **BATT/CH5 - Battery/Channel 5***
- **CH4 - Channel 4***
- **CH3 - Channel 3***
- **CH2 - Speed Control**
- **CH1 - Steering Servo**
- **RPM Sensor**
- **Channel 2 Mamba Monster Extreme Electronic Speed Control**
- **High-Current Connector**
**INSTALLING TRANSMITTER BATTERIES**
Your TQi transmitter uses 4 AA batteries. The battery compartment is located in the base of the transmitter.
1. Remove the battery compartment door by pressing the tab and sliding the door open.
2. Remove the battery holder. Install the batteries in the battery holder. Correct orientation is indicated in the battery holder. Make sure the battery holder is plugged into the transmitter.
3. Reinstall the battery door and snap it closed.
4. Turn on the transmitter and check the “ON” LED for a solid green light. **Note:** Switching the transmitter on with your mobile device installed will automatically launch the Traxxas Link application.
If the status LED flashes red, the transmitter batteries may be weak, discharged or possibly installed incorrectly. Replace with new or freshly charged batteries. The power indicator light does not indicate the charge level of the battery pack installed in the model. If the Traxxas Link application is installed and running, there is a battery level icon (see image below) on the main menu bar that will give you an indication of the charge level of the transmitter batteries.
**Note:** The Docking Base will charge your mobile device as long as the transmitter is turned on.
**TQi Docking Base Battery Charging Jack**
The Docking Base incorporates a standard charging jack for use with optional Traxxas rechargeable NiMH battery pack (#3037) and wall charger (#6545)(each sold separately).
**Note:** The charger and charging jack will not charge rechargeable AA batteries installed in the standard 4-cell AA battery holder supplied with the TQi. **Only use the charger and charging jack with the #3037 Traxxas NiMH battery.**
**CHARGING POWER CELL LIPO BATTERIES**
**Warning: Risk of Fire!** Lithium Polymer batteries pose a severe risk of fire if not properly handled and charged per the instructions. Do not abuse or misuse the batteries. Do not charge the included batteries with a NiMH or NiCd charger. Only use a LiPo balance charger to charge the included batteries. Read and follow ALL manufacturer’s instructions, warnings, and precautions along with the instructions, warnings, and precautions beginning on page 5 of this manual.
We recommend using the Traxxas EZ-Peak Plus (Part # 2933, sold separately) when charging your LiPo batteries. The Traxxas EZ-Peak Plus is specifically designed for use with LiPo, Lilon, LiFe, NiMH and NiCd battery packs. The EZ-Peak plus includes a balance adapter to ensure the cells within the LiPo pack are equally charged. **It is also essential that LiPo packs be charged in a flame-retardant container such as a charging bag (sold separately at your local hobby store).**
Regardless of which battery charger you choose, be sure to follow all the charger instructions and these precautions to ensure maximum safety, performance, and battery life.
1. Traxxas LiPo Power Cells feature a separate balancing port that isolates each cell in a pack and charges each cell independently. This ensures that all cells balance equally and discharge at the same rate during use. The balancing port is identified by the multi wire JST/XH plug. **Always use a balance charger with all Traxxas LiPo Battery packs.** Traxxas recommends the EZ-Peak Plus Charger.
2. **Always make sure that your charger settings match those listed on the battery pack label.** Inputting incorrect battery information will result in battery damage and create a serious risk of fire.
3. **Do NOT leave the charger and battery unattended while charging, discharging, or anytime the charger is ON.** If there are any signs of a malfunction, unplug the power source and/or stop the charging process immediately.
4. If at any time during the charging or discharging process the battery begins to balloon or swell, discontinue charging (or discharging) immediately. Quickly and safely disconnect the battery, then place it in a safe, open area away from flammable materials and observe it for at least 30 minutes. Continuing to charge or discharge a battery that has begun to balloon or swell can result in a fire. **A battery that has ballooned or swollen even a small amount must be removed from service completely.** Make sure charger settings match the battery type and specifications.
**New Battery Break-in**
New LiPo battery packs can require 5 or more charge/discharge cycles before the battery’s optimum performance is reached. During this time, Traxxas recommends that the battery pack not be discharged above 70% of the batteries C rate. A “1C” charge rate is equal to your batteries capacity in milliamps divided by 1000.
Example: 5000mah 25C battery has a 70% rating of 17.5C = 25C x 0.70 [(5000mah ÷ 1000) x 17.5] = 87.5 Amps
**Discharging Instructions**
Never discharge a LiPo battery pack at more than the manufacturer’s recommended discharge rate. The discharge rate is: Battery pack capacity (mah) ÷ 1000 x Pack C rating.
Example for 25C packs: (5000mah ÷ 1000) x 25C = 125 Amps
**Use the Right Batteries**
Your transmitter uses AA batteries. Use new alkaline batteries. Do not use rechargeable AA cells to power the TQi transmitter, as they will not provide sufficient voltage for optimum transmitter performance.
The #3037 Traxxas 5-cell rechargeable battery pack can be used in place of 4 AA alkaline cells. The #3037 battery has the same voltage (6 volts) as four alkaline cells.
**Caution: Discontinue running your model at the first sign of weak batteries (flashing red light on the transmitter) to avoid losing control.**
**If the power indicator doesn’t light green, check the polarity of the batteries. Check rechargeable batteries for a full charge. If you see any other flashing signal from the LED, refer to the chart on page 32 to identify the code.**
The following Traxxas High Current Connector packages are available from your hobby dealer. When using adapters, be careful not to exceed the current rating of the Molex connector.
Part #3060 Single Male/Female
Part #3080 2-Pack Female
Part #3061 Male Charge Adapter
Part #3070 2-Pack Male
Part #3062 Female Charge Adapter
Battery Compartment Specs:
• 49.5mm (1.95”) wide x 155mm (6.10”) long (stock) or 135mm (5.31”) long
• Height with stock strap: 23mm (.91”) or 25mm (.94”)
Note: There is some flex with the battery strap. It is possible to fit slightly taller batteries in the compartment.
Installing & Removing the Battery Pack
The XO-1’s battery compartments can accommodate a variety of LiPo battery configurations. From the factory, the compartments are set up for the included 5000mAh 3S packs. The number on each side of the hold-down indicates the battery height in millimeters that hold-down can accommodate. Note that one side is labeled “23mm/38mm” and other side is labeled “25mm/40mm”.
Always remove the batteries from the model before recharging.
Battery Compartment Height Chart
The chart below shows the heights available through various hold-down and retainer combinations. Parts in bold are sold separately.
| Height (mm) | Hold-Down Part Number | Retainer Part Number |
|-------------|-----------------------|----------------------|
| 20 | #6426X | #6427 |
| 23 | #6426 | #6427 |
| 25 | #6426 | #6427 |
| 28 | #6426X | #6427 |
| 35 | #6426X | #6427X |
| 38 | #6426 | #6427X |
| 40 | #6426 | #6427X |
| 43 | #6426X | #6427X |
Removing the Battery Packs
1. Unplug the High Current Connectors.
2. Flex the retainer away from the center of the chassis.
3. Lift the battery hold-down up and pull it away from the chassis.
4. Repeat for the opposite battery.
Installing the Battery Packs
1. Insert the battery into the tray with the High Current Connector positioned towards the rear of the car.
2. Insert the hold-down into the lower set of holes in the center support. If you are installing the Power Cell 5000mAh batteries included with the car, the hold-downs should be oriented so the side labeled “25mm/40mm” is face up.
3. Align the hold-down over the retainer and press down until it snaps into place.
4. Repeat for the opposite battery.
5. When you are ready to drive, connect the High Current Connectors to the speed control.
Adjusting The Battery Compartment Length
The XO-1’s battery compartments are configured for batteries that are 155mm long. The compartments’ rear battery cup can be moved forward 20mm to accommodate 135mm battery packs. Remove the 3x10 countersunk screws and reinstall the battery cup with the screws in the rear set of holes in the battery cup to configure the compartments for 135mm packs.
The Traxxas High Current Connector
Your model is equipped with the patented Traxxas High-Current Connector. Standard connectors restrict current flow and are not capable of delivering the power needed to maximize the output of brushless power systems.
The Traxxas connector’s gold-plated terminals with a large contact surfaces ensure positive current flow with the least amount of resistance. Secure, long-lasting, and easy to grip, the Traxxas connector is engineered to extract all the power your battery has to give.
RADIO SYSTEM CONTROLS
- In order for the transmitter and receiver to bind to one another, the receiver in the model must be turned on within 20 seconds of turning on the transmitter. The transmitter LED will flash fast red indicating a failure to link. If you miss it, simply turn off the transmitter and start over.
- Always turn on the transmitter before plugging in the battery.
RADIO SYSTEM BASIC ADJUSTMENTS
Throttle Neutral Adjustment
The throttle neutral adjustment is located on the transmitter face and controls the forward/reverse travel of the throttle trigger. Change the adjustment by pressing the button and sliding it to the desired position. There are two settings available:
50/50: Allows equal travel for both acceleration and reverse.
70/30: Allows more throttle travel (70%) and less reverse travel (30%).
Note: We strongly recommend to leave this control in its factory location until you become familiar with all the adjustments and capabilities of your model. To change the throttle neutral adjust position, turn the transmitter off before adjusting the neutral position. You will need to reprogram your electronic speed control to recognize the 70/30 setting. Refer to page 18 for instructions.
Steering Trim
The electronic steering trim located on the face of the transmitter adjusts the neutral (center) point of the steering channel.
Multi-Function Knob
The Multi-Function knob can be programmed to control a variety of functions. From the factory, the Multi-Function knob controls steering sensitivity, also known as exponential or “expo.” When the knob is turned counterclockwise all the way to the left (default position), expo is off and steering sensitivity will be linear (the most commonly used setting). Turning the knob clockwise will “add expo” and decrease the steering sensitivity in the initial range of steering wheel travel left or right from center. For more detail on steering exponential, refer to page 17.
RADIO SYSTEM RULES
- Always turn your TQi transmitter on first and off last. This procedure will help to prevent your model from receiving stray signals from another transmitter, or other source, and running out of control. Your model has electronic fail-safes to prevent this type of malfunction, but the first, best defense against a runaway model is to always turn the transmitter on first, and off last.
- Always use new or freshly charged batteries for the radio system. Weak batteries will limit the radio signal between the receiver and the transmitter. Loss of the radio signal can cause you to lose control of your model.
Remember, always turn the TQi transmitter on first and off last to avoid damage to your model.
Automatic Fail-Safe
The TQi transmitter and receiver are equipped with an automatic fail-safe system that does not require user programming. In the event of signal loss or interference, the throttle will return to neutral and the steering will hold its last commanded position. If Fail-Safe activates while you are operating your model, determine the reason for signal loss and resolve the problem before operating your model again.
When rechargeable batteries begin to lose their charge, they will fade much faster than alkaline dry cells. Stop immediately at the first sign of weak batteries. Never turn the transmitter off when the battery pack is plugged in. The model could run out of control.
Using Reverse: While driving, push the throttle trigger forward to apply brakes. Once stopped, return the throttle trigger to neutral. Push the throttle trigger forward again to engage proportional reverse.
**USING THE RADIO SYSTEM**
The TQi Radio System has been pre-adjusted at the factory. The adjustment should be checked before running the model, in case of movement during shipping. Here’s how:
1. Turn the transmitter switch on. The status LED on the transmitter should be solid green (not flashing).
2. **Elevate the model on a block or a stand so that all the tires are off the ground.** Make sure your hands are clear of the moving parts of the model.
3. Plug the battery packs in the model into the speed control.
4. Switch the model on by sliding the power switch on top of the speed control to the “on” position. The speed control will play a descending tone then beep once for each LiPo cell it detects. With the included Power Cell 3S batteries installed, the speed control will beep six times (two 3-cell batteries = 6 cells). **Do not operate your model if the number of cells you have installed does not match the number of cells detected by the speed control.**
5. Turn the steering wheel on the transmitter back and forth and check for rapid operation of the steering servo. Also, check that the steering mechanism is not loose or binding. If the steering operates slowly, check for weak batteries.
6. When looking down at model, the front wheels should be pointing straight ahead. If the wheels are turned slightly to the left or right, slowly adjust the steering trim control on the transmitter until they are pointing straight ahead.
7. Gently operate the throttle trigger to ensure that you have forward and reverse operation, and that the motor stops when the throttle trigger is at neutral. **Warning: Do not apply full throttle in forward or reverse while the model is elevated.**
8. Once adjustments are made, turn the model off first (using the switch on the speed control), then turn off the transmitter.
**Range-Testing the Radio System**
Before each running session with your model, you should range-test your radio system to ensure that it operates properly.
1. Turn on the radio system and check its operation as described in the previous section.
2. Have a friend hold the model. Make sure hands and clothing are clear of the wheels and other moving parts on the model.
3. Walk away from the model with the transmitter until you reach the farthest distance you plan to operate the model.
4. Operate the controls on the transmitter once again to be sure that the model responds correctly.
5. Do not attempt to operate the model if there is any problem with the radio system or any external interference with your radio signal at your location.
• **Higher Speeds Require Greater Distance**
The faster you drive your model, the more quickly it will near the limit of radio range. At 102mph, XO-1 covers 150 feet each second! It’s a thrill, but use caution to keep your model in range.
No matter how fast or far you drive your model, always leave adequate space between you, the model, and others. Never drive directly toward yourself or others. Think about where the model will go if you lose control of it. Make sure there are no people or animals in those areas.
**TQi Binding Instructions**
For proper operation, the transmitter and receiver must be electronically ‘bound.’ **This has been done for you at the factory.** Should you ever need to re-bind the system or bind to an additional transmitter or receiver, follow these instructions. Note: the receiver must be connected to a 4.8-6.0v (nominal) power source for binding and the transmitter and receiver must be within 5 feet of each other.
1. Press and hold the transmitter’s SET button as you switch transmitter on. The transmitter’s LED will flash red slowly.
2. Press and hold the receiver’s LINK button as you switch on the speed control.
3. When the transmitter and receiver’s LEDs turn solid green, the system is bound and ready for use. Confirm that the steering and throttle operate properly before driving your model.
Steering Sensitivity (Exponential)
The Multi-Function knob on the TQi transmitter has been programmed to control Steering Sensitivity (also known as exponential). The standard setting for Steering Sensitivity is “normal (zero exponential),” with the dial full left in its range of travel. This setting provides linear servo response: the steering servo’s movement will correspond exactly with the input from the transmitter’s steering wheel. Turning the knob clockwise from center will result in “negative exponential” and decrease steering sensitivity by making the servo less responsive near neutral, with increasing sensitivity as the servo nears the limits of its travel range. The farther you turn the knob, the more pronounced the change in steering servo movement will be. The term “exponential” comes from this effect; the servo’s travel changes exponentially relative to the input from the steering wheel. The exponential effect is indicated as a percentage—the greater the percentage, the greater the effect. The illustrations below show how this works.
Normal Steering Sensitivity (0% exponential)
In this illustration, the steering servo’s travel (and with it, the steering motion of the model’s front wheels) corresponds precisely with the steering wheel. The ranges are exaggerated for illustrative purposes.
Experiment! Try varying degrees of exponential. It’s easy to go back to “zero” if you don’t like the effect. There’s no wrong way to adjust exponential. Any setting that makes you more comfortable with your car’s handling is the “right setting.”
Decreased Steering Sensitivity (Negative Exponential)
By turning the Multi-Function knob clockwise, the steering sensitivity of the model will be decreased. Note that a relatively large amount of steering wheel travel results in a smaller amount of servo travel. The farther you turn the knob, the more pronounced the effect becomes. Decreased steering sensitivity may be helpful when driving on low-traction surfaces, when driving at high speed, or on tracks that favor sweeping turns where gentle steering inputs are required. The ranges are exaggerated for illustrative purposes.
Setting Up the Antenna
The receiver antenna has been set up and installed from the factory. The antenna is secured by a 3x4mm set screw. To remove the antenna tube, simply remove the set screw with the included 1.5mm wrench.
When reinstalling the antenna, first slide the antenna wire into bottom of antenna tube until the white tip of antenna is at top of tube under the black cap. Next insert the antenna tube into the mount while making sure that antenna wire is in slot in the antenna mount, then install the set screw next to the antenna tube. Use the supplied 1.5mm wrench to tighten the screw just until the antenna tube is securely in place. Do not over tighten. **Do not bend or kink the antenna wire! See the side bar for more information. Do not shorten the antenna tube.**
To prevent loss of radio range do not kink or cut the black wire, do not bend or cut the metal tip, and do not bend or cut the white wire at the end of the metal tip.
The Castle Creations Mamba Monster Extreme speed control should not need reprogramming with normal use. However, if you install a different radio system in your model, or change the transmitter’s throttle-neutral setting from 50/50 to 70/30, you will need to reprogram the speed control. Follow these instructions to reprogram the speed control:
1. Install the batteries of your choice in the battery compartments and plug the batteries into the speed control.
2. Switch on your transmitter.
3. Hold full throttle while you switch on the Mamba Monster Extreme controller. After a few seconds, you will hear multiple tones and the RED LED will light.
4. Hold full brake. After a few seconds, you will hear multiple tones and the YELLOW LED will light.
5. Release the trigger to the neutral position. After a few seconds, you will hear multiple tones and ALL THE LEDs will light.
6. Wait a few more seconds for the speed control to ‘arm,’ indicated by a double-tone. You are now ready to drive.
**Disconnect Batteries After Use**
**Warning: Risk of Fire!** Always disconnect the batteries from the speed control when you are finished using your vehicle. The switch on the speed control only shuts off power to the receiver and servos. The speed control continues to draw power as long as it is plugged in and may over-discharge your batteries if they are left connected to the speed control. Over-discharging your batteries can cause the LiPo batteries to “puff,” making them permanently unusable. Never charge a swollen or puffed battery pack as this can cause a fire that can lead to property damage and/or personal injury or death. Refer to 5 to learn how to dispose of damaged battery packs.
**ATTENTION! NiMH Battery Users**
The XO-1 is programmed at the factory for use with the included LiPo batteries. Your model may also be operated with NiMH batteries. To obtain the maximum performance from NiMH batteries, refer to the Castle Driver’s Ed Guide included with your model for instructions on setting the Cutoff Voltage for NiMH batteries. When returning to LiPo use, be sure to reset the speed control to the correct LiPo voltage for your batteries. Failure to properly reset Low-Voltage Detection may lead to damage or failure of your LiPo batteries. **Never use LiPo batteries while Cutoff Voltage is disabled.**
Now it’s time to have some fun! This section contains instructions on driving and making adjustments to your model. Before you go on, here are some important precautions to keep in mind.
The instructions that follow are for operating the model up to its electronically-limited top speed of 50mph. Additional registration, setup steps and precautions are required before operating your model at its maximum, unrestricted speed. Read, understand, and follow all the steps beginning on page 28 before unlocking your model’s full-power setting and operating it at speeds over 50mph.
- Allow the model to cool for a few minutes between runs. This is particularly important when using high capacity battery packs that allow extended periods of running. Monitoring temperatures will extend the lives of the batteries and motor.
- Do not continue to operate the model with low batteries or you could lose control of it. Indications of low battery power include slow operation, sluggish servos (slow to return to center), or ESC shutdown due to the Cutoff Voltage. Stop immediately at the first sign of weak batteries. When the batteries in the transmitter become weak, the power light will begin to flash red. Stop immediately and install new batteries.
- Do not drive the model at night, on public streets, or in large crowds of people.
- If the model becomes stuck against an object, do not continue to run the motor. Remove the obstruction before continuing. Do not push or pull objects with the model.
- Because the model is controlled by radio, it is subject to radio interference from many sources beyond your control. Since radio interference can cause momentary losses of control, allow a safety margin of space in all directions around the model in order to prevent collisions.
- Use good, common sense whenever you are driving your model. Intentionally driving in an abusive and rough manner will only result in poor performance and broken parts. Take care of your model so that you can enjoy it for a long time to come.
- High performance vehicles produce small vibrations which may loosen hardware over time. Frequently check wheel nuts and other screws on your vehicle to ensure that all hardware remains properly tightened.
About Run Time
A large factor affecting run time is the type and condition of your batteries. The milliamp hour (mAh) rating of the batteries determines how large their “fuel tank” is. A 5000mAh battery pack will theoretically run twice as long as a 2500mAh sport pack. Because of the wide variation in the types of batteries that are available and the methods with which they can be charged, it’s impossible to give exact run times for the model.
Another major factor which affects run time is how the model is driven. Run times may decrease when the model is driven repetitively from a stop to top-speed and with repetitive hard acceleration.
Tips for Increasing Run Time
- Use batteries with the highest mAh rating you can purchase.
- Read and follow all maintenance and care instructions provided by the manufacturer of your batteries and charger.
- Keep the electronic speed control cool. Make certain airflow to the speed control is unimpeded.
- Use the correct Cutoff Voltage setting for your battery (Refer to the included Castle Driver’s Ed Guide for instructions). Cutoff Voltage can be off for maximum NiMH battery runtime. Never use LiPo batteries while Cutoff Voltage is turned off.
- Lower your gear ratio. Installing a smaller pinion or larger spur gear will lower your gear ratio, causing less power draw from the motor and battery, and reducing overall operating temperatures.
- Maintain your model. Do not allow dirt or damaged parts to cause binding in the drivetrain. Keep the motor clean.
mAh Ratings and Power Output
The mAh rating of the battery can effect your top speed performance. The higher capacity battery packs experience less voltage drop under heavy load than low mAh rated packs. The higher voltage potential allows increased speed until the battery begins to become discharged.
Do Not Operate your model in Wet Conditions
Your new Traxxas model features a waterproof steering servo and receiver box, but the electronic speed control, motor, and the model itself are not waterproof or water-resistant. Do not operate the model in wet conditions, including wet pavement. Do not run the model through puddles. Operating this model on wet surfaces will reduce control and may damage the electronics, resulting in loss of control.
Once you become familiar with driving your model, you might need to make adjustments for better driving performance.
**Adjusting Gear Mesh**
Incorrect gear mesh is the most common cause of stripped spur gears. Gear mesh should be checked and adjusted anytime a gear is replaced, or if excessive gear noise is heard. To adjust gear mesh, follow these steps:
1. Remove the right rear wheel using the supplied 17mm wheel wrench.
2. Loosen the two 3x15 motor-mount cap screws.
3. Using your 1.5mm hex driver, turn the mesh-adjustment set screw counterclockwise to tighten the gear mesh. If needed, apply gentle pressure to the motor to help the pinion slide closer to the spur gear for a ‘tighter’ gear mesh. Turn the set-screw clockwise to move the pinion away from the spur gear to ‘loosen’ the gear mesh. When properly set, there should be just a ‘tick’ of free play between the pinion and spur gears.
4. Tighten the two 3x15 motor-mount cap screws to hold the adjustment.
Tip: a strip of notebook paper can be inserted between the pinion and spur gears to help set gear mesh. Before tightening the motor-mount screws, insert the paper strip between the pinion and spur gear. Adjust the pinion so it is completely meshed with the spur gear, then tighten the motor-mount screws. When the paper is removed, you should have the required ‘tick’ of free play.
**Adjusting the Toe-in**
Geometry and alignment specs play an important roll in your model’s handling. Take the time to set them correctly. Set the steering trim on your transmitter to neutral. Now, adjust your servo and tie rods so that both wheels are pointing straight ahead and are parallel to each other (0-degrees toe-in). This will ensure the same amount of steering in both directions.
For increased stability, add one- to two-degrees of toe-in to each front wheel. Use the turnbuckles to adjust the alignment.
**Factory Toe-In Settings**
- **Front:** 1-degrees
- **Rear:** 3.5-degree toe-in each side
**Adjusting the Camber**
The camber angle of both the front and rear wheels can be adjusted with the camber links (upper turnbuckles). Use a square or right-angle triangle to set the camber accurately. Adjust the front wheels to 1 to 2 degrees of negative camber. In the rear, adjust the wheels to 1 to 2 degrees of negative camber. These adjustments should be set with the model positioned at its normal ride height.
**Factory Static Camber Settings**
- **Front:** 1-degree negative camber each side
- **Rear:** 3.5-degree negative camber each side
**Springs**
The front and rear springs on the model have identical spring rates. The springs’ preload can be adjusted by turning the spring pre-load adjuster. Adjusting the pre-load changes the ride height. Adjust the preload so that the ride height at the front of the model is 15mm and the ride height at the rear of the model is 18mm.
Use stiffer springs to reduce bottoming out the chassis, reduce body lean, control brake dive, and provide a firmer, more responsive feel. Increasing the spring rate will increase the responsiveness of the suspension. This may be beneficial in some conditions, but may make the car feel twitchy or ‘nervous’ in others. Decreasing spring rate decreases the responsiveness of the suspension, making it easier to drive. When changing springs on the model it should not be necessary to re-adjust the spring preload. The accessory springs have been designed so the ride height should be the same before and after changing springs.
Optional springs available from Traxxas are listed below. Refer to your parts list for a complete part number listing. Higher rate springs are stiffer. Springs can be identified by stripes of color on one end.
**Optional Springs**
| Stripe Color | Spring Rate (N/mm) | Stripe Color | Spring Rate (N/mm) |
|--------------|--------------------|--------------|--------------------|
| Double Pink | 1.4 | White | 2.9 |
| Double Blue | 1.6 | Orange | 3.2 |
| Double Green | 1.8 | Green | 3.5 |
| Double Black | 2.0 | Gold | 3.8 |
| Double Purple| 2.3 | Tan | 4.1 |
| Yellow | 2.6 | Black | 4.4 |
*All above springs are red springs. Stock springs are 1.6 N/mm white springs.*
**Upper Shock Mounting Positions**
The upper shock mounting positions can be used to provide small changes in the suspension stiffness when changing spring rates is too drastic of a change. Placing the upper shock mount inwards on the shock tower one hole will soften the suspension slightly. Be careful to recheck your ride height as this adjustment will change the ride height of the vehicle.
**Shock Oil**
The 4 oil-filled shocks (dampers) effectively control the suspension movement by preventing the wheels and tires from continuing to “bounce” after rebounding from a bump. Changing the oil in the shocks can vary the suspension damping effect. Changing the oil to a higher viscosity oil will increase damping. Lowering the viscosity of the oil will cause the suspension damping to be reduced. Damping should be increased (with higher viscosity oil) if the model is bottoming easily over rougher surfaces. Damping should be decreased (with thinner viscosity oil) if the model is hopping over small bumps and feels unstable. The viscosity of shock oil is affected by extremes in operating temperature; an oil of certain viscosity will become less viscous at higher temperatures and more viscous at lower temperatures. Operating in regions with cold temperatures may require lower viscosity oil.
From the factory, the shocks are filled with SAE-60W silicone oil. Only use 100% silicone oil in the shock.
**Replacing Shock Oil**
For easier service, the shocks should be removed from the vehicle and disassembled to change the oil.
1. Remove the lower spring retainer and shock spring.
2. Remove the upper shock cap using the shock wrench and suspension multi tool.
3. Empty the used shock oil from the shock body.
4. Fill the shock with new silicone shock oil up to the top of the shock body.
5. Slowly move the piston up and down (always keeping it submerged in oil) to release the air bubbles. Let the shock sit for a few minutes to allow any remaining air bubbles to surface.
6. Slowly thread the upper cap with the installed shock bladder onto the shock body with the suspension multi tool. The excess oil will bleed out of the small hole in the shock cap.
7. Tighten the shock cap until snug. Use the included steel shock wrench to hold onto shock body while tightening.
**Centering Your Servo**
If you have removed the servo horn from your model’s steering servo, or the servo has been removed for service or cleaning, the servo must be re-centered prior to installation of the servo horn or installation of the servo in the model.
1. Remove the servo horn from the steering servo.
2. Connect the steering servo to channel 1 on the receiver. Connect the electronic speed control (ESC) to channel 2. The white wire on the servo lead is positioned towards the receiver’s LED.
3. Turn the transmitter power switch on. Make certain the transmitter’s batteries are not depleted.
4. Turn the transmitter’s steering trim knob to the center “0” position.
5. Disconnect the black and white motor wires to prevent the motor from turning during the next steps. Connect a fresh battery pack to the speed control and turn on the ESC. The servo’s output shaft will automatically jump to its center position.
6. Install the servo horn onto the servo output shaft. The servo horn should face toward the center of the chassis and be perpendicular to the servo body.
7. Check servo operation by turning the steering wheel back and forth to ensure that the mechanism has been centered properly and you have equal throw in both directions. Use the transmitter’s steering trim knob to fine-tune the position of the servo horn so the model tracks straight when the steering wheel is at neutral.
**RECEIVER BOX: MAINTAINING A WATERTIGHT SEAL**
**Removing and Installing Radio Gear**
The unique design of the receiver box allows the removal and installation of the receiver without losing the ability to maintain a watertight seal in the box. The patent-pending wire clamp feature gives you the ability to also install aftermarket radio systems and maintain the watertight features of the receiver box.
**Removing the Receiver**
1. Remove the wire clamp by removing the two 2.5x8mm cap screws.
2. To remove the cover, remove the two 3x10mm button-head cap screws.
3. Unplug the servo cables from the receiver and remove the receiver.
**Receiver Installation**
1. Thread the servo wires and antenna through the cover.
2. Install the receiver into the box with double sided foam tape.
3. Install the cover onto the box making sure the O-ring is properly seated into the groove in the receiver box so that the cover will not pinch it or damage it in any way.
4. Install the cover and tighten the 3x10mm button-head cap screws securely.
5. Push the extra servo wires into the box.
6. Install the wire clamp and secure with 2.5x8mm cap screws.
*If you have questions or need technical assistance, call Traxxas at*
**1-888-TRAXXAS**
*(1-888-872-9927) (U.S. residents only)*
Your model requires timely maintenance in order to stay in top running condition. **The following procedures should be taken very seriously.**
**Frequently inspect the vehicle for obvious damage or wear. Look for:**
1. Cracked, bent, or damaged parts.
2. Check the wheels and steering for binding.
3. Check the operation of the shock absorbers.
4. Check the wiring for any frayed wires or loose connections.
5. Check the mounting of the receiver and servo(s) and speed control.
6. Check the tightness of the wheel nuts with a wrench.
7. Check the operation of the radio system, especially the condition of the batteries.
8. Check for any loose screws in the chassis structure or suspension.
9. Check the operation of the steering servo and ensure that it is not binding.
10. Inspect the gears for wear, broken teeth, or debris lodged between the teeth.
11. Check the tires to make sure they are firmly bonded to the wheels.
12. Check tires for excessive wear. Replace the tires if the inner belting is exposed.
13. Check the antenna wire for any kinks or damage that could shorten the radio range.
**Other periodic maintenance:**
- **Cush Drive:** The Cush Drive system does not require maintenance but should be inspected periodically. If the Cush Drive develops play (spur gear movement that does not also move the drive shaft), disassemble the Cush Drive and inspect the elastomer element (Part #6465) for damage and replace if necessary.
- **Chassis:** Keep the chassis clean of accumulated dirt and grime. Periodically inspect the chassis for damage.
- **Suspension:** Periodically inspect the model for signs of damage such as bent or dirty suspension pins, bent turnbuckles, loose screws, and any signs of stress or bending. Replace components as needed.
- **Steering:** Over time, you may notice increased looseness in the steering system. The tie rod ends may wear out from use (Traxxas Parts #2742 and #5525). Replace these components as needed to restore factory tolerances.
- **Motor temp sensor:** The motor temperature sensor is installed at the factory to provide accurate telemetry data and thermal overload protection for the motor. If you remove the temperature sensor for vehicle maintenance, be certain to reinstall it correctly. The sensor should be installed so the thermistor (the small component at the top of the temperature sensor loop) is on the ‘top’ of the motor (the side where the wires exit the motor). The sensor should also be centered on the motor. To find the center of the motor, simply count eleven cooling fins from either end of the motor. If the sensor is installed incorrectly, inaccurate or false readings will be sent to the speed control, and your model’s performance may be compromised. **Do not operate the XO-1 without the temperature sensor. If the sensor is missing or incorrectly installed, overheating and permanent motor damage may occur. Damage caused by overheating is not covered by the limited warranty.**
- **Shocks:** Keep the oil level in the shocks full. Use only 100% pure silicon shock oil to prolong the life of the seals. If you are experiencing leakage around the top of the shock, inspect the bladder in the top cap for signs of damage or distortion from overtightening. If the bottom of the shock is leaking, then it is time for a rebuild. The Traxxas rebuild kit for two shocks is part #5562.
- **Driveline:** Inspect the driveline for signs of wear such as worn drive yokes, dirty axle half shafts, and any unusual noise or binding. Inspect driveshafts for cracks or twisting. The dustboots must remain intact. All CV joints must rotate smoothly. Inspect the spur gear for wear and check the tightness of set screws in the pinion gears. Tighten, clean, or replace components as needed.
**Storage**
When you are through running the model for the day, blow it off with compressed air or use a soft bristled paint brush to dust-off the vehicle.
Always lock the power system and disconnect and remove the battery from the model whenever the model is stored. If the model will be stored for a long time, then also remove the batteries from the transmitter.
Suspension and Cush Drive assembly removal
Your model was designed with ease of disassembly in mind. The entire front and rear suspension assemblies can be removed from the chassis fully intact with the removal of only a few screws. Refer to the exploded views included in the Service and Support Guide for complete assembly diagrams.
• Removing the front suspension module
1. Remove the four 4x15 countersunk screws from the underside of the chassis.
2. Remove the two 4x18 button head screws from the front of the chassis brace.
3. Remove the 3x15 button head screws from the steering servo horn.
4. Pull the front suspension assembly away from the chassis.
• Removing the rear suspension module
(Cush drive assembly removal)
1. Remove the two 3x25 countersunk screws from the underside of the chassis.
2. Remove the two 3x15 countersunk screws from the underside of the chassis.
3. Remove the two 4x12 button head screws from the chassis brace.
4. Pull the rear suspension assembly away from the chassis.
5. Remove the Cush Drive (removing the two 3x10 button head screws that thread into the motor mount through the chassis brace may help flex the chassis brace out of the way).
CAMBER GAIN
Your model has provisions for adjusting the camber gain geometry of the front and rear suspension. “Camber gain” refers to an increase in camber angle as the suspension is compressed. The camber gain of the vehicle can be changed inside or outside by moving the camber link attachment to a different horizontal mounting position. Adjusting the camber gain will alter the tire contact patch as the suspension is compressed. Making the camber link shorter (outside holes) will increase the camber gain. This makes the vehicle more stable over bumps, but reduces traction on smooth surfaces. Lengthening the camber links (inside holes) has the opposite effect.
• Front Camber Gain
To increase the camber gain on the front suspension, move the inner camber link ends out to Position 1. Position 2 is the stock setting.
• Rear Camber Gain
To increase the camber gain on the rear suspension, move the inner camber link ends out to Position 3. Position 4 is the stock setting.
Once you make adjustments to the camber gain, re-adjust the static camber to the original specifications (page 20).
ROLL CENTER
Your model has provisions for adjusting the roll center geometry of the front and rear suspension. Roll center refers to the virtual axis around which the chassis will roll when subjected to cornering forces. The roll center of the vehicle can be raised by mounting the inner ends of the camber links in a lower position. Raising the roll center will effectively increase the roll stiffness of the vehicle (similar to installing swaybars). Adding roll resistance to one end of the vehicle will tend to add traction to the opposite end. For example, increasing roll resistance in the rear will provide more traction for the front wheels and potentially more steering. Raising the roll center on the front and rear equally will increase overall roll resistance without changing the handling balance. The default factory locations are designed to make the model easier and more forgiving to drive and less likely to oversteer in turns.
• Front Roll Center
To lower the roll center on the front suspension, raise the inner camber link ends from position 4 to position 2, or from position 3 to position 1. To lower the roll center further, move the outer camber link ends to the lower position on the C-hub.
• Bump Steer Correction
“Bump steer” refers to unwanted steering inputs caused by suspension movement. Your model’s suspension geometry is designed to minimize bump-steer. If you are using the upper hole on the C-hub (image A) and either of the two lower holes on the shock tower (positions 3 or 4 in “Front” image), the tie rod ball should be oriented with the large flat end on top (stock position - image B). When using any other combination of camber link attachment points, the tie rod ball should be oriented with the large flat end on the bottom (C).
• Rear Roll Center
To lower the roll center on the rear suspension, raise the inner camber link ends from position 4 to position 2, or from position 3 to position 1.
Once you make adjustments to the roll center, re-adjust the static camber to stock specifications (page 20).
Gearing
Changing the gearing allows you to fine tune the speed of the model and control the temperatures of the battery packs and motor. Use a lower gear ratio (numerically larger) to reduce current draw and temperatures. Use a higher gear (numerically lower) to increase top speed. Use the following formula to calculate the overall ratio for combinations not listed on the gear chart:
\[
\frac{\text{# Spur Gear Teeth}}{\text{# Pinion Gear Teeth}} \times 2.85 = \text{Final Gear Ratio}
\]
When using higher gear ratios, it is important to monitor the temperatures of the battery and motor. If the battery is extremely hot (150°F), and/or the motor is too hot to touch (200°F), your model is probably over-gareded and drawing too much current. This temperature test assumes that the model is close to factory stock weight and operates freely with no excessive friction, dragging, or binding, and the battery is fully charged and in good condition. **Note:** Check and adjust gear mesh if a spur and/or pinion gear is changed.
This model is equipped with a Traxxas/Castle Creations Big Block motor. The gear combination that comes stock on each model provides good overall acceleration and top speed. If you want more top speed install the included optional large pinion gear (more teeth). **The included optional large pinion gear is intended for high-speed running ONLY! This gearing is not recommended for repetitive starting and stopping.**
Repetitive starting and stopping with the high-speed gear will result in motor overheating. The speed control’s thermal overload protection system will shut down power in the event of severe overheating. The model will operate normally once the speed control reaches safe operating temperature. To prevent motor overheating, only use recommended gearing and only drive in the manner prescribed for those gear ratios.
**Warning!** Do not drive the model at lower speeds in a confined space, with repetitive starting and stopping, with the gear ratios in the yellow and red zones shown in the chart at left. This will cause the motor to overheat, resulting in permanent damage to the motor. **Overheating is not covered by the limited warranty.** A thermal overload sensor is installed to help protect against catastrophic overheating. The speed control will flash its red and yellow LEDs to indicate the motor is being overheated, but this should not be relied upon as an absolute failsafe.
Tuning the Sealed Gear Differentials
The action of the your model’s front and rear gear differentials can be tuned for different driving conditions and performance requirements, without major disassembly or removal of the suspension system.
From the factory, the differentials are sealed to maintain consistent long-term performance. Changing the oil in the differential with either lower or higher viscosity oil will vary the performance characteristics of the differentials. Changing to a higher viscosity oil in the differential will reduce the tendency for motor power to be transferred to the wheel with the least traction. You may notice this when making sharp turns on slick surfaces. The unloaded wheels on the inside of the turn have the least traction and tend to spin up to extremely high rpms. Higher viscosity (thicker) oil causes the differential to act like a limited-slip differential, distributing more equal power to the left and right wheels.
Your model will generally benefit from higher viscosity oil when being driven on low traction surfaces. **Note:** Heavier oil will allow power to be transferred even with one or more tires off the ground. This can make the vehicle more likely to overturn on high-traction surfaces.
From the factory, the front differential is filled with SAE 100,000W viscosity silicone oil. The rear differential is filled with SAE 10,000W.
Only use silicone oil in the differentials. Traxxas offers SAE 10,000W, 30,000W, and 50,000W viscosity oil (see your parts list). The differentials have to be removed from the vehicle and disassembled to change/replace oil.
Follow the steps below to access and refill the front and rear differentials:
**Front differential:**
1. Remove the three 4x15mm countersunk screws that fasten the body mount to the splitter.
2. Remove the two 4x30mm countersunk screws from the underside of the chassis.
3. Remove the 3x15mm button head screws that fasten the body mount to the differential case. Set the body mount aside.
4. Remove the 3x15mm button head screw from the front tie bar and remove the tie bar from the vehicle.
4. Remove the two 3x15mm button head screws from the differential cover and set the differential cover aside.
5. Remove the two screw pins that fasten the driveshafts to the differential output.
6. Installation is the reverse of above.
**Refilling the differential:**
1. Remove the four 2.5x12mm screws from the differential case and carefully pull the differential case halves apart. Work over a towel to collect any fluid that drips from the differential.
2. Drain the fluid from the differential. You may wish to remove the spider gears from the differential to make this easier.
3. Place the spider gears back into the differential case, if you removed them. Fill the differential case with fluid until it the spider gears are submerged half way.
4. Rejoin the differential case halves, using care to align the screw holes. Be sure the rubber gasket is in place, or the differential may leak.
5. Install the 2.5x12mm screws and tighten securely.
If you have questions or need technical assistance, call Traxxas at
1-888-TRAXXAS
(1-888-872-9927) (U.S. residents only)
Now that you are familiar with the operation of the XO-1 in ‘out of the box’ trim, it’s time to explore the upper limits of its performance capability. *Before you unlock the power system and outfit your model for full-power operation, make certain you have fully read and understand the warnings and precautions starting on page 3.*
If you have questions about the XO-1 please contact Traxxas at 1-888-Traxxas or e-mail us at email@example.com
**Installing the High-Speed Pinion**
1. Remove the right rear wheel. This will make it easier to adjust the gear mesh.
2. Remove the right rear shock’s upper mounting screw and pivot it away from the chassis to allow clearance for the pinion when you remove the motor.
3. Remove the 3x8mm cap screw and lift the motor cooling duct off the chassis.
4. Remove the 3x15mm cap screws and slide the motor out of the motor mount. You do not need to unplug the motor from the speed control or remove the motor temperature sensor.
5. Loosen the 4x4mm set screw in the pinion and slide the pinion off the motor’s output shaft.
6. Install the high-speed pinion on the motor’s output shaft. Do not tighten the set screw yet.
7. Turn the shaft so the pinion’s set screw faces up. With the 2mm driver installed in the pinion’s set screw, slide the pinion toward the motor mount until the driver fits into the slot in the motor mount. This sets the pinion’s offset from the motor for proper mesh with the spur gear. Tighten the set screw.
8. Reinstall the motor and cooling duct. Follow the steps on page 20 to properly set the gear mesh.
**Installing the 100mph Splitter**
*The 100mph splitter with canards is required for 100mph running. DO NOT run the XO-1 at 100mph without the splitter. It provides downforce and stability. Failure to install the 100mph Splitter may result in a loss of control at high speed.*
Remove the two 3x10 countersunk screws and the center 4x15 countersunk screws that attach the splitter extension to the splitter mount. Loosening the two outer 4x15 countersunk screws attaching the front body mount to the splitter mount will aid in removing the splitter extension. Remove the splitter extension and store it with the other accessories for your model. Install the 100mph splitter extension and reinstall the 3x10 and 4x15 screws. Retighten the outer 4x15 screws to complete the installation.
**Unlocking the Power System for 100mph Running**
The XO-1 is ‘locked’ to limit its top speed to 50mph. To access the model’s full power capability and 100-mph top speed, you must ‘unlock’ the power system. *This requires an internet-enabled Apple iPhone® or iPod Touch®, the Traxxas Link application (available in the Apple App Store), and a valid e-mail address that you can access.*
Follow the steps below to unlock the speed control:
1. Install an internet-enabled Apple iPhone or iPod Touch in the Docking Base included with the TQi transmitter. Instructions on installing your mobile device follow.
2. Download and install the Traxxas Link application from the App Store.
3. Open the Traxxas Link application and touch the Unlock icon. Follow the prompts to register your model. You will be asked to accept the terms of use and provide an e-mail address. Make certain you can access the address you provide.
4. The application will send you an e-mail to confirm your registration information. Open the e-mail and follow the confirmation link.
5. The Traxxas Link application will now permit you to unlock the power system’s full power capability. Touch the Unlock icon to unlock the model.
You may lock the power system at any time without a connection to the internet. Lock the power system anytime the model will be stored to prevent top speed access by unauthorized drivers. You will need your e-mail address and an internet connection to unlock the power system again later. Supplying your e-mail address will prevent you from having to re-register the product.
**Installing Your Mobile Device**
The TQi™ Docking Base has a unique clamping mechanism that allows the Apple® iPhone® and iPod touch® to be easily installed and removed. The clamp’s self-adjusting design allows it to accommodate the wide variety of protective cases available for Apple products. Follow these steps to install your mobile device:
1. Swing the Docking Base Clamp lever from position A (locked) to position B (unlocked).
2. Install your mobile device by sliding it onto the connector.
3. Ensure your mobile device is parallel with the Docking Base. Slide the included foam pads beneath the mobile device so it is held parallel with the docking base when supported by the pads. The pads have thicknesses of 1, 2, 3 and 4mm, choose the best combination for your device and case, if used. See the sidebar chart to find the correct pad combination for iPhone and iPod touch models without accessory cases.
4. Make certain your mobile device slides directly onto the connector when slid over the foam pads. When you are satisfied with the fit, peel the backing from the foam pads and apply them to the Docking Base.
5. Close the Docking Base Clamp by moving it to position A. Confirm your mobile device is snug and securely held in place.
**Optional:** The Docking Base Clamp’s ‘fingers’ have soft gripper pads on them to hold un-cased devices. If your device is in a soft rubber case, the gripper pads may be removed for easier device installation and removal.
**DRIVING 100MPH**
The XO-1 is the world’s first Ready-To-Race radio controlled car, capable of speed that exceeds 100mph. **Driving at 100mph should never be done casually, without careful thought and preparation.** Operating the XO-1 in a careless, unsafe manner, without adequate care and preparation, can result in collisions with catastrophic consequences such as serious injury or death. Know your limits and act accordingly.
ALWAYS confirm each item on this checklist before operating your vehicle at maximum speed.
- Complete the inspection steps on page 23.
- Confirm the tires are firmly bonded to the rims and not excessively worn.
- Confirm you are on a closed course that is free of bystanders, vehicles, and obstructions.
- Confirm you have adequate radio range by performing a range test as described on page 16.
- Confirm the air is calm. Do not attempt full-speed operation in windy conditions.
- Operate the vehicle from a location that is off of the running surface. Choose a location that allows you to stand behind a wall or other barricade.
Closed Course Only!
Location is the most important thing to consider when driving 100mph. Only drive the XO-1 at full speed on a closed course where there is no possibility for an animal, spectator or other person to wander into the path of the vehicle. As the owner and driver, you must take every possible precaution to ensure that there is absolutely no chance for the car to collide with another human being or serious, and even fatal injuries could result. Use a dragstrip or race course where there is great visibility, barricades, and pedestrian access control. Always think about what could happen if the car is driven out of control. Are people far enough away from it? Are there barricades to contain it? Can you see far enough to the left and right of your path to see if anyone is approaching? Where will the car go if you drive it out of range?
Never attempt to run the XO-1 at its maximum speed in the presence of children, animals (pets), or on any public thoroughfares where you do not have complete control over access by people and other vehicles. Always drive the car away from you for maximum speed and never drive at maximum speed with the car coming directly towards you.
Choosing a Closed Course For Your Model
The XO-1 requires 1000 feet of smooth, level surface to achieve its peak speed. Do not operate the XO-1 off-road. Walk the complete length of the course to ensure there is no any debris on the surface that could impact the car and cause a potential loss of control. At 100mph, the XO-1 is traveling approximately 150 feet per second. Make sure that there is plenty of room for steering corrections during the run, and adequate room to slow and stop at the end of the run.
Driver Skill
The XO-1 is rated Skill Level 10, our highest skill level. This model is for experts only. The XO-1 is not for drivers under the age of 16. Drivers 16-18 must still be accompanied by a mature and responsible adult to confirm that the XO-1 is being operated safely and that all precautions are being taken. Advanced driving skills are required in order to safely operate the XO-1 at speeds above 50mph. Gradually work up to the top speed to become intimately familiar with the handling and driving characteristics of the car. Inexperienced drivers should simply leave the speed limiters in place until they acquire the skills necessary to reach maximum speed.
Car inspection
As part of the responsibility of ownership, The XO-1 should be carefully inspected prior to driving at high speeds. Check to make sure that the electronics are in good working order and that the connections are secure. Make sure the radio system range is adequate and without interference in the area where you will be driving. Inspect the tires for proper gluing and damage. Inspect the mechanical and aero components for any damage. Tighten any loose hardware, paying special attention to the wheel nuts.
Wind and weather
Aerodynamics play an important role in the performance of the XO-1. Choose a day and a location where the wind is calm to prevent crosswinds from interfering with your driving.
Performing a Maximum-Speed Run
Run the car the full length of the course at reduced speed to become familiar with the surface, the car, and the conditions. DO NOT just ‘go for it.’ Start with a 50mph pass (or slower) and gradually increase speed. What seems like a gentle dip at 50mph may greatly upset the car at 80mph. When you are ready to attempt maximum speed, apply the throttle slowly to ensure a smooth, straight launch. If steering corrections are necessary, make small inputs. Be careful not to over-control the car. At the end of the run, or anytime during the run if you feel you are not in complete control, apply the brakes gently to avoid locking the tires. If the brakes are locked up, there will not be any steering control. Rolling onto the brakes gently but firmly will slow the car down quickly. Locking the brakes eliminates control and results in greater stopping distances.
Storage
Once your speed control is unlocked, the XO-1 is capable of full speed at any time. Lock the power system whenever the model is stored to prevent unauthorized drivers from attempting 100mph runs. Make sure to store your XO-1 where children and unauthorized drivers cannot access and run the car without your knowledge.
The XO-1’s TQi transmitter is equipped with the new TQi Docking Base. This innovative accessory transforms your iPhone® or iPod touch® into a powerful tuning tool that equips your TQi with an intuitive, high-definition, full-color graphical user interface.
**Traxxas Link**
The powerful Traxxas Link app (available in the Apple App Store) gives you complete control over the operation and tuning of your Traxxas model with stunning visuals and absolute precision. With the installed Traxxas Link telemetry sensors on the model, Traxxas Link displays real-time data such as speed, RPM, temperature, and battery voltage.
**Intuitive iPhone and iPod touch interface**
Traxxas Link makes it easy to learn, understand, and access powerful tuning options. Control Drive Effects settings such as steering and throttle sensitivity; steering percentage; braking strength; and throttle trim by simply touching and dragging the sliders on the screen.
**Real-Time Telemetry**
With the installed telemetry sensors, the Traxxas Link dashboard comes to life showing you speed, battery voltage, RPM, and temperature. Set threshold warnings and log maximums, minimums, or averages. Use the recording function to document your dashboard view, with sound, so that you can keep your eyes on your driving and not miss a single apex.
**Manage up to 30 Models with Traxxas Link**
The TQi radio system automatically keeps track of what vehicles it has bound to and what settings were used for each--up to 30 models total! Traxxas Link provides a visual interface to name the models, customize their settings, attach profiles, and lock them into memory. Simply choose a model and any previously bound transmitter, power them up, and start having fun.
**Available Tuning Adjustments**
The following items can be adjusted most easily using your mobile device and the Traxxas Link application. All the features described below may also be accessed using the menu and set buttons on the transmitter and observing signals from the LED. An explanation of the menu structure follows on page 33
Your Traxxas transmitter has a programmable Multi-Function knob that can be set to control various advanced transmitter functions (set to Steering Sensitivity by default, see page 17). Experiment with the settings and features to see if they can improve your driving experience.
**Throttle Sensitivity (Throttle Exponential)**
The Multi-Function knob can be set to control Throttle Sensitivity. Throttle Sensitivity works the same way as Steering Sensitivity as described on page 17, but applies the effect to the throttle channel. Only forward throttle is affected; brake/reverse travel remains linear regardless of the Throttle Sensitivity setting.
**Steering Percentage (Dual Rate)**
The Multi-Function knob can be set to control the amount (percentage) of servo travel applied to steering. Turning the Multi-Function knob fully clockwise will deliver maximum steering throw; turning the knob counter-clockwise reduces steering throw (note: turning the dial counter-clockwise to its stop will eliminate all servo travel). Be aware that the steering End Point settings define the servo’s maximum steering throw. If you set Steering Percentage to 100% (by turning the Multi-Function knob fully clockwise), the servo will travel all the way to its selected end point, but not past it. Many racers set Dual Rate so they have only as much steering throw as they need for the track’s tightest turn, thus making the car easier to drive throughout the rest of the course. Reducing steering throw can also be useful in making a car easier to control on high-traction surfaces, and limiting steering output for oval racing where large amounts of steering travel are not required.
**Braking Percentage**
The Multi-Function knob may also be set to control the amount of brake travel applied by the servo in a nitro-powered model. Electric models do not have a servo-operated brake, but the Braking Percentage function still operates the same way in electric models. Turning the Multi-Function knob full clockwise will deliver maximum brake throw; turning the knob counter-clockwise reduces brake throw (Note: Turning the dial counter-clockwise to its stop will eliminate all brake action).
**Throttle Trim**
Setting the Multi-Function knob to serve as throttle trim will allow you to adjust the throttle’s neutral position to prevent unwanted brake drag or throttle application.
when the transmitter trigger is at neutral. **Note**: Your transmitter is equipped with a Throttle Trim Seek mode to prevent accidental runaways. See the sidebar for more information.
**Steering and Throttle End Points**
The TQi transmitter allows you to choose the limit of the servo’s travel range (or its “end point”) independently for left and right travel (on the steering channel) and throttle/brake travel (on the throttle channel). This allows you to fine-tune the servo settings to prevent binding caused by the servo moving steering or throttle linkages (in the case of a nitro car) farther than their mechanical limits. The end point adjustment settings you select will represent what you wish to be the servo’s maximum travel; the Steering Percentage or Braking Percentage functions will not override the End Point settings.
**Steering and Throttle Sub-Trim**
The Sub-Trim function is used to precisely set the neutral point of the steering or throttle servo in the event that simply setting the trim knob to “zero” does not completely center the servo. When selected, Sub-Trim allows finer adjustment to the servo output shaft’s position for precise setting of the neutral point. Always set the Steering Trim knob to zero before making final adjustment (if required) using Sub-Trim. If Throttle Trim has been previously adjusted, the Throttle Trim will need to be reprogrammed to “zero” before making final adjustment using Sub-Trim.
**Setting Lock**
Once you’ve adjusted all of these settings the way you like them, you may want to disable the Multi-Function knob so none of your settings can be changed. This is especially handy if you operate multiple vehicles with a single transmitter via Traxxas Link™ Model Memory.
**Multiple Settings and the Multi-Function Knob**
It is important to note that settings made with the Multi-Function knob are “overlaid” on top of each other. For example, if you assign the Multi-Function to adjust Steering Percentage and set it for 50%, then reassign the knob to control Steering Sensitivity, the transmitter will “remember” the Steering Percentage setting. Adjustments you make to Steering Sensitivity will be applied to the 50% steering throw setting you selected previously. Likewise, setting the Multi-Function knob to “disabled” will prevent the knob from making further adjustments, but the last setting of the Multi-Function knob will still apply.
### Transmitter LED Codes
| LED Color / Pattern | Name | Notes |
|---------------------|-------------------------------------------|----------------------------------------------------------------------|
| Solid green | Normal Driving Mode | See page 15 for information on how to use your transmitter controls. |
| Slow red (0.5 sec on / 0.5 sec off) | Binding | See page 16 for more information on binding. |
| Flashing fast green (0.1 sec on / 0.15 sec off) | Throttle Trim Seek Mode | Turn the Multi-Function knob right or left until the LED stops flashing. See page 31 for more information. |
| Flashing medium red (0.25 sec on / 0.25 sec off) | Low Battery Alarm | Put new batteries in the transmitter. See page 13 for more information. |
| Flashing fast red (0.125 sec on / 0.125 sec off) | Link Failure / Error | Transmitter and receiver are no longer bound. Turn the system off and then back on to resume normal operation. Find source of the link failure (ie out of range, low batteries, damaged antenna). |
**Programming Patterns**
| Pattern | Name | Notes |
|---------|-------------------------------------------|----------------------------------------------------------------------|
| Counts out number (green or red) then pauses | Current menu position | See Menu Tree for more information. |
| Fast green 8 times | Menu setting accepted (on SET) | |
| Fast red 8 times | Menu SET Invalid | User error such as trying to delete a locked model. |
### Receiver LED Codes
| LED Color / Pattern | Name | Notes |
|---------------------|-------------------------------------------|----------------------------------------------------------------------|
| Solid green | Normal Driving Mode | See page 15 for information on how to use your transmitter controls. |
| Slow red (0.5 sec on / 0.5 sec off) | Binding | See page 16 for more information on binding. |
| Flashing fast red (0.125 sec on / 0.125 sec off) | Fail-Safe / Low-Voltage Detect | Consistent Low-Voltage in the receiver triggers Fail-Safe so there is enough power to center the throttle servo before it completely loses power. |
**MENU TREE**
The menu tree below shows how to navigate through the TQi transmitter’s various settings and functions. Press and hold MENU to enter the menu tree, and use the following commands to navigate through the menu and select options.
**MENU:** When you enter a menu, you always start at the top. Press MENU to move down the menu tree. When you reach the bottom of the tree, pressing MENU again will return you to the top.
**SET:** Press SET to move across the menu tree and select options. When an option is committed to the transmitter’s memory, the status LED will rapidly blink green.
**BACK:** Press both MENU and SET to go back one level in the menu tree.
**EXIT:** Press and hold MENU to exit programming. Your selected options will be saved.
**ECHO:** Press and hold SET to activate the “echo” function. Echo will “play back” your current position on the Menu Tree, should you lose your place. For example: If your current position is Steering Channel End Points, holding SET will cause the LED to blink green twice, green once, and then red three times. Echo will not alter your adjustments or change your position in the programming sequence.
Below is an example of how to access a function in the menu tree. In the example, the user is setting the Multi-Function knob to be a steering Dual Rate control.
To set the Multi-Function knob to control STEERING DUAL RATE (%):
1. Switch the transmitter on
2. Press and hold MENU until the green LED lights. It will blink in single intervals.
3. Press SET. The red LED will blink in single intervals to indicate Steering Dual Rate has been selected.
4. Press MENU twice. The red LED will blink three times repeatedly to indicate Steering Percentage has been selected.
5. Press SET to select. The green LED will blink 8 times fast to indicate successful selection.
6. Press and hold MENU to return to driving mode.
**Restoring Factory Defaults:**
| Transmitter OFF | Hold both MENU and SET | Transmitter ON | Release MENU and SET red LED blinks |
|-----------------|------------------------|----------------|-------------------------------------|
| Press SET to clear settings. LED will turn solid green. Transmitter is restored to default |
Press MENU to move through options. Press SET to select an option.
1. **Steering Sensitivity (Expo)**
- One Blink Red
2. **Throttle Sensitivity (Expo)**
- Two Blinks Red
3. **Steering % (Dual Rate)**
- Three Blinks Red
4. **Braking %**
- Four Blinks Red
5. **Throttle Trim**
- Five Blinks Red
6. **Knob Disabled**
- Six Blinks Red
Note: The transmitter is “live” during programming so you can test the settings real time without having to exit the menu tree.
Press MENU to move through options. Press SET to select an option.
1. **Servo Reversing**
- One Blink Red
2. **Sub Trim**
- Two Blinks Red
3. **End Points**
- Three Blinks Red
4. **Reset End Points**
- Four Blinks Red
Press SET to reverse servo direction.
Use knob to adjust sub-trim. Press SET to save.
Use steering wheel to adjust. Turn right to desired end point, press set to save. Turn left to desired endpoint and press set to save. To reset max throw: Let go of controls and press SET.
Press SET to restore factory default endpoints.
Press SET to select an option.
1. **Electric**
- One Blink Red
2. **Nitro**
- Two Blinks Red
Press SET to select an option.
1. **Unlock**
- One Blink Red
2. **Lock**
- Two Blinks Red
3. **Unlock All**
- Three Blinks Red
Press SET to reverse servo direction.
Use knob to adjust sub-trim. Press SET to save.
Use trigger to adjust. Pull back to desired end point, press set to save. Push forward to desired endpoint and press set to save. To reset max throw: Let go of controls and press SET.
Press SET to restore factory default endpoints.
**Starting Over:**
*Restoring Factory Defaults*
When programming your TQi transmitter, you may feel the need to start over with a clean slate. Follow these simple steps to restore the factory settings:
1. Turn transmitter off.
2. Hold both MENU and SET.
3. Turn transmitter on.
4. Release MENU and SET. The transmitter LED will blink red.
5. Press SET to clear settings. The LED will turn solid green and the transmitter is restored to default.
---
**Traxxas Link Model Memory**
Traxxas Link Model Memory is an exclusive, patent-pending feature of the TQi transmitter. Each time the transmitter is bound to a new receiver, it saves that receiver in its memory along with all the settings assigned to that receiver. When the transmitter and any bound receiver are switched on, the transmitter automatically recalls the settings for that receiver. There is no need to manually select your vehicle from a list of model memory entries.
**Model Lock**
The Traxxas Link Model Memory feature can store up to twenty models (receivers) in its memory. If you bind a twenty-first receiver, Traxxas Link Model Memory will delete the “oldest” receiver from its memory (in other words, the model you used the longest time ago will be deleted). Activating Model Lock will lock the receiver in memory so it cannot be deleted.
You may also bind multiple TQi transmitters to the same model making it possible to pick up any transmitter and any previously bound model in your collection and simply turn them on and drive. With Traxxas Link Model Memory, there is no need remember which transmitter goes with which model and there is never a need to have to select any model from a list of model memory entries. The transmitter and receiver do it all for you automatically.
**To activate Model Lock:**
1. Switch on the transmitter and receiver you wish to lock.
2. Press and hold MENU. Release when the status LED blinks green.
3. Press MENU three times. The status LED will blink green four times repeatedly.
4. Press SET. The status LED will blink green in single-flash intervals.
5. Press SET once. The status LED will blink red once repeatedly.
6. Press MENU once, the LED will blink red twice repeatedly.
7. Press SET, the LED will blink rapidly green. The memory is now locked. Press MENU and SET to return to driving mode.
**Note:** To unlock a memory, press SET twice at step 5. The LED will blink rapidly green to indicate the model is unlocked. To unlock all models, press MENU twice at step 6 and then press SET.
---
**To delete a model:**
At some point, you may wish to delete a model you no-longer drive from the memory.
1. Switch on the transmitter and receiver you wish to delete.
2. Press and hold MENU. Release when the status LED blinks green.
3. Press MENU three times. The status LED will blink green four times repeatedly.
4. Press SET once. The status LED will blink green once repeatedly.
5. Press MENU once. The status LED will blink green twice repeatedly.
6. Press SET. The memory is now selected to be deleted. Press SET to delete the model. Press and hold MENU to return to driving mode.
| Function | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU to confirm green LED blinks (x8) | Press SET to select green LED blinks (x8) | Press/hold MENU returns to driving mode |
|-----------------------------------------------|---------------------------------|--------------------------|---------------------------------------------|-------------------------------------------|------------------------------------------|
| Set Multi-Function knob for STEERING SENSITIVITY (Expo) | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU to confirm red LED blinks (x2) | Press SET to select red LED blinks (x8) | Press/hold MENU returns to driving mode |
| Set Multi-Function knob for THROTTLE SENSITIVITY (Expo) | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU twice red LED blinks (x3) | Press SET to select green LED blinks (x8) | Press/hold MENU returns to driving mode |
| Set Multi-Function knob for STEERING DUAL RATE (%) | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU 3 times red LED blinks (x4) | Press SET to select green LED blinks (x8) | Press/hold MENU returns to driving mode |
| Set Multi-Function knob for BRAKING PERCENTAGE (%) | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU 4 times red LED blinks (x5) | Press SET to select green LED blinks (x8) | Press/hold MENU returns to driving mode |
| Set Multi-Function knob for THROTTLE TRIM | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU 5 times red LED blinks (x6) | Press SET to lock green LED blinks (x8) | Press/hold MENU returns to driving mode |
| To LOCK the Multi-Function knob | Press/hold MENU green LED blinks | Press SET red LED blinks | Press MENU 6 times red LED blinks (x6) | Press SET to lock green LED blinks (x8) | Press/hold MENU returns to driving mode |
| To REVERSE the direction of STEERING servo | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press SET red LED blinks | Press/hold MENU returns to driving mode |
| To set the SUB TRIM of the STEERING servo | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press SET red LED blinks | Use Multi-Function knob to set neutral |
| To set the END POINTS of the STEERING servo | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press MENU twice red LED blinks (x3) | Turn steering wheel to desired max left and right travel |
| To reset the END POINTS of STEERING servo to defaults | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press MENU 3 times red LED blinks (x4) | Press SET to reset end points |
| To REVERSE the direction of THROTTLE servo | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press SET red LED blinks | Press/hold MENU returns to driving mode |
| To set the SUB TRIM of the THROTTLE servo | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press MENU red LED blinks (x2) | Use Multi-Function knob to set neutral |
| To set the END POINTS of the THROTTLE servo | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press MENU twice red LED blinks (x3) | Use throttle trigger to set desired max throttle or brake |
| To reset the END POINTS of THROTTLE servo to defaults | Press/hold MENU green LED blinks | Press MENU green LED blinks (x2) | Press SET green LED blinks | Press MENU 3 times red LED blinks (x4) | Press SET to save trigger to test |
**MENU TREE FORMULAS**
To select functions and make adjustments to the TQi transmitter without referencing the menu tree, turn your transmitter on, find the function in the left column you wish to adjust, and simply follow the corresponding steps.
Always turn your transmitter on first.
TRAXXAS
OWNER’S MANUAL
1100 Klein Road, Plano Texas 75074
1-888-TRAXXAS
“Made for iPod” and “Made for iPhone” mean that an electronic accessory has been designed to connect specifically to iPod and iPhone, respectively, and has been certified by the developer to meet Apple performance standards. Apple is not responsible for the operation of this device or its compliance with safety and regulatory standards. Please note that the use of this accessory with iPod and iPhone may affect wireless performance.
Made for:
• iPod touch (4th generation)
• iPod touch (3rd generation)
• iPod touch (2nd generation)
Made for:
• iPod
• iPhone 4S
• iPhone 4
• iPhone 3GS
• iPhone 3G |
Family relations in the period of parental initiation
Lucyna Bakiera*
Adam Mickiewicz University in Poznań
Institute of Psychology
Kinga Steppa
“Word” Psychotherapy Center, Poznań
Transition to parenthood is a period in the development of a family that entails a number of changes in the lives of both women and men, changes in their mutual relation and in the bond of each of them with their child. The article presents the results of a longitudinal study conducted on individuals in intimate relationships, investigating changes that take place in their relations and in the parental bond after becoming a parent for the first time. The first part of the study was conducted before the birth of the child, in the second and third trimester of pregnancy (104 individuals participated in this part), whereas the second part was conducted not before 1 month and not later than 6 months after the birth (66 individuals). Marital satisfaction was measured with the use of *Kwestionariusz Dobranego Małżeństwa* by Mieczysław Płopa and Jan Rostowski, whereas the bond with the child was investigated with the use of the *Maternal-Fetal Attachment Scale* by Mecca S. Cranley in the Polish adaptation by Eleonora Bielawska-Batorowicz. The obtained results point to an increase in marital satisfaction and in the emotional bond with the child after the child is born, and indicate that there is a positive relationship between marital satisfaction and the emotional bond with the child.
**Key words:** parental initiation; marital satisfaction; emotional bond with the child; birth of the first child.
**INTRODUCTION**
Parenthood is most frequently described by actions in which it manifests itself in the relation with the child. Parenting style can differ for every next child.
* Address for correspondence: LUCYNA BAKIERA—Adam Mickiewicz University in Poznań, Institute of Psychology, ul. Szamarzewskiego 89 AB, 60–568 Poznań. e-mail: firstname.lastname@example.org
and undertaking the role of a mother/father for the first time initiates the state of parenthood in the lives of adults (Bakiera, 2013a, 2016). The manner of undertaking and fulfilling the role of a parent is conditioned by a number of aspects. Of importance are individual and socio-cultural factors. Important is also the knowledge about what motherhood and fatherhood is, acquired in the pre-parental period, which constitutes a kind of a matrix that regulates the adults’ functioning, especially when they are beginning to realize their parental roles (Galinsky, 1987). Attention is also paid to the quality of relations between the parents and to their relations with the child. It has been emphasized that the bond between the parent and the child, which develops already in the prenatal period and lasts till the end of the parent’s (or the child’s) life, has a special character (Bielawska-Batorowicz, 1995). The longitudinal study reported in the present paper provides evidence that after the birth of the first child there take place significant changes in parents’ satisfaction from their intimate relationship and in their bond with the child, and they indicate that there are differences in parental initiation between women and men.
PARENTAL INITIATION
When one starts to analyze the issue of parenthood, there almost immediately appears a question about its timeframe, i.e., its beginning and its end. Some researchers (Bragiel, 2012; Kornas-Biela, 2009; Lichtenberg-Kokoszka, 2008) claim that its beginning we can consider the conception of a child because already then adults undertake actions that are to provide safety and best conditions of development to their offspring. Conceiving a child is not always, however, accompanied by awareness of this fact, therefore it is difficult to claim that somebody fulfills the role of a parent, if the person does not know that s/he has become one. There also exist opinions that the period of pregnancy is the time during which adults prepare to undertake the new social role (Kosno, 2011). Such a point of view means that parenthood starts when the child is born. In this case, it would rather be more adequate to refer to the adults who expect the birth of the child as future parents. Włodzimierz Fijalkowski (2003) claims that all human beings are future parents from the very beginning of their existence, moreover, the term future parents implies thinking about the child as a future being. If in psychology we talk about a prenatal child, it would be terminologically incoherent to refer to a pregnant woman as a future or expecting mother (see Kucharska, 2016). The Polish language lacks a term that would refer to parents of a prenatal child. Emilia Lichtenberg-Kokoszka (2008) claims that the most correct term here would be parents of a child in the prenatal period. It seems that the term prenatal parents also fits this line of reasoning.
The end of parenthood can be considered the death of the child, if it was the only child, or the death of the last of the living children who were born in the family (were adopted by the family). With all certainty, we cannot treat the moment of achieving adulthood by the offspring as its end because even
when caregiving and rearing functions cease to be needed, the relation between the parent and the adult child does not disappear.
To define the change of the person’s status associated with undertaking the parental role, the notion of *transition to parenthood* has been coined in psychology. This term has been used by many researchers (e.g. Belsky & Rovine, 1990; Deave & Johnson, 2008; Doss, Cicila, Morrison & Carhart, 2014; Kaźmierczak, 2015; Perry-Jenkins & Claxton, 2011; Salmela-Aro, Nurmi, Saisto & Halmesmäki, 2000). Transition to parenthood incorporates various events and pertains to the period preceding the birth of the child, the prenatal phase, and the period after the birth, sometimes even up to three years after the birth (Belsky & Rovine, 1990; Deave & Johnson, 2008). “To transit” means: to travel a certain distance walking; to go somewhere, usually to a different location; to pass by; to experience something; to undergo something; to start doing something else or in a different manner; to transform into something; to become saturated with something; to acquire particular knowledge through learning (*Słownik języka polskiego*, 2000). In our opinion, the Polish language version seems a bit cumbersome, too kinesthetic, yielding associations with physical movement (e.g. transiting from one place to another). Moreover, it only accentuates to a small extent the processual character of undertaking various parental tasks (according to the provided dictionary definition, ‘to transit’ means to have experienced something, not be experiencing, to have undergone something, not be undergoing, to have transformed into something, not be transforming).
We propose, therefore, to use a different term, a term that refers to initiation, i.e., starting a new stage in the process of becoming an adult, associated with acquiring new experiences (*Słownik języka polskiego*, 2000). Parental initiation (from Latin *initio*—I begin) is understood by us as a process of undertaking the role of a parent and establishing a bond with a child, an important moment of which is the birth (adoption) of the first child. As the beginning of this process we recognize the moment in which the woman/man finds out about the child’s conception and agrees to its development. These events do not always co-occur in time. It happens that acceptance of the child exists before receiving information about the conception, as well as it can come later or it does not develop at all. Establishing the bond with the prenatal child, considered by us to be a component of parental initiation, means, in turn, ascribing subjectivity and autonomy to the child (Bielawska-Batorowicz, 1995), which is expressed by such behaviors of the adults as talking to the child, thinking and fantasizing about the child, touching the mother’s belly, calming down or stimulating the child, singing lullabies or reading stories to the child (Golańska, 1989). We talk about parental initiation in processual terms because we do not identify it exclusively with one event, for instance, with the conception or the birth of the child. This way, we want to emphasize two important issues: (1) the multiplicity of changes that take place in adults under the influence of undertaking the role of a mother/father (understood as engaging oneself gradually in the realization of various parental tasks, not solely becoming a mother/father, i.e., transitioning from the status of a nonparent to the status of a parent) and (2) the person’s readiness to provide active care and rearing to the offspring, i.e., parental engagement (Bakiera, 2013a, 2013b). At the same time, we are referring here to the definition of *initiation* as “getting to know, getting acquainted with something that so far has remained unknown; immersing oneself into something, discovering secrets of something; beginning something” (*Słownik języka polskiego*, 1983, pp. 790-791). The imperfect verbs provided in this definition are of significance here because we define parental initiation as a process of adopting (not solely the adoption of) the role of a parent and developing a bond with the child (not only establishing it one-off). For the reason that in the literature of the subject the term *parental initiation* does not occur, the terms *transition to parenthood* and *parental initiation* will be treated in the present article as synonyms.
Adaptation to the social role of a parent is multistage and it incorporates such phenomena as shaping expectations, confronting expectations with reality, creating the role and deriving benefits from engaging in the role (Goodman, 2005). Through adopting the role of a prenatal parent, adults prepare themselves for the birth of the child (Bielawska-Batorowicz, 2006; Birksted-Breen, 2013; Kaźmierczak, 2015; Kornas-Biela, 1993; Raphael-Leff, 2013). Ellen Galinsky (1987) claims that out of the six phases of parenthood development, the first two phases pertain to transition to adulthood. The initial stage is called concept creation. It starts during pregnancy, when the person thinks about the child and future life with it. It is the time of thinking about oneself in the role of a parent, experiencing fears associated with pregnancy and uncertainty about one’s ability to take care of the child. The second stage consists in taking care of the infant. It pertains, therefore, to the period after the birth until the child is approximately 2 years old. In this stage, the parents, getting to know their child, verify their prior conceptions about their offspring. They also gradually adapt to the new role, and the bond between them and the child deepens significantly. Parental initiation is accompanied by an increase in the meaning of family-oriented goals (Salmela-Aro, Nurmi, Saisto, & Halme-smaki, 2000).
The birth of the first child causes changes in the entire family system because there takes place a transformation of a dyad (a two-person system) into a three-person system with a generational division. The roles executed so far in the intimate relationship become complemented by parental roles. Among tasks initiated by becoming a parent for the first time Mieczysław Plopa (2006) mentions, for instance, the necessity to change family topics due to adding a child participant to the adult system, the necessity to re-define the adults’ identity by incorporating in it the aspect of motherhood/fatherhood, caring at the same time about the quality of the relationship with the partner and the development of the child, balancing the boundary between the generational and the procreative family, which protects against the process of binding, and the boundary between the family and work, also managing free time and relations with friends. A successful result of these changes depends to a large extent on the quality of relations in the marital (consensual) dyad.
RESEARCH ISSUES
In the study reported in the present article, we attempted to identify changes in the level of satisfaction from an intimate relationship and in the strength of the bond with the child in the period of parental initiation. In order to verify whether such changes occur and what is their direction, we conducted a longitudinal study and formulated two main research questions: Does satisfaction from the relation with a partner in an intimate relationship change in the period of parental initiation? Does the bond of the mother/father with the child change after the child is born?
Conclusions from available studies on marital satisfaction in the period of transition to parenthood are equivocal. Some studies confirm a decrease in marital satisfaction during this period (Belsky & Rovine, 1990; Doss, Rhoades, Stanley, & Markman, 2009; Doss et al., 2014), whereas other talk about its increase (Cowan et al., 1985; Lawrence, Rothman, Cobb, Rothman, & Bradbury, 2008). There are researchers who point out that the birth of the first child introduces to marital relations the necessity to develop a new level of balance (Guttmann & Lazar, 2004) and new tasks. A meta-analysis of data from 37 different studies indicates that a decrease in satisfaction in close relationships can pertain not only to pairs who become parents, but also to childless couples in whom a decrease in satisfaction occurs in analogous time (Mittnick, Heyman, & Smith Slep, 2009).
The second area of research pertained to changes within the emotional bond between the mother and the father and their child in the period of parental initiation. The number of studies on changes in the emotional bond with the child during transition to parenthood is rather scarce. Data from the existing studies show, for instance, that prenatal attachment appears around the 10th week of pregnancy (Bielawska-Batorowicz, 2006), and that the strength of the bond increases during the consecutive trimesters of pregnancy (Bielawska-Batorowicz et al., 2002). The fathers' bond with the prenatal child differs from that established by the mothers. Prenatal attachment of the fathers is more frequent than in the case of women characterized by coldness, indifference and emotional distance toward the child (Vreeswijk, Maas, Janneke, Rijk, & van Bakel, 2014).
Apart from the research problems presented above, we also decided to verify whether there is a relationship between the level of satisfaction from an intimate relationship and the emotional bond with a prenatal child and an infant. These problems are expressed by the following questions: Is there a relationship between marital satisfaction and the emotional bond with a prenatal child? Is there a relationship between marital satisfaction and the emotional bond with an infant? These issues refer to the theoretical model by Ramona Mercer (1986), according to which the strength of the emotional bond with the prenatal child depends, among others, on the quality of the relationship between the parents. On the basis of the available literature, one can surmise that the quality of the marital relationship is particularly important for the development of a bond between the father and the child because the closer the relation between the spouses, the easier it is for the man to talk
with his wife about the child and, consequently, to develop a bond with the child.
The bond with the child in the prenatal period/infancy is understood by us as a positive emotional attitude of the parent toward the child. It is created during the prenatal stage of the child’s development and shaped after the child is born. An adult who shows attachment to a prenatal child treats it as a separate being, ascribes to it individual qualities and enters into an interaction with it. Apart from that, the person perceives oneself as a parent and subordinates her/his activity to the child’s well-being. Manifestations of the parental bond are, for instance, the following behaviors: the adult talks about imagining oneself taking care of the child, establishes verbal contact with the child, gives the child a name (or refers to it using some other term), sings lullabies to the child, describes the child (e.g. on the basis of its movements, behaviors), takes care of her/his health because of the child, thinks about how the child feels and what it thinks, ascribes purposeful activity to the child, identifies states in which the child is (Bielawska-Batorowicz, 1995).
METHOD
Searching for answers to the questions presented above, we undertook actions to verify the following hypotheses:
H 1. Marital satisfaction after the birth of the first child is higher than marital satisfaction before the child is born. It has been surmised that the birth of the first child intensifies sense of safety, intimacy and self-realization in the relationship, and decreases sense of disappointment from the relationship.
The results of studies conducted so far are not unanimous. There are studies that indicate that transition to parenthood is associated with changes negative from the point of view of the functioning of the dyad (Doss et al., 2009), other give evidence to an increase of satisfaction from an intimate relationship after the birth of the first child (Talmi, 2013). Significant here seems to be not only the comparison of the level of satisfaction between the couples (with children and childless), but also the initial level of satisfaction, i.e., before the child was born (Perry-Jenkins, & Claxton, 2011). A decrease in satisfaction from the relationship can, however, result from increased indicators of marital satisfaction in the period of expecting the child (Karney & Bradbury, 1997; Perren, Von Wyl, Bürgin, Simoni, & Von Klitzing, 2005). In turn, a positive relationship between marital satisfaction and the birth of the first child can be associated with adults’ conviction that having a child is important for a successful marriage (Komiczna-Salamatin, 2009).
H 2. The emotional bond of the mother/father with an infant is stronger than the emotional bond with a prenatal child. One can assume that the birth of the child changes all components of the emotional bond between the parent and the child (intensifies undertaking the parental role, treating the child as a separate being, initiating interaction with the child, ascribing individual characteristics to the child, and subordinating one’s actions to the child’s wellbeing). Previous findings provide evidence that there is a quantitative and qualitative difference in the parental bond, especially the bond of the fathers, with a prenatal child and an infant (Bielawska-Batorowicz, 2006; Bielawska-Batorowicz et al., 2002; Vreeswijk et al., 2014). The birth of the child embodies its existence in the parents’ perception, which activates their responsiveness to the child and, at the same time, increases the strength of the bond with the child, with whom physical contact can now be realized directly (is not mediated by the mother’s body). The bond with the prenatal child is mediated by the parents’ imaginations (Laxton-Kane & Slade, 2002), and the lack of physical contact can make it more difficult for some adults to develop a bond with an unborn child.
H 3. There exist positive relationships between marital satisfaction and the emotional bond with a prenatal child and an infant.
The premise for formulating the above hypothesis is the conviction that the functioning of adults in family roles—marital and parental, is co-dependent. The appearance of a new subsystem within the family generates not only changes called “vertical regrouping” (Kaźmierczak, 2015), but it also results from the interaction in the intimate relationship. Satisfactory marital relations constitute the fundament of family continuation (Satir, 2000) and create necessary resources for coping with parenthood challenges (Bakiera, 2013a). Marital closeness correlates with greater confidence of the adults in their parental competences what modifies significantly the interaction with the child (Floyd, Gilliom, & Costigan, 1998). Although the child can be perceived as a prerequisite for achieving marital happiness (Domiec, 2001), the relationship between the quality of the marriage and the quality of the bond with the child has probably a circular character—the functioning of adults in two family subsystems (marital and parental) interpenetrates one another.
The subjective evaluation of the quality of relation in an intimate relationship was measured in our study with the use of *Kwestionariusz Dobranego Małżeństwa*, developed by Mieczysław Plopą (2008) and Jan Rostowski. It enables investigating the level of global satisfaction in a marital or an informal relationship (for that reason we use interchangeably the terms *marital satisfaction* and *satisfaction from an intimate relationship*) and its specific aspects: intimacy, self-realization, similarity and disappointment. The tool is a well-known and frequently applied questionnaire in Polish studies. Investigated individuals (women and men) evaluate individually their relationships.
Developing a bond with a prenatal child was assessed with the use of the *Maternal-Fetal Attachment Scale* by Mecca S. Cranley in the Polish translation and adaptation by Eleonora Bielawska-Batorowicz (1995). The questionnaire enables determining the quality of the global bond with the child and the quality of its particular aspects (described above). Cronbach’s alpha in the Polish adaptation is 0.81 (it oscillates between 0.50 and 0.66 for particular scales). The original version of the questionnaire was designed to investigate the bond between the mother and her child. For the purpose of the reported study, the questionnaire was adapted to investigate also the fathers. In order
to explore the parents' bond with their infant child, statements in the questionnaire were adjusted to the period of infancy.
Investigations with the use of the tools described above were conducted twice. We investigated couples who were expecting the birth of their first child (between the 13th and the 37th week of pregnancy) and the same couples after the child was born (not earlier than 1 month and not later than 6 months after the birth). The individuals were invited to take part in the study in birthing schools they attended, where the first part of the study would be realized. The examinations of women and men were conducted individually. The second study, due to difficulties associated with taking care of infants, was conducted via the Internet. The participants of the first study were 120 individuals (60 couples). Due to lack of data, 16 questionnaires were excluded from the study, therefore the number of the investigated individuals decreased to 104 (52 couples remaining in intimate relationships, including 39 married couples, which constituted 75% of the sample, and 13 couples, 25% of the sample, in consensual relationships). 38 of the individuals who had taken part in the first part of the study declined further participation. The second part of the study involved 66 individuals who created 33 pairs—24 marriages (73% of the sample) and 9 co-habiting couples (27% of the sample). The mean age of the investigated individuals was 29 years, the mean age of the men was 30. The examined sample was quite homogeneous in respect of education, both in the case of the women and the men higher education dominated (79% of women and 65% of men). The investigated individuals were inhabitants of the city of Poznan and its surrounding area.
RESULTS
The conducted study has shown that before the birth of the child women manifest a moderate, a high or a very high level of satisfaction from their intimate relationship. The results obtained in this respect by the men range from very low to very high. The women show a higher level of marital satisfaction than the men in the prenatal period. After the birth, there dominate moderate and high results in the two groups (Figure 1).
In order to verify H 1, which expressed an assumption that the birth of the child differentiates marital satisfaction, two measurements of the level of satisfaction from the relationship were compared. We compared both the global results and the partial results obtained for the particular dimensions of satisfaction. The results of the comparisons have been presented in Table 1. On their basis, we can confirm the hypothesis H 1. After the birth of the first child the level of marital satisfaction is higher than before the birth. Such difference can be observed in the investigated women ($t = 3.19; SD = 7.79; p < .005$) and in the men ($t = 2.62; SD = 7.3; p < .05$). Statistically significant changes pertain to the global level of satisfaction and its two components—similarity and self-realization. The level of intimacy in the relationship and the level of disappointment with the relationship do not undergo any significant quantitative changes.
Figure 1. Satisfaction in the intimate relationship before (the left columns in the rectangle) and after (the right columns) the birth of the first child.
Table 1. Marital satisfaction before and after the birth of the first child. Student's $t$-test for the dependent samples ($n = 66$, $df = 65$)
| Marital satisfaction | Mean | Mean difference between the measurements | $SD$ | $t$ | $p$ |
|----------------------|--------|------------------------------------------|------|--------|---------|
| Global marital satisfaction 1 | 135.91 | | | | |
| Global marital satisfaction 2 | 139.74 | 3.83 | 7.51 | 4.15 | < .001 |
| Intimacy 1 | 33.94 | | | | |
| Intimacy 2 | 34.55 | 0.61 | 2.69 | 1.83 | ni |
| Disappointment 1 | 43.83 | | | | |
| Disappointment 2 | 44.39 | 0.56 | 3.70 | 1.23 | ni |
| Self-realization 1 | 28.91 | | | | |
| Self-realization 2 | 29.91 | 1.77 | 2.88 | 5.01 | < .001 |
| Similarity 1 | 30.23 | | | | |
| Similarity 2 | 30.97 | 0.74 | 2.44 | 2.47 | < .05 |
Source: own analysis.
Note. 1—the values of the first measurement (before the birth of the child); 2—the values of the second measurement (after the birth of the child); $SD$—standard deviation; $t$—the value of Student's $t$-test; $p$—the significance level (ni—the values of $p$ above .1 = insignificant result).
The obtained results provide evidence for the existence of a stronger bond between the mothers and their prenatal children than between the fathers and their unborn children (Figure 2). The mean result for the women was 96, the dominant was 97. Among the investigated men, the mean result was 89. There dominated the men who obtained the result 90 and 94. The bond with the child during the first months after the birth for the majority of the participants ranged from 100 to 125. The mean result in the group of women is 105, in the group of men—103.
Source: own analysis.
*Figure 2.* The bond with the child in the prenatal period (the left columns in the rectangular frames) and in infancy (the right columns).
It has been surmised that the emotional bond with a prenatal child is weaker than the bond with an infant. We expected that the birth of the child would differentiate both the global indicator of this bond, as well as the levels of its particular components. The obtained results (Table 2) have shown that there is a statistically significant difference between the prenatal and the postnatal bond with the child both in the women ($t = 5.92; \text{ } SD = 8.31; p < .001$) and in the men ($t = 7.91; \text{ } SD = 10.09; p < .001$). The birth of the child intensifies the parents’ emotional bond with the child, especially such its dimensions as undertaking the parental role, entering into an interaction with the child and ascribing subjective qualities to the child. In turn, we did not observe significant differences in respect of treating the child as a separate being and subordinating one’s actions to the well-being of the child.
Table 2.
The birth of the child and the components of the emotional bond with the child. Test for difference significance for the dependent samples \((n = 66, df = 65)\)
| Emotional bond with the child | Mean | Mean difference between the measurements | \(SD\) | \(t\) | \(p\) |
|-------------------------------|--------|------------------------------------------|-------|------|------|
| Bond with the prenatal child | 92.95 | | | | |
| Bond with the infant | 104.29 | 11.34 | 9.55 | 9.58 | < .001 |
| Undertaking the parental role 1 | 16.71 | 1.77 | 2.62 | 5.44 | < .001 |
| Undertaking the parental role 2 | 18.48 | | | | |
| Treating the child as a separate being 1 | 17.15 | 0.34 | 3.09 | 0.88 | ni |
| Treating the child as a separate being 2 | 17.49 | | | | |
| Entering into an interaction with the child 1 | 18.12 | 4.78 | 2.91 | 13.27 | < .001 |
| Entering into an interaction with the child 2 | 22.91 | | | | |
| Ascribing qualities to the child 1 | 20.46 | 5.35 | 4.07 | 6.36 | < .001 |
| Ascribing qualities to the child 2 | 25.82 | | | | |
| Subordinating oneself to the interests of the child 1 | 20.46 | 0.86 | 4.33 | 0.21 | ni |
| Subordinating oneself to the interests of the child 2 | 19.60 | | | | |
Source: own analysis.
Note. 1—the values of the first measurement (before the birth of the child); 2—the values of the second measurement (after the birth of the child). \(SD\)—standard deviation; \(t\)—the value of Student’s \(t\)-test; \(p\)—the significance level (ni—the values of \(p\) above .1 = insignificant result).
We also checked whether there were any significant differences between the mothers and the fathers in respect of the intensity of their emotional bond with the prenatal child and the infant. The conducted analyses indicate that in the prenatal period the mothers develop a stronger bond with the child than the fathers (\(t = 3.5; p < .001\)), whereas in the postnatal period the women and the men do not differ from each other in this respect (\(t = 0.98; p = .33\)).
The next research problem pertained to the dependency between marital satisfaction and the emotional bond with the child in the prenatal and the postnatal period of the child’s development. The conducted analyses show that there are significant positive correlations between these variables. The correlations pertain both to the prenatal and the postnatal period. The higher the
satisfaction from the intimate relationship, the stronger the bond with the child, both before the birth and in infancy (Table 3). A very interesting result is the result of correlation when gender is taken into consideration. In the group of men, a correlation between marital satisfaction and the bond with the prenatal child does not occur, whereas in the group of women it is statistically significant. In turn, in the case of the bond with an infant the correlation can be observed both in the women and in the men.
**Table 3.**
Marital satisfaction and the emotional bond with the child—Pearson’s $r$ correlation coefficient
| Global marital satisfaction | Bond with the prenatal child ($N = 104$) | Bond with the infant ($n = 66$) |
|-----------------------------|----------------------------------------|-------------------------------|
| | Women ($n = 52$) | Men ($n = 52$) | Women ($n = 33$) | Men ($n = 33$) |
| | $p = .58$ | $p = .52$ | $p = .60$ | $p = .45$ |
*Source: own analysis.*
*Note. p—the significance level (ni—the values of p above .1 = insignificant result).*
The presented results enable us to confirm the assumptions expressed in the hypothesis H 3.
**DISCUSSION AND CONCLUSIONS**
The obtained results provide evidence that the level of marital satisfaction increases after the birth of the first child. The components of marital satisfactions that are particularly likely to increase after the birth, are sense of similarity and self-realization. In the period of parental initiation, women and men notice that they are more alike each other, which can be explained by an increase in the number of common goals and tasks, also those connected with taking care of the child. The component of marital satisfaction that changes most visibly after the birth of the first child is self-realization. For women, the arrival of the child constitutes a confirmation of their womanhood (Raphael-Leff, 1983), whereas for men it is a source of pride and satisfaction (Kuryś, 2010). Childcare becomes a new area in their relationship in which they can realize themselves. They derive satisfaction from the realization of new life tasks (Kaźmierczak, 2015). Self-realization in an intimate relationship enables the person to develop oneself in the relation with another person and to undertake life tasks together. One of such tasks for many adults is parenthood, and in it they see their happiness (Płopa, 2008).
The reported study depicts the development of a bond with a child, combining two life periods—the prenatal period and infancy. Earlier studies on the emotional bond with the child focused rather on only one of these periods
—either the prenatal (e.g. Abasi, Tahmasebi, Zafari, & Nasiri Takami, 2012; Bellieni et al., 2007; Bielawska-Batorowicz & Siddiqui, 2008; Pisoni et al., 2014) or the postnatal period (Bowlby, 2007; Ainsworth, 1979; Morelli, 2015). The present study shows that the emotional bond of the parents with their child increases after the birth. Changes in this bond can be observed both in women and in men, nevertheless it has been demonstrated that the emotional bond with the prenatal child is higher in women than in men, which confirms the results of earlier studies in this area (Bielawska-Batorowicz et al., 2002; Maas, Rijk, van Bakel, & Vreeswijk, 2014). It seems to be easier for the women to establish a bond with their unborn child because they experience its existence directly. They are the environment in which the child develops for the nine months of the prenatal period. The men, in turn, throughout the whole pregnancy can only indirectly (through the woman) get to know their offspring. Undertaking the role of a father requires from the male a significant reorganization of his personal identity (Bronte-Tinkew, Scott, Horowitz, & Lilja, 2009), which can be modified by the strength and the quality of the bond with the child already in the prenatal phase of its development. Taking into consideration the fact that in the prenatal period the bond established by the fathers is weaker than the bond developed by the mothers, and that these differences no longer exist in the postnatal period, we can claim that the influence of the birth of the child on the emotional bond of the fathers is greater.
The components of the bond that undergo a significant change after the child is born, are: entering into an interaction with the child, ascribing individual qualities to the child, and undertaking the role of a parent. The most visible change pertains to initiating an interaction with the child. The birth probably drops the boundary in getting to know the child that so far have been the layers of the mother’s belly. A child in infancy is far more interactively available, and its traits become more visible. After the birth, there also increases the undertaking of the parental role, which suggests that the birth of the child is the key event in parental initiation. A weaker emotional bond with the prenatal child can be a sign of difficulties in establishing a bond with an unborn child. It can also mean that there are many people who believe that parenthood starts after the child is born, or that the society still does not recognize the prenatal period as one of the child’s life stages. It would be valuable to explore in future studies causes of developing by parents a weaker bond with the child in the prenatal period. Such findings could become useful in designing preventive actions for the prenatal period, even more so that there are studies that point to a relationship between the mother’s attachment to the child in the prenatal phase and her engagement in motherhood when the child has been born (Siddiqui & Hägglöf, 2000).
The obtained results indicate, moreover, that there are links between marital satisfaction and the emotional bond with the child in the prenatal period of the child’s development and in infancy, which confirms earlier findings in this area (Bielawska-Batorowicz & Siddiqui, 2008). In the group of men investigated by us, the relationship between marital satisfaction and the emotional bond with the prenatal child turned out to be insignificant. This result is surprising because one could expect that better relations between the women and the men should make it easier for the men to obtain information about the child and get to know it better. It has been demonstrated that caring about the child is impossible when the man ignores its mother (Risè, 2006). Coren L. Apicella and Frank W. Marlowe (2004) observed that the men who had broken their relations with the child’s mother invested much less in the child than the fathers who remained in a close relationship with the mother. In turn, a satisfactory relationship with the wife correlates positively with the father’s high engagement in contacts with the child (Bonney, Kelley, & Levant, 1991; Lamb & Tamis-LeMonda, 2004). Perhaps, however, in the prenatal period of the child’s development, the good relations between the parents are not concentrated on the child, but rather on themselves.
The conducted studies had some limitations. These limitations result, in particular, from the applied strategy and the very subject of investigation. The strategy of longitudinal studies, of which the key advantage is the possibility to verify the stability or changeability of subjects’ functioning, entails some serious inconveniences (Przetacznik-Gierowska & Tyszkowa, 2009). In studies of this kind, it is extremely difficult to maintain the initial sample size. This problem also appeared in the reported study. A considerable percentage of the participants (36.5%) refused to take part in the second stage of the study. Apart from the standard phenomenon of refusals in longitudinal studies, in this case there also occurred an additional difficulty connected with gathering volunteers for the initial research group. This difficulty resulted from the very subject of the study, i.e., the period of life marked by the appearance of new duties associated with taking care of a newborn child. In the face of these difficulties, we decided to conduct the second part of the study via the Internet, in order to make it easier for the parents to have an access to the research tools. Studies that compare the classic paper-pencil versions of tests with its electronic versions point to the validity of such a procedure because the similarity in respect of test statistics exceeds the existing differences (e.g. Lonsdale, Hodge & Rose, 2006). This does not change the fact, however, that the procedure of collecting data in the two parts of the study was not identical, which could have had an effect on the obtained results. Another shortcoming of the present study was the differentiated status of the investigated relationships (marriages vs. consensual relationships). In future studies, in order to avoid the influence of the relationship type on satisfaction from the relationship and on the strength of the bond with the child, it would be advisable to ensure sample homogeneity.
Despite the limitations described above, the conducted study has shed a new light on the period of adults’ life that is considered to be a turning point in their development (Le, McDaniel, Leavitt, & Feinberg, 2016). The period of parental initiation is connected with transforming the existing relations and creating new bonds. Already in this period, the spouses (partners) and the child mutually influence one another within the dynamically changing family system, in which the strength of the bond between the parents and the childas evidenced by the reported studies—depends on the evaluation of the quality of relation in the intimate relationship.
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Deploying the Business Case to Reduce the Risk of Large Scale Data Warehousing
Reinhard Jung and Stefan Schwarz
University of St. Gallen, Mueller-Friedberg-Strasse 8, CH-9000 St. Gallen, {Reinhard.Jung | firstname.lastname@example.org
ABSTRACT
Managers of large data warehousing projects often put project failure down to organizational resistance. Technical requirements are usually not considered to be crucial for project success. However, the majority of the scientific work on data warehousing concentrates on technical aspects. As a consequence, a comprehensive framework or method for the introduction of a data warehouse is still missing. This paper takes this contradiction into account and deals with the management of organizational risks in large scale data warehouse projects. We base our research on information gathered from large organizations which develop and/or run data warehouses.
This paper is structured as follows: After a short introduction the planning process of data warehousing is outlined. The first step is the strategic decision for data warehousing which is followed by the definition and evaluation of the initial project which is also called first increment. In the third section we present a business case strategy for both the initial project and subsequent data mart projects. Furthermore, the interdependencies between the initial phase and subsequent projects are discussed.
1 INTRODUCTION
1.1 Competence Center Data Warehousing Strategy (CC DWS)
In January 1999 the Competence Center Data Warehousing Strategy (CC DWS) was founded at the University of St.Gallen (Switzerland). The CC DWS is a joint research project of the Institute of Information Management and ten partner corporations from the insurance, logistics, telecommunications and consulting industry, and the Swiss department of defense. Some of our partners already have one or more data warehouses, others are in the middle of the development process. CC DWS research focuses on methodological aspects of data warehousing. In this paper we present our findings as regards the business case for data warehousing (DWH) projects. However, it will become obvious that organizational aspects are strongly interrelated with the business case issue.
1.2 Related work and research method
In a review of current research on data warehousing a comprehensive and accepted framework to organize organizational risk of large scale data warehousing projects could not be found. However, literature focussing on various relevant aspects is available.
Project prioritization which is of significant importance for data warehousing especially in large organizations is a rather broad field of research. However, most of the available publications are based on discrete algorithms for benefit assessment which we consider inappropriate in the case of data warehousing. A general approach for the prioritization of IT projects is presented by Jung (Jung 1995, pp. 544). Fröschle and Niemeier have worked on benefit assessments for IT infrastructure investments (Fröschle, Niemeier 1988, pp. 190-197). Case study research about the assessment of decision support systems is introduced by Belcher and Watson (Belcher and Watson 1992) and Gallivan (Gallivan 1994, pp. 65-77). The problems that arise from replacing legacy systems or their integration into modern ones are discussed by Robertson (Robertson 1997). Especially his illustrations of the complexity caused by legacy system integration is of special interest.
Our work in the areas of data warehousing is based on action research. By interviewing employees of CC DWS partner corporations and associated corporations we gathered information on the main areas of interest and analyzed best practices in order to find possible solutions. As the interviews delivered mostly soft facts, their generalization has to be done in an interactive and revolving process.
None of the partner corporations interpreted the business case issue in such a broad sense as we do in this paper. Therefore, each corporations’ practice only covers part of the comprehensive business case strategy. However, some of them adapted the generalized findings to their individual settings and thereby contributed to the validation of our results.
In every qualitative research project a certain level of bias can be observed. In order to avoid biases interim results were controversially discussed on a regular basis both within the research team and with employees of the partner corporations.
1.3 Basic assumptions
Our work is based upon a general three-tier DWH architecture (cf. Figure 1) which proved to be suitable for describing a variety of different real-life architectures including those of our partner corporations.
Other authors, e.g. Bontempio, Zagelow 1998, Gardner 1998, Kimball et al. 1998, present quite similar architectures. The basis of every data warehouse architecture is the operational IT environment and especially its data sources. The next layer deals with the so-called ETL processes, i.e. extraction, transformation, and loading of detailed data into the core data warehouse (core DWH) or the operational data store (ODS). In contrast to transactional databases, the core data warehouse comprises both actual and historical data in order to support all kinds of analyses. The ODS is designed to serve real-time applications such as call centers. Since the data within these central components of the architecture is detailed and not aggregated, it is necessary to define specific views on this core data for the business units. If the views are materialized, i.e. if controlled redundancy is introduced, we call the set of views for one business unit a data mart. These views can provide aggregate data and denormalized or even multidimensional data structures. The top layer of the architecture can comprise end-user tools for ad hoc queries, online analytical processing (OLAP), data
mining, and real-time applications.
2 PLANNING FOR DATA WAREHOUSING
2.1 The strategic decision for data warehousing
The trend towards data warehousing is a result of current market forces and conditions. The initial trigger is to be seen in the transition from producer oriented markets to consumer oriented markets. The IS which have been implemented over the past decades are orientated towards divisions or products, i.e. there is usually at least one IS with its own database for every product. An example for this state of affairs is the insurance industry: there is usually a dedicated IS for life insurance, liability insurance etc. However, today’s customers are demanding individualized and integrated services, e.g. consolidated invoices, which cannot be granted by an uncoordinated number of product oriented IS.
In large organizations an enterprise-wide data warehouse, either physically or logically centralized, cannot be realized in a single step (“big-bang approach”). Instead, it takes several steps or projects to provide a comprehensive and management-oriented database (Sigal 1998). Therefore, the decision for data warehousing is usually a strategic one, which is or should be made by the top management (also cf. Clermons 1991). However, it is very difficult or even impossible to make strategic decisions based on monetary criteria. Thus, the decision for or against data warehousing is made on qualitative criteria because the derivation of the important decision parameters based on a relatively long timespan.
2.2 Defining and evaluating the initial project
The scope of the initial project is crucial for the success of the entire warehouse and especially for the funding of subsequent projects (Devlin 1997, p. 311). In Figure 2 the different projects types as regards the initial project are depicted:
- Project type A: The informational need of one business unit is to be covered by a single data mart. Further projects include the implementation of additional data marts and the integration of additional data sources if needed.
- Project type B: A core data warehouse which is limited as regards its coverage is provided as a corporate infrastructure. Subsequently, business units will be asked to formulate their requirements in order to be able to specify data mart projects. A discussion of influencing factors as regards the prioritization of these projects can be found below.
- Project type C: The informational need of all business units including the top management is to be covered by the core data warehouse. Therefore, on the one hand all relevant data sources have to be integrated and on the other hand several data marts have to be implemented.
While project type A is adequate for corporations independently of their size, type C is only suitable for corporations with both a small number of business units and a small number of OLTP systems. As a consequence, type C is viable only for medium and small size corporations. Project type B bears a high risk potential and should therefore be avoided. Without at least one business intelligence application and therefore without a reference project it will be almost impossible to provide visible benefits which could ensure an ongoing funding and development of the DWH.
3 DATA WAREHOUSE BUSINESS CASE STRATEGY
The preceding sections concentrate on mainly static aspects of a DWH business case. In the following we are going to integrate these aspects into a strategy. We present strategy patterns and structure them in order to establish a DWH strategy. This strategy provides recommendations depending on context factors we identified in cooperation with our competence center partners. Based on the general architecture described above (cf. Figure 1) the DWH strategy problem can be divided into two sub tasks:
- Design and implementation of the initial project as described in section 2.2.
- Design and implementation of several subsequent data mart projects. Within such a project a new data mart is built and additional base data might be added if needed. Sutter also favors a subdivision of the entire development process into small
projects. He uses a case study to explain the benefits of such action which he mainly sees in the lower risk of DWH project as a whole (Sutter 1998, pp. 49-51).
Because of significant differences, these two phases have to be dealt with separately. The most important difference between the initial project and a subsequent data mart lies in the range of addressees. Whereas the initial project is mainly to be judged as a common infrastructure project and therefore has a variety of addressees, the implementation of a data mart only provides benefits for the business unit it is built for.
Another aspect that differs between design and implementation of the initial project and that of data marts is the complexity. An ideal core DWH must be flexible enough to be adjusted to all future business driven information needs. These information needs are usually unknown in the beginning. Furthermore, information needs are generally expressed from different business units and may therefore cause conflicting interests. The different intentions lead to different requirements. An example for this, which can be found in almost every corporation, is the definition of management terms. The definition of the term "turnover" for instance can be quite different if seen from the controlling point of view or from a sales perspective. Both business units have good reasons for their definition so that sometimes considerable integration and standardization efforts have to be made. This short example clarifies the additional requirements the design of a core DWH has to cover in comparison to the design of a data mart.
Similar to most infrastructure projects, the design and implementation of the initial project suffer from an asynchronous occurrence of costs (now) and benefits (later). Furthermore these costs are, compared to a data mart project, significantly higher.
Common IT practice suggests that the project sponsor of a data mart project should be the head of the business unit the mart is designed for (a detailed discussion can be found in Inmon et al. 1997). The initial project serves the whole corporation. Therefore, the determination of the project sponsor for the initial project is not easy. As a consequence, corporations have different perspectives on that issue. In many cases the CIO signs responsible for this project, in other cases the top management takes this role. It is not possible to formulate an ideal strategy as regards this issue but two general guidelines can be given:
- Since the initial project has an impact on different business units and, therefore, bears a lot of potential for conflicts, the project sponsor should be the manager the units are reporting to. According to his position he would be capable of moderating the search for compromises.
- The project sponsor of the initial project will have a special role throughout the development process of the DWH. Therefore, he is required to understand the implications and opportunities of data warehousing. One of his foremost tasks will be to communicate and promote the idea of an active data management within the corporation.
3.1 Prioritization of data mart projects
As described above, the initial project is an infrastructure project to be carried out in the first place. The data mart projects have to be scheduled subsequently. They can be prioritized according to different strategies. In the following we describe three basic prioritization strategies. These strategies suggest the existence of distinct approaches. However, usually mixtures of these strategies can be found. The pros and cons of the three strategies are described below:
- The “internal customer” strategy
Most of today’s modern corporations are service oriented. Each business unit has to find either an internal or an external customer for its “products”. As a consequence, internal customers have to pay for IT services. According to this idea, the prioritization of data mart projects can be done based on monetary considerations. Each business unit has to prognosticate the benefits a data mart is likely to provide. Afterwards, it has to determine the internal price it is willing to pay for the data mart. Due to the fact that the benefits resulting from better decisions are almost intangible, the latter task is very difficult.
When the implementations costs and the benefits for all the possible data mart projects are determined, the prioritization can be done based on available approaches (Duij 1989, Goodhue et al. 1992, Sassone 1987).
Especially in large corporations it could be one aim of a DWH project to replace decentralized legacy DWH systems. For the owners of these legacy systems, i.e. the business units, a replacement often turns out to be unnecessary, because the old system delivers all the information needed. As a consequence, the business unit might not be willing to pay for the implementation of a new DWH at all. This attitude can, from the point of view of the business unit, be considered as rational. However, it most likely leads to inefficiencies for the overall system. The only solutions for this problem is to offer a funding by overheads.
- The “technical” strategy
In most cases, the IT department dominates the DWH projects. In a first step the IT department tries to determine the information needs of each business unit. This is often done through interviews or analyses of the information profile. Afterwards, the IT department derives requirements and tries to meet them at minimal costs. However, cost minimization guided by a technical perspective can lead to an inferior sequence of projects as far as business benefits are concerned. The costs of a specific data mart project are highly dependent on its position in the sequence of all data mart projects. This is mainly a result from the effort for improving data quality and for the loading of the data. A suitable scheduling of the projects can help to enable an efficient implementation and therefore might avoid a lot of redundant work.
From a technical point of view it can also be appropriate to start with a project which requires only little effort in order to gain experience easily and deliver results very early (“quick wins”). On the one hand, the “quick wins” are often considered to have an accelerating effect on the overall project. On the other hand, a low-effort project is normally not a technical challenge. Typically, the number of source systems is very limited. As a consequence, a progressive learning curve might not be achieved. Furthermore, data integration which considers only few systems cannot provide significant improvements as regards information supply. This can lead to a negative attitude of the management towards the entire DWH project.
- The “political” strategy
The “political” strategy can be found in corporations which are focused on specific business functions. Since customer orientation became a common paradigm, many corporations pay more and more attention to their marketing and/or sales activities. Every action is judged according to its grade of support as regards these activities. As a consequence, the prioritization of the data mart projects is also dominated by this paradigm. Thus, the full benefits from data warehousing might not be achieved. We will prove this statement by some general considerations concerning the service industry. A customer assigns a value to a service depending on the processes or activities he recognizes. The sequence of those processes or activities is called service chain. Mostly, the value a customer assigns to the overall service chain is higher than
the sum of values he assigns to the individual activities. The choice of activities and their order provide the added value. This leads to the conclusion that the service chain should be completely supported, rather than only partially.
Some authors even claim, that a poor performance of one activity is hardly to be compensated by other, better performing activities. If we adapt this argumentation to the issue of information supply, the benefit of an excellent information supply of a specific function can easily be overcompensated by an inadequate information supply of other functions.
3.2 Business case aspects of the warehousing process
DWH project failures can be put down to various reasons, technical ones only seldom prevail. In most cases the following aspects prove to be more crucial:
- After designing and implementing the core data warehouse, it is not possible to convince enough business units of the value of a business unit specific data mart. Without a powerful project sponsor a no-go decision as regards the overall DWH project becomes likely.
- Data marts which have already been implemented are very useful for demonstrating benefit potentials. As a consequence, the demand for new data marts is likely to be strong. The first data mart projects in a corporation are often selected due to the low effort required and “quick wins”. Subsequent projects are typically much more complex. A huge number of project applications with a high degree of complexity can lead to an overstrain of the DWH team. As a consequence, the demand for data marts stimulated in the beginning cannot be satisfied. If this point is reached, the success of the overall DWH project becomes questionable.
- No internal marketing procedure for the DWH project exists. Additionally, only few project applications have been formulated with, as the worst case, non-overlapping semantic focuses. Due to the low number of applications the DWH team has to accept almost every application in order not to run out of projects. Furthermore, a low number of project applications renders an optimal implementation sequence very difficult. As a consequence a lot of design and implementation work has to be done redundantly.
In order to avoid situations as described above, a suitable strategy has to be formulated. In the following we identify activities that constitute viable strategies. We demonstrate how these activities can be ordered to build different strategies with regard to context factor combinations that often occur in practice (cf. Figure 3).
A core team (often only one to two persons) has to gain basic DWH knowledge before a DWH project can be started. The team should be able to give a rough estimation of a DWH project’s costs and benefits. Since the first decision is a strategic one, the core team has to provide a complete list of pros and cons.
The next deliverable is the initial application of the initial project. The corresponding activities are crucial for the project because they will have a strong impact on top management support for further activities (also cf. Watson, Haley 1998, pp. 34). As described above, at this early stage only the costs of the initial project can be estimated. Most of the benefits are intangible. Nevertheless, in many corporations top management requires a traditional business case.
If the project application is accepted, the next activity to be carried out is the staffing of the project. Several reasonable compositions for the project team exist. The main points to be considered are a good balance of IT and business knowledge in the team, full-time project participants, and a project sponsor as described in section 3. It is often useful to call in external consultants at this stage of the project, because the internal DWH knowledge is often limited. The project management, however, should remain internally. On the one hand a project led by a consultant often gains quick wins. On the other hand our practical experience shows that in such projects DWH knowledge is of little persistence and the motivation of its members is low. A good possibility to gain highly persistent knowledge is to train the members of the DWH team which often improves the motivation of the team members.
Once the initial project is finished, the (positive) results should be presented in order to ensure the further development of the DWH project. A presentation is appropriate if the results of the initial project are easy to understand and its business value is easy to be recognized. Additionally, tool presentations may help business units to assess the benefits a data mart can provide.
Internal marketing activities like these have to be carried out carefully because too many applicants can easily increase the pressure on the overall project (cf. section 3.1). As the presentation of the results helps to attract internal customers, the report to the management helps to extend their support. At this stage of the project the first benefits should have been realized and can be partly measured more precisely.
The next step of the process is the design and implementation of the first data mart. As a result of the internal marketing activities, a pool of data mart project applications should exist. One of the projects has to be selected considering the guidelines described in section 3.1. If the internal customer strategy is chosen, a business case has to be elaborated to support the decision. Since the initial project and the data mart projects differ significantly, the calling in of consultants can be reasonable. They should be able to understand the information needs of the specific business units and transform them into a corresponding specification. Due to the variety of tools that are likely to be deployed, the project team has to be trained. As shown in Figure 3 the activities described here seem to be completed for each data mart project.
After all data marts have been added to the DWH system, it should have reached a status which should allow to change the organizational embedding. At this point it is very likely that implementation efforts will decrease significantly. Therefore, the project phase of the DWH lifecycle is completed. An organizational unit which is responsible for operation and maintenance of the DWH has to be built. A mistake often made at this stage is to staff the new organizational unit exclusively with technically skilled employees. This renders the adaptation of the DWH to new business requirements more difficult because the unit lacks business knowledge.
Even at this stage internal marketing activities are of great importance. Otherwise the DWH might lose its management attention. A continuous improvement reporting to the management and to business units involved can be a basic means of internal marketing. Furthermore, ongoing training of the business unit members and suitable support services help to ensure the acceptance of the DWH.
4 SUMMARY
In this paper we presented some building blocks for a comprehensive data warehousing process model. In cooperation with our partners we were able to identify restrictions and to develop guidelines for the preparation of business cases. Finally, we tackled some organizational aspects of data warehousing. In further research, the business case issue has to be refined. A detailed catalogue of potentials which can be enabled by data warehousing would facilitate the assessment of business benefits.
5 REFERENCES
Belcher, L.W., Watson, H.J.: Assessing the Value of Conoco’s EIS, MIS Quarterly, Vol. 17 (1993), pp. 239-253.
Bontempo, C., Ziegelow, G.: The IBM data warehouse architecture, CACM, Vol. 41 (1998), No. 9, pp. 38-48.
Clemons, E.K.: Evaluation of Strategic Investments in Information Technology, CACM, Vol. 34 (2001), No. 1, pp. 22-36.
Devlin, B.: Data Warehousing: from Architecture to Implementation, Addison-Wesley; Reading et al. 1997.
Dueé, R.T.: Determining Economic Feasibility: Four Cost/Benefit
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October 30, 2015
BDCP/California WaterFix Comments
SENT via U.S. MAIL and electronic mail
P.O. Box 1919
Sacramento, CA 95812
RE: Comment Letter to RDEIR/S – California Water Fix
SolAgra Water Solution – previously known as: West Delta Intake Plan
Viable Alternative to BDCP/ CWF
The SolAgra Water Solution, previously known as the “SolAgra West Delta Intake Plan” is a viable alternative to the CWF that must be considered under not only NEPA and CEQA, but also the Clean Water Act.
SolAgra is disappointed that the RDEIR/S did not include additional analysis of alternatives that would meet water supply needs without damaging the Delta environment and communities. Since we received no response to our previously provided comments, there is also no publicly available basis for this omission. Our July 29, 2014 comment letter provided a detailed discussion of the various legal requirements to consider alternatives, including the SolAgra West Delta Intake Plan. All alternative solutions that proposed intakes in the west Delta were summarily dismissed without further analysis or consideration. The Pyke Plan (aka: West Delta Intake Concept) which was discussed in DEIR/S Appendix 3A, was preliminarily considered but not included for further analysis in the DEIR/S due to a presumed lack of viability. SolAgra’s prior comment letter discussed the reasons why the SolAgra alternative is completely different from the Pyke Plan. The only similarities between the two alternatives are similar names and the use of Sherman Island for water intakes. To prevent the confusion between alternatives, we have renamed the SolAgra West Delta Intake Plan – the SolAgra Water Solution (“SWS”). All of the comments made in our July 28, 2014 comment letter continue to apply in the context of the new preferred alternative, 4A, and it was a legal error for the RDEIR/S to omit consideration of the SolAgra Water Solution.
An additional basis for consideration of the SolAgra Water Solution, in addition to the requirements of CEQA and NEPA, is for purposes of determining the Least Environmentally Damaging Practicable Alternative (“LEDPA”). (See 33 U.S.C. §
1344(b)(1).) An application was recently submitted to the U.S. Army Corps of Engineers ("USACE") to fill almost 800 acres of wetlands with up to 30 million cubic yards of excavated material to construct Alternative 4A. USACE regulations provide, "[N]o discharge of dredged or fill material shall be permitted if there is a practicable alternative to the proposed discharge which would have less adverse impact on the aquatic ecosystem." (40 C.F.R. § 230.10(a).) USACE regulations specifically require the applicant to identify possible practicable alternatives especially including those alternatives that do not involve the discharge of fill material. (40 C.F.R. § 230.10(a)(i).)
The project purpose and need can be met by the SolAgra Water Solution. (See RDEIR/S, pp. I-9 to I-12.) In particular, diversions from the Delta under the SolAgra Water Solution can occur in a manner that "minimizes or avoids adverse effects to listed species, and allows for the protection, restoration and enhancement of aquatic, riparian and associated terrestrial natural communities and ecosystems." Due to the location of the SolAgra intakes in the western Delta, diversions can also "[r]estore and protect the ability of the SWP and CVP to deliver up to full contract amounts when hydrologic conditions result in the availability of sufficient water." (See RDEIR/S, pp. I-9.) Even in the case of insufficient available water quantities, as California has experienced during the most recent and ongoing four year drought, the SolAgra Water Solution would provide up to 1 Million Acre-Feet/ year ("MAF") of newly created water via a large desalination plant on Sherman Island. Using state-of-the-art desalination technologies, this water supply would be drought proof and would be immune to projected sea level rise.
The SolAgra Water Solution is a practicable alternative that would have a less adverse effect on the aquatic ecosystem than the currently preferred Alternative 4A. (40 C.F.R. § 230.10(a).) In particular, the SWS requires only one 19-mile long tunnel instead of two 35-mile long tunnels, PLUS the SolAgra tunnel would have a borehole diameter of 32 feet, appreciably smaller than the 46 foot borehole diameter tunnels proposed under Alternative 4A. Moreover, since the SolAgra tunnel would run primarily south of the Delta, from Sherman Island to the SWP facilities at Bethany Reservoir, NO WATERS/WETLAND fill would be necessary. CWF Alternative 4A proposes more than 30 million cubic yards of tunnel excavation/ fill material to be deposited in pristine areas of the Delta, the SolAgra Water Solution would deposit less than 1.5 million cubic yards of fill material, and this material would all be deposited on Sherman Island in areas that are currently upland grazing areas (not wetlands). This quantity of fill material can be deposited on 310 acres at a depth of only 3 feet. This quantity of fill material would be beneficial to the environment by offsetting the land subsidence that has occurred on Sherman Island over many years. When graded and re-compacted, this fill area can be re-seeded and returned to grazing with no impact to the environment. The SWS produces less than 10% the amount of fill material as the Preferred Alternative 4A. The SWS tunnel path uses existing easements and rights of way so that no private lands must be purchased or "taken" by eminent domain. Due to the location of the SolAgra
tunnel, approximately 50% of the material removed from the tunnel will be rock that is sourced from beneath the foothills of Mt. Diablo. This rock will be used to produce the fish screening permeable levee sections that allow fresh and brackish water to be brought onto Sherman for processing and desalination.
The total tunnel length proposed in the Preferred Alternative 4A is more than 70 miles. This exceeds by more than 3 times the length of the single SolAgra tunnel shown in the SolAgra Exhibit 2. The SolAgra plan would be constructed near existing high capacity powerlines and ultimately be powered in large part by SolAgra’s Ryer Island Solar Power plant and other locally generated renewable energy. Thus, the upcoming LEDPA determination that will occur with the USACE review provides an additional basis for full consideration of the SolAgra Water Solution.
We are responding to Governor Brown’s stated willingness to hear better ideas to improve our Delta water supply system to support all of California. When it was announced that the Bay Delta Conservation Plan (“BDCP”) was being abandoned and replaced by the California Water Fix (“CWF”), he said, “If somebody has a better alternative, certainly we’ll hear it. This is an imperative. We must move forward.”
SolAgra Corporation has a better alternative and requests that it be heard and given serious consideration. The SWS is a reasonable and superior alternative to the BDCP/CWF. It is a legal imperative that practicable alternatives be fairly evaluated.
A description of the SolAgra WDIP was previously submitted as a superior alternative to the many potential project configurations considered in the BDCP’s Draft EIR/EIS. As explained in our prior letter (copy attached), the WDIP is designed to better accomplish the tasks for which the BDCP, and the now rebranded “California Water Fix”, was designed.
State and federal endangered species acts and environmental review statutes require that every project must fully consider alternatives to minimize take of endangered species and investigate means to avoid significant environmental impacts. The SWS accomplishes these tasks without the un-mitigatable economic, environmental and social impacts of the twin-tunnels proposed by the CWF.
The current CWF tunnel plan to divert up to 9,000 cfs of freshwater from the upper Sacramento River at Clarksburg produces unacceptable water quality in the lower Sacramento River. This plan also increases salinity downstream of the Clarksburg intakes, thus violating basic clean water requirements by moving X2 upstream. This was recently explained in the letter by the U.S. Environmental Protection Agency. The BDCP’s severe impacts to fish in the northern Delta are one of the main reasons that
the project could not be permitted as a 50-year conservation plan, and it was ultimately abandoned and replaced by the California Water Fix/EcoRestore.
Water from our proposed Sherman Island water processing and desalination plant is NOT vulnerable to drought or projected sea level rise. It will provide greater reliability to ensure as much (or more) than the quantity proposed by the BDCP/CWF.
The SolAgra Water Solution can be built in half the time and at far less cost both financially and environmentally. (See attached Exhibits for project specifics.)
The water quality in the Sacramento River at Sherman Island is far superior to the San Joaquin River water that is currently drawn into the Clifton Court Forebay by the Banks Pumping Plant. The desalinated water produced by the Sherman Island Desalination Facility will be far superior to the Sacramento River water. Therefore, the blended output from the Sherman Island Desalination Facility will far exceed the water quality that can be diverted by the CWF from the Sacramento River at Clarksburg.
1. The SWS provides a superior alternative to BDCP and CWF. Please see below for the compare/contrast between the BDCP/CWF and the SolAgra Water Solution. The comparisons are undeniable. Since the beginning of construction of the State Water Project ("SWP") in the 1950s, California has relied upon high risk "serial engineering". This means undertaking quick-fix solutions - reasoning that "the end justifies the means" OR "let's get the water flowing south and we'll worry about the consequences later." "Later" has now arrived and the consequences are dire. Each new engineering solution attempts to remediate the disastrous conditions created by the previous "solution." This is also the case with the currently proposed CWF. SWS will better restore Sacramento River flow pathways and volumes, resulting in significant benefits to native fish species and other wildlife in the Delta. It will also benefit fishermen, local residents and farmers. SWS would pump the SWP's entitlement through intakes on State owned land at Sherman Island.
2. SWS would increase the SWP's capabilities to export water to the rest of California. In fact, the SWS is the only alternative offered with the capability of generating approximately **1 million acre-feet of "new" drinking water each year** by filtering and desalinating brackish water arriving on the tides from Suisun Bay. **The SWS provides this capability irrespective of drought conditions.**
3. SWS would employ a Public-Private partnership similar to the business structure that was used by IDE Technologies to design and build the largest seawater desalination facility in the Western Hemisphere in Carlsbad, California – just north of San Diego. Desalinating brackish water from eastern Suisun Bay, with only 2-4% the salinity of seawater, can be up to 25 times more efficient and far less power intensive than desalinating 100% seawater.
The SWS would produce the same quantity of water (2.4 Million AF/year) at Sherman Island than is currently pumped from the south Delta at the Banks Pumping Plant ("Banks") during a "normal-water year". However, our use of desalination produces higher quality water than is pumped at Banks.
The water production and pumping to the SWP is accomplished using renewable hydroelectric power. The SWS would also be powered by 100% renewable energy from SolAgra’s locally proposed Ryer Island Solar Power Plant. When required, that solar power could be augmented by wind power from the existing nearby Montezuma Hills (Rio Vista) wind farms. All power would be delivered via existing power corridors. No additional easements or rights of way would be required.
Banks currently uses eleven 26,000-horsepower pumps to pump water from the Clifton Court Forebay up to Bethany Reservoir, where it enters the SWP. This is a vertical rise of 244 feet. The SWS would use pressure created by the desalination process to pump water directly from Sherman Island to Bethany Reservoir, thereby bypassing Banks. This allows the current power used at Banks to become available for other uses while Banks is on standby, and it makes Banks available for a better use.
**The needs of the Central Valley Project ("CVP") can be addressed by:**
- In high water years, when water is plentiful and local hydroelectric power is available to power Banks, that pumping plant would be used, as needed, to create surge pumping capacity that has never before existed. This accomplishes the “Big Gulp” aspired to in the BDCP, and it does so with renewable energy.
- The SWS bypassing Banks would enable this increased surge capacity. This capacity, combined with the prudent design and construction of additional high capacity “plumbing”, could move large quantities of water during the infrequent flood stages when reservoirs throughout the state are releasing water to avoid overtopping. This “Big Gulp” flow can be stored in Tulare Lake for later redistribution to San Joaquin Valley water districts. This provides a complete, environmentally superior alternative to the BDCP/CWF proposals.
The SWS would create a dual-plant, interconnected water processing system on State-owned land at Sherman Island. Plant #1 filters and processes incoming fresh water from the Sacramento and San Joaquin rivers via multiple fish-screened intakes around Sherman Island. Plant #2 intakes brackish water through fish-screened intakes on Sherman Lake and Mayberry Slough and then effectively desalinates this low salinity brackish water. After processing, desalinated water from Plant 2 is blended with fresh, filtered water from Plant 1. The combining of fresh water with the treated and desalinated brackish water will replace the 2.4 million Acre-Feet/year of fresh water that is currently conveyed through the SWP in a “normal water year.” The water produced at Sherman Island will be of higher quality than the water that is pumped from the Clifton
Court Forebay in the south Delta via Banks because it will be processed at Sherman Island, not just screened and pumped. This means the State Water Contractors that receive the water from the SWP will receive higher quality water than they are currently receiving from Banks, OR that they would receive from the twin tunnels of the proposed CWF. The SolAgra Water Solution is the ONLY alternative that processes and desalinates the water before supplying that water to the SWP.
- The SWS can augment the low flow of fresh river water in years of reduced river flow due to drought or other issues. The output volume of the desalination plant can be increased to provide additional desalinated water to make up for reduced quantities of available fresh water caused by drought or sea level rise.
- The separation of processing functions into two discrete, but interconnected plants, allows both plants to operate at peak efficiency, while still accomplishing the end result of producing 2.4 Million Acre-Feet/year of fresh water for the SWP irrespective of drought conditions.
The fresh water that is produced at Sherman Island would be pumped through a single, 28 foot ID/32 foot OD pressure tunnel that is only 19 miles long (see Exhibit 2). This is far superior to the twin tunnels proposed by the BDCP/CWF, which are each 40 foot ID/46 foot OD. Due to the tunnel liner thickness, the proposed CWA tunnels require borehole diameters that are a minimum of 46 feet in diameter. Each tunnel is proposed to be 35 miles long!
Since the incoming water to Sherman Island will be fish-screened by long, low velocity intakes via permeable levees and pressurized via the filtration and desalination processes, it can completely bypass the Clifton Court Forebay and the Banks Pumping Plant. It can be pumped directly to Bethany Reservoir, where it will begin its gravity flow into the SWP’s California Aqueduct.
The principle objectives and benefits of intake relocation to Sherman Island as proposed in the SWS:
- By placing the Banks Pumping Plant on standby, the 2.4 Million Acre-feet/year (“MAF”) being drawn into the Banks’ intakes is instead permitted to once again flow completely through the Sacramento and San Joaquin Rivers. This restores more natural East to West flow through the Delta, closer to what occurred before the State Water Project began pumping operations in 1960.
- After flowing completely through the Delta, 1.4 MAF is brought onto Sherman Island and added to 1.0 MAF of desalinated brackish water that is in taken from Sherman Lake on the south end of Sherman Island. The additional 1.0 MAF of fresh water that is not brought onto Sherman Island continues its flow into the San Francisco Bay/Delta Estuary (“SFBDE”). This additional flow supports the retention of X2 at its historic range OR even moves it further west. This improves
water quality in the SFBDE and facilitates the recovery of natural breeding and feeding grounds for aquatic species of concern. This meets the recommendations for increased minimum Delta outflow that the EPA, State of the Estuary Report, State Water Resources Control Board and many other analyses have clearly shown are necessary to restore the Bay-Delta and its fisheries;
- Improves both in-Delta and export water quality, rather than improving export water quality at the expense of in-Delta water quality; and
- Avoids significant impacts to the Sacramento Region, including North Delta communities, farmers, water supplies and flood control facilities.
We believe the SolAgra Water Solution is a viable alternative which could accomplish this greater task in less than half the time and at far less cost than the BDCP/CWF.
This new capability can be created by SolAgra using renewable energy, with no need to build additional fossil fuel power plants, nuclear plants, or to import “brown” power from other states. The SolAgra approach is thus fully consistent with groundbreaking statewide efforts to reduce greenhouse gas emissions.
The power easements, water conveyance rights-of-way currently exist. No additional purchases of easements or rights-of-way are required. The State of California owns 8,776 acres on Sherman Island that are more than adequate for the facilities that are proposed by the SolAgra Water Solution. No additional land must be condemned or acquired. No Delta property owners must be displaced or have their lives and/or farming operations temporarily or permanently impacted.
The SolAgra Water Solution better restores Bay-Delta ecosystems than the alternatives studied in the RDEIR/S while equaling or exceeding the water quantities projected by the CWF with far less cost, in far less time and without environmental impact. This reduces or eliminates expensive environmental mitigation requirements. Under the SWS, Sherman Island can become the center of the “California Water Solution.”
The SolAgra Water Solution alternative would preserve natural river flows and maintain water quality in the Delta while simultaneously improving reliability of export water supply. It would also minimize or completely avoid many of the significant environmental impacts that are identified in the RDEIR/S. The SWS is the drought-proof solution that has been desperately needed in California for more than 50 years. This Plan IS the necessary alternative to the “serial engineering” that has been plaguing California since the creation of the CVP and the SWP. The SWS is a practicable and superior alternative to the BDCP/CWA. It must be fully evaluated.
SolAgra has evaluated the construction methodology in the Final Draft of the DWR’s Conceptual Engineering Report for the CWF that is dated July 1, 2015. Barry Sgarrella, CEO of SolAgra is an experienced tunnel engineer. He has major reservations and concerns regarding the viability of the construction methodology in the CER, and particularly in Chapter 11 – Tunnels. SolAgra will be submitting his evaluation of the CER under separate cover for evaluation and consideration by DWR.
We welcome the opportunity to discuss the SolAgra WDIP in greater detail. We have all invested significant resources to find the best solution to California’s longstanding water issues. California is experiencing the longest drought in its history. It is essential that we find the most sustainable and best solutions to resolve this issue.
We agree with Governor Brown: “…this is an imperative. We must move forward.” We believe that we must move forward with the best solution possible.
Please contact us to schedule an appointment to discuss the benefits of the SolAgra Water Solution so that you may obtain the information needed to adequately review this superior alternative to the CWF.
Sincerely,
Barry Sgarrella
Chief Executive Officer
SolAgra Corporation
Exhibits:
1. Compare Contrast BDCP/CWF to SolAgra Water Solution
2. Master Map of the SolAgra Water Solution.
3. Ryer Island to Sherman Island Map – POWER PATH
4. Sherman Island to Bethany Reservoir Map – WATER PATH
### BDCP/CWF - COMPARE/ CONTRAST with SOLAGRA WATER SOLUTION
| Project Refinements | BDCP Administrative Draft EIR/EIS | BDCP 2013 Project Refinements | CWF 2014 Project Refinements | SolAgra 2015 Water Solution |
|----------------------------------------------------------|-----------------------------------|-------------------------------|-----------------------------|-----------------------------|
| 1 Water Facility Footprint (acres) | 3,654 | 1,851 | 1,810 | 110 |
| 2 Intermediate Forebay Size (Surface Acres) | 750 | 40 | 28 | 500 |
| 3 Private Property Impacts (acres) | 5,965 | 5,557 | 4,288 | 0 |
| 4 Public Lands Utilized (acres) | 240 | 657 | 733 | 610 |
| 5 Number of Tunnel Reaches | 6 | 5 | 11 | 2 |
| 6 Number of Launch & Retrieval Shaft Locations | 7 | 5 | 9 | 2 |
| 7 Agricultural Impacts (acres) | 6,105 | 6,033 | 4,290 | 1,100 |
| 8 Number of Tunnels | 2 | 2 | 2 | 1 |
| 9 Total Length of Tunnels (miles) | 70 | 70 | 70 | 19 |
| 10 Borehole (finished diameter + tunnel liner) (feet) | 46 | 46 | 46 | 32 |
| 11 Total Volume of Tunnel Excavation (cubic yards) | 30,705,028 | 30,705,528 | 30,705,928 | 2,988,225 |
| 12 Number of Tunnel Boring Machines | 9 | 9 | 11 | 1 |
| 13 New Tunnel Easements required (acres) | 1,273 | 1,273 | 1,273 | 0 |
| 14 Tunnel Path Access for Geotech work (soil borings) | 15% | 15% | 13% | 100% |
| 15 Length of Screens to prevent fish entrainment (feet) | 5,000 | 5,000 | 3,000 | 58,080 |
| 16 Intake Water Velocity @ fish screens | HIGH | HIGH | VERY HIGH | VERY LOW |
| 17 Probability of Entraining Endangered Fish Species | HIGH | HIGH | VERY HIGH | VERY LOW |
| 18 Probability of Successful Completion | LOW | LOW | LOW | VERY HIGH |
Data provided by CWF Website & CER
Data provided by SolAgra Corporation
### Outline of the SolAgra Water Solution:
Historic maximum water shipments from the State Water Project ("SWP") via Banks Pumping Plant/ California Aqueduct is 2.4 Million Acre Feet/year ("MAF"). This 2.4 MAF never reaches the confluence of the San Joaquin & Sacramento Rivers. It increases salinity and moves X2 east (up river) especially in droughts.
The BDCP/CWF would seriously exacerbate the salinity issues in the lower Sacramento River impacting fish and other marine life.
The SolAgra Water Solution **turns off the Banks Pumping Plant**. This allows that 2.4 MAF to flow to the confluence of the rivers at Sherman Island.
SolAgra captures 1.4 MAF of fresh water from the rivers & brings it onto Sherman Island using low velocity fish screen sections that total 8 miles in length.
The additional 1.0 MAF flowing downstream in the rivers continues flowing toward Suisun Bay, significantly improving environmental conditions in the SFBDE.
SolAgra intakes brackish water from Sherman Lake using low velocity intakes (permeable levees) adjacent to and thru Mayberry Slough.
The brackish water is desalinated using renewable energy from the SolAgra Solar Power Plant on Ryer Island - producing 1.0 MAF of high quality water.
Desalination of low salinity brackish water is done with greater thru-put and far less energy than desalinating sea water.
Brine from desalination process is greatly reduced due to low salinity intake water. Brine from desalination will NOT significantly influence salinity in the SFBDE.
With 1.0 MAF of fresh water flowing west - X2 will move west (down river) improving the environment in the SFBDE.
The fresh water from north Sherman Island is blended with desalinated water from the south end of Sherman. A total of 2.4 MAF is pumped into a new tunnel.
This new single tunnel, 28 feet inside diameter, extends 19 miles to Bethany Reservoir where it enters the SWP after completely bypassing the Banks Pumping Plant.
The path of the new tunnel uses existing easements & R/W beneath SR-160 & SR-4 to access Open Space beneath Mt. Diablo - no new easements or R/W are needed.
Banks Pumping Plant is placed on Standby, but held in reserve for "Big Gulp" years when it can pump an additional 2.4 MAF during periods of heavy rainfall.
THE SWS PROVIDES DIRECT SOLUTIONS TO THE SWP SIDE OF THE EQUATION: THE CVP IS AIDED VIA "BIG GULP" TRANSFERS WHEN WATER IS AVAILABLE.
### Summary:
Creating 1.0 MAF of new water and adding it to the captured 1.4 MAF, equals the 2.4 MAF currently pumped by Banks, but with no environmental impacts.
Using Banks to pump an additional 2.4 MAF during "Big Gulp" times of available heavy rains brings the SolAgra Water Solution to 4.8 MAF/year.
Alternatively, the 2.4 MAF available during "Big Gulp" times enters the Clifton Court Forebay. It could be used by SWP (via Banks) or CVP (via Jones Pumping Plant).
The SolAgra Water Solution requires no private land to be condemned and/or acquired. SWS uses ONLY public lands on Sherman Island and highway rights of way.
The SWS supports: 3.7 MAF to CVP + 2.4 MAF to SWP via Sherman Island + 2.4 MAF Big gulp water - while adding 1.0 MAF to the SF Bay-Delta Estuary.
BARKER SLOUGH
Desalination plant at the existing pumping stations
RYER ISLAND
Solar energy production and energy storage facility
SHERMAN ISLAND
Desalination and pumping facility
Water conveyance tunnel: single bore, 19 miles.
Electrical power corridor, to supply both the grid and the desalination facilities.
Existing power lines: 115 KV
Prepared by the FloodSAFE Environmental Stewardship and Subsurface Resources Office
RYER ISLAND to SHERMAN ISLAND
Electrical Power Corridor
EXHIBIT 2
WATER PATH
Sherman Island Pumping & Desal
Water Tunnel Conveyance
Elevation = 475
Bethany Reservoir
Elevation = 244
SHERMAN ISLAND to BETHANY RESERVOIR
Water Tunnel Conveyance
## Outline of the SolAgra Water Solution:
Historic maximum water shipments from the State Water Project ("SWP") via Banks Pumping Plant/California Aqueduct is 2.4 Million Acre Feet/year ("MAF"). This 2.4 MAF never reaches the confluence of the San Joaquin & Sacramento Rivers. It increases salinity and moves X2 east (up river) especially in droughts.
The BDCP/CWF would seriously exacerbate the salinity issues in the lower Sacramento River impacting fish and other marine life.
The SolAgra Water Solution turns off the Banks Pumping Plant. This allows that 2.4 MAF to flow to the confluence of the rivers at Sherman Island.
SolAgra captures 1.4 MAF of fresh water from the rivers & brings it onto Sherman Island using low velocity fish screen sections that total 8 miles in length.
The additional 1.0 MAF flowing downstream in the rivers continues flowing toward Suisun Bay, significantly improving environmental conditions in the SFBDE.
SolAgra intakes brackish water from Sherman Lake using low velocity intakes (permeable levees) adjacent to and thru Mayberry Slough.
The brackish water is desalinated using renewable energy from the SolAgra Solar Power Plant on Ryer Island - producing 1.0 MAF of high quality water.
Desalination of low salinity brackish water is done with greater thru-put and far less energy than desalinating sea water.
Brine from desalination process is greatly reduced due to low salinity intake water. Brine from desalination will NOT significantly influence salinity in the SFBDE.
With 1.0 MAF of fresh water flowing west - X2 will move west (down river) improving the environment in the SFBDE.
The fresh water from north Sherman Island is blended with desalinated water from the south end of Sherman. A total of 2.4 MAF is pumped into a new tunnel.
This new single tunnel, 28 feet inside diameter, extends 19 miles to Bethany Reservoir where it enters the SWP after completely bypassing the Banks Pumping Plant.
The path of the new tunnel uses existing easements & R/W beneath SR-160 & SR-4 to access Open Space beneath Mt. Diablo - no new easements or R/W are needed.
Banks Pumping Plant is placed on Standby, but held in reserve for "Big Gulp" years when it can pump an additional 2.4 MAF during periods of heavy rainfall.
THE SWS PROVIDES DIRECT SOLUTIONS TO THE SWP SIDE OF THE EQUATION. THE CVP IS AIDED VIA "BIG GULP" TRANSFERS WHEN WATER IS AVAILABLE.
## Summary:
Creating 1.0 MAF of new water and adding it to the captured 1.4 MAF, equals the 2.4 MAF currently pumped by Banks, but with no environmental impacts.
Using Banks to pump an additional 2.4 MAF during "Big Gulp" times of available heavy rains brings the SolAgra Water Solution to 4.8 MAF/year.
Alternatively, the 2.4 MAF available during "Big Gulp" times enters the Clifton Court Forebay. It could be used by SWP (via Banks) or CVP (via Jones Pumping Plant).
The SolAgra Water Solution requires no private land to be condemned and/or acquired. SWS uses ONLY public lands on Sherman Island and highway rights of way.
The SWS supports: 3.7 MAF to CVP + 2.4 MAF to SWP via Sherman Island + 2.4 MAF Big Gulp water - while adding 1.0 MAF to the SF Bay-Delta Estuary.
BDCP/California WaterFix Comments
October 30, 2015
Page 10 of 12
**SHERMAN ISLAND**
Desalination and pumping facility
**RYER ISLAND**
Solar energy production and energy storage facility
**BARKER SLOUGH**
Desalination plant at the existing pumping station
- Water conveyance tunnel: single bore, 19 miles.
- Electrical power corridor, to supply both the grid and the desalination facilities.
- Existing power lines: 115 KV
Prepared by the FoodSAFE Environmental Stewardship and Statewide Resources CRP
RYER ISLAND to SHERMAN ISLAND
Electrical Power Corridor
EXHIBIT 2
WATER PATH
Sherman Island Pumping & Desal
Water Tunnel Conveyance
Elevation = 475
Bethany Reservoir
Elevation = 244
SHERMAN ISLAND to BETHANY RESERVOIR
Water Tunnel Conveyance
BARKER SLough
Desalination plant at the existing pumping station
RYER ISLAND
Solar energy production and energy storage facility
SHERMAN ISLAND
Desalination and pumping facility
Water conveyance
barnard: single bore, 19 miles.
Electricial power
extended, to supply both the grid and the desalination facilities.
Existing power lines: 115 KV
RYER ISLAND to SHERMAN ISLAND
Electrical Power Corridor
## BDCP/CWF - COMPARE/ CONTRAST with SOLAGRA WATER SOLUTION
| Project Refinements | BDCP Administrative Draft EIR/EIS | BDCP 2013 Project Refinements | CWF 2014 Project Refinements | SolAgra 2015 Water Solution |
|---------------------------------------------------------|-----------------------------------|-------------------------------|-----------------------------|-----------------------------|
| 1 Water Facility Footprint (acres) | 3,654 | 1,851 | 1,810 | 110 |
| 2 Intermediate Forebay Size (Surface Acres) | 750 | 40 | 28 | 500 |
| 3 Private Property Impacts (acres) | 5,965 | 5,557 | 4,288 | 0 |
| 4 Public Lands Utilized (acres) | 240 | 657 | 733 | 610 |
| 5 Number of Tunnel Reaches | 6 | 5 | 11 | 2 |
| 6 Number of Launch & Retrieval Shaft Locations | 7 | 5 | 9 | 2 |
| 7 Agricultural impacts (acres) | 6,105 | 6,033 | 4,890 | 1,100 |
| 8 Number of Tunnels | 2 | 2 | 2 | 1 |
| 9 Total Length of Tunnels (miles) | 70 | 70 | 70 | 19 |
| 10 Borehole (finished diameter + tunnel liner) (feet) | 46 | 46 | 46 | 32 |
| 11 Total Volume of Tunnel Excavation (cubic yards) | 30,705,928 | 30,705,928 | 30,705,928 | 2,988,225 |
| 12 Number of Tunnel Boring Machines | 9 | 9 | 11 | 1 |
| 13 New Tunnel Easements required (acres) | 1,273 | 1,273 | 1,273 | 0 |
| 14 Tunnel Path Access for Geotech work (soil borings) | 15% | 15% | 15% | 100% |
| 15 Length of Screens to prevent fish entrainment (feet) | 5,000 | 5,000 | 3,000 | 58,080 |
| 16 Intake Water Velocity @ fish screens | HIGH | HIGH | VERY HIGH | VERY LOW |
| 17 Probability of Entraining Endangered Fish Species | HIGH | HIGH | VERY HIGH | VERY LOW |
| 18 Probability of Successful Completion | LOW | LOW | LOW | VERY HIGH |
Data provided by CWF Website & CER
Data provided by SolAgra Corporation
### Outline of the SolAgra Water Solution:
Historic maximum water shipments from the State Water Project ("SWP") via Banks Pumping Plant/ California Aqueduct is 2.4 Million Acre Feet/year ("MAF"). This 2.4 MAF never reaches the confluence of the San Joaquin & Sacramento Rivers. It increases salinity and moves X2 east (up river) especially in droughts.
The BDCP/CWF would seriously exacerbate the salinity issues in the lower Sacramento River impacting fish and other marine life.
The SolAgra Water Solution turns off the Banks Pumping Plant. This allows that 2.4 MAF to flow to the confluence of the rivers at Sherman Island.
SolAgra captures 1.4 MAF of fresh water from the rivers & brings it onto Sherman Island using low velocity fish screen sections that total 8 miles in length.
The additional 1.0 MAF flowing downstream in the rivers continues flowing toward Suisun Bay, significantly improving environmental conditions in the SFBDE.
SolAgra intakes brackish water from Sherman Lake using low velocity intakes (permeable levees) adjacent to and thru Mayberry Slough.
The brackish water is desalinated using renewable energy from the SolAgra Solar Power Plant on Ryer Island - producing 1.0 MAF of high quality water.
Desalination of low salinity brackish water is done with greater thru-put and far less energy than desalinating sea water.
Brine from desalination process is greatly reduced due to low salinity intake water. Brine from desalination will NOT significantly influence salinity in the SFBDE.
With 1.0 MAF of fresh water flowing west - X2 will move west (down river) improving the environment in the SFBDE.
The fresh water from north Sherman Island is blended with desalinated water from the south end of Sherman. A total of 2.4 MAF is pumped into a new tunnel.
This new single tunnel, 28 feet inside diameter, extends 19 miles to Bethany Reservoir where it enters the SWP after completely bypassing the Banks Pumping Plant.
The path of the new tunnel uses existing easements & R/W beneath SR-160 & SR-4 to access Open Space beneath Mt. Diablo - no new easements or R/W are needed.
Banks Pumping Plant is placed on Standby, but held in reserve for "Big Gulp" years when it can pump an additional 2.4 MAF during periods of heavy rainfall.
THE SWS PROVIDES DIRECT SOLUTIONS TO THE SWP SIDE OF THE EQUATION. THE CVP IS AIDED VIA "BIG GULP" TRANSFERS WHEN WATER IS AVAILABLE.
### Summary:
Creating 1.0 MAF of new water and adding it to the captured 1.4 MAF, equals the 2.4 MAF currently pumped by Banks, but with no environmental impacts.
Using Banks to pump an additional 2.4 MAF during "Big Gulp" times of available heavy rains brings the SolAgra Water Solution to 4.8 MAF/year.
Alternatively, the 2.4 MAF available during "Big Gulp" times enters the Clifton Court Forebay. It could be used by SWP (via Banks) or CVP (via Jones Pumping Plant).
The SolAgra Water Solution requires no private land to be condemned and/or acquired. SWS uses ONLY public lands on Sherman Island and highway rights of way.
The SWS supports: 3.7 MAF to CVP + 2.4 MAF to SWP via Sherman Island + 2.4 MAF Big Gulp water - while adding 1.0 MAF to the SF Bay-Delta Estuary.
SHERMAN ISLAND to BETHANY RESERVOIR
Water Tunnel Conveyance
July 28, 2014
SENT VIA EMAIL (email@example.com)
Mr. Ryan Wulff
National Marine Fisheries Service
650 Capitol Mall, Suite 5-100
Sacramento, CA 95814
RE: Comments on Draft Bay Delta Conservation Plan and Associated Draft Environmental Impact Report/Environmental Impact Statement
Dear Mr. Wulff:
These comments are submitted in relation to the Bay Delta Conservation Plan Alternative 4 ("BDCP") and associated draft Environmental Impact Report/Environmental Impact Statement ("EIR/EIS"). Any project, and particularly a project of the magnitude proposed here, must fully consider alternatives to minimize take of endangered species and means to avoid these and other significant environmental impacts. To better accomplish the tasks for which the BDCP was designed, construction of water intakes in the west Delta should be considered. The SolAgra West Delta Intake Plan (WDIP), could be powered by 100% renewable resources from our locally proposed Ryer Island Solar Power Plant, and augmented by power from the existing nearby Rio Vista wind farms. This alternative would better preserve natural river flows and maintain water quality in the Delta while simultaneously supporting export water supply needs and minimizing or avoiding many of the significant environmental impacts of implementing the BDCP identified in the Draft BDCP and EIR/EIS. As explained below, SolAgra would like to discuss our proposed solution with the BDCP proponents.
Why is SolAgra Interested in the Delta and the BDCP?
SolAgra Corporation is a California Corporation that develops utility-scale renewable energy power plants. SolAgra holds a 40-year lease on 2,422 acres of Ryer Island that SolAgra intends to use for the development of a 720 MW solar energy production facility. This facility will pair sustainable agriculture beneath
the solar arrays, using a patent-pending method of “solar double cropping” technology known as SolAgra Farming. This technology is currently being beta tested and peer reviewed by U.C. Davis, Plant Sciences Department under the auspices of Dr. Heiner Lieth. Dr. Lieth is a leading expert in this field and his team at U.C. Davis has already completed successful testing of this concept.
The SolAgra project will also develop an energy storage system capable of storing up to 640 MW of electrical power that can be used to time-shift the power delivery to a time when normal solar power is not available due to lack of sunlight. SolAgra has secured the use of depleted natural gas wells beneath its leased land to provide necessary subterranean storage for its Compressed Air Energy Storage (“CAES”) System and other patent-pending energy storage technologies of its own design. SolAgra also has the right of first offer to purchase up to 6,202 acres on Ryer Island to expand the total electrical power production capability to 1,800 MW.
Since SolAgra’s Ryer Island Solar Power Plant will also sustain agriculture beneath the solar arrays, the continued need for good quality irrigation water in sufficient quantities on Ryer Island is essential. The salinity barriers proposed by the Department of Water Resources (“DWR”) for Steamboat and Sutter Sloughs, would devastate agricultural operations on Ryer Island. The potential that this high salinity level could continue, and be exacerbated due to the upstream diversions proposed by the new BDCP intakes on the Sacramento River is unacceptable to farming operations on Ryer Island and to many other rich agricultural areas of the Delta that rely on the Sacramento River to successfully produce crops for California and the nation.
SolAgra has studied the EIR/EIS for the BDCP as well as the many comments that have been submitted to date. While we agree that the water problems that have plagued California for more than 100 years require changes, we are convinced that the BDCP is not a solution.
Since the beginning of construction of the State Water Project (“SWP”) in the 1950s, California has been guilty of “serial engineering”. This means undertaking solutions that are not completely thought-out, reasoning that “the end justifies the means” OR “let’s get the water flowing south and we’ll worry about the consequences later.” “Later” has now arrived and the consequences are dire. Each new engineering solution attempts to improve a disastrous condition created by the previous “solution.” This is also the case with the currently proposed BDCP.
Many critics of the BDCP have stated their concerns regarding the currently proposed BDCP and their disbelief at the scope and cost of the proposal — both environmentally and fiscally. These comments allege that the current draft BDCP plan and EIR/EIS are inadequate and will require remedial research, re-coordination and recirculation prior to project approval. However, few alternatives to BDCP have been offered. The SolAgra approach provides an alternative that would better restore Sacramento River flow pathways and volumes, with significant resulting benefits to local residents, farmers, native fish species and other wildlife in the Delta while continuing to meet export water supply needs for the rest of California.
**What Exactly is SolAgra Proposing?**
The SolAgra proposal calls for the fresh water of the Sacramento River to flow to near its natural endpoint, where it mixes with the brackish water flows between Sherman Island and Chipps Island near the Antioch Bridge. (See Exhibit 1.) This is the perfect location to capture significant quantities of fresh river water before it mixes with the inexhaustible supplies of sea water that arrive by tidal flow from San Francisco, San Pablo and Suisun Bays. By installing a blending/treatment plant that is capable of blending inflows from the Sacramento and San Joaquin rivers, with the brackish waters of Sherman Lake, and filtering/desalinating this “custom blended” brackish water from multiple intakes around Sherman Island; the treatment and desalination (using reverse osmosis and later a far more efficient graphene desalination technology) will easily provide the 2.4 million Acre-Feet/year of fresh water that is currently shipped through the SWP in a “good water year.” This new, clean water that is created on Sherman Island will be pumped through a single, smaller tunnel that is 19 miles long (See Exhibit 2), versus the twin tunnels proposed by the BDCP that are each 38 miles long and are proposed to be over 40 feet in diameter! Since this new water will be fish-screened and pre-filtered at Sherman Island, it can completely bypass the Clifton Court Forebay and the Banks Pumping Plant for processing, and be pumped directly to Bethany Reservoir where it will begin its gravity flow into the California Aqueduct.
By modularizing the pumping and desalination plants at Sherman Island, water taken directly from the Sacramento or San Joaquin Rivers that has not yet mixed with the brackish tidal flows, can be filtered (if necessary) and pumped directly into the tunnel for the journey to Bethany Reservoir. To augment the flow of fresh river water in years of limited river flow due to drought or other issues,
the desalination plant adjacent to the pumping / filtration plant can be increased in volume operation to add desalinated water to make up for the limited fresh water that is coming down river. This separation of processing functions allows the efficiency of both processes to be operated at peak efficiency, while still accomplishing the end result of producing 2.4 Million Acre-Feet/year of fresh water for introduction into the SWP. **THIS WATER CAN BE ADDED TO WATER FLOWS THAT ARE CURRENTLY BEING PUMPED AT THE BANKS PUMPING PLANT TO EQUAL OR EXCEED THE VOLUME PROPOSED BY THE BDCP.**
This new approach to dual-conveyance means that existing operations of the CVP and SWP will continue as they operate today during normal rain years. In drought years, rather than continuing to pump 2.4 million acre-feet/year OR MORE (per BDCP) and thereby decreasing the flow down the Sacramento River, thus allowing salinity levels to move up river – as they are doing today – we advocate that Banks Pumping Plant pump less water, thereby allowing more of the limited available fresh water to flow completely through the Sacramento & San Joaquin Rivers to Sherman Island. There it will be picked up filtered and/or desalinated as necessary, combined with the Bay water that arrived from the west on flood tides and then pumped at a rate of 2.4 million acre-feet/year to Bethany Reservoir for introduction into the SWP. The combination of these conveyances and the introduction of 2.4 million Acre-Feet/year from Sherman Island provides as much (or more) than the up to 9,000 cfs (6.5 million acre-feet/year) that is proposed by the BDCP. **The SolAgra WDIP alternative accomplishes that task without the environmental, economic and social impacts of the BDCP.**
During times of high river flow, the “big gulp” advocated by the BDCP can still be accomplished by pumping more through Banks AND by using Sherman as a pumping plant (only), since no desalination will be required during times of high fresh water flows. This will obviously require Central Valley Project (“CVP”) water contractors to develop sufficient storage south of the Delta to provide reserves for lower precipitation years.
By modularizing the pumping plant(s) at Sherman, we can pump fresh water directly into the tunnel that goes from Sherman Island to Bethany Reservoir, desalinate the incoming tidal brackish water from Sherman Lake and then pump that water into the tunnel. This selectivity increases the efficiency of the entire system by transferring the fresh water directly and desalinating only the brackish water. Desalinating brackish water is far more efficient than
desalinating sea water, so the entire concept capitalizes on Sherman Island as the perfect location in the State to accomplish this task.
Electrical power needed for the desalination and pumping of water can be provided by the SolAgra Solar Power Plant proposed for Ryer Island, without interrupting or impacting the electrical power balance in the State. The State’s power balance is currently impacted by the permanent closing of the San Onofre Nuclear Generating Station. The newly created Ryer Island green solar power can be delivered to the adjacent Grand Island Substation and transmitted directly to Sherman Island via the existing Brighton-Grand Island 115KV power corridor. Unlike the BDCP-proposed project, no new power corridors must be created or power rights-of-way acquired. Additional power may also be obtained from the windfarms west of Rio Vista. That power can be transmitted via the Birds Landing/Contra Costa 230 KV transmission corridor that runs from the Montezuma Hills wind farms (west of Rio Vista) directly through Sherman Island. There would be no need to create new power corridors, obtain new power rights-of-way or otherwise increase environmental impacts from construction of new transmission corridors.
**Why should BDCP Proponents Consider the SolAgra Alternative?**
The SolAgra approach solves all of the major problems associated with the creation and transmission of water via the SWP without incurring many of the unmitigatable consequences and expenses in the North Delta alternative that is enumerated in the EIR/EIS for the BDCP. We believe the SolAgra WDIP alternative could accomplish the task for **less than half the projected cost and in less than half the time of the BDCP**.
Rather than juggling and moving existing water from place-to-place via a bureaucratic scheme, the SolAgra proposal would create 2.4 million acre-feet/year of new, fresh water for the SWP that California has never had previously. This new water would be created each and every year - IRRESPECTIVE OF DROUGHTS, tidal flows, sea levels or other weather conditions or anomalies. Under the SolAgra proposal, the CVP conveyance through the existing system can remain in place, avoiding unaffordable water rate increases that would make commercial agriculture less fiscally sustainable – creating a true “dual conveyance” solution – with new water supplies while providing reliable and higher quality water to the SWP in accordance with state law. This new water can be produced using green power, with no requirement to build additional fossil fuel power plants, nuclear plants, or to import “brown”
power from other states that typically burn coal to generate electricity. The SolAgra WDIP also better restores the eco-balance in the Bay-Delta than the alternatives studied in the current draft BDCP and associated EIR/EIS while equaling or exceeding the water quantities projected by the BDCP with far less environmental impact.
The SolAgra WDIP alternative is part of a reasonable range of alternatives that should be considered. Critically, the SolAgra alternative would reduce several of the significant and unavoidable impacts on the environment caused by the proposed BDCP project. The requirement to consider a reasonable range of alternatives and the ability of the SolAgra alternative to avoid or reduce significant impacts is discussed in more detail below.
**A Reasonable Range of Alternatives Includes Water Supply Intakes in the West Delta**
The BDCP review process is required to consider an adequate range of alternatives under CEQA, NEPA and the ESA. Under CEQA, an EIR must "describe a range of reasonable alternatives to the project... which would feasibly attain most of the basic objectives of the project but would avoid or substantially lessen any of the significant effects of the project, and evaluate the comparative merits of the alternatives." (14 Cal. Code Regs., § 15126.6(a).) "[T]he discussion of alternatives shall focus on alternatives to the project or its location which are capable of avoiding or substantially lessening any significant effects of the project, even if these alternatives would impede to some degree the attainment of the project objectives, or would be more costly." § 15126.6(b). In its screening and review of alternatives, the EIR must provide more than "cursory" analysis. (*PCL v. DWR* (2000) 83 Cal. App. 4th 892, 919.) An EIR should not construe project objectives so narrowly that only the proposed project could conceivably be capable of achieving them.
Under NEPA, the alternatives section "is the heart of the environmental impact statement." The alternatives section should "sharply" define the issues and provide a clear basis for choice among options by the decision-maker and the public. (40 C.F.R. § 1502.14.) The EIS alternatives section must "[r]igorously explore and objectively evaluate all reasonable alternatives, and for alternatives which were eliminated from detailed study, briefly discuss the reasons for their having been eliminated." (40 C.F.R. § 1502.14(a).) If "a draft statement is so inadequate as to preclude meaningful analysis, the agency shall prepare and circulate a revised draft of the appropriate portion. The agency shall
make every effort to disclose and discuss at appropriate points in the draft statement all major points of view on the environmental impacts of the alternatives including the proposed action.” (40 C.F.R. §§ 1502.9(a).)
Under the ESA, a conservation plan submitted in support of an incidental take permit application must include “Alternative actions the applicant considered that would not result in take, and the reasons why such alternatives are not being utilized.” (Habitat Conservation Planning and Incidental Take Permit Processing Handbook (1996), p. 3-10, citing 16 U.S.C. § 1539(a)(2)(A)(3), 50 C.F.R. §§ 17.22(b)(1), 17.32(b)(1), and 222.22.) HCPs must also include, among other things, information regarding the applicant’s plan to “minimize and mitigate” the impacts likely to result from incidental takes. (16 U.S.C. § 1539(a)(2)(A)(ii).)
We understand that an EIR need not study in detail an alternative that is infeasible or that the lead agency has reasonably determined cannot achieve the project’s underlying fundamental purpose. (Citizens of Goleta Valley v. Board of Supervisors (1990) 52 Cal. 3d 553, 574 [“a project alternative which cannot be feasibly accomplished need not be extensively considered”].) Moreover, a “potentially feasible alternative that might avoid a significant impact must be discussed and analyzed in an EIR so as to provide information to the decision makers about the alternative’s potential for reducing environmental impacts.” (Habitat & Watershed Caretakers v. City of Santa Cruz (2013) 213 Cal. App. 4th 1277, 1304 [striking down EIR for failure to consider any alternative that would reduce the project’s effect on the city’s water supply].) The SolAgra approach could achieve the fundamental purposes of the BDCP and reduce significant environmental impacts, and should therefore be considered.
With the exception of Alternative 9, the BDCP EIR/EIS evaluates only variations on the common theme of adding an isolated conveyance from the North Delta to the existing export facilities in the South Delta, referred to as Conservation Measure (“CM”) 1. There is also virtually no variation in CMs 2-21 among the project alternatives, which are the remaining so-called “conservation measures” in the BDCP aimed at species recovery. (EIR/EIS, Table 3-1.)
Three years ago the National Academy of Sciences declared in reviewing the then-current version of the draft BDCP: “Choosing the alternative project before evaluating alternative ways to reach a preferred outcome would be post hoc rationalization – in other words, putting the cart before the horse. Scientific reasons for not considering alternative actions are not presented in the plan.” (National Academy of Sciences Report in Brief (May 5, 2011), p. 2.) This
problem has still not been corrected. Early in the BDCP planning process, there was a decision to focus on new north Delta diversions on the Sacramento River as the primary means to meet the objectives of the BDCP participants. (BDCP Appendix 3A, pp. 3A9-3A-11.)
Moreover, to achieve the objectives, purpose and need of the BDCP, a frank and detailed study of alternatives is required. The BDCP should include alternatives that actually provide water supply reliability, restore the Delta ecosystem, and improve water quality for both exporters and in-Delta users. Such a goal is included the 2009 Delta Reform Act, which directs the State as a whole to: “Achieve the two coequal goals of providing a more reliable water supply for California and protecting, restoring, and enhancing the Delta ecosystem. The coequal goals shall be achieved in a manner that protects and enhances the unique cultural, recreational, natural resource, and agricultural values of the Delta as an evolving place.” (Wat. Code, § 85054.) The Delta Stewardship Council can only accept the BDCP into the Delta Plan if, and only if, the BDCP has studied a reasonable range of conveyance alternatives (Wat. Code, § 85320, subd. (b)(2)(B)), among other requirements. If the BDCP does not meet these requirements, it cannot be included in the Delta Plan and it will otherwise be non-compliant with State law.
Several alternatives have been proposed publically to date, but not adequately studied as alternatives in the BDCP.\(^{[1]}\) The Western Delta Intakes Concept (“WDIC”) is the closest alternative given any consideration in the BDCP EIR/EIS to that proposed by SolAgra. (BDCP Appendix 3A, Section 3A.11.4.) The WDIC would relocate the principal point of diversion for exports from the South Delta to the West Delta. Water surplus to upstream and in-Delta needs and the Delta outflow required to sustain fisheries would be extracted through permeable embankments on Sherman Island and then conveyed through large tunnels to Clifton Court Forebay for subsequent export.
The principle objective and benefits of this intake relocation would be:
- To restore more natural flows through the Delta both in pattern and quantity, supporting the retention of X-2 at its historical range, contributing
\(^{[1]}\) Another such alternative is the Environmental Water Caucus, which has proposed a “Responsible Exports Plan” that calls for reducing exports from the Delta, implementing stringent conservation measures but no new upstream conveyance. This Plan prioritizes the need for a water availability analysis and protection of public trust resources that would comply with EPA statements indicating that more outflow is needed to protect aquatic resources and fish populations. (http://www.ewccalifornia.org/reports/responsibleexportsplanmay2013.pdf.)
to the recovery of natural breeding and feeding grounds for aquatic species of concern and more capable of coexisting with the increased minimum Delta outflow requirements that EPA, the State of the Estuary Report, the State Water Board and many other analyses have clearly shown would be required to restore the Bay-Delta and its fisheries;
- To improve both in-Delta and export water quality, rather than improving export water quality at the expense of in-Delta water quality; and
- To avoid significant impacts to North Delta communities, water supplies, and flood control facilities.
A western delta intake location thus should be considered. The EIR/EIS describes how a concept similar to what SolAgra proposes, referred to as the “Pyke Proposal”, was not carried forward for further analysis. (EIR/EIS, Appendix 3A, pp. 3-89 to 3-92.) A point by point rebuttal to the coverage of the WDIC is provided in Appendix A to the comments of Dr. Pyke on the draft BDCP, dated May 26, 2014, and is not repeated here. The EIR/EIS primarily dismisses the WDIC over concerns of water quality affecting export reliability. (BDCP EIR/EIS, Appendix 3A, p. 3-91.) However, the SolAgra WDIP alternative addresses this issue by proposing to directly pump fresh water when available from the Sacramento River into the tunnel for immediate conveyance, and to only desalinate water from the WDIP as necessary. The SolAgra alternative also avoids the creation of a Sherman Island Forebay that was severely criticized due to the large volume of mass excavation that was required to create it. By processing incoming fresh and brackish water in real time, the need for a forebay on Sherman Island is eliminated.
The BDCP EIS/EIS, however, does not consider the possibility of providing water treatment – desalination – at the WDIP location. Though energy demand can be a limitation on the feasibility of desalination, in this case, solar powered filtration/desalination and pumping into the west delta operational facilities could convey newly created fresh water from Sherman Island to the SWP’s Bethany Reservoir. This would be the best destination because the SWP primarily serves urban water users that require higher quality water. In summary, variations of the WDIC proposal, including that proposed by the SolAgra WDIP, meet project objectives and are feasible, and therefore must be considered.
**How Would a Western Delta Intake be More Likely to Receive Take Authority and Meet Project Objectives?**
One of the many barriers to the proposed BDCP project is the ability to be permitted as both a state and a federal habitat conservation plan. However, the primary objective of the BDCP – obtaining incidental take permits – may not be met in view of the BDCP’s failure to produce an effects analysis that can meet minimum requirements of state and federal law.
For instance, the benefits to listed species are uncertain at best for BDCP. For instance, the current public review draft of the BDCP shows that implementation of the BDCP could potentially imperil nine key species including salmon, Delta smelt and greater sandhill cranes.\[2\] A plan that imperils the very species it seeks to cover is unlikely to receive needed permits under the state and federal endangered species acts. These species are imperiled by factors such as the reduction in freshwater flows in the Sacramento River, entrainment in the new and existing SWP/CVP pumps, and by the major land use changes brought about by the conversion/creation of tidal habitat in presently dry areas.
The ability of the restoration components of the BDCP to function as planned is also severely doubtful. As indicated in the March 2014 Delta Science Program Independent Review Panel Report - BDCP Effects Analysis Review, Phase 3:
The net effects analysis tends to overreach conclusions of positive benefits for covered fish species, given the inability to quantify the over-all net effects and the realization of high uncertainty. In particular, it does not adequately defend conclusions regarding the net effects of habitat restoration. Restoration of tidal wetlands (and other communities) is highly uncertain and at least an extremely long process. The Effects Analysis does not adequately justify the critical assumption of the benefit of tidal wetland restoration as a food web subsidy for covered pelagic fish given the uncertainties of tidal wetland restoration itself. A critical issue is the implicit expectation that restoration activities will result in increases in abundance of lower trophic levels, but it is uncertain whether the resulting increased production will result in food web pathways supporting covered species...
\[2\] See article by Matt Weiser, *Fate still unclear for nine species in Delta water tunnel plan* (December 18, 2014), available at: [http://www.sacbee.com/2013/12/18/6009767/fate-still-unclear-for-nine-species.html](http://www.sacbee.com/2013/12/18/6009767/fate-still-unclear-for-nine-species.html) Species include Longfin smelt, Delta smelt, Winter Spring and Fall Chinook salmon, Green sturgeon, White sturgeon, Steelhead and Greater sandhill crane.
The shoreline lengths along Sherman Island and the difference in water properties that can be obtained by water inflows that are taken along various segments of the Sacramento River, San Joaquin River and the brackish water flows in the Sherman Lake area allow the installation of multiple, low-flow intakes rather than the few high volume intakes proposed by the BDCP’s North Delta intake plan. Multiple low-flow intakes, with lower probability of fish take, have a higher probability of approval. By providing water supply in a less environmentally damaging manner that preserves the natural flow of the Sacramento River, the SolAgra WDIP Alternative is more likely to be permitted as a state and federal conservation plan than the BDCP.
**What Significant Effects Could be Avoided with the SolAgra Alternative?**
The SolAgra WDIP alternative would reduce or avoid significant impacts identified in the EIR/EIS, as well as reduce or avoid impacts that the EIR/EIS has either failed to address or inaccurately characterized as less than significant. A few of those impacts are discussed below. With proper review and analysis as a project alternative, additional environmental and other benefits of the SolAgra alternative would be determined in greater detail.
**Agricultural Resources and Delta Communities**
By reducing the freshwater flow through the Delta that is normally provided by the Sacramento River, the BDCP will significantly degrade water quality for more senior - Delta agriculture and municipal/industrial intakes, as well as for species of concern. Removal of fresh water inflows from the Sacramento River is expected to result in several significant and unavoidable water quality exceedances for which only inadequate mitigation is proposed. (BDCP EIR/EIS, Chapter 8.) These water quality impacts will reduce or eliminate agricultural productivity in an area that currently has excellent water quality. Relocation of intakes to Sherman Island would avoid local water supply impacts while also providing higher quality water to the SWP.
Additionally, the BDCP “conservation measures” require up to 150,000 acres of productive, agricultural land to be acquired, converted, restricted or
otherwise impacted. This conversion of productive agricultural land to aquatic habitat can be more generically described as: “flooding precious farmland”. (BDCP, Tables 3-4, 6-2, 8-1.) Under the SolAgra WDIP alternative, less than 1,000 acres of grazing land would be used to construct the Pumping & Desalination facilities on Sherman Island. PLUS, the indirect effects on agriculture from changes in salinity and water levels in the north Delta from operation of the BDCP’s proposed Sacramento River intakes would be completely avoided. Moreover, the SolAgra alternative would not require any agricultural land conversion to accommodate experimental restoration projects to create mitigation for the unavoidable environmental consequences described in the EIR/EIS for the BDCP.
Construction of the BDCP - CM1 tunnels, in particular, would bring about major changes to north Delta communities and landscapes. With the SolAgra alternative, impacts to the historic communities in the North Delta would also be entirely eliminated. Sherman Island is already largely in public ownership. Much of the land is grazing land. This makes conversion of a small percentage of its land area for use for water pumping, processing, desalination and limited storage far less disruptive than what is proposed under BDCP Alternative 4.
**Greenhouse Gas Emissions**
In the SolAgra alternative, construction and operational greenhouse gas (“GHG”) emissions would also be significantly reduced and 100% offset by production of green power at Ryer Island.
The EIR/EIS discloses that the BDCP would produce over 1.7 million metric tons of GHG during an estimated 9 year construction period for the Dual Conveyance Tunnels. (EIR/S, Table 22-94.) An additional 161 metric tons of GHG emissions would be emitted every year under operation of the proposed project. (EIR/S, Table 22-96.)
This calculation understates the actual amount however, as the Draft EIR/EIS presents a (global warming potential) GWP for methane (“CH₄”), of 21 over a 100-year time horizon. Yet, the IPCC updated the GWP for methane to 25 over a 100-year time horizon[3] and the EPA updated its GHG reporting rule in
---
[3] IPCC, Fourth Assessment Report: Climate Change 2007; http://www.ipcc.ch/publications_and_data/ar4/wg1/en/ch2s2-10-2.html.
2013.\textsuperscript{[4]} The EIR/EIS should rely on the most recent scientific consensus for GWPs published by the IPCC.
Construction GHG emissions under the SolAgra approach would be significantly reduced primarily due to a single, smaller, pressure tunnel that is less than half the length of that proposed in the BDCP Alternative 4. The SolAgra tunnel from Sherman Island to Bethany Reservoir would be the size of a normal transit (subway) tunnel for which Tunnel Boring Machines ("TBMs") are readily available. The dual tunnels proposed by the BDCP are so large that they would require the invention and creation of TBMs of a size that have never been previously built. GHG emissions during construction of the SolAgra tunnel would be more than offset by the production of Renewable Energy Credits (carbon credits) generated by the operation of the Ryer Island Solar Power Plant that provides power to operate the Sherman Island pumping/desalination plants. Ultimately, the SolAgra alternative would actually reduce GHG emissions rather than increase them. Continued operation of the pumping/desalination facilities during the entire life of the project at Sherman Island would be accomplished using 100% green power, making the SolAgra alternative an environmental benefit rather than the environmental deficit created by the BDCP.
The EIR/EIS incredibly assumes reduced GHG emissions under project operations by assuming that DWR will reduce GHG emissions statewide by compliance with its Climate Action Plan ("CAP"), and that no mitigation is necessary, even though operation of the tunnels would add approximately 1,405 GWh of additional net electricity demand each year. (EIR/EIS, pp. 22-43, 22-263.) Direct provision of renewable energy for the SWP would be a superior approach.
The transmission of 2.4 million acre-feet/year from Sherman Island to Los Vaqueros Reservoir at elevation 475 feet for ultimate delivery to Bethany Reservoir at elevation 244 feet would provide the opportunity to install a hydro-electric power plant just above Bethany Reservoir that would produce enough green hydro-electric energy to power many of the pumping plants along the California Aqueduct that currently are powered by "brown" power from local utilities. Using the SolAgra concept at Sherman Island, the California Aqueduct
\textsuperscript{[4]} EPA, 40 CFR Part 98, [EPA-HQ-OAR-2012-0934; FRL-9902-95-OAR], RIN 2060-AR52, 2013 Revisions to the Greenhouse Gas Reporting Rule and Final Confidentiality Determinations for New or Substantially Revised Data Elements, November 15, 2013, Table 2, page 21; http://www.epa.gov/ghgreporting/documents/pdf/2013/documents/2013-data-elements.pdf.
could become “self-powered” using the pumping pressure of the water flow from the pumping/desalination plant that is also powered by green solar power.
**Conclusion**
Thank you for considering the information in this comment letter. We strongly suggest that the SolAgra WDIP alternative, and any other reasonable variations, be fully analyzed as viable alternatives to the BDCP in the recirculated BDCP Plan and its associated EIR/EIS. The SolAgra WDIP alternative, and other local innovations, can comprise workable, 21st Century solutions that meet water supply objectives without compromising the environmental and economic values of the Delta without burdening our children and future generations with 50 years of unnecessary debt. Let’s provide future generations with good water from sustainable resources at a reasonable price.
We welcome the opportunity to discuss the SolAgra WDIP in greater detail.
Sincerely,
Barry Sgarrella
Chief Executive Officer
SolAgra Corporation
Exhibits:
1. Ryer Island to Sherman Island Map – POWER PATH - showing the location of the proposed Ryer Island Solar / CAES project, existing Montezuma Hills Wind Farms and proposed Sherman Island Pumping & Desal
2. Sherman Island to Bethany Reservoir Map – WATER PATH - showing the proposed Sherman Island Pumping & Desal Facility, a potential path of the Conveyance Tunnel from Sherman Island to Bethany Reservoir, including the possibility of creating hydroelectric power from the pressure head created by the flow from Las Vaqueros Reservoir to Bethany Reservoir.
3. Northern California Power Map – showing the 115 KV power corridor from Ryer Island to Sherman Island and Barker Slough desal facilities, plus the 230KV power corridor from the Montezuma Hills Wind Farms to Sherman Island, and a table showing calculations comparing various elements & power required (for the SolAgra WDIP alternative compared to BDCP Alt 4 proposal)
cc:
The Honorable Governor Jerry Brown
State Capitol, Suite 1173
Sacramento, CA 95814
John Laird, Secretary
California Natural Resources Agency
1416 Ninth Street, Suite 1311
Sacramento, CA 95814
Mark Cowin
Director, California Department of Water Resources
P.O. Box 942836, Room 1115-1
Sacramento, CA 94236-0001
Chuck Bonham
Director, California Department of Fish and Wildlife
1416 9th Street, 12th Floor Sacramento, CA 95814
The Honorable Sarah “Sally” Jewell
Secretary, U.S. Department of the Interior
1849 C Street, NW, Room 6156
Washington, DC 20240
Ren Lohoefener
Regional Director, U.S. Fish and Wildlife Service
2800 Cottage Way
Sacramento, CA 95825
The Honorable Penny S. Pritzker
Secretary, U.S. Department of Commerce
1401 Constitution Avenue, NW
Washington, DC 20230
The Honorable Regina A. “Gina” McCarthy
Administrator, U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW, Room 3000
Washington, DC 20460
Will Stelle
Regional Director, National Marine Fisheries Service
7600 Sand Point Way, NE, Bldg. 1
Seattle, WA 98115-0070
RYER ISLAND to SHERMAN ISLAND
Electrical Power Corridor
EXHIBIT 2
WATER PATH
Sherman Island Pumping & Desal
Water Tunnel Conveyance
Elevation = 475
Bethany Reservoir
Elevation = 244
SHERMAN ISLAND to BETHANY RESERVOIR
Water Tunnel Conveyance
Northern California Power Grid:
SolAgra Solar Power Plant is ideally located along the power corridors to deliver power to Sherman Island and Barker Slough.
- Purple lines - 115 KV Transmission Corridors from Grand Island to Sherman Island & Barker Slough
- Aqua lines - 230 KV Transmission Corridors from Wind Farms thru Sherman Island
Estimated Annual Energy Demand and Annual Energy Production Table
| | SolAgra Energy Production Capability | West Delta Intake Plan Pumping & Desalination | BDCP - Alternative 4 Energy Demand |
|--------------------------|--------------------------------------|-----------------------------------------------|-----------------------------------|
| Diversion & Delivery | 5,256 GWh | 669 GWh | 1,405 GWh |
| Desalination | | 1,105 GWh | N/A |
| Unmitigated CO2e Emissions | 0 | 0 | 161 |
SolAgra Corporation hereby submits its REVISED comments regarding the RDEIR/S for the California Water Fix. These comments supersede comments that were emailed earlier today.
These comments demonstrate that the SolAgra Water Solution is a viable, and in fact, superior alternative to the CWF. The SolAgra Water Solution must be fairly evaluated and studied under the mandates of CEQA, NEPA and the Clean Water Act. Each Exhibit that is contained within the attached SolAgra Comment Letter is also separately attached to this email for your convenience.
The comments contained in our Comment Letter dated October 30, 2015, are continuing comments to those contained in our original comment letter dated July 28, 2014 which related to the DEIR/S for the BDCP. These comments continue to apply to the BDCP – now revised and rebranded as the California Water Fix.
SolAgra questions the validity of simply revising the Draft EIR/S that was for the BDCP and using it for the California Water Fix when the project sponsors admit the CWF is a different project. It is our assertion that a totally new EIR/EIS should be prepared to fully evaluate the CWF since the scope of the project has so radically changed.
We welcome the opportunity to discuss the SolAgra Water Solution with project sponsors of the CWF to explain why this viable alternative is superior to the BDCP/CWF, and why it must be considered and fairly evaluated to comply with State and Federal laws.
Please contact me to arrange a meeting.
Sincerely,
Barry Sgarrella
Chief Executive Officer
O: 415-892-6149
C: 415-720-5060
www.SolAgra.com
*** ATTENTION ***
The information contained in this message is legally privileged and confidential. It may contain information that is proprietary and/or protected by patents or patents pending. It is intended to be read only by the individual or entity to whom it is addressed or by their designee. If you are not the intended recipient, do not read, forward, save, print, copy, use, or disclose this communication or its attachments to others. If you have received this message in error, please immediately notify the sender by replying to this message, and then promptly delete the message and all attachments from your system. Thank you.
SolAgra and SolAgra Farming are registered Trademarks of SolAgra Corporation Clean Power = Clean Water
October 30, 2015
VIA EMAIL TO: firstname.lastname@example.org
BDCP/WaterFix Comments
PO Box 1919
Sacramento, CA 95812
SUBJECT: Comments on BDCP/CalWaterFix RDEIR/SDEIS
The Placer County Water Agency (PCWA) provides these comments on the Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS) for the Bay Delta Conservation Plan (BDCP)/California WaterFix (CalWaterFix) Project (Project). By letter dated July 28, 2014, PCWA provided comments on what was then the proposed draft BDCP, the draft Implementing Agreement and the Draft Environmental Impact Report/Environmental Impact Statement. PCWA, in its July 28, 2014, comment letter also noted it had participated in the preparation and submittals of comments as part of the North State Water Alliance (NSWA) and the American River Water Agencies (ARWA). Both the NSWA and ARWA also submitted comment letters on the draft BDCP and PCWA, as a member of each of those groups, joined in those letters. In addition to the comments outlined in this letter, PCWA has again participated in the preparation and submittal of comments as part of the NSWA and ARWA and, as a member of those groups, again joins in those letters.
I. INTRODUCTION
PCWA engaged expert consultants to assist in the review of the draft BDCP and the initial environmental documentation prepared and circulated for the BDCP. In this regard, PCWA attached technical memoranda prepared by those experts to its July 28, 2014, comment letter. In reviewing the RDEIR/RDEIS, it is apparent that the issues and concerns raised by those technical memoranda have not been addressed in the RDEIR/RDEIS. Those memoranda are attached hereto and the analysis and conclusions contained in those technical memoranda are incorporated herein. In addition to the analysis and conclusions contained in the attached memoranda, PCWA offers the following comments on the RDEIR/RDEIS:
II. COMMENTS ON THE BDCP/CALWATERFIX RDEIR/SDEIS
An overarching concern with and flaw in the RDEIR/SDEIS is that it completely fails to adequately address or answer basic questions regarding short- and long-term impacts to the American River region and its water supplies. The improper narrow focus of the RDEIR/SDEIS ignores the reasonably foreseeable and inevitable changes to upstream operations, including changes in operation of Folsom Reservoir and the impacts associated with those changes, including water supply impacts and impacts to environmental resources in the Lower American River.
The RDEIR/RDEIS itself is virtually unusable to the average citizen or expert. Its unwieldy and confusing structure and organization, along with internal errors in editing make it, at best, difficult to understand and make understanding the project and its impacts impossible. The RDEIR/RDEIS does not provide meaningful information about many of the Project’s adverse effects and it omits consideration of many impacts of concern to PCWA. In these ways the RDEIR/SDEIS fails to summarize and convey information essential to the PCWA’s and the public’s understanding of Project impacts in a manner reasonably calculated to inform the readers and decision makers, in violation of the National Environmental Policy Act (NEPA) readability requirement and in violation of the California Environmental Quality Act (CEQA).
Given these shortfalls, among other defects, the RDEIR/SDEIS fails to adequately provide the requisite, accurate environmental documentation necessary for the local citizenry and public decision makers to reach an informed and thoughtful determination of whether the Project will provide a reliable water supply for the State while restoring the Delta’s ecosystem, without adversely impacting not only the fragile Delta ecosystem, but also upstream water supplies and reliability and the ecosystems that will be impacted by changes in upstream operations resulting from the Project. PCWA, members of the ARWA and NSWA, have invested significant time and resources protecting and enhancing those upstream water supplies and ecosystems and the failure of the RDEIR/RDEIS to adequately inform readers of impacts to those resources and to mitigate for those impacts is a fatal flaw in the RDEIR/RDEIS.
A. The RDEIR/SDEIS Violates CEQA and NEPA in Failing to Actually Inform the Reader
A major criticism of the initial DEIR/DEIS for the BDCP was that it failed to summarize and convey information essential to the understanding of Project impacts in a manner reasonably calculated to inform the readers and decision makers, in violation of NEPA’s readability requirement and CEQA. The RDEIR/SDEIS repeats and compounds these problems. The RDEIR/RDEIS contains a confusing mix of new, old and partially edited impact sections; lack of clear and concise summary tables; omission of blocks of text from the revised impact chapters (without any strikeout to inform the reader which sections
were deleted from the prior draft); failure to integrate figures into text; reliance on multiple appendices and appendices and exhibits to appendices; and cross references to old (DEIR/DEIS and BDCP) and new (RDEIR/SDEIS) documents. This confusing collection of disconnected information places the burden on readers to independently determine where the actual document revisions are and to make assumptions regarding which portions of the prior draft DEIR/DEIS survived the edits and recirculation. This makes it impossible for even the most able analysts to piece together all the information the RDEIR/SDEIS contends supports its impact assessments and determinations.
PCWA is not alone in expressing significant concern with the readability and presentation of information in the RDEIR/SDEIS. The Delta Independent Science Board (ISB), which is comprised of 10 PhD experts in the areas of hydrodynamics and fisheries biology, found the RDEIR/SDEIS “sufficiently incomplete and opaque to deter its evaluation and use by decision makers, resource managers, scientists and the broader public.” (September 30, 2015 correspondence to R. Fiorini et al from Delta Independent Science Board Re. Review of environmental documents for California WaterFix (“2015 ISB Report”, attached as Exhibit A, at p. 1.) As a result of these fundamental flaws in the RDEIR/RDEIS, the ISB concluded that the RDEIR/SDEIS “fails to adequately inform weighty decisions about public policy.” (Id at p.4.)
A draft EIR must be recirculated when it is “so fundamentally and basically inadequate and conclusory in nature that meaningful public review and comment were precluded.” (CEQA Guidelines, § 15088.5(a)(4).) An EIR that is a “mass of flaws” must be redone completely and recirculated. (San Joaquin Raptor/Wildlife Rescue Center v. County of Stanislaus (1994) 27 Cal.App.4th 713, 741-742.) The RDEIR/SDEIS is so fundamentally and basically inadequate and contains a “mass of flaws” as to render it useless in informing the public of the impacts of the Project. The Project EIR must be completely rewritten and recirculated for public review and comment so that PCWA and the rest of the public can begin to understand the true impacts of the Project -- and in turn, provide detailed, consequential comments to help inform the Project and EIR/EIS.
B. The RDEIR/SDEIS Fails to Summarize or Resolve Disagreements among Technical and Scientific Experts Regarding its Underlying Data and Methodologies
The CEQA Guidelines specify that when experts disagree about an EIR’s data or methodology, the EIR should summarize the main points of disagreement. (CEQA Guidelines, §15151.) When the EIR’s discussion and analysis is not modified to incorporate the suggestions made in comments on the draft document, the EIR must acknowledge the conflict in opinions and explain why they have been rejected, supporting its statements with relevant data. (Berkeley Keep Jets Over the Bay Comm. v. Bd. of Port Commissioners (2001) 91 Cal.App.4th 1344, 1367, 1371.) An EIR that fails to explain major discrepancies in critical data and fails to resolve the conflict with substantial evidence is legally inadequate. (Preserve Wild Santee v. City of Santee (2012) 210 Cal.App.4th 260.)
Likewise, CEQ Guidelines state that “[a]ccurate scientific analysis” is essential to implementing NEPA. (40 C.F.R. §1500.1(b).) Agencies must ensure the scientific integrity of analyses in environmental impact statements. (40 C.F.R. §1502.24.) In doing so they must discuss any responsible opposing view and indicate the agency’s response to the issued raised. An EIS “must respond explicitly and directly to conflicting views in order to satisfy NEPA’s procedural requirements.” (Earth Island Institute v. Carlton (9th Cir. 2010) 626 F.3d 462, 472.) Here, qualified experts (including, but not limited to, the Delta ISB, and NSWA experts MBK Engineers, Cardno, Dave Vogel and Robert Latour) provided detailed comments constituting substantial evidence that showed why and how the DEIR/DEIS’s hydrologic modeling and fisheries analyses were flawed and inadequate to support the DEIR/DEIS’s analysis, impact determinations, public participation or agency decision making. These expert comments raised issues of such significance regarding the fundamental assumptions, data and methodology used in the DEIR/DEIS as to merit discussion in a revised and recirculated Draft EIR/EIS. The RDEIR/SDEIS does not address these fundamental expert criticisms of the DEIR/DEIS.
By deferring any discussion of these issues to the Final EIR/EIS, the lead agencies have effectively precluded informed public participation on some of the most important aspects of the environmental review documents and has failed to incorporate the best available science into the environmental review of the proposed project. Given the magnitude of the criticisms levied at the DEIR/DEIS data and methodologies, and the fact that the same errors appear to have been repeated in the RDEIR/SDEIS, it was an abuse of discretion for the lead agencies to fail to directly address the key expert criticisms in the RDEIR/SDEIS so the public and decision makers could understand and weigh the agencies’ views and supporting evidence in their evaluation of the RDEIR/SDEIS.
C. Fundamental Flaws in the Hydrologic Modeling Supporting the RDEIR/SDEIS Fatally Undermine its Conclusions
PCWA commented previously on the numerous errors and omissions in the BDCP and DEIR/DEIS’s hydrologic modeling. The RDEIR/SDEIS fails to correct these problems, as demonstrated by the further expert report prepared by MBK Engineers and submitted on behalf of the NSWA. Expert reports evaluating the RDEIR/SDEIS submitted previously by PCWA as part of its July 28, 2014 comment letter and being submitted on behalf of the NSWA as part of comments on the RDEIR/RDEIS demonstrate that the same questions and concerns about the impacts of the previously preferred project apply to the new alternatives, including Alternative 4A.
CEQA requires that an EIR analysis and impact determinations be based on substantial evidence. CEQA “[c]ase law defines ‘substantial evidence’ supporting an agency’s decision as ‘‘relevant evidence that a reasonable mind might accept as adequate support for a conclusion’’ [citation] or ‘evidence of ‘‘ponderable legal significance . . . reasonable in nature, credible, and of solid value’’’ [citation].” (Banker’s Hill, Hillcrest, Park West
Community Preservation Group v. City of San Diego (2006) 139 Cal.App.4th 249, 26, fn. 10.) NEPA likewise requires a record of sufficiently detailed information to fully assess significant environmental impacts so as to allow determinations by informed, reasoned choice. “Accurate scientific evidence remains essential to an Environmental Impact Statement... [and] an agency [can] not rely on ‘stale’ scientific evidence or ‘ignore reputable scientific criticism” in its Environmental Impact Statement.” (City of Carmel-By-The-Sea v. U.S. Dept. of Transp. (9th Cir. 1997) 123 F.3d 1142, 1151, quoting Seattle Audubon Soc. v. Espy (9th Cir. 1993) 998 F.2d 699). The technical analyses supporting the RDEIR/SDEIS do not meet this standard; their flaws are so substantial as to invalidate the RDEIR/SDEIS analysis and impact determinations upon which they are based.
D. The EIR is Inadequate to Support Responsible Agency Decision Making
The numerous flaws with the DEIR/DEIS and RDEIR/SDEIS, including but not limited to the lack of essential information about the Project’s effects on upstream water supplies and impacts to threatened and endangered fish species, render the document inadequate to meet the needs of the state responsible agencies and federal agencies with permitting jurisdiction over the Project. For example, as a CEQA responsible agency the State Water Resources Control Board (SWRCB) must rely on the Project EIR when considering the required water rights changes necessary to implement the Project. The DEIR/RDEIR/DEIS/SDEIS cannot support the SWRCB’s required findings for petitions to change because there is insufficient evidence to conclude the Project will not injure other legal users of water. The specific bases for this concern have been stated previously in the July 28, 2014, comments of PCWA, the ARWA, and the NSWA, among many others. With respect to the current RDEIR/SDEIS, for example, to the extent the new preferred project (Alternative 4A) includes provisions for additional Delta outflow, the effect of that component on upstream hydrology, and the ability of upstream water users to exercise their water rights, has not been evaluated. Similarly, substantial flaws in the analysis of impacts to threatened and endangered fish species fail to satisfy the informational requirements necessary to support issuance of a Clean Water Act section 404 permit for the proposed diversion structures. For these reasons the DEIR/RDEIR provides no substantial evidence to support a finding that the Project will not injure other legal users of water and is inadequate to support the subsequent approvals required to implement the Project.
E. The RDEIR/RDEIS Fails to Consider Reasonable Alternatives
The Project is a significant departure from the original Draft BDCP. The prior project was a Habitat Conservation Plan purporting to be prepared in accordance with Section 10 of the federal Endangered Species Act. CalWaterFix significantly departed from the BDCP, altogether abandoning the habitat conservation portion of the project, moving to a “conveyance” only project. The change is so significant that the Project no longer qualifies for inclusion into California’s Delta Plan. (Water Code section 85320.) As the scope and
purpose of the project has changed to eliminate the restoration of the Delta ecosystem as a part of the project, the project proponents must analyze a reasonable range of alternatives to satisfy NEPA. (40 C.F.R. §1505.1(e).) The Council on Environmental Quality, in its Memorandum For Federal NEPA Liaisons, Federal, State, and Local Officials and Other Persons Involved in the NEPA Process, dated March 16, 1981 (CEQ Memorandum), explains that the range of alternatives “include those that are practical or feasible from the technical and economic standpoint and using common sense, rather than simply desirable from the standpoint of the applicant.” (CEQ Memorandum, π 2a.) The RDEIR/RDEIS fails to consider a reasonable range of practical or feasible alternatives that focus solely on conveyance. As such, the RDEIR/RDEIS fails to satisfy NEPA’s mandate that a range of alternatives be considered.
F. The RDEIR/RDEIS Fails to Consider Impacts to Upstream Operations and Fails to Analyze the Impacts Associated with the U.S. Bureau of Reclamation’s Commitment to Participate in the CalWaterFix
It should be beyond dispute that the participation by the U.S. Bureau of Reclamation (USBR) in the CalWaterFix is required in order to make the project economically feasible. This is perhaps best demonstrated by the fact that the USBR has joined the California Department of Water Resources (DWR) in submitting Petitions for Change of the points of diversion and/or to add points of rediversion to allow the USBR to move water diverted and stored by the Central Valley Project (CVP) through the new conveyance facility proposed as part of the CalWaterFix. Indeed, the prior iteration of the Project, the BDCP, included draft proposed funding and other commitments that provided for a “wheeling” agreement between the USBR and DWR.
The RDEIR/RDEIS fails to acknowledge, disclose, study, and analyze the effects of such an agreement or commitment to move federal Central Valley Project (CVP) water through the new conveyance facility. By failing to adequately disclose and analyze this commitment and agreement to move federal CVP water through the new conveyance facilities, the USBR has failed to disclose how it proposes to operate the CVP as part of the CalWaterFix. The lack of any available operations plan precludes any review, let alone meaningful review, of the Project on upstream reservoirs and facilities and the ecosystems affected by those operations. For example, adverse impacts associated with changes to operations at Folsom Reservoir, on the ecosystem of the Lower American River, were discussed in the previously submitted technical memorandum prepared by Cardno and attached hereto. The issues raised by that memorandum were not addressed in the RDEIR/RDEIS.
This fatal flaw renders the document inadequate for the SWRCB to undertake its role as a responsible agency under CEQA and makes it impossible to determine whether any legal users of water would be injured as a result of the CalWaterFix when deciding whether to approve the requested changes sought by DWR and the USBR.
III. CONCLUSION
It is well established that “[T]he purpose of an EIR is not only to protect the environment but to demonstrate to the public that it is being protected. (County of Inyo v. Yorty (1973) 32 Cal.App.3d 795, 810.) As explained in PCWA’s comments, the RDEIR/SDEIS, like the DEIR/DEIS before it, does not provide sufficient information, nor does it present information in a way that allows the public a meaningful opportunity to understand and comment on the CalWaterFix Project’s substantial adverse impacts. To date, the EIR/EIS has failed to demonstrate to the rate payers of PCWA that they, their water supplies, and the environment in the American River watershed, will be protected from the significant impacts of constructing and operating the CalWaterFix Project. Due to the fundamental changes in the project since publication of the DEIR/DEIS, the significant changes needed to the underlying technical studies and analyses, and the extensive comment and criticism of these documents, further edits and revisions or partial recirculation of the current DEIR/DEIS or RDEIR/SDEIS will not satisfy CEQA and NEPA’s informational mandate. The state and federal lead agencies must start over and prepare a new draft EIR/EIS that addresses the concerns raised in comments on the DEIR/DEIS and RDEIR/SDEIS.
Sincerely,
PLACER COUNTY WATER AGENCY
[Signature]
Andrew Fecko
Director of Resource Development
Attachment
c: U.S. Senator Dianne Feinstein
U.S. Senator Barbara Boxer
U.S. Congressman Doug LaMalfa
U.S. Congressman Tom McClintock
State Senator Ted Gaines
State Senator Jim Nielsen
State Assembly Member Frank Bigelow
State Assembly Member Brian Dahle
State Assembly Member Beth Gaines
State Assembly Member Dan Logue
David Murillo, Regional Director, Mid-Pacific Region, U.S. Bureau of Reclamation
Drew Lessard, Area Manager, Mid-Pacific Region, U.S. Bureau of Reclamation
Placer County Board of Supervisors
David Boesch, Chief Executive Officer, County of Placer
City of Auburn, City Manager
City of Colfax, City Manager
Marcus Yasutake, Environmental & Water Resources Director, City of Folsom
City of Lincoln, City Manager
Town of Loomis, Town Manager
City of Rocklin, City Manager
City of Roseville, City Council and City Manager
Foresthill Public Utilities District
Shauna Lorance, General Manager, San Juan Water District
Brad Arnold, General Manager, South Sutter Water District
Ryan Bezzara, Legal Counsel, American River Water Agencies
Tim Quinn, Executive Director, Association of California Water Agencies (ACWA)
Director of Federal Relations, ACWA
Senior Regulatory Advocate, ACWA
Executive Director, California Municipal Utilities Association
Executive Director, California Special Districts Association
John Kingsbury, Executive Director, Mountain Counties Water Resources Association
Executive Director, National Water Resources Association
David Guy, President, Northern California Water Association
John Woodling, Executive Director, Regional Water Authority
Chief Executive Officer, Sacramento Area Council of Governments
Chief Executive Officer, Sacramento Metropolitan Chamber of Commerce
Tom Gohring, Executive Director, Water Forum
PCWA Board of Directors
Einar Maisch, PCWA General Manager
Scott Morris, PCWA Legal Counsel
PCWA Department Heads
Ed Bianchi, Cardno Inc.
Lee G. Bergfeld, Dan Easton, Water Bourez, MBK Engineers
DATE: July 11, 2014
TO: Dan Kelly, Ryan Bezerra, and Martha Lennihan
FROM: Lee G. Bergfeld, Dan Easton, and Walter Bourez
SUBJECT: Technical Comments on Bay-Delta Conservation Plan Modeling
This technical memorandum is a summary of MBK Engineers’ (“Reviewers”) findings and opinions on the hydrologic modeling performed in support of the draft environmental document for the Bay-Delta Conservation Plan (BDCP) for Folsom Reservoir and the American River Basin. The results of that modeling are summarized in Appendix 5A to the draft BDCP EIR/EIS.
The Reviewers’ analysis of the BDCP modeling is summarized in categories: (1) assessment of general assumptions and operations; (2) assessment of American River demands; (3) assessment of climate change assumptions, implementation, and effects; (4) assessment of the assumptions and operational criteria for inclusion of the new BDCP facilities. The issues discussed in (1), (2) and (3) are relevant for all modeling scenarios, both baseline scenarios that do not include BDCP and with project scenarios that evaluate BDCP or the Alternatives. The issues discussed in (4) are specific to the inclusion of the BDCP as defined in the draft BDCP plan and identified as Alternative 4 in the Draft EIR/EIS.
This review focuses on water operations modeling using CalSim II. CalSim II is a computer program jointly developed by DWR and Reclamation. CalSim II presents a comprehensive simulation of State Water Project (SWP) and Central Valley Project (CVP) operations, and is used by DWR as a planning tool to predict future availability of water for the SWP. CalSim II is widely recognized as the most prominent water management model in California, and it is generally accepted as a useful and appropriate tool for assessing the water delivery capability of the SWP and the CVP.
Broadly speaking, CalSim II estimates, for various times of the year, how much water will be diverted, how much will serve as instream flows (e.g., flow in the rivers at various locations, such as Delta outflow), and how much will remain in the reservoirs. Within the context of the BDCP, CalSim II is used to estimate the amount of water that will be diverted from BDCP’s proposed North Delta Diversion (NDD) facilities. Thus, for BDCP, the CalSim II model estimates how much water will be diverted at the NDD facilities, how much flow will remain in the Sacramento River below Hood (the approximate location of the NDD facilities), how much water will be diverted through the existing South Delta Diversion (SDD) facilities at Tracy, how much flow will leave the Delta by flowing out to the Bay, and how much water will remain in storage in upstream reservoirs (including Folsom Reservoir). The location and timing of the diversion and the amount of water remaining instream and in reservoirs are significant because they can cause impacts on species, water quality degradation, and the like.
The coding and assumptions included in the CalSim II model drive the results it yields. Data and assumptions, such as the amount of precipitation runoff at a certain measuring station or the demand for water by specific water users are input into the model. Criteria used to operate the CVP and the SWP (including current regulatory requirements) are included in the model as assumptions; because of the volume of water associated with the CVP and SWP, these operational criteria significantly influence the model’s results. Additionally, operational logic is coded into the CalSim II model to simulate how DWR and Reclamation would operate the system under circumstances for which there are no regulatory or otherwise definitive rules (e.g., when to move water from upstream storage to south of Delta storage). This attempt to specify (i.e., code) the logic sequence and the relative weighting that humans will use as part of their “expert judgment” is a critical element to the CalSim II model.
The model’s ability to reliably predict effects of a proposed action depends on the accuracy of its coding and its representation of operations criteria. In other words, the model’s results will be only as good as its data, coding, assumptions, and judgment and the knowledge of the modelers. For this reason, a detailed operating plan of existing facilities and the proposed facility is essential to create an accurate model of how a proposed action will affect existing water operations. In reviewing the BDCP modeling, it became apparent that coding errors and operating assumptions are inconsistent with the actual purposes and objectives of the CVP and SWP, thus limiting the utility and accuracy of the results.
The CalSim II model is the foundational model for analysis of the BDCP, including the effects analysis in the Draft BDCP and the impacts evaluation in the Draft EIR/EIS. Results from CalSim II are used to examine how water supply and reservoir operations are modified by the BDCP, and the results are also used by subsequent models to determine physical and biological effects, such as water quality, water levels, temperature, Delta flows, and fish response. Any errors and inconsistencies identified in the underlying CalSim II model are therefore present in subsequent models that estimate impacts on water quality, hydrodynamics in the Delta, economics, hydropower, and other parameters and adversely affect the results of analyses based on those subsequent models.
**No Action Alternative**
Water operations modeling assumptions used in CalSim II for the BDCP No Action Alternatives (NAA) are defined in the December 2013 Draft BDCP\(^1\) and associated draft EIR/S. Those assumptions include assumed changes to hydrology cause by climate change, so the NAA includes that assumed climate change. Assumptions affecting modeling results for Folsom Reservoir and the American River are the focus of this review. Because Folsom Reservoir is operated as an integral part of the CVP, system-wide assumptions affect conditions on the American River and these assumptions are included in this review. Demands for American River supplies also influence American River storage and flow conditions, therefore demand assumptions are included in this review. Because climate change assumptions not only affect system-wide operations, but have a significant influence on American River operations, these assumptions are reviewed to understand the basis for the NAA model results. In addition to input assumptions, the NAA operation depicted by CalSim II is reviewed for reasonableness.
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\(^1\) The detailed assumptions are stated in BDCP draft EIR/EIS Appendix 5A.
Each of the NAA assumes the same regulatory requirements, generally representing the existing regulatory environment at the time of study formulation (February 2009), including Stanislaus ROP NMFS BO (June 2009) Actions III.1.2 and III.1.3, Trinity Preferred EIS Alternative, NMFS 2004 Winter-run BO, NMFS BO (June 2009) Action I.2.1, SWRCB WR90-5, CVPIA (b)(2) flows, NMFS BO (June 2009) Action I.2.2, American River Flow Management NMFS BO (June 2009) Action II.1, no SJRRP flow modeled, Vernalis SWRCB D1641 Vernalis flow and WQ and NMFS BO (June 2009) Action IV.2.1, Delta D1641 and NMFS Delta Actions including Fall X2 FWS BO (December 2008) Action 4, Export restrictions including NMFS BO (June 2009) Action IV.11.2v Phase II, OMR FWS BO (December 2008) Actions 1-3 and NMFS BO (June 2009) Action IV.2.3v. The modeling protocols for the recent USFWS BO (2008) and NMFS BO (2009) have been cooperatively developed by Reclamation, NMFS, U.S. Fish and Wildlife Service (USF&WS), California Department of Fish and Wildlife (CDF&W), and DWR.
**American River Basin Demands**
BDCP model inputs were reviewed to understand demand assumptions for water purveyors in the American River Basin. Table 1 is a summary of average annual demands used in CalSim II by the BDCP modeling at both the existing (Existing Conditions) and future (NAA) levels of development. The Existing Conditions model run was not used in the analysis of project effects, but is provided for reference. A single level of demand was used to represent the two future conditions simulated, early long term (ELT) and late long term (LLT) that represent planning horizons of approximately 2025 and 2060, respectively.
There are several problems with the demands summarized in Table 1. Existing Conditions are approximately representative of current demands. Future demands for Placer County Water Agency (PCWA) are not representative of current projections. PCWA diverts water at the American River Pump Station and delivers water into Folsom Reservoir for diversion by San Juan Water District (SJWD), Sacramento Suburban Water District (SSWD), and the City of Roseville (Roseville). The total projected annual demand for these four entities is approximately 120,000 acre-feet. Demands represented in the BDCP modeling total between 64,000 and 81,000 acre-feet annually, depending on the annual demand of SSWD. One error that contributes to underestimating PCWA’s future demand is the assumption that Roseville will take only 5,000 acre-feet of their 30,000 acre-feet of contract supply from PCWA. Most future level of development CalSim II studies, such as those produced for the 2013 State Water Project Delivery Reliability Report, assume Roseville’s demand for water from PCWA is 30,000 acre-feet. Roseville’s 2010 urban water management plan projects that Roseville will have a demand for its 30,000 acre-feet per year of PCWA water by 2025.\(^2\)
A second concern is that the BDCP modeling assumes that demands will increase significantly over the next 11 years, from Existing Conditions to ELT at approximately 2025, but then remain unchanged over the next 35 years to LLT conditions in 2060. Issues with this assumption are in part illustrated by reference to the City of Sacramento’s most recent (2010) Urban Water Management Plan which identifies water demands continuing to increase as a result of development through at least 2035. For example, that UWMP projects total year 2030 demands within the retail service area and wholesale demands to be 250,000 acre-feet and year 2035 demands to be 261,000 acre-feet.
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\(^2\)Roseville’s 2010 urban water management plan is available at https://www.roseville.ca.us/eu/water_utility/water_efficiency/plan.asp.
Another demand-related issue with the NAA and the with-Project scenarios is that BDCP modeling does not simulate diversion limitations at the Fairbairn water treatment plant when releases from Nimbus Reservoir are below the “Hodge Flows” limits that apply to the City of Sacramento’s diversions at Fairbairn. These limitations are included as terms in the City of Sacramento water right permits, and therefore are known and should be accurately reflected in the BDCP modeling.\(^3\) This omission affects modeling of flows in the lower American River downstream of Fairbairn and simulated diversions at Fairbairn and the Sacramento River Intake.
### Table 1. American River Basin Demand Assumptions
| Water Purveyor | Existing Conditions (1,000 acre-feet) | NAA (1,000 acre-feet) |
|----------------------------------------------------|--------------------------------------|-----------------------|
| Placer County Water Agency (PCWA) | 35.5 | 35.5 |
| PCWA – CVP contract | 0.0 | 35.0 |
| City of Folsom | 27.0 | 27.0 |
| City of Folsom – CVP contract | 7.0 | 7.0 |
| Folsom Prison | 2.0 | 5.0 |
| San Juan Water District (SJWD) | 33.0 | 33.0 |
| SJWD - from PCWA | 17.0 | 24.0 |
| SJWD – CVP contract | 11.2 | 24.2 |
| City of Roseville - from PCWA | 5.0 | 5.0 |
| City of Roseville – CVP contract | 32.0 | 32.0 |
| Sac. Suburban Water District (SSWD) - from PCWA | 0.0 - 17.0 | 0.0 - 17.0 |
| El Dorado Irrigation District (EID) | 0.0 | 17.0 |
| EID – CVP contract | 7.55 | 7.55 |
| El Dorado County – CVP contract | 4.0 | 15.0 |
| So. Cal. Water Company /Arden Cordova Water Service| 5.0 | 5.0 |
| California Parks and Recreation | 1.0 | 5.0 |
| Sacramento Municipal Utilities District (SMUD) | 15.0 | 15.0 |
| SMUD – CVP contract | 5.0 | 30.0 |
| City of Sacramento (Fairbairn and Sacramento River)| 120.3 | 245.0 |
| City of Carmichael | 12.0 | 12.0 |
| Sacramento County Water Agency Total (SCWA) | 15.0 | 109.7 |
| SCWA – CVP contract | 10.0 | 45.0 |
| East Bay Municipal Utilities District – CVP contract| N/A | up to 112.0 |
**Climate Change**
\(^3\) Water right permit numbers 11358, 11359, 11360, and 11361.
Analysis presented in the BDCP draft plan and draft EIR/EIS attempts to incorporate the effects of climate change at two future climate periods: ELT at approximately the year 2025; and LLT at approximately 2060. Although BDCP modeling includes both the ELT and LLT, the EIR/EIS relies on the LLT and only includes the ELT in Appendix 5. As described in the BDCP draft plan and draft EIR/EIS\(^4\), other analytical tools were used to determine anticipated changes to precipitation and air temperature that is expected to occur under ELT and LLT conditions. Projected precipitation and temperature were then used to determine how much water is expected to flow into the upstream reservoirs over an 82-year period of variable hydrology; these time-series were then input to the CalSim II model.
A second aspect of climate change, the anticipated amount of sea level rise, is incorporated into the CalSim II model by modifying a subroutine that determines salinity within the Delta based on flows within Delta channels. Effects of sea level rise will manifest as a need for additional outflow when Delta water quality is controlling operations to prevent seawater intrusion. In this technical memorandum, we do not critique the climate change assumptions themselves, except in the limited manner described below.\(^5\) This review is limited to evaluating how modified flows were incorporated into CalSim II and whether the operation of the CVP and SWP in response to modified flows and modified flow-salinity relationship is reasonable for ELT and LLT conditions. This review focuses on assumed underlying hydrology and simulated operation of the CVP and SWP, assumed regulatory requirements, and the resultant water deliveries.
To assess climate change, the three without Project (“baseline” or “no action”) modeling scenarios were reviewed: No Action Alternative (NAA)\(^6\), No Action Alternative at the Early Long Term (NAA – ELT), and No Action Alternative at the Late Long Term (NAA –LLT). Assumptions for NAA, NAA-ELT, and NAA-LLT are provided in the Draft EIR/EIS’s modeling appendix\(^7\). The only difference between these scenarios is the climate-related changes made for the ELT and LLT conditions (Table 2).
**Table 2. Scenarios Used to Evaluate Climate Change**
| Scenario | Climate Change Assumptions |
|-----------------------------------------------|----------------------------|
| | Hydrology | Sea Level Rise |
| No Action Alternative (NAA) | None | None |
| No Action Alternative at Early Long Term | Modified reservoir inflows| 15 cm |
| (NAA-ELT) | and runoff for expected | |
| | conditions at 2025 | |
| No Action Alternative at Early Long Term | Modified reservoir inflows| 45 cm |
| (NAA-LLT) | and runoff for expected | |
| | conditions at 2060 | |
Differences between the NAA and NAA-ELT reveal effects of climate change assumptions under ELT conditions; similarly, differences between the NAA and NAA-LLT reveal effects of climate change assumptions under LLT conditions.
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\(^4\) BDCP EIR/EIS Appendix 5A, Section A and BDCP HCP/NCCP plan Appendix 5.A.2
\(^5\) This should not be read to imply that climate change assumptions are reasonable or considered correct or incorrect; the limited review reflects the scope of this memorandum.
\(^6\) NAA is also called the Existing Biological Conditions number 2 (EBC-2) in the Draft Plan.
\(^7\) BDCP EIR/EIS Appendix 5A, Section B, Table B-8.
There is considerable uncertainty regarding the effects of climate change on future temperature and precipitation. Analysis of only one potential future condition at different planning horizons does not cover the range of potential effects. While other analyses attempt to bracket the range of climate change effects (e.g. 2008 OCAP analysis\(^8\)) on proposed projects, BDCP’s entire effects analysis is based on a single climate change scenario. Standard practice for modeling CVP and SWP operations is to impose future demand projections on historical hydrology to develop No Action Alternatives. BDCP did not follow the standard practice of evaluating effects of BDCP using historical hydrology, but relied solely on one climate change scenario to form the basis of their analysis.
The significance of changed hydrology between the three without project baselines (NAA, NAA-ELT, and NAA-LLT) is illustrated below in Figure 1. The figure illustrates the projected combined inflow of Trinity, Shasta, Oroville, and Folsom Reservoirs under the NAA and the change relative to the NAA for the NAA-ELT and NAA-LLT baselines. BDCP baselines show Trinity, Shasta, and Oroville inflow are projected to increase overall, but with a significant shift from spring runoff to winter runoff and increases in wetter years with decreases in drier years.
\(^8\) USBR, 2008. Biological Assessment on the Continued Long-term Operations of the Central Valley Project and the State Water Project, Appendix R Sensitivity of Future Central Valley Project and State Water Project Operations to Potential Climate Change and Associated Sea Level Rise, U.S. Bureau of Reclamation, July 2008.
The effect of assumed climate change on average annual Folsom Reservoir inflow in the NAA-ELT scenario is minor, but causes decreases in inflow of about 70 TAF in the NAA-LLT scenario. The spring to winter shift in runoff is also projected for Folsom Reservoir inflow. Figure 2 is an illustration of Folsom inflow under the NAA and the change relative to NAA for the NAA-ELT and NAA-LLT baselines. To properly incorporate climate change into modeling of Folsom Reservoir and the American River, climate change effects must be applied to flows and reservoirs upstream from Folsom, which was not done. There is significant storage capacity in the upper American River watershed in PCWA’s Middle Fork Project and the Sacramento Municipal Utility District’s (SMUD) Upper American River Project. The
operation of Folsom is significantly affected by changes in upstream conditions and operations.\(^9\) Because climate change in BDCP modeling is imposed on the American River by adjusting only the inflow to Folsom only, however, the effect on the American River is likely misrepresented in the BDCP NAA-ELT and NAA-LLT scenarios.
**Figure 2. Projected Inflow to Folsom Reservoir – NAA, NAA-ELT and NAA-LLT**
Comparison of inflow changes illustrated in Figure 1 and Figure 2 show the effects of climate change are large in the American River Basin relative to changes in other river basins. Total changes illustrated in
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\(^9\) SMUD’s Upper American River Project alone is estimated to have water storage capacity of about 430,000 acre-feet. “The History of SMUD’s UARP”, Sacramento Municipal Utility District (2001).
Figure 1 shows wetter conditions in wet years and drier conditions in dry years when considering the four basins together. However, climate change in the American River Basin for the LLT shows drier conditions in all year-types. Additionally, a large percentage of the dry and critical year inflow reduction, 57 and 37 percent respectively, for the combined four basins occur in the American River Basin. By comparison, runoff from the American River at Folsom is approximately 20 percent of the sum of runoff of the Trinity, Sacramento, Feather, and American rivers.
Changes in Folsom inflow can affect American River operations in a variety of ways, such as changes in lower American River flows based on the June 2009 NMFS BO Action II.1 (American River Flow Management), availability of water to M&I purveyors in the American Region Basin, and flood control operations in Folsom Reservoir. Climate change is imposed on the American River Basin by adjusting Folsom inflow without adjustments to operations upstream from Folsom. Lower American River flow requirements are calculated and adjusted using several different indices that include forecasted inflow to Folsom, end-of-September storage in Folsom and upstream reservoirs, forecasted Folsom storage, and the Sacramento River Index. Water deliveries from Folsom are partially based on water supply in upstream reservoirs. Required flood reservation space in Folsom Reservoir is affected by storage in upstream reservoirs. Because Folsom Reservoir operation is affected by storage conditions upstream from Folsom, climate change must be applied to the entire American River basin to properly analyze conditions with climate change.
For Folsom and other upstream CVP and SWP reservoirs, the shift of in timing of inflows along with a continuing need to satisfy downstream environmental requirements and demands significantly affects carryover storage. Because of climate change’s assumed effect on hydrology and the lack of CVP/SWP operational adaptations in the BDCP modeling, the CVP and SWP simply cannot satisfy water demands and regulatory criteria imposed on them in the NAA-ELT and NAA-LLT modeling scenarios. Figure 3 illustrates change in carryover storage in Folsom Reservoir. The relatively high frequency (approximately 10% of time) of minimum storage occurring at Folsom Reservoir leads us to question whether the NAAs reflect credible or defensible operations. The projected occurrences of low and dead storage conditions projected by the BDCP modeling result in severe reduction of flow available to sustain habitat in the Lower American River and severe reductions in water supply reliability.
**Figure 3. Folsom Reservoir Carryover Storage**
| Year Type | NAA | NAA_ELT | NAA_LL |
|-----------|-----|---------|--------|
| W | -42 | -115 | |
| AN | -54 | -128 | |
| BN | -58 | -136 | |
| D | -43 | -112 | |
| C | -43 | -68 | |
| All | -47 | -113 | |
End of September Storage (1000 AF)
Probability of Exceedance (%)
Assumed effects of climate change and lack of adaptation reduces CVP water supply allocations to American River CVP Water Service Contractors. Figure 4 contains exceedance probability plots of CVP M&I allocations for the NAA, NAA-ELT, and NAA-LLT scenarios. Full allocations are made 40% of the time under the NAA, this is reduced to about 30% in the NAA-ELT, and full allocations are made about 25% of the time in the NAA-LLT. The occurrence of 50% allocation increases from about 4% in the NAA to about 7% in the NAA-ELT and to about 12% in the NAA-LLT. In addition to reduced water service contract allocations, water supply allocations under any right cannot be satisfied due to low storage levels in Folsom Reservoir and low flow in the Lower American River. It is not physically possible to divert water for M&I use from Folsom Reservoir when reservoir storage drops below about 100,000 acre-feet because, at that level, the M&I intake in the reservoir would be dry. In addition, flows in the lower American River below about 500 cfs make it impossible for the City of Sacramento to divert water at its Fairbairn diversion. The water-supply and other effects of these physical conditions occurring in the NAA scenarios are not identified or evaluated in the draft BDCP EIR/EIS.
**Figure 4. CVP North of Delta M&I Water Service Contract Allocation**
If climate change were to result in significant inflow changes, it is highly likely that certain underlying operating criteria such as instream flow requirements and flood control diagrams would also require changes. For example, the CVP and SWP are unlikely to draw reservoirs to dead pool as often as the NAAs depict. The NAA-ELT and NAA-LLT model scenarios show that, in 10% of years, Folsom Lake levels would drop to a "dead pool" condition where diversions to M&I use from the reservoir would not be physically possible. As a result, in this scenario, the modeling implies that American River M&I deliveries from the reservoir would be below what is needed for public health and safety in 10% of years. Additionally, low storage in Folsom would lead to water temperature conditions that would likely be detrimental for listed species and not achieve the temperature objectives in the June 2009 NMFS BO Action II.2 (Lower American River Temperature Management). In addition to affecting fishery habitat in the lower American River, increases in temperature cause problems with water treatment for urban water supplies. In short, the NAA-ELT and NAA-LLT do not provide reasonable underlying CVP and SWP operations on which to superimpose the BDCP and evaluate effects of Alternatives.
In the Reviewers’ opinion, the CalSim II operations depicted in the NAA BDCP modeling that incorporate climate change do not represent a reasonably foreseeable future operation of the CVP and SWP. Although an argument is typically made that these NAAs will be used in a comparison analysis with Project Alternatives tiering from these NAAs, the Reviewers believe that the depicted NAA operations are so fundamentally flawed that there can be no confidence even in the comparative results. Therefore, results of the depicted operations are inappropriate as the foundation of technical analysis of a Project Alternative. As such, although the modeling approach may provide a relative comparison
between equal foundational operations, little confidence can be placed in the computed differences shown between the NAA and Project Alternative Scenarios.
**Conclusions Regarding No Action Alternatives**
BDCP No Action Alternatives include errors and omissions in American River demands and Fairbairn diversion limitations. However, the most significant issues with the NAAs are in operation of the CVP/SWP with climate change. The BDCP Model uses assumed future climate conditions that obscure the effects of implementing the BDCP. The future conditions assumed in the BDCP model include changes in precipitation, temperature, and sea level rise. The result of these assumptions is that BDCP’s modeled changes in water project operations and subsequent environmental impacts are caused by undefined combinations and inter-relations of three different factors: (1) sea level rise; (2) climate change; and (3) implementation of the alternative that is being studied.
The inclusion of climate change, without adaptation measures, results in insufficient water needed to meet all regulatory objectives and user demands. For example, the BDCP Model results that include climate change indicate that during droughts, water in reservoirs is reduced to the minimum capacity possible. Reservoirs have not been operated like this in the past during extreme droughts and the current drought also provides evidence that adaptation measures are called for long in advanced to avoid draining the reservoirs. In this aspect, the BDCP Model simply does not reflect a real future condition. Foreseeable adaptations that the CVP and SWP could make in response to climate change include: (1) updating operational rules regarding water releases from reservoirs for flood protection; (2) during severe droughts, emergency drought declarations could call for mandatory conservation and changes in some regulatory criteria similar to what has been experienced in the current and previous droughts;\(^{10}\) and (3) if droughts become more frequent, the CVP and SWP would likely revisit the rules by which they allocate water during shortages and operate more conservatively in wetter years. The modifications to CVP and SWP operations made during the winter and spring of 2014 in response to the drought supports the likelihood of future adaptations. The BDCP Model is, however, useful in that it reveals that difficult decisions must be made in response to climate change. But, in the absence of making those decisions, the BDCP Model results themselves are not informative, particularly during drought conditions. With future conditions projected to be so dire without the BDCP, the effects of the BDCP appear positive simply because it appears that conditions cannot get any worse (i.e., storage cannot be reduced below its minimum level). However, in reality, the future condition will not be as depicted in the BDCP Model. The Reviewers recommend that Reclamation and DWR develop more realistic operating rules for the hydrologic conditions expected over the next half-century and incorporate those operating rules into any CalSim II Model that includes climate change.
**Description of the BDCP Project**
The BDCP contemplates a dual conveyance system that would move water through the Delta’s interior or around the Delta through an isolated conveyance facility. The BDCP CalSim II files contain a set of studies evaluating the projected operation of a specific version of such a facility. Each Alternative was
\(^{10}\) See [www.waterboards.ca.gov/waterrights/water_issues/programs/drought/tucp.shtml](http://www.waterboards.ca.gov/waterrights/water_issues/programs/drought/tucp.shtml) for information concerning the SWRCB’s urgency drought orders for CVP/SWP operations this year.
imposed on two baselines: the NAA-ELT scenario and the NAA-LLT scenario. The BDCP Preferred Alternative, Alternative 4, has four possible sets of operational criteria, termed the Decision Tree. Key components of Alternative 4 ELT and Alternative 4 LLT are as follows:
The same system demands and facilities as described in the NAA with the following primary changes: three proposed North Delta Diversion (NDD) intakes of 3,000 cfs each; NDD bypass flow requirements; additional positive OMR flow requirements and elimination of the San Joaquin River I/E ratio and the export restrictions during Vernalis Adaptive Management Program; modification to the Fremont Weir to allow additional seasonal inundation and fish passage; modified Delta outflow requirements in the spring and/or fall (defined in the Decision Tree discussed below); relocation of the Emmaton salinity standard; redefinition of the E/I ratio; and removal of current permit limitations for the south Delta export facilities. Set within the ELT environment.
The changes (benefits or impacts) of the operation due to Alternative 4 are highly dependent upon the assumed operation of not only the NDD and the changed regulatory requirements associated with those facilities, but also by the assumed integrated operation of existing CVP and SWP facilities. The modeling of the NAA Scenarios introduces significant changes in operating protocols suggested primarily to react to climate change. The extent of the reaction does not necessarily represent a likely outcome, and thus the Reviewers have little confidence that the NAA baselines are a valid representation of a baseline from which to compare an action Alternative. However, a comparison review of the Alt 4 to the NAA illuminates operational issues in the BDCP modeling and provides insight as to where benefits or impacts may occur.
BDCP Alternative 4 has four possible sets of operational criteria, termed the Decision Tree, that differ based on the “X2” standards that they contemplate:
- Low Outflow Scenario (LOS), otherwise known as operational scenario H1, assumes existing spring X2 standard and the removal of the existing fall X2 standard;
- High Outflow Scenario (HOS), otherwise known as H4, contemplates the existing fall X2 standard and providing additional outflow during the spring;
- Evaluated Starting Operations (ESO), otherwise known as H3, assumes continuation of the existing X2 spring and fall standards;
- Enhanced spring outflow only (not evaluated in the December 2013 Draft BDCP), scenario H2, assumes additional spring outflow and no fall X2 standards.
While it is not entirely clear how the Decision Tree would work in practice, the general concept is that, prior to operation of the NDD, implementing authorities would select the appropriate decision tree scenario (from amongst the four choices) based on their evaluation of targeted research and studies to be conducted during planning and construction of the facility.
For this analysis, the Reviewers analyzed the HOS (or H4) scenario because the BDCP\(^{11}\) indicates the initial permit will include HOS operations that may be later modified at the conclusion of the targeted research studies. The HOS includes the existing fall X2 requirements but adds additional outflow
\(^{11}\) Draft BDCP, Chapter 3, Section 126.96.36.199.4
requirements in the spring. The model code was reviewed and discussed with DWR and Reclamation, who acknowledged that, although the SWP was bearing the majority of the responsibility for meeting the additional spring outflow in the modeling, the responsibility would need to be shared with the CVP under the CVP/SWP Coordinated Operations Agreement (COA)\(^{12}\). In subsequent discussions, DWR and Reclamation suggested the additional water for the HOS scenario may be purchased from other water users. However, the actual source of water for the additional outflow has not been defined. The actual source of the water will involve impacts that cannot be reflected in the modeling until the source is identified. While it is agreed that this is not how the projects would actually be operated, since the BDCP Model assumes that the SWP bears the majority of the responsibility for meeting the additional outflow, the Reviewers’ analysis of the BDCP modeling results for HOS is limited to the evaluation of how the SWP reservoir releases on the Feather River translate into changes in Delta outflow and exports.
The Reviewers’ remaining analysis examines the ESO (or H3) scenario (labeled Alt 4-ELT or Alt 4-LLT in this section) because it employs the same X2 standards as are implemented in the NAA-ELT and NAA-LLT. This allowed the Reviewers to focus the analysis on the effects of BDCP operations independent of the possible change in the X2 standard.
**High Outflow Scenario (HOS or H4) Results**
According to the Draft EIR/EIS\(^{13}\), the HOS will reduce SWP south of Delta water deliveries for municipal and industrial (M&I) water users 7% below the level that they would receive without the BDCP (on average). During dry and critical years, SWP south of Delta water deliveries for M&I and agricultural water users will drop 17% below the level that they would receive without the BDCP. In other words, according to BDCP modeling, SWP contractors would get less water with BDCP than under the NAA.
The shared CVP and SWP obligation to provide flow to satisfy Delta outflow requirements is described in the COA. Because the CVP and SWP share responsibility for meeting required Delta outflow based on that specific sharing (rules under the COA), it is not reasonable to conclude that CVP water supplies would increase an average of 70 TAF while SWP water supplies decrease on average of 100 TAF under the HOS. These results, however, are what the BDCP modeling projects for the HOS-LLT scenario. The manner in which this alternative is modeled is inconsistent with existing agreements and operating criteria. If the increases in outflow were met based on COA, there would likely be reductions in Shasta and Folsom storage that would likely cause adverse environmental impacts, which have not been modeled or analyzed in the BDCP EIR/S.
Furthermore, there is no apparent source of water to satisfy the increased outflow requirements and pay back the COA debt that the CVP would incur if the SWP were used to meet HOS requirements. It appears, through recent public discussions regarding the High Outflow Scenario, that BDCP anticipates additional water to satisfy the increased Delta outflow requirement and to prevent the depletion of cold water pools will be acquired through water transfers from upstream water users. However, this approach is unrealistic. During most of the spring months, when BDCP proposes that Delta outflow be increased, agricultural water users are not irrigating. This means that there is not sufficient transfer
---
\(^{12}\) August 7, 2013 meeting with DWR, Reclamation, and CH2M HILL
\(^{13}\) Draft EIR/EIS, Appendix 5A-C, Table C-13-20-2
water available to meet the increased Delta outflow requirements without releasing stored water from the reservoirs.
The overall effect of the HOS appears to be increases in Oroville releases to support both CVP and SWP exports in wetter years, with modest increases in Delta outflow. There is also a decrease in SWP reliability through large delivery reductions in drier years accompanied by Oroville storage increases. In addition to increases in dry and critical year storage in Oroville, total CVP dry and critical year carryover increases by 100 TAF and 380 TAF respectively with negligible reductions in wetter years types.
**American River Changes with Proposed Project**
The following section presents comparisons of model results and describes changes between the NAA-LLT and Alternative 4 H3 evaluated at LLT (referred to in this discussion as Alt 4-LLT) for key American River operations. These results focus on changes that directly impact American River water purveyors, flows, and temperatures in the American River downstream of Folsom Dam.
Based on a comparison of BDCP modeling of Alt4-LLT to NAA-LLT, there is a general trend for Folsom Reservoir to be drawn down more in Alt4-LLT during May and June and then remain lower until September. This change in storage is accompanied by increases in Lower American River flow in May and June and decreases from July through September. This shift in timing forms the basis of many concerns regarding impacts of BDCP on American River operations and environmental conditions.
BDCP modeling did not include a with-Project scenario without climate change. As a result of this omission it is impossible to clearly identify the effects of the Project separate from the effects of climate change.
Figure 5 is a comparison of simulated monthly Folsom Reservoir water surface elevations for the baseline and with-Project scenarios. A probability of exceedance chart for each month illustrates differences between the two model simulations and potential Project effects. Dashed horizontal lines indicate water surface elevations when groups of shutters on the intake device must be removed. For example, when the water surface elevation goes below approximately 430 feet, the first group of shutters must be removed. These lines are 30 feet above the top of shutter elevations for the three groups of shutters to account for water depth to prevent the formation of a vortex and cavitation at the intake which would prevent diversion.
Results presented in Figure 5 illustrate that Folsom Reservoir water surface elevation is lower under the with-Project scenario. The largest difference in Folsom elevation occurs from June through August and can affect temperature management by changing when shutters are removed. Shutters are removed from Folsom Dam's intakes in order to access colder water located lower in the reservoir. While removing shutters causes the temperature of water diverted and released from the reservoir to drop almost immediately, that effect does not cause release temperatures to remain cooler indefinitely. Accordingly shutters must be removed strategically.
The timing of shutter removal at Folsom Reservoir would change in the with-project condition. For example, in August the probability of all three shutters being in use is reduced from approximately 25 percent to 15 percent, and the probability of at least one shutter still in use is reduced from approximately 90 percent to 85 percent. Figure 6 is a comparison of simulated monthly Folsom
Reservoir storage for the baseline and with-Project scenarios. A probability of exceedance chart for each month illustrates differences between the two model simulations and potential Project effects. Dashed horizontal lines in Figure 6 represent storage levels below which M&I water purveyors cannot meet peak demands (322 TAF) with diversions from Folsom (illustrated for peak demand months only) or when M&I diversions are interrupted because water levels in Folsom are below the M&I intake (90 TAF). Results summarized in Figure 6 show that Folsom Reservoir storage is more likely to be lower under the BDCP Alt4-LLT than the NAA-LLT particularly in peak summer months. Lower storage impacts the ability of the water purveyors that divert directly from Folsom Reservoir, as well as downstream purveyors on the American River, to meet peak demands in the summer and increases the probability of M&I delivery interruptions.
Figure 5. NAA-LLT and Alt 4-LLT Simulated Folsom Reservoir Elevation
Probability of Exceedance (%)
- BDCP NAA LLT
- BDCP Alt4 LLT
Figure 6. NAA-LLT and Alt 4-LLT Simulated Folsom Reservoir Storage
Storage (1,000 ac-ft)
Probability of Exceedance (%)
- BDCP NAA LLT
- BDCP Alt4 LLT
Figure 7 and Figure 8 contain comparisons of simulated monthly flow at Nimbus and H Street for the NAA-LLT and Alt4-LLT scenarios. Results show that under the Alt4-LLT American River flow is higher in the months of May and June, and lower in July, August, and September. Higher releases in May and June drive changes in Folsom storage and water surface elevation seen in previous figures. Likewise, lower releases from July through September bring simulated end-of-September storage between the baseline and with-Project scenarios closer. BDCP modeling shows a higher probability of Lower American River flows being above Hodge Flows in May and June and a higher probability of flows being below Hodge Flows in July, August, and September. When Nimbus releases are below Hodge Flows, diversion limitations under the City of Sacramento’s American River water right permits for the Fairbarn Water Treatment Plant on the American River constrain the amount of water available to divert. The changes in American River flows will affect the location of the City of Sacramento’s diversion, but this is not reflected in the BDCP modeling. There are also limitations on the City’s Sacramento River diversion capability, which could interfere with any such shift in the location of diversions, and hence reduce the supply available to the City. This is not reflected in the BDCP modeling. In the Alt 4-LLT the City of Sacramento will be able to divert more water from the American River at Fairbarn during May and June and less during August and September.
Flow in the lower American River at H Street drops below 500 cfs in both the NAA-LLT and Alt4-LLT. This is critical for the City of Sacramento because their ability to divert water from the American River is affected when flow at H Street falls below 500 cfs due to the potential for pump cavitation. There are times when American River at H Street falls below 500 cfs more often in Alt 4-LLT than in the NAA-LLT. Water availability to the City of Sacramento, including under its settlement contract with Reclamation\(^{14}\), would be curtailed or eliminated on the American River when water levels in Folsom Reservoir drop below to dead pool level of 90,000 AF.
Changes in Nimbus release under the Alt4-LLT would likely affect cold-water pool management and water temperatures downstream of Folsom Dam. Increased releases in May and June would reduce cold-water pool, lower reservoir water surface elevation, and require shutters to be removed earlier. Removing shutters earlier would drain Folsom Reservoir's limited cold-water pool more rapidly and potentially impact salmon and steelhead in the lower American River by resulting in warmer river temperatures. From July through September temperature management would be affected by the combination of a reduced cold-water pool and lower releases from Nimbus, i.e. lesser amounts of warmer water would be released and warm up quicker as it flows downstream.
The change in timing of release from Folsom Reservoir is caused in the Alt 4-LLT by BDCP using of different assumptions for balancing reservoirs upstream of the Delta with San Luis Reservoir in Alt 4-LLT relative to assumptions in the NAA. In other words, the BDCP operations triggered changes in the timing of Folsom Reservoir releases. These balancing rules attempt to move more water into San Luis Reservoir earlier in the year in the with-Project scenario. It is unclear why BDCP modeling changed these assumptions to simulate Project alternatives.
\(^{14}\) Operating Contract No.14-06-200-6497.
Figure 9 contains comparisons of simulated monthly flow in the Sacramento River at the confluence of the American River for the NAA-LLT and Alt4-LLT scenarios. When Sacramento River elevation falls below two feet above sea level (NGVD 1929) the City of Sacramento’s intake structure capacity is reduced. Elevation 2.0 occurs when the flow rate is between approximately 5,000 cfs and 9,000 cfs and depends on tidal variation. Moreover, flow rates below 5,000 cfs may result in cavitation or vortexing, causing significant pump damage. Based on CalSim II modeling results, the frequency of the Sacramento River falling below 6,000 cfs is similar in the NAA-LLT and Alt4-LLT.
Figure 7. NAA-LLT and Alt 4-LLT Simulated Nimbus Release
Probability of Exceedance (%)
- BDCP NAA LLT
- BDCP Alt4 LLT
- Hodge Flow
Figure 8. NAA-LLT and Alt 4-LLT Simulated H Street Flow
- BDCP NAA LLT
- BDCP Alt4 LLT
- Hodge Flow
Probability of Exceedance (%)
Figure 9. NAA-LLT and Alt 4-LLT Simulated Sacramento River Flow at the American River
- BDCP NAA LLT
- BDCP Alt4 LLT
- Sac. River Intake Affected
Figure 10 is an exceedance probability plot of CVP North of Delta M&I Water Service Contract Allocation for the NAA-LLT and Alt4-LLT. Changes in these allocations would affect the numerous CVP water-service contractors in the American River Basin, including the cities of Folsom and Roseville, Placer County Water Agency, SMUD and Sacramento County Water Agency. Average annual allocation to CVP M&I water service contractors is about 78% and increases by about one half of one percent in Alt 4-LLT compared to NAA-LLT. Although allocation never falls below 50%, deliveries are not always met due to low reservoir and river flows.
BDCP’s “High Outflow Scenario” is not sufficiently defined for analysis.
The High Outflow Scenario (HOS) requires additional water (Delta outflow) during certain periods in the spring. The BDCP modeling places most of the responsibility for meeting this new additional outflow requirement on the SWP. However, the SWP may not actually be responsible for meeting this new additional outflow requirement. This is because COA would require a water allocation adjustment that would keep the SWP whole. Where one project (CVP or SWP) releases water to meet a regulatory requirement, the COA requires balancing to ensure the burden does not fall on only one of the projects. The BDCP modeling is misleading because it fails to adjust project operations, as required by the COA, to “pay back” the water “debt” to the SWP due to these additional Delta outflow requirements. Unless there is a significant revision to COA, the BDCP modeling overstates the impacts of increased Delta outflow on the SWP and understates the effects on the CVP, including Folsom Reservoir and the Lower American River.
Furthermore, based on the information made available from the BDCP environmental review process and after consulting with DWR and Reclamation project operators and managers, the Reviewers conclude that there is no apparent source of CVP or SWP water to satisfy both the increased Delta outflow requirements and pay back the COA “debt” to the SWP without substantially depleting upstream water storage. It appears, through recent public discussions regarding the High Outflow Scenario, that BDCP anticipates additional water to satisfy the increased Delta outflow requirement and to prevent the depletion of cold water pools will be acquired through water transfers from upstream water users. However, this approach may be unrealistic. During most of the spring, when BDCP proposes that Delta outflow be increased, agricultural water users, who are the only source of water in adequate volumes, are not irrigating. This means that they cannot transfer water during that time frame, and hence there is not sufficient transfer water available to meet the increased Delta outflow requirements without releasing stored water from the reservoirs. Releasing stored water to meet the increased Delta outflow requirements would deplete cold water pools and could potentially impact salmonids on the Sacramento and American River systems.
Technical Memo
Effects of Implementation of the Bay Delta Conservation Plan
As Evaluated in the Draft Environmental Impact Report/Environmental Impact Statement on Central Valley Steelhead and Fall-run Chinook Salmon in the Lower American River
Prepared for Placer County Water Agency
Prepared by Cardno ENTRIX
July 2014
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| 1.0 Introduction | 1 |
| 2.0 Adverse Impacts to Central Valley Steelhead and Fall-Run Chinook Salmon in the Lower American River | 1 |
| 2.1. Lower American River Setting | 2 |
| 2.2. Status of Central Valley Steelhead | 4 |
| 2.3. Status of Fall-Run Chinook Salmon | 4 |
| 2.4. Key Life History Information and Temperature Requirements | 5 |
| 2.5. Existing Habitat Conditions | 6 |
| 2.6. Habitat Conditions under BDCP Future Conditions | 6 |
| 2.7. BDCP Temperature Significance Criteria | 8 |
| 3.0 Conclusion | 9 |
| 4.0 References | 10 |
1.0 INTRODUCTION
This technical memo provides an evaluation of the effects of implementation of the Bay Delta Conservation Plan (BDCP), as evaluated in the December 2013 Draft Environmental Impact Report/Environmental Impact Statement (Draft EIR/EIS), on Central Valley (CV) steelhead (*Onchorhynchus mykiss*) (Federally Threatened, 71 Federal Register [FR] 834) and fall-run Chinook salmon (*O. tshawytscha*) (Federal Species of Concern, 69 FR 19975) in the Lower American River (LAR). The evaluation focuses on Folsom Reservoir operations and resulting physical habitat/temperature conditions for CV steelhead and Chinook salmon in the LAR.
The effects analysis in the Draft EIR/EIS is fundamentally flawed and fails to disclose significant adverse impacts on CV steelhead and fall-run Chinook salmon and their habitat in the LAR (critical CV steelhead and non-natal spring-run Chinook salmon critical habitat, 70 FR 52488, Sept. 2, 2005, and Essential Fish Habitat for Chinook salmon, 73 FR 60987, Oct. 15, 2008). If properly evaluated, the information provided in the Draft EIR/EIS would result in National Marine Fisheries Service (NMFS) issuing a jeopardy opinion under the Federal Endangered Species Act (ESA) for the BDCP effects on CV steelhead in the LAR based on the modeled Folsom Reservoir and LAR operations. Similarly, significant unmitigated impacts under California Environmental Quality Act (CEQA) and National Environmental Policy Act (NEPA) would exist for both CV steelhead and fall-run Chinook salmon in the LAR.
By failing to disclose impacts from implementation of the BDCP on anadromous fish in the LAR, the Draft EIR/EIS does not comply with CEQA (California Public Resources Code §21000 et seq.), or NEPA (42 U.S.C. 4321 et seq.). To comply with CEQA and NEPA, the underlying modeling assumptions, alternatives analysis, and impact analysis in the Draft EIR/EIS requires substantial modification such that re-circulation of the document is necessary.
The following discussion identifies adverse impacts to CV steelhead and fall-run Chinook salmon in the LAR under future operations of the Central Valley Project (CVP)/State Water Project (SWP).
2.0 ADVERSE IMPACTS TO CENTRAL VALLEY STEELHEAD AND FALL-RUN CHINOOK SALMON IN THE LOWER AMERICAN RIVER
The following identifies impacts to CV steelhead and fall-run Chinook salmon in the LAR under operations of the CVP/SWP, as modeled in the Draft EIR/EIS. The impacts are based on comparing modeled existing and future BDCP habitat and water temperature conditions. The discussion first describes the LAR setting, summarizes the current status of CV steelhead and fall-run Chinook salmon, describes key life history information and temperature requirements, reviews existing habitat conditions in the LAR (including key environmental stressors), and discusses the BDCP temperature significance criteria in the Draft EIR/EIS. The discussion then characterizes habitat conditions in the LAR under future BDCP operations of the CVP/SWP compared to existing conditions and identifies the resulting adverse impacts to CV steelhead and fall-run Chinook salmon.
2.1. LOWER AMERICAN RIVER SETTING
The American River is a major tributary to the Sacramento River. Historically, it provided over 125 miles of anadromous salmonid habitat (CV steelhead, Chinook salmon). The majority of the historical spawning and rearing habitat existed upstream of present-day Nimbus and Folsom dams (NMFS 2009; Yoshiyama et al. 2001). Since 1955, after construction of Folsom and Nimbus dams, use of the American River by anadromous fish has been limited to the lowest 22.5 miles of river downstream of Nimbus Dam (LAR). The Nimbus Fish Hatchery was built immediately downstream of Nimbus Dam in 1955 to mitigate for lost anadromous fish habitat due to construction of the Folsom-Nimbus Project (the adjacent American River Trout Hatchery was constructed in 1968 to rear resident salmonids).
Historically, summer and early fall habitat conditions in the LAR were relatively unsuitable for cold water salmonids due to naturally low flows and high water temperatures in the summer – fall (as high as 75-80°F) (Gerstung 1971). The Folsom-Nimbus Project modified the hydrology of the LAR. Currently, winter/spring flows in the LAR are much lower than historical flows and summer – fall flows are much higher (NMFS 2009). Folsom Reservoir provides a source of summer cold water for the LAR from the hypolimnion of the reservoir. However, the LAR is on the Central Valley floor at an elevation of approximately 100 feet (ft) above sea level. Summer and early fall air temperatures are very warm, with peak daily temperatures frequently above 100°F. Under existing conditions, water temperature in the LAR is colder in the summer – early fall, but warmer in the late-fall – winter than historical water temperatures (Reclamation 2008; NMFS 2009).
Extensive effort has been made to provide and maintain water temperatures in the LAR suitable for the remaining CV steelhead and fall-run Chinook salmon habitat and the two cold water fish hatcheries. Most of the cold water rearing and spawning habitat in the LAR occurs in the upper 13-mile portion (Nimbus Dam downstream to Watt Avenue [River Mile (RM) 9.4]), because the downstream portion of the river is generally too warm, in spite of, the cold hypolimnetic releases from Folsom Reservoir. Selective withdrawal shutters have been installed on the three powerhouse intakes and the municipal water intake at Folsom Dam to provide cold water management capability for the LAR. Detailed temperature modeling and reservoir operations scheduling are performed each year to obtain the best summer temperature conditions for CV steelhead, fall temperature conditions for fall-run Chinook salmon, and summer/fall temperature conditions for the hatcheries.
Water temperature management of the LAR is challenging and water temperatures are impaired for cold water fish under existing conditions, particularly in drier/low storage years due to high summer/fall temperatures (NMFS 2009; Reclamation 2008; Water Forum 2005; CDFW 2001). In addition to management for LAR water temperature (salmonid species and the fish hatcheries), Folsom Reservoir storage is also managed to meet Delta water quality objectives and deliveries to municipal and industrial (M&I) and agricultural water users. LAR water temperature is severely constrained by the limited amount of storage available in Folsom Reservoir. The amount of cold water pool available for release to the LAR is directly related to
the amount of storage in the reservoir at the beginning of the summer when reservoir stratification occurs. In drier years and/or when the storage in Folsom Reservoir is drawn down heavily to meet downstream demands (e.g., Delta water quality requirements, water exports, etc.), the cold water pool is not large enough to provide sufficient cold water releases for CV steelhead juvenile rearing (June – September), fall-run Chinook salmon spawning (October – December), and summer/fall hatchery operations. Water temperature management for both CV steelhead and fall-run Chinook salmon, particularly in low Folsom storage years, requires tradeoffs between releasing cool water in the summer for CV steelhead rearing or saving some cool water until the fall for fall-run Chinook spawning/incubation.
The Nimbus and American River fish hatcheries at the top of the LAR reach obtain their 20-60 cubic feet per second (cfs) water supply from the Nimbus Dam. Water temperatures are typically within the suitable range for Chinook salmon and CV steelhead, except in the summer – fall. When water temperatures exceed 60°F, fish are treated with chemicals to prevent disease. As temperatures continue to increase, treatment becomes difficult and water temperatures become increasingly dangerous to fish. Hatchery personnel and Reclamation routinely meet to determine a compromise for operations of Folsom Dam to release cooler water. If water temperatures exceed 70°F, the fish may have to be released or moved to another hatchery (Reclamation 2008). In an unprecedented operation this year, 2014, due to anticipated warm water temperatures, California Department of Fish and Wildlife (CDFW) determined in June that it was necessary to release all CV steelhead juveniles early from the Nimbus Fish Hatchery (released at a small size and much lower survival potential) and moved all trout from the American River Trout Hatchery rather than risk potential mortality to fish due to warm summer water temperatures.
Reclamation is required each year to prepare a draft Operations Forecast and Temperature Management Plan for Folsom Reservoir and the LAR and submit it to NMFS for review by May 1 and a final plan by May 15. The plan can be updated, but requires NMFS approval for deviations. The NMFS biological opinion temperature requirement is 65°F (daily average) in the LAR at Watt Avenue from May 15 through October 31 for CV juvenile steelhead rearing. If this temperature is exceeded for three consecutive days, or is exceeded by more than 3°F for a single day, Reclamation is required to notify NMFS in writing and convene the American River Group (ARG) to make recommendations regarding potential cold water management alternatives to improve water temperature, including potential power bypasses. If the May Operations Forecast and Temperature Management Plan identifies that Reclamation cannot meet the 65°F NMFS requirement because of insufficient cold water pool in the reservoir, after taking all actions within its authority, then the target daily average water temperature schedule\(^1\) at Watt Avenue may be increased incrementally (i.e., no more than 1°F every 12 hours) to as high as 68°F. The priority for use of the temperature control shutters at Folsom Dam is to achieve the water temperature requirement for CV steelhead and, thereafter, may also be used to provide cold water for fall-run Chinook salmon spawning (RPA Action II.1, NMFS 2011).
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\(^1\) Automated temperature selection procedure schedules are identified in the LAR Flow Management Standard.
2.2. **STATUS OF CENTRAL VALLEY STEELHEAD**
CV steelhead have been extirpated from most of their historical range and their numbers are a fraction of their historical abundance due to blockage of freshwater habitats (e.g., dams), habitat degradation/destruction, water allocation, and possibly genetic introgression with hatchery fish. It has been estimated that CV steelhead habitat has been reduced from 6,000 miles historically to 300 miles currently. In 1996, NMFS estimated that fewer than 10,000 CV steelhead existed throughout its present-day range (from a combination of dam counts, hatchery returns, and spawning surveys).
CV steelhead were listed as threatened in 1998 (reaffirmed in 2006), including naturally spawned CV steelhead in the American River. The Nimbus Fish Hatchery population in the American River was not listed because it was originally derived from out of basin fish, however, recent genetic information suggests that the status of the Nimbus Fish Hatchery population should be reconsidered (NMFS 2011). Critical CV steelhead habitat was designated in 2005, including all of the American River below Nimbus Dam.
One of the primary goals of the CV steelhead recovery plan (NMFS 2009) is to secure and improve all extant populations. In the American River, the extant CV steelhead population is confined to the LAR; however, 100% of the historical spawning habitat (located upstream of Nimbus Dam) is no longer accessible. Only a few hundred fish currently spawn naturally in the LAR (NMFS 2009). A relatively small percentage of CV steelhead redds are from natural spawned fish (i.e., non-hatchery fish without adipose clips) (Hannon and Deason 2008). In 2014, 112 CV steelhead redds were observed in the LAR (American River Group, Meeting Notes April 17, 2014). Currently, rearing and spawning habitat primarily exists in the upper 13 miles of the LAR. Ninety percent of spawning occurs above Watt Avenue (RM 9.4) (Hannon and Deason 2008). CV steelhead rearing habitat during the summer is particularly limited in the LAR due to warm summer water temperature (see below) and most juvenile rearing, similar to spawning habitat, occurs upstream of Watt Avenue.
Nimbus Fish Hatchery currently produces about 430,000 steelhead annually. The hatchery steelhead population is operated as a “segregated population” to mitigate for recreational fishery losses from the dam and is not used to enhance natural CV steelhead. The hatchery is operated to the extent possible to minimize effects on the limited natural population (California HSRG 2012).
2.3. **STATUS OF FALL-RUN CHINOOK SALMON**
Four seasonal runs of Chinook salmon occur in the Sacramento-San Joaquin River system. The runs are named after the upstream migration season – winter, spring, fall, and late-fall. Central Valley fall/late fall-run Chinook salmon were lumped together and jointly classified as a Federal Species of Concern in 2004. These two runs are separate runs, however, with the late-fall run occurring primarily only in the Sacramento River (Moyle et al. 2008), whereas, fall-run Chinook salmon occur throughout the Central Valley. Fall-run Chinook salmon are the only Chinook salmon run extant in the American River. Spring-run Chinook (listed as threatened 1996) were
extirpated from the American River historically and it is uncertain whether or not a late fall-run existed in the American River (Yoshiyama et al. 2001). Approximately 70% of the historical spawning habitat used by Chinook salmon in the American River was blocked by the Folsom-Nimbus Project.
CV fall-run Chinook salmon are currently and were historically the most abundant Chinook salmon run in the Central Valley (Moyle 2002; Williamson 2006). Since the 1950’s escapement has been relatively robust with various cycles of years with low escapement of <100,000 fish (e.g., 1990 and 2007-2009) and years with high escapement >400,000 fish (e.g., 1999-2005 and 2013). The CV fall-run Chinook salmon in the LAR have similar abundance cycles to those of the larger population in the Central Valley. On average 17% of the total Central Valley escapement (48,000 fish) occurs in the LAR and, on average, 75% of the LAR escapement occurs in-river and 25% enters Nimbus Fish Hatchery (CDFW GrandTab data, 1952-2013).
Similar to CV steelhead, the majority of CV fall-run Chinook salmon spawning occurs in the upper portion of the LAR. Both spawning gravels and suitable fall water temperature (<58 to 60°F) are most prevalent above Watt Avenue. Warm water temperature in the fall delays spawning and affects adult mortality and in-vivo egg mortality. For example, in 2001 due to warm fall water temperature, a large portion of fall-run Chinook salmon died before spawning (Water Forum 2005).
Nimbus Fish Hatchery currently produces about 4 million Chinook salmon annually. The hatchery production helps fulfill mitigation requirements for construction of the Folsom-Nimbus Project. However, hatchery production and release of fish in the Carquinez Straits (in the estuary) has been implicated as part of the cause of lack of genetic structure and prevalence of straying in CV fall-run Chinook salmon (California HSRG 2012).
2.4. **Key Life History Information and Temperature Requirements**
Adult CV steelhead generally migrate from the ocean from August through April and spawn from December through April, with a peak in the LAR from February to early March (Hannon and Deason 2008; OCAP pg 104). Egg incubation occurs between December and May. Most juvenile fish emigrate as fry or rear for approximately a year (through one summer) before emigrating. Emigration typically occurs January through June (SWRI 2001; Sogard et al. 2012). In the LAR, water temperature in the summer is the primary CV steelhead stressor. Marginally acceptable CV steelhead rearing water temperature for short duration (e.g., weeks) is <70°F, with an upper long-term tolerance temperature of approximately 68°F. The upper range of optimal rearing temperature is 65°F (e.g., Cech and Myrick 1999; Bratovich et al. 2011).
Adult fall-run Chinook salmon generally migrate from the ocean in late summer, with migration peaking mid-October through November. Spawning in the LAR occurs between October and December (peak spawning in November). Fry emergence usually begins in mid- to late-January, with peak emergence usually mid- to late-February. Juvenile emigration occurs after emergence from January through June (e.g., SWRI 2001). In the LAR, water temperature in the fall is a primary factor affecting migrating/spawning fall-run Chinook salmon. Spawning does
not occur until temperatures are <58-60°F and delayed spawning and warm temperatures can result in adult and in-vivo egg mortality. Acceptable Chinook salmon spawning/incubation water temperature is <58°F (e.g., USFWS 1999; NMFS 2002; Reclamation 2008; Bratovich et al. 2011).
2.5. EXISTING HABITAT CONDITIONS
There are a number of potential environmental stressors for CV steelhead and fall-run Chinook salmon, however, the key environmental stressor in the LAR under existing conditions (and future conditions) is water temperature in drier years with low Folsom Reservoir storage. Water temperature in the summer (CV steelhead rearing) and fall (Chinook salmon spawning) currently exceeds threshold tolerances for critical life stages in drier years (Figure 1). Frequently, only the upper portion of the river provides suitable water temperatures for CV steelhead and Chinook salmon (Figures 2 and 3).
Over the 1922-2003 period of record analyzed in the effects analysis in the Draft EIR/EIS, water temperature at Watt Avenue in August under modeled existing conditions is 69-71°F; at the upper end of the acceptable range for CV steelhead rearing (Figures 4a and b). In drier years, daily measured water temperatures have reached 75°F at Watt Avenue in the summer (Reclamation 2008) (Figures 1 and 2). Water temperature at Watt Avenue in November under modeled existing conditions is 56-57°F (Figures 4a and b), at the upper end of the suitable range for Chinook salmon spawning temperatures.
The primary factor that is responsible for warm water temperature in the LAR is the limited storage/cold water pool in Folsom Reservoir in drier years. Any CVP/SWP operations (or BDCP operations) that reduce storage in drier years for whatever reason (sea level rise, climate change, Delta water quality standards, exports, etc.) directly and negatively impact water temperature conditions for CV steelhead and Chinook salmon in the LAR.
2.6. HABITAT CONDITIONS UNDER BDCP FUTURE CONDITIONS
The Draft EIR/EIS attempts to use the NAA as the baseline for the analysis. Below we show that the NAA is a radical departure from existing habitat conditions and has large, significant, unmitigated impacts on anadromous fish in the LAR compared to existing conditions. The NAA would likely cause age class failures in drier years and eventual local extinction of the small natural rearing CV steelhead population in the LAR. The NAA would result in large scale fall-run Chinook salmon fish kills in the fall of the drier years.
The operation of the CVP/SWP as modeled in the NAA with the sea level rise, climate change, and future demand assumptions results in much lower Folsom Reservoir storage elevations compared to existing conditions (Figures 5a and b) and greatly increased LAR water temperature. The frequency of Folsom Reservoir being at low storage levels (e.g., <350 thousand acre-feet [TAF]) would increase substantially in July and August under the NAA compared to existing conditions (increases from about 10% of the time under existing conditions to about 30% of the time under the NAA) (Figure 5a). In critical years, mean monthly
Folsom Reservoir storage would be 119 TAF, 105 TAF, and 81 TAF lower in July, August, and September, respectively, than under existing conditions (down to 210 TAF, 165 TAF, and 159 TAF, respectively, under the NAA). Mean monthly storage in drier years would drop to less than 350 TAF in August and September under the NAA (>440 TAF under existing conditions) (Figure 5b). Further, the frequency of which Folsom Reservoir would be drained to dead pool storage would increase by about 10% (DWR et al. 2013; p. 5-61). This would result in greatly increased water temperatures in the LAR.
Higher American River summer temperature schedules occur when Folsom Reservoir storage drops, particularly as storage falls below 350 TAF in July. Figure 6 shows a relationship between the Folsom Reservoir storage in July and LAR water temperature schedules\(^2\). Figure 7 shows relatively large increases in fall water temperature below Nimbus Dam at low Folsom Reservoir water levels as reported in the BDCP EIR/EIS (and the associated Folsom Reservoir storage) under the NAA operations. These changes are most pronounced in drier years.
The marginally acceptable CV steelhead rearing water temperature is <70°F, with an upper long-term tolerance temperature of approximately 68°F (see above). Under the NAA, LAR water temperature increases during summer rearing would have a significant adverse impact on CV steelhead (Figures 4a and b). Mean monthly summer (August) water temperatures increase from the modeled existing condition of 69-71°F to 73-77°F (average and critical water years) under the NAA (Figures 4a and b). Over the 1922-2003 period of record, mean monthly water temperatures at Watt Avenue reach 70°F in 9% more of the July months, 13% more of the August months (90% of all August months), and 34% more of the September months (60% of all September months) under the NAA compared to existing conditions. The assumed CVP/SWP operations in the NAA would significantly impact CV steelhead and would result in take of CV steelhead in the LAR. More significantly, entire year classes of CV steelhead juveniles would be lost and, most likely, a complete loss of the LAR naturally spawning CV steelhead population would occur.
In the critically dry years, for example, average monthly August water temperatures under NAA (and the Proposed Action Alternative) for the entire LAR are ≥76°F (DWR et al. 2013; Appendix 11C). This would kill all over-summering juvenile CV steelhead. Critically dry years occur 15% of the time. Often critically dry years are sequenced back-to-back (e.g., 1976-1977) and sequenced with multiple dry years. Dry years (22% of the years) have entire LAR August water temperatures ≥72°F. Large scale mortality would occur in these years. It is easy to conceive of a sequence of years under NAA (and the Proposed Project) where the naturally occurring CV steelhead population sequential year mortality coupled with the current low abundance would result in the loss of the natural population. The historic sequence of years from 1987 to 1991 (dry, critically dry, dry, critically dry, critically dry, respectively) (DWR et al 2013; Section 5.5) would result in the loss of the LAR CV steelhead population.
Similarly, projected changes in water temperature under the NAA would have large adverse impacts on Chinook salmon spawning in the LAR. Mean monthly fall water temperature
\(^2\) Automated temperature selection procedure schedules are identified in the LAR Flow Management Standard.
(November) in the LAR would increase from existing conditions (modeling) of 56-57°F to 60°F under the NAA. Acceptable Chinook salmon spawning/incubation water temperature is <58°F (see above). These assumed operations in the NAA would result in significant adverse impacts to Chinook salmon in the LAR (Figures 4a and b). Likely large fish kills of pre-spawning fall-run Chinook salmon would occur due to the extreme delays in spawning similar to pre-spawn mortality that happened in 2001 (Water Forum 2005). Monthly average November water temperatures in the NAA (and Proposed Action Alternative) are 3-4°F higher than the existing conditions that have caused mortality.
2.7. **BDCP TEMPERATURE SIGNIFICANCE CRITERIA**
Under current CVP/SWP operations, LAR water temperatures exceed threshold tolerances for anadromous fish during critical life stages (as discussed in the preceding sections). Because the populations are already in stressful temperature conditions, even small increases in water temperature above the current CVP/SWP operations would result in adverse impacts to these species. The BDCP significance criterion do not consider the current condition of the sensitive species and habitat with respect to water temperature in the LAR. For example, significant impacts in the BDCP EIR/EIS were determined as follows:
"Physical modeling outputs each month and water year type were compared for between model scenarios at multiple locations to determine whether there were differences between scenarios at each location. A "difference" was defined as a >5% difference between the pair of model scenarios in at least one water year type in at least 1 month." (DWR et al. 2013, p. 11-102).
The significance criteria in the Draft EIR/EIS are inadequate and incapable of identifying significant impacts. A <5% increase in mean monthly water temperature in the summer months (July-September) during CV steelhead rearing and/or in the fall during fall-run Chinook salmon spawning (primarily in November) would result in significant adverse impacts to these species. For example, a <5% water temperature change with existing summer temperatures at 68°F results in an increase of approximately 3.4°F, which would result in temperatures of approximately 71.4°F, well above the long-term upper tolerance limit for steelhead juvenile rearing (e.g., Cech and Myrick 1999; Bratovich et al. 2011). Similarly, a <5% temperature change in the existing fall-run Chinook salmon spawning temperature at 60°F results in an increase of approximately 3.0°F, which would result in temperatures of approximately 63.0°F, well above the spawning threshold and mortality water temperature threshold for incubating eggs (e.g., USFWS 1999; NMFS 2002; Reclamation 2008; Bratovich et al. 2011). Figures 4a and b shows the modeled 1922-2003 average monthly water temperatures. Under existing conditions, water temperatures are below 68°F in July and September, except in Critical years, and between 60-70°F in August of all water year types, except Critical years. Although the temperature significance criteria were not exceeded in the BDCP EIS/EIR analysis, water temperatures under the No Action Alternative (NAA) and Proposed Action Alternative are above the threshold criteria for CV steelhead and Chinook salmon survival, particularly in the drier years (>74°F in late summer months), and greatly exceed existing conditions.
3.0 CONCLUSION
The fatal flaw in the Draft EIR/EIS impact analysis is that under the NAA (which includes sea level rise, climate change, and future demand), the modeled CVP/SWP operations resulted in significant adverse effects to upstream resources, including CV steelhead and fall-run Chinook salmon in the LAR relative to the existing conditions (environment). These modeled operations are not reasonable or a proxy for future operations that would be allowed under the ESA.
The Draft EIR/EIS acknowledges that the CVP/SWP operations would need to change from those depicted. For example, on page 5-61 in DWR et al. (2013), the Draft EIR/EIS discusses operational changes that may need to occur to avoid dead pool conditions:
“Adaption measures would need to be implemented on upstream operations to manage coldwater pool storage levels under future sea level rise and climate change conditions. As described in the methods section, model results when storages are at or near dead pool may not be representative of actual future conditions because changes in assumed operations may be implemented to avoid these conditions.” (DWR et al. 2013; p. 5-61)
Further, the Draft EIR/EIS clearly states that future CVP/SWP operations would be different than the operations used for evaluating impacts of the BDCP:
“The CALSIM II simulations do not consider future climate change adaptation which may manage the SWP and CVP system in a different manner than today to reduce climate impacts. For example, future changes in reservoir flood control reservation to better accommodate a seasonally changing hydrograph may be considered under future programs, but are not considered under the BDCP. Thus, the CALSIM II BDCP results represent the risks to operations, water users, and the environment in the absence of dynamic adaptation for climate change.” (DWR et al. 2013; pg. 5A.A23)
The modeling developed for the Draft EIR/EIS, by their own admission, failed to address climate change and sea level rise in a manner that is reasonable, prudent, or representative of future hydrologic conditions in the upstream systems, including Folsom operations and resulting hydrology in the LAR. The Folsom operations in the NAA would jeopardize the continued existence of CV steelhead and fall-run Chinook salmon in the LAR. By comparing the environmental conditions in the Existing Condition and NAA, it is apparent that future CVP/SWP operations under climate change and sea level rise, as modeled, are unrealistic. Therefore, a revised operations model must be developed under the NAA that addresses climate change and sea level in a manner that is protective of upstream resources, including CV steelhead and Chinook salmon in the LAR.
The conclusions in the Draft EIR/EIS impact analysis are invalid because they are based on modeling that is not representative of future conditions and do not incorporate climate change adaptations in the CVP/SWP operations. The impact analysis was based on comparison of the NAA to Project alternatives under modeled operations that in all cases result in significant impacts to CV steelhead and Chinook salmon in the LAR compared to the existing condition. The fundamental error in the impact analysis is that it totally ignores these impacts. The analysis assumes that conditions in the NAA are representative of future conditions and compounds this error by modeling the Project alternatives using the same faulty operations. It
is not surprising that the impact analysis concluded that there would be no significant impacts to CV steelhead and fall-run Chinook salmon in the LAR – the environmental conditions under the NAA have already jeopardized the continued existence of the species. The conclusions in the alternatives analysis do not disclose impacts of the Project as required under NEPA and CEQA. It is solely the responsibility of the lead agency to ensure that the basis for comparison in the impact analysis is reasonable and an accurate representation of future conditions. Basing the impact analysis on unrealistic modeling for the CVP/SWP and ignoring the associated adverse effects on CV steelhead and fall-run Chinook salmon in the LAR fails to inform the public of the BDCP’s probable environmental impacts.
Further, the impact analysis fails to disclose the impacts of the Project because it co-mingles the effects of climate change, sea level rise, future demand, and implementation of the Project. In the analysis, the Draft EIR/EIS concludes:
“These results are primarily caused by four factors: differences in sea level rise, differences in climate change, future water demands, and implementation of the alternative. The analysis described above comparing Existing Conditions to Alternative 1A [used for Alternative 4 as well] does not partition the effect of implementation of the alternative from those of sea level rise, climate change and future water demands using the model simulation results presented in this chapter.” (DWR et al. 2013; pp. 11-405; 11-411; 11-445; 11-455; 11-518).
Therefore, the Draft EIR/EIS is inadequate and does not provide sufficient information to evaluate Project effects on CV steelhead and fall-run Chinook salmon in the LAR. To comply with NEPA and CEQA, the impacts analysis must be revised to disclose project impacts.
4.0 REFERENCES
Bratovich, P., C. Addley, D. Simodynes, and H. Bowen. 2011. Water Temperature Considerations for Yuba River Basin Anadromous Salmonid Reintroduction Evaluations. Prepared for Yuba Salmon Forum Technical Working Group. November 2011.
California Department of Fish and Wildlife (CDFW). 2001. Evaluation of effects of flow fluctuations on the anadromous fish populations in the lower American River. Prepared for U.S. Bureau of Reclamation. Stream Evaluation Program Technical Report No. 01-2.
California Department of Water Resources (DWR). 2013. Bay Delta Conservation Plan. Public Draft. November. Sacramento, CA. Prepared by ICF International (ICF 00343, 12), Sacramento, CA.
California Department of Water Resources (DWR), U.S. Bureau of Reclamation (Reclamation); U.S. Department of Fish and Wildlife Service (USFWS); and National Marine Fisheries Service (NMFS). 2013. Draft Environmental Impact Report/Environmental Impact Statement Bay Delta Conservation Plan. November 2013.
California Hatchery Scientific Review Group (California HSRG). 2012. California Hatchery Review Report. Prepared for the US Fish and Wildlife Service and Pacific States Marine Fisheries Commission. June 2012. 100 pgs.
Cech, J. J. and C. A. Myrick. 1999. Steelhead and Chinook Salmon Bioenergetics: Temperature, Ration, and Genetic Effects. Technical Completion Report- Project No. UCAL-WRC-W-885. University of California Water Resources Center.
Federal Register. 1981. Council on Environmental Quality’s Forty Most Asked Questions Concerning CEQ’s National Environmental Policy Act Regulations; published in the Federal Register, Vol. 46, March 23, 1981.
Federal Register. 2004. Endangered and Threatened Species; Establishment of Species of Concern List, Addition of Species to Species of Concern List, Description of Factors for Identifying Species of Concern, and Revision of Candidate Species List Under the Endangered Species Act; published in the Federal Register, Vol. 69, No. 73, April 15, 2004.
Federal Register. 2005. Endangered and Threatened Species; Designation of Critical Habitat for Seven Evolutionarily Significant Units of Pacific Salmon and Steelhead in California; Final Rule published in the Federal Register, Vol. 70, No. 170, September 2, 2005.
Federal Register. 2006. Endangered and Threatened Species: Final Listing Determinations for 10 Distinct Population Segments of West Coast Steelhead published in Federal Register Vol 71, No. 3, January 5, 2006.
Federal Register. 2008. Fisheries Off West Coast States; West Coast Salmon Fisheries; Amendment 14; Essential Fish Habitat Descriptions for Pacific Salmon" published in the Federal Register, Vol. 73, No. 200, October 15, 2008.
Gerstung, E.R. 1971. Fish and wildlife resources of the American River. Department of Fish and Game, Technical Report.
Hannon, J. and B. Deason. 2008. American River Steelhead (Oncorhynchus mykiss) Spawning 2001-2007. US Bureau of Reclamation, Central Valley Project, American River, California, Mid-Pacific Region.
National Marine Fisheries Service (NMFS). 2011. Central Valley Recovery Domain 5-Year Review: Summary and Evaluation of Central Valley Steelhead DPS. 34 pg.
Moyle, P. B., J. A. Israel, and S. E. Purdy. 2008. Salmon, Steelhead, and Trout in California: Status of an Emblematic Fauna. A Report Commissioned by California Trout. 361 pg.
National Marine Fisheries Service (NMFS). 2002. Biological Opinion on Interim Operations of the Central Valley Project and State Water Project Between April 1, 2002 and March 31, 2004, on Federally Listed Threatened Central Valley Spring-Run Chinook Salmon and
Threatened Central Valley Steelhead in Accordance With Section 7 of the Endangered Species Act of 1973, As Amended. Long Beach: National Marine Fisheries Service, Southwest Region.
NMFS. 2009. Public Draft Recovery Plan for the Evolutionarily Significant Units of Sacramento River Winter-Run Chinook Salmon and Central Valley Spring-Run Chinook Salmon and the Distinct Population Segment of Central Valley Steelhead. National Marine Fisheries Service, Southwest Regional Office, Sacramento, CA.
Surface Water Resources, Inc (SWRI). 2001. Aquatic Resources of the Lower American River: Baseline Report. Prepared for: Lower American River Fisheries and Instream Habitat (FISH) Working Group.
Sogard, S. M., J. E. Merz, W. H. Satterthwaite, M. P. Beakes, D. R. Swank, E. M. Collins, R. G. Titus, and M. Mangle. Contrasts in Habitat Characteristics and Life History Patterns of Oncorhynchus mykissin California’s Central Coast and Central Valley. Trans. Am. Fish. Soc. 141:747-760.
United States (U.S.) Department of the Interior, Bureau of Reclamation (Reclamation). 2008. Central Valley Project and State Water Project Operations Criteria and Plan Biological Assessment. May 2008.
United States Fish and Wildlife Service (USFWS). 1999. Effect of Temperature on Early-Life Survival of Sacramento River Fall- and Winter-Run Chinook Salmon. Final Report.
Yoshiyama, R.M., E.R. Gerstung, F.W. Fisher, and P.B. Moyle. 2001. Historical and present distribution of Chinook Salmon in the Central Valley Drainage of California. Pages 71-176 in R. Brown, ed. Contributions to the biology of Central Valley salmonids. CDFG Fish Bulletin 179. 106 pp.
Water Forum 2005. Lower American River State of the River Report. Final Report.
FIGURES
Figure 1. American River Water Temperature and Flow at Monitoring Sites on the Lower American River in Dry and Wet Years.
Dry year, measured daily average water temperatures (2001).
Wet year, measured daily average water temperatures (2006).
American River at Watt Avenue, Dry year, daily average minimum and maximum water temperatures (2001).
American River at Watt Avenue, Wet year, daily average minimum and maximum water temperatures (2006).
Source: Figures 11-16 to 11-19 in Reclamation 2008.
Figure 2. Measured Lower American River Daily Average Water Temperatures below Folsom Dam, at Hazel Avenue, William B. Pond Park, and Watt Avenue and Flow at Fair Oaks Avenue (1998-2012).
CDEC temperature gages at Below Folsom Dam (CDEC-AFD), Hazel Ave (CDEC-AHZ), William B Pond Park (CDEC-AWP), and Watt Avenue (CDEC-AWB) (average daily temperatures); Average daily flow at CDEC
Figure 3. Measured Lower American River Monthly Average Water Temperatures below Folsom Dam, at Hazel Avenue, William B. Park, and Watt Avenue and Flow at Fair Oaks Avenue (1998-2012).
CDEC temperature gages at Below Folsom Dam (CDEC-AFD), Hazel Ave (CDEC-AHZ), William B Pond Park (CDEC-AWP), and Watt Avenue (CDEC-AWB) (average daily temperatures); Average daily flow at CDEC Fair Oaks gage (CDEC-AFO)
Figure 4a. Percent of Months during 1922-2003 Period during which Mean Monthly Water Temperatures under the Existing Condition, No Action Alternative, and Preferred Alternative (Alternative 4, H3) Scenarios (Early and Late Long-term) in the Lower American River at Watt Avenue Exceeded Temperature Thresholds, May through October.
Source: DWR 2013. Table SC5.5.2-237. Orange and yellow background colors in summer months show temperature threshold of 68°F for steelhead rearing.
Figure 4b. Mean Monthly Water Temperature (°F) in the American River at Watt Avenue under the Existing Condition, No Action Alternative, and Preferred Alternative (Alternative 4, H3) (Early and Late Long-term).
Orange and yellow background colors in summer months show temperature threshold of 68°F for steelhead rearing and in November a 58°F temperature threshold for Chinook salmon spawning.
Source: DWR et al. 2013 BDCP Table 11D.4.16 and DWR et al. 2013 EIR/EIS Table SC.S.2-224 (early long-term scenarios only).
Figure 5a. Summer (July - October) Monthly Mean End-of-Month of Storage Folsom Reservoir Storage (TAF) under the Existing Condition, No Action Alternative, and Preferred Alternative (Alternative 4).
Source: DWR 2013. Tables C-4-1 and 2 and 7; Bay-Delta Conservation Plan EIR/EIS Appendix 5A Section C: CALSIM II and DSM2 Modeling Results
Figure 5b. Summer (July - October) Monthly Mean End-of-Month of Storage Folsom Reservoir Storage (TAF) under the Existing Condition, No Action Alternative, and Preferred Alternative (Alternative 4) by Water Year Type.
Source: DWR 2013. Tables C-4-1 and 2 and 7; Bay-Delta Conservation Plan EIR/EIS Appendix 5A Section C: CALSIM II and DSM2 Modeling Results
Figure 6. Folsom Reservoir Storage (TAF) in Relation to ATSP Temperature Schedule\(^1\). Higher ATSP Schedules Correspond to Warmer Summer Temperatures. All Schedules Larger than 55 Exceed Summer Temperatures of 70°F.
\(^1\) ATSP (Automated Temperature Selection Procedure); Lower ATSP schedules equal colder water temperatures; as identified in the lower American River Flow Management Standard
Figure 7. Folsom Reservoir Storage (TAF) in Relation to Water Temperature (°F) at Nimbus Dam (September and October) under the Existing Condition (EBC1), No Action Alternative (EBC2_LLT), and Preferred Alternative 4, H3 (PP_LLT).
Source: Modified from: Reclamation et al. 2013; Figures Appendix 29C-17a and b. The same data are also included in Figures 5.A.2.5-24 and 25. 70°F red line added; acceptable rearing habitat is <70°F.
ELT = Early Long-term 2025; LLT = Late long-term (2060); EBC = Existing Biological Condition; PP = Proposed/Preferred Project as defined in DWR 2013.
Good Afternoon,
Please find the attached comments from PCWA on the Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS).
Sincerely,
Vibeke Figueroa
Administrative Aide
Placer County Water Agency
Resource Development
TEL: (530) 823-4973
PCWA Comments on BDCP-California WaterFix RDEIR-SDEIS.pdf
RECIRC LTR # 2632
Unused
Duplicate of 2512
Out of Scope
Other:
(replace original) |
Rhode Island College students responding to a survey by the RIC Office of Institutional Research and Planning indicated they are more pleased with academic than the social environment at the college.
"The library, quality of course work, and the faculty are rated among the highest ratings, while the college's social life, facilities, and recreational life outside the classroom, and the college's recreational programs and facilities received the lowest ratings," said Richard W. Prull, assistant director of institutional research and planning, in that office's 29-page 1985 Student Census, taken last fall and just released.
"Related to student dissatisfaction with the social environment is the finding that the majority of students report that they seldom participate in or attend off-campus activities and events primarily due to study and work responsibilities," the census states.
Some 62 percent of the fulltime and three-quarters of the parttime students reported they work 0-4 or 5 hours per week at a job, while 8 and 50 percent, respectively, work more than 30 hours.
The student census is a survey of RIC undergraduate degree candidates designed to collect representative data on campus life, programs and services.
Facilities and recreation were the highest items for the census, said Prull, "thus allowing it to address questions raised by a committee of students."
He said the census (questionnaire) was mailed to all students enrolled in the fourth of the undergraduate degree candidates in October.
Some 450 students responded for a response rate of 32 percent, reported Prull. He said an analysis of the returns—which accounts for time the census was first mailed and then re-mailed—indicated that the sample "is representative of the current undergraduate population."
Results of the census were distributed to department heads who were advised to circulate copies to their staffs and also advise staff members that copies are available at the institutional research and planning office.
Under the heading of "'Perceptions of
(continued on page 6)
Krukowski firm presents summary:
Marketing study is aired at campus meeting
by Lawrence J. Sasso, Jr.
One year ago Rhode Island College engaged a New York-based consulting firm, Krukowski Associates, to develop a long-range plan for the college in its business and marketing efforts.
On April 2, at a meeting which lasted two hours in the college's Faculty Center, Richard Hesel, president and founder of the firm, reported to the college community about the results of the Krukowski Associates' interview of Rhode Island students who graduated from high school last year.
The intensive half-hour telephone interviews were carried out during September and October, 1985.
Also interviewed were members of the college freshman class, those who applied last year but didn't come, and those who applied this year but didn't come. The interviews covered the Community College of Rhode Island since they are potential transfers to RIC and are expected to be part of the college's applicant pool.
After describing the methodology involved in conducting the survey (Hesel, at the April 2 meeting, did not mention funding), Hesel said: "The first thing I want to say is what these news here is that there is going to be disappointment," he said to open his remarks.
"It is important disappointing to us when we saw it and disappointing to you if a faculty member or an administrator here are perceptions of a college, of a situation. They may not at all match reality," Hesel said.
"But these are the perceptions that an institution have to worry about and you have to deal with in trying to attract students so it's very important to know what they are."
Hesel said that there were "seven or eight major findings" that he wanted to share with the audience of some 75 to 80 RIC faculty, administrators and staff members.
Among the findings was the conclusion that many students do not see RIC as a good place in presenting RIC to prospective students, not to mention having any significant advantage in recruiting.
The study found that only one fourth of the students who were interviewed plan to major in a liberal arts subject.
"Curiously enough, students who are in the area for a specific career or learning to succeed in a competitive world ranked among the most important reasons for choosing a college education among the people surveyed," Hesel said. "But the liberal arts are not perceived to be served by the liberal arts," observed Hesel.
(continued on page 4)
INSIDE
New Orleans bound......................2
Guys and Dolls coming.............3
Upends student project funding.....3
A papier mache day....................8
As You Like It..........................2
John Houseman: theater legend?...7
'I'll never forget this college'
by George LaTour
It's really not all that unusual for an alumnus of a college to donate money to his/her alma mater.
It is on such a premise that college foundations, alumni associations and the like function i.e., the expectation that appreciative alumni will contribute much needed financial support.
"If it is unusual, to say the least, however, for a person of not overwheming means who, in addition to not even be a graduate, to donate money to a college at which she has only taken one course."
But then, again, Violaia Piccirelli of Barrington is an unusual person as she herself likes to point out from time to time.
"When I first moved to the Rhode Island College Reading Center she was wearing a large button which said: 'This is no ordinary person!'" relates Mildred B. Nugent, assistant principal of elementary education.
Violaia, now age 14, had left school after her eighth grade in 1926, strictly in accordance with her parents' wishes, which were apparently based on the Old World belief that a woman's place was in the home.
(continued on page 6)
NEW ORLEANS ROUND-Trip students in the Rhode Island College Department of Nursing will attend the 34th annual convention of the National Student Nurses Association in New Orleans on April 23-27. They are (from left) Walter DeLuca, Susan Philo and Andrew Kury; (rear) Lynn Fernandes, Osky Cascone, assistant professor, and Rosamaria Catania, Leil Bakosuke and Lisa Lagasse. Margaret Mahoney is not pictured.
Video offered on El Salvador
As part of Latino Awareness Month, the Latin American Student Organization (L.A.S.O.) at Rhode Island College will present "Breaking Ground: Life in the New El Salvador" Wednesday, April 16, at 2 p.m. in the Student Union Ballroom. Free and open to the public, the video presents a "unique perspective," focusing exclusively on the history and achievements of the locally elected community government of the "new" El Salvador, "a zone of popular control," according to L.A.S.O.
It includes footage taken during two recent fact-finding trips into the mines by Berkeley-based journalist John Nissen. It also includes footage of agricultural production, rural cooperative and child and adult literacy.
Narration and music is by Holly Near.
TOYOTA BONANZA: '97 Corona wagon, wonderful condition, 5-speed manual transmission, $1,000. Call 839-0000.
TOYOTA BONANZA (2): '84 Tercel wagon with all the options: 30,000 miles, 5-speed manual transmission, $1,200. Call 839-0000.
VOLKSWAGEN TO RENT: July 1 to August 31. Completely restored in older area of Providence, 7 rooms, including a bedroom and bath, on 2nd floor, full bath on 2nd floor, lavatory on first, fully furnished, with washer and dryer, air conditioning, appliances, dishwasher, dryer, microwave oven, private driveway and yard. Ideal for summer or winter. Call 839-0000. Return to RIC. References required, no pets, security deposit $250. Write Residence, 19 Campus Ave., Cranston 02921.
DATSUN 1974, runs excellent, AM-FM radio, only 35,000 miles. For more information call 523-5434, 8:30 a.m.-7 p.m.
APARTMENT TO RENT: second floor, Mt. Pleasant area, five rooms, stove/refrigerator, forced hot water, gas heat, laundry facilities. Call 531-9295, or 453-0731.
JEEP COMMANDO 1970, 4x4 with power four wheel drive, strong engine, $1,500. Call 831-8133 or 231-6823.
ANTIQUE DISPLAY CASES (2), mahogany, 8 feet long, 40 inches wide with locks, keys, and vintage clothing, jewelry, etc., $150 each. Call 831-8133 or 231-6823.
DODGE MONACO 1978: four-door with excellent V8 motor, body in good condition. $1,000. Call 568-5776 or 456-8585.
Biology colloquium set
Dr. Nalin J. Unakar of the department of biological sciences at Oakland University, will present "Experiential Cataloging: Microbiological and Cryochemical Studies" at Rhode Island College's Biology Colloquium on Wednesday, April 16, at 2 p.m. in Fogarty Life Science Building.
The colloquium is free and open.
Focus on the Faculty and Staff
DR. CONSTANCE PRATT, chair of the department of nursing, will lead a panel discussion on May 1 in the Student Union Ballroom on "Recruitment and Retention." The workshop will be sponsored by the National League for Nursing.
A NUMBER OF NURSING FACULTY
Dr. Pratt will also participate in several chapters in a book by Janice Ouimette entitled "Nursing in the 1990s: A Vision for Risk Mother and Infant which is being published by Jones & Bartlett. They are: "Legal, and Moral Issues in Perinatology," Mary Ellen Burke (Chapter 14); "Maternal-Fetal Injury from Uterine Bleedings," Patricia Cunningham (Chapter 15); "Health Promotion of Women with Emotional/Psychological Problems," Patricia Cunningham (Chapter 15: Substance Abuse in Pregnancy), Mary Ellen Burke (Chapter 16; Nursing Care of the Woman in the Delivery Labor), and Frances Steiner Bren (Chapter 17: Nursing Care of the Dysmature Infant).
Evangelist here
Guy Suttle, an evangelist, will be at Rhode Island College April 21 from noon to 4 p.m. on the campus mall (Student Union Ballroom, rear of the Student Center).
Sponsored by the Anchor Christian Fellowship, Suttle's stop is part of his '86 crusade through New England. His topic will be "Let's Make a Difference."
Job search seminar
The Human Resources Management Club at Rhode Island College will sponsor a Job Search Seminar on Wednesday, April 16, from 2 to 4 p.m. in the Student Union Ballroom for all RI College students.
According to Lisa D'Arzo, vice president of the club, the seminar will provide "corresponding to students needs and expectations of their first jobs. Topics include: building a resume, writing a resume, writing and interviewing skills, the how's and why's of networking, job search etiquette, image building and dressing for success."
Students will also get the chance to meet over a dozen key employers from prominent companies in the area.
Food and refreshments will be served. For further information call Dr. David Hart at 456-8132.
What's News
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Laurence J. Sass, Jr.
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What's News at Rhode Island College
(USPS 681-650) is published weekly throughout the academic year, except during semesters break by Rhode Island College, News and Information Service, 600 Mt. Pleasant Avenue, Providence, R.I. 02908. Second Class postage paid, Providence, R.I.
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Bureau of Grants and Sponsored Projects:
Request for proposals
The Bureau of Grants and Sponsored Projects will be providing information about requests for proposals (RFPs) on a regular basis. If you are interested in obtaining further information or have questions about any of the RFPs, circle the number of the RFP on the coupon below and send it to the Bureau in care of the editor.
1. National Institute of Health: NIH has issued a request for applications for research grants - "relatively inexpensive, well-designed, short-term projects" to be carried out by special investigators who are not supported by grants awarded by the various NIH institutes. Awards help to support the training of new investigators to that of established investigators and are restricted to individuals who have not received a grant or contract award from NIH-supported projects. (Exceptions may be made for those who have received awards from other sources within their field of scientific endeavor.)
DEADLINE: June 1.
2. National Institute on Aging: Behavioral Sciences Research on Aging. Behavioral sciences research on biological, cultural, social and economic factors that affect both the process of aging and the quality of life of older people. The major categories of research are: cognitive and perceptual processes; health and psychological aging; and older people and society. Major emphasis is on health and the prevention of disability in later years. Research areas include: stress and coping; social support; physical activity, exercise, and semi-dementia; menopause; and hypertension. DEADLINE: June 1.
3. National Institute of Mental Health and Human Development: Research for improving the quality of life. Behavioral and social and behavioral sciences research aimed at improving the health and well-being of children and adults. Major areas are genetics and teratology; endocrinology, metabolism, and nutrition; and perinatology; human learning and behavior (including cognition, learning and memory, and psychopathology); and personality and social development; and mental retardation and developmental disabilities. DEADLINE: June 1.
4. National Science Foundation: RUI Program. Request for proposals for funding of National Science Foundation's Research in Undergraduate Institutions program. The National Science Foundation's Division of Research and Improvement has updated its guidelines for the RUI program in Research in Undergraduate Institutions (RUI) Program. RUI supports basic research and research equipment for investigators in non-doctoral departments in predominantly undergraduate institutions. Revised guidelines include information on eligible equipment, criteria for selection of equipment instructions, and descriptions of related programs for predominantly undergraduate institutions. Copies of the updated RUI program announcement (OR-100) can be obtained from the Bureau.
5. Gladys Kreibich Endowment Foundation: Research in Venice, Italy. Grants of $500 to $1,500 are available to post-doctoral fellows for study on the following subjects: art, architecture, and the former Venetian Empire in its various aspects: art, architecture, music, archaeology, theater, literature, philosophy, history, science, the law, economics; also studies related to the geography and natural environment such as ecology, oceanography, urban research and development. DEADLINE: June 1.
If you would like information on the following programs: (Circle programs of interest to you.)
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Famous musical fable: 'Guys and Dolls' comes to RIC April 17
Hey, baby! Mark Martini, a guy, seems to ask Susan Eisenstadt, a doll, "what's up" in this scene from the Rhode Island College Theatre Company production, Guys and Dolls. The show runs April 17-20 in Roberts Hall Auditorium.
Damien Runyan's lovable rogues will sing and dance their way into your heart in Guys and Dolls, the show which ran for more than 1,500 performances on Broadway beginning in November, 1950; will be staged by the Rhode Island College Theatre Company April 17 to 20 in Roberts Hall auditorium.
Directed by John Custer with music by the Rev. Ronald Pizozzi, professor of communication and theatre at RIC,
Musical direction is by Dr. Robert Elam, professor of music at the college. Set design is by John Custer, who also designed the show by Jo Swerling and Abe Burrows, is a story of hardboiled dice-throwers and gamblers.
With humor and satire the musical takes these people and tells their stories in song and dance.
Runyan wrote a short story, "The Lady Who Loved Me," which is the basis for the musical.
At the center is there is Sky Masterson, a gambler who wins Sarah Brown, a Salvation Army woman.
With music and lyrics by Frank Loesser, the show introduced some numbers which have become standards of musical comedy. Among the songs which are part of the score are "Luck Be A Lady," "A Birdie Said," and "I'm in Love With a Wonderful Rockin' the Boat."
"If you like a great book, the score is good and tight and fun," says Pizozzi. Of the Runyanesque nightclub characters he says, "While they're shady and off color, they're all heart."
Pizozzi has ample praise for the work of fellow theatre professor, John Custer who will direct the set for Guys and Dolls at RIC.
"There is the great big scene of the crap game in the show, which is not enough of a really great sewer scene. It's like a great big sewer scene, but it's not a sewer."
Costumes for the production will be designed by Barbara Matheson, of the college's art department.
Curtain time for Guys and Dolls will be 8 p.m. on April 17, 18, 19 and 20 at 7 p.m. on April 20. There will also be a 2 p.m. performance on April 19.
Tickets will be $5.50 general admission, $5 for RIC faculty and staff and senior citizens, $4 for students and $3 for children under 12, and $2 for RIC students.
The cast of the production will be: Becky Anderson, Susan E. Jacobelli, Emily Moss, and Scott A. Pacheco of Providence; Michael J. Hickey, James Marie Cote of North Providence, Paul R. O'Brien, and Michael J. Kelleher of East Providence and Sean P. Reilly of Riverside.
Michael R. Griswold, Steve Mark Scarlett and Paula Marie Schafer of Warwick; and Mary Ann B. Lucey of Johnston & Ring of Greenville; and Donna T. Dufresne of Woonsocket.
Also in the cast are: Jonathan P. Gallo, Gary B. Kaplan, John Martin, Robert A. McKeon, John M. Brown and T. Stephen Burns of Warwick, Christopher Fratello of Peace Dale; Michael Hoyt Collette and Shanna M. Grier of Middletown; and Steven John Light of Ellis, Kansas.
Rutgers PIRG reversed:
Supreme Court upends funding of student projects
PHILADELPHIA, PA (CT5) - In a case that could change the way many student projects - from political clubs to campus newspapers - are funded nationwide, the U.S. Supreme Court recently effectively overturned a mandatory student fee ruling.
The Supreme Court announced it would not hear an appeal by students who complained Rutgers' student fee system violated the First Amendment rights of the Public Interest Research Group (PIRG).
The refusal to stand a lower court decision that Rutgers could not require students to pay a $3 annual fee fund the New Jersey PIRG, even if students could get the money back upon request.
"I think this case will have great ramifications on funding for PIRGs across the country," said Marshall for the Philadelphia-based Mid-Atlantic Legal Foundation, which represented three Rutgers students who complained.
Marshall's group, formed to pursue constitutional challenges to student fees, challenged the State University of New York's (SUNY) mandatory student fee system.
"It's a very limited decision," contends Gene Karjinski, head of U.S. PIRG in Washington, D.C.
Karjinski says it was a "bolder move" offered by the "PIRG consumer advocate" group co-founded by Ralph Nader in 1974. Students fee finance most of the group's activities, and student volunteers generally do most of the group's research.
The decision, Karjinski notes, "deals specifically with the mandatory refundable system used by PIRGs in New Jersey."
The majority of PIRGs use a check-off system on students' tuition bills or on their registration forms if they want to support the local PIRG.
"We will certainly be asking (Rutgers) to switch to a check-off system," says John Sims, executive director of New York PIRG. Sims says the check-off system survived only courtroom challenge, which was in Minnesota.
In Minnesota and elsewhere, conservative groups have mounted a sustained attack on the PIRGs.
In 1984, the College Republican National Committee reportedly circulated a memo outlining ways to disrupt local PIRGs by "intimidating" them with negative attacks and challenging their student fee funding.
Students in New York, Pennsylvania, Missouri, Massachusetts, Mankato State, Iowa and other states have challenged using student fees for PIRGs.
In the past, Mid-Atlantic's Marshall has denied representing the New Jersey PIRG effort, but readily conceded to sharing conservatives' distrust for the way PIRGs get money.
"The state," he says, "is insisting in court for funding for ideological support. Would it be any different if the state used the tax system to collect for the United Way?"
In the case the Supreme Court refused to hear, the New Jersey Superior Court of Appeals ruled in 1985 that PIRGs are not "student organizations" and, therefore, should not be required to pay a separate student fee.
Marshall says the ruling not only demands that PIRGs not be funded with separate student fees, but also that mandatory collection system to support advocacy groups.
New Jersey applies only to PIRGs in the court's areas of jurisdiction - Pennsylvania, Maryland, Delaware and the Virgin Islands -- PIRG advocates figure Marshall and Mid-Atlantic will try to widen its reach.
"Even though the (Rutgers) case is narrow, it will have national impact," support, observes Joel Arlo, legal counsel for the Manhattan-based group.
"We want them to take this narrow wedge, and widen it," he adds.
Many other states, in fact, already are challenging in court the way the State University of New York funds New York PIRGs out of the general student fees.
Though New York is the only state that uses a mandatory student fee system, Arlo fears funding for all campus advocacy groups could be threatened if Mid-Atlantic was the next round, too.
"There are a good two dozen (court) cases pending right now, and we look more if you include curriculum," notes (continued on page 6)
The consultant pointed out that the liberal arts, "much to our surprise" are not strongly associated with success or truly educated people. "They are not perceived at least in the eyes of prospective students, to be necessarily associated with success or prosperity. They are not associated with teaching specific job skills, nor are they associated with personal development."
"That is not to say, however, that the liberal arts are not important," he said. "When we asked students if the liberal arts irrelevant, are they unnecessary, we found an overwhelming majority of people disagreeing. So, at some level they are accepted as a necessary component of the education, but not seen as directly serving these more immediate objectives that students think an education ought to serve," Heisel said.
The educational goals and aspirations of students were also measured by practical and career-oriented considerations, the survey showed.
Parents at the rate of approximately 90 percent believe that a college education is essential for their children's future goals. However, a significantly lower number (three out of four) of parents (75 percent) believe that a college education is essential to their child's intellectual and emotional growth.
"You can see the kind of practical career concerns that are uppermost in the parents' minds," Heisel said, terming the finding "a real shift" from 10 years ago. The parents cited the college as the most important perceived benefits of the college education centered on career-related objectives.
"These were preparation for a specific career, learning to get a job and smoothly and efficiently moving up to succeed in a competitive world."
The other two factors were learning how to express oneself clearly and learning how to think clearly.
The need to work and to earn money to gain job experience is pervasive among RIC's students, according to the survey results; the study showed:
- Three-fourths of the students surveyed expect to hold jobs while in college. They anticipate working on average almost 20 hours per week.
- The most important reason cited for working was to earn money. "I want to know what it is like to have a job, what Hellstern termed "the experience of working." Money, however, was the second most-cited reason for working.
Applicants to RIC are generally less likely than the high school senior pool to be a lack of a lot better than it's perceived to be, but that's a real problem that you have to deal with," Heisel said.
The consultant said that the perception of what his clients represented, notions about commuter institutions, about places that are nearby and familiar, about places that have sports teams and stereotypes that you've got to deal with," he said.
Another finding which Heisel termed surprising was that awareness of RIC was very low among parents.
For example, 40 percent of the high school seniors who had never heard of RIC said they were familiar with the college and its programs, while only 27 percent said that they had heard of RIC and knew something about it.
The survey found that 30 percent of the high school seniors were familiar with RIC.
"The levels of awareness are not as high as we thought they might be, and that's a positive," that suggests that if we can make people aware of RIC in a positive way, especially in those areas outside the immediate Providence region we can help bolster positive impressions," Heisel said.
The survey showed that RIC is the second choice for 46 percent of the students who went to college somewhere else.
That is an encouraging finding. That means that the first choice for 54 percent of the survey respondents is academic quality, or other positive characteristics, but because it is inexpensive and conveniently located, RIC is the second choice.
Low cost and proximity to the students' homes were listed as the top two attractions of Rhode Island College on the survey.
RIC is still strongly identified as primarily a teacher training institution, the survey showed.
"What do people say about why they don't come?" Heisel asked rhetorically.
The fact that students are not choosing or applying to Rhode Island College largely on favorable academic quality is a finding by telling you that typically when you're looking at a college, you're looking at the academic quality question coming up very high as both a positive and a negative factor," Heisel said.
In the survey Kruskowski Associates created some sample colleges, described them and then asked the students being surveyed to respond to associating certain characteristics to these colleges.
The aim was to suggest the different models which respondents could choose among, with the hope that the results would provide insight to the type of colleges students want when they are most appealing.
The first college model described reflected the move from high school to college relatively easy. Students are likely to graduate if they work occasionally hard. The faculty is helpful and supportive and gives lots of individual attention to students. This model was described as friendly.
The second college was described as one which encouraged students to become self-reliant and independent. It tended to give students a lot of freedom to live away from their families and make it on their own. The college was described as competitive and demanding and one in which students were expected to take the initiative and be responsible. This model was called "the model college."
The third college was described as emphasizing educational basics. It devoted all of its resources to courses and academic programs that teach students basic skills and sound study habits. The college stressed academic excellence and did not have many organized extra-curricular activities on campus for students.
Among the three approaches that he testified Rhode Island College was most frequently associated with, the consultant said, "The most frequent response reported Heisel. Second most frequent response was that RIC was associated with the academic basics plan.
"A very small percentage of our respondents, five percent or less, identified it with the composite model," said Heisel. He said that the composite model was the one that students wanted.
He said that more than 30 percent of any of the respondent groups cited a comfortable friendly college as an excellent choice for Rhode Island College itself.
"What this suggests to us is that some increase in the emphasis on academic expectations in a more clear direction for students as they come through this institution combined with some of the existing strengths of RIC such as a place that is able to give personal attention to students—I think it's going to strengthen your position."
But Heisel certainly seems to be little danger in insisting on and creating the image of Rhode Island College as more academic expectations and have a more competitive environment," Heisel said.
The consultant said that these and other findings from the survey are evidence which could be used to market RIC to address certain issues and opportunities in the attempt to recruit students.
He said that if the Krakowski firm believes the college's "strategic objectives" should be redefined, it will be made near the conclusion of the presentation.
Among the suggestions were that RIC promote itself as a model of a public institution in the state providing an education that emphasizes core curricula and extra-curricular set of programs that prepare students for independence and competitive success.
Heisel also suggested that the college should create "a carefully organized and more sequential academic program combining the development of... competency-based general skills, roots into the liberal and sciences, career-related course sequences and paid career-related work experiences."
In addition, Heisel said that the liberal arts ought to be "de-emphasized" in recruitment efforts.
Among the other recommendations outlined by Heisel were the expansion and strengthening of the college's reputation, strengthening of the college's academic and operational excellence, improving the campus environment and appearance and the development of a stronger college community (residential environment and social life).
Heisel offered several ideas in the area of organizational structure where significant improvement would be facilitated by the grouping of financial aid, admissions and related student services under one administrative umbrella.
He also suggested the creation of summer Heisel termed "a career connection plan."
Included in the model were required career planning courses, the renamed cognitive development experience and the establishment of a number of career foundation courses into clusters.
The college should be positioned more strongly as a conduit to good jobs to current careers and connections, Heisel said.
He said that Rhode Island College has to become known for exceptional quality in undergraduate education, a number of specializations and a variety of fields.
Following the presentation Heisel took questions from the audience for about 15 minutes.
Keeping Score
with Dave Kemmy
Maio, Silva lead RIC nine
Juniors Bob Maio and Len Silva have been red-hot of late and have led the Anchormen to a 5-1 record in the last six games in New England and a 9-3-1 mark overall. Maio is a transfer to the squad this season from former RIC All-American Junior College Player of the Year transferred from El Camino College in California.
He has been a pleasant addition and is already leading the team with a .408 average. He also leads the team in on-base at-bats with 49, in hits with 26, in runs scored with 17, and in RBIs with 27, all with doubles with six. He also plays very well defensively at second base.
While Maio has been a terror for most of the season, Silva started off very slow but has had a big surge over the last few weeks and has hit .358 since returning from the team's trip to Florida.
His overall average has skyrocketed to .408. He is the squad's lead-off man and leads the team in stolen bases. He is expected for a first hit. He leads the team in one other category, which is the number of his home runs with four round trippers. He is not a very big player at 6' 1" 160 pounds, but he plays the game with great intensity and has proven it on the diamond with some exceptional plays.
The entire squad has really played well, including four victories in four days, dating from April 10 when the team was able to squeeze past Wesleyan 6-5. Mike Butler and Joe Vignati each had two RBIs and Martara picked up his third victory on the mound. In its next encounter the squad defeated Worcester State 24-4. The Anchormen pounded three Chieftain pitchers for 24 hits and scored 24 runs in the game with five. Silva was rest with four, including a home run to lead off the Anchormen first inning.
Two days later the squad outlasted Norwich University and killed seven games in a row. The team beat the Bison 2-1 and 11-2. John "Spud" Silva picked up his second win of the season and helped by an RBI double by Maio and an RBI single by Vignati. The Anchormen were led at the plate in the nightcap led by Len Silva with three, including a homer and Maio with two.
The final game of the following Maio are Mike Butler at .315, Jim McGlynn, .428 and then Silva at .408. The final score was 3-0, Dennis Gallagher is 3-1, Silva is 2-1 and John Sherlock is 0-1 with five walks.
The squad is currently ranked third in New England and will be looking for its next home game Tuesday, April 15, against Worcester State in Worcester, Mass.
The women's softball squad's early season success streak was slowed down by perennial rival Southern Connecticut on April 5 in Willimantic, Conn.
The Warriors captured the first game of the doubleheader 4-0 as Kim Durscher pitched a complete game shutout. The second game saw Cristina Alnas gave up five hits and struck out eight in her first complete game. In the nightcap the Warriors pounded RIC 16-1. Freshmen Cara Niederberger and Doreen Grasso led the RIC attack with two hits apiece.
In earlier action Alnas fired a four-hitter at Clark University and the Anchorwomen won 10-0. Maio also had a big day at bat with 3-1. Maio also had a big game with three hits and two RBIs and Katie Pinto had a double and an RBI. Freshman Cara Niederberger is the squad's top hitter with a .350 average. She also has three RBIs and a walk. Kathy Pinto and Lyn Luber are hitting .300. The women's team will be in action again and play home on Monday, April 14, against Bridgewater and Thursday, April 17, against Bridgewater.
The men's tennis squad is off to a 1-2 start. The squad dropped their first match to Bryant 8-1 with number four player Mike Leighton losing the only win by 7-5. They contest the squad routed SMU 7-2. Doug Levine, Mars Remillard, Graham Storer, Philip Levine and Brian Levine all won singles matches. Leighton and Phillips teamed up for a doubles win to did Levine and Jeff Levine.
In their next match the squad was unable to get past the host team and dropped a 5-4 decision to Assumption. Brian Derval and Jeff Levine both their doubles matches and Derval-Remillard and Levine-Goncalo captured their doubles matches.
The squad has three matches this week at home on April 14 vs. Suffolk, April 16 vs. Quinnipiac, and April 17 vs. Suffolk. The men's and women's track and field squads will compete in the Rhode Island College Invitational April 11.
The men's track team had a very fine day with several outstanding performances. Junior Kim Allen placed third in the 400 meter hurdles with a time of 54.80 seconds in the process. Allen also qualified to the New England Championships and the ECAC Championships in the event. Senior co-captain Jennie Bellamy had a very good day and placed first in both the 100 and 200 meters and qualified to the New England and ECAC in both events.
Two Anchorwoman qualified for the ECAC Championships. Karen Cerena placed fifth and Sharon Hall, seventh.
The women's track team had another Chris McDermott, who took third in the javelin; Irene Larivee, sixth in the 400 meter hurdles; and Lisa Berthavague, eighth in the long jump.
On the men's side, Steve Thaler took first in the javelin and sophomore Jan Bowden took sixth in the 5,000 meters. The top finisher for the men's team was senior co-captain Craig Schade who took fourth in the 1,500 meters. Schade qualified to the NCAA Division III National Championship with a time of 10:27. Schade also placed second in the 3,000 meter walk as well in this event.
The women's team also competed in a dual meet with Bryant, bowing to the lady Indians 76-59. Chris McDermott took first in the 400 meter hurdles, first in the 100 meter dash, and first in the long jump. Berthavague was first in the 100 and 200 meters. Sharon Hall took first in the 3,000 meters.
Both squads are scheduled to compete in the New England and Rhode Island University Invitational April 12.
CENSUS
(continued from page 1)
the College’s Academic and Social Environment.” 86 percent of the fulltime and 83 percent of the part-time students responding rated the college’s academic environment either “good” or “excellent,” while at least half of both groups rated the college’s life/campus atmosphere either “fair” or “poor,” the census showed.
One third of the fulltime student students and over 40 percent of the fulltime commuters reported that their social life at RIC was either “average” or disappointing compared to what they had expected.
On the other hand, more than one third of those responding say that the helpfulness of faculty is better than they had expected,” the census showed.
Students responded on an open-ended question regarding “most important reason for choosing the college” also reflected concern regarding RIC’s “lack of collegiate atmosphere.”
The most frequently reported reasons for not attending RIC if they were start college over again was “lack of campus life/campus atmosphere,” the census showed.
“Conversely, the two most third most frequently reported reasons for choosing RIC again are ‘educational quality’ and ‘quality programs in their major,’” noted the census.
“Affordability” was the number one cited reason for not attending RIC.
Three quarters of the students reported either “not having enough” or “something” about the college, with the same proportion indicating that they would attend RIC if they could attend college again.
The three most highly rated factors in influencing undergraduate students’ choice are “low tuition” and 90 percent reporting this as an “important” or “very important” factor; “academic reputation” (80 percent); and “RIC graduates get good jobs” (61 percent).
“Lack of campus near home” was a close fourth.
The census showed “the great majority” of both full-and part-time undergraduates work, with most reporting that they finance all or some of their college expenses.
Other highlights of the census findings include:
— the inability to enroll in needed courses;
— the inability to enroll in needed courses;
— the most frequent reason for not choosing RIC again;
— the missing full registration in Wash Gym was an improvement over past registrations; however, requests for the registrar’s office to be more flexible with scheduling procedures comprised “the most frequent response to the survey’s open-ended questions;
— the existence of sexual harassment complaints, primarily in the form of inappropriate language or remarks; Some 8 percent of the male and 17 percent of the female respondents reported a complaint of “sexually explicit language or comments or humorous remarks” while at RIC;
— a generally positive rating for College with several categories but one that received open-ended questions suggesting “difficulties” with the college.
The census, said Prull, is usually administered annually by the office of institutional research and was last conducted in 1975.
While the “in-house” survey, it differs from the annual Survey of Entering Freshmen in which 600 to 700 colleges participate nationally.
UPENDS
(continued from page 3)
N.Y. PIRG lawyer Marla Simpson, citing prior court rulings favoring campuses right to fund partisan groups through general fees.
By limiting rules to govern how campuses can spend their money, “the plaintiffs are asking the court to run the university,” said Simpson.
John Collins, the Mid-Atlantic attorney representing the plaintiffs, charges SUNY’s PIRG funding system, says most of the partisan groups on which Simpson will base her defense are “right-wing newspapers, not advocacy groups.
And while “super advocacy groups,” Collins said, “have a multitude of opinions.”
Collins is more concerned about forcing students to subsidize advocacy groups that do not consider differing opinions. “We would be against supporting Republicans with general activities funds,” he said.
Assemblyman Arne thinks Collins instead is trying to silence students who disagree with him.
Mid-Atlantic, he says, would do better to create groups to contest issues pursued by the PIRG, which he said “is likely against utility rate hikes and organize purely non-partisan voter registration drives.”
“They, instead of creating more groups, should be creating more groups,” Arne says.
But Collins counters: “If a few students have overruled the will of thousands of students,” complains PIRG lawyer Sims, “then we have a problem with the students voting on the PIRG issue approved keeping the group on campus.
What’s News
DEADLINE
Tuesday 4:30 p.m.
Nominations are now being accepted for the annual Rhode Island College Rose Butler Browne Award.
Criteria for the award is based on a cumulative grade point average of 2.00 or better, undergraduate status with a total of at least 30 credits, participation in community and/or voluntary service during the preceding year in a community agency, and a minimum of $200.
The $200 is awarded with it a stipend of $200.
Rose Butler Browne is considered one of RIC’s most eminent alumnae. She assisted in raising the funds of a scholarship fund with such enterprises as a pilot nursery school and the establishment of a credit union. In 1930, after graduating RIC with a bachelor’s degree, earned a second bachelors’ degree at URI and then became the first black woman to earn a doctorate of education degree at Harvard University. RIC granted her an honorary degree in 1980.
In recognition of the Rose Butler Browne Fund was established by her friends and admirers in cooperation with the RIC Foundation with the purpose of providing scholarships with potential for leadership and then assisting students in the acquisition of the cultural tools needed for success.
Nominations must be made by April 11. Please forward all information to the Office of Career Services, Craig Lee Hall, Room 109A, 456-8013. For more information, Education, says Mrs. Piccerelli, was not something they felt a young lady needed in any great amount.
“My parents wanted me to stay home and learn to cook and sew and so forth,” she recalls.
Those were the proper, so highly moral, “she says, “that my mother made wear a black streamer on my dress at my eighth (grade) graduation (when the other girls were wearing brightly colored ribbons) out of respect for a family member who had died.
Mrs. Piccerelli recalls the incident with mixed emotions, emotions that clearly include a love and respect for her mother, and a sense of loss, but also of the hurt and anger of the girlhood she had grown up from her classmates because of a black streamer and an eighth grader who was not about to become a ninth grader.
School education was something she very much desired, then and now. The school was a place where she was treated a little differently and was in every way “a dutiful wife” and mother, to say the least. But, to her way of thinking, personally unsatisfied.
After years of marriage, Mrs. Piccerelli became a widow with a grown child and time on her hands.
She wasted none of it!
She enrolled in a General Equivalency Diploma (GED) course at Bristol High School.
“I love public speaking,” she admits.
Then, last summer, she enrolled at RIC as a degree candidate in the Performance Studies Administration program.
“What I noticed here…they are human beings. I met the nicest students anywhere and the nicest professors,” she insists.
The first to notice, amid Professor Nugent, Kristi A. Partain, admissions officer, and Dixon A. McCool, associate dean of student life, all of whom were present recently in John E. Foley’s office recently, as was James E. Gilcrease Jr., executive director of the RIC Foundation, was Mrs. Piccerelli.
Again, Mrs. Piccerelli has had to drop from school, at least temporarily. But thank you she’s “so grateful for having had the opportunity to learn,” an opportunity she never had before college, and she wants to give back to RIC.
Vice President Foley said the money is to be deposited in a fund within the RIC Foundation to be used “to help some other deserving person to achieve his or her educational goals.”
“I’ll never forget this college as long as I live,” promises Mrs. Piccerelli. And, neither will RIC forget her!
The Acting Company to do Shakespeare’s ‘As You Like It’
Elizabethan English is understandable; the performance ‘faultless’
As You Like It, Shakespeare’s delightful pastoral comedy, will be performed on stage at the Robert B. and Rhoda K. Hall auditorium on Monday, April 28, at 7:30 p.m. by The Acting Company, a professional theater on tour for the John F. Kennedy Center for the Performing Arts.
“Catch As You Like It If you can,” advises one critic.
Director Mervyn Willis does a fabulous job of making this play work for a modern audience. The acting dictionary is excellent on its own merit, and English is understandable.
“The costumes are marvelous. It is beautiful to look at and fun to watch, brilliantly conceived and executed in a fashion never before performed – a theatrical gem that you will be very glad to saw.”
“As You Like It is sophisticated and playful at the same time, is as appealing as this company of professional actors can make it,” says another.
Yet a third critic suggests: “Irene Stephens, who plays Rosalind in a gray part-punk, part-1920s outfit and his doublet, is a revelation. Her high heels and pointy-toed boots of the flapper era – a sort of Russian-touched style evocative of the 1920s – are a perfect complement to associate with the Bard.”
The director of the new Acting Company set and costume designer Stephen McCabe moves the cast from this oddly attired court of Duke Frederick into an even more curious Forest of Arden.
“There, he has created a pastel world emblematic of the woods...and attired his players in pastel colors that somehow cloaks more commonly to the period of the play.”
“This production, with which The Acting Company is making its American debut, is extraordinary. As You Like It, it is an extraordinary offering, a wonderful gift of imagination and artistry,” writes Michael Sanders of The Miami Herald.
The Acting Company was created a space to perform for itself in the American theater in the past 14 years.
The company has become the foremost permanent professional repertory theater company in the United States.” It was founded by John Houseman and Margot Harley in 1972 and dedicated to a two-fold purpose: to provide a home for the best dramatists, actors and actresses through performing in a professional setting, the creation of contemporary plays, and the delivery of the highest quality productions to small towns and large cities across America.
To date, the company has traveled over 350,000 miles performing in 722 cities, in 43 states, playing before over 1,608,000 people.
Tickets for As You Like It cost $10 for this, the sixth installment in RIC’s Performing Arts Series, and will go on sale beginning April 21 when the Robers box office opens.
Ticket reservations can be made by calling 456-4144. For further information call 456-4144.
Audiences today are aware of John Houseman for his work as a casting and producer in The Paper Chase, as a producer of the television series, as Robert Altman’s Days of the Condor, as well as for his television appearances.
In fact, his reputation and his experience are such that he has been asked to return back to work with Francis Ford Coppola on the film version of Samuel Beckett’s Waiting for Godot, and with Virgil Thomson opera, Four Saints in Three Acts.
Houseman will direct the company’s first stage As You Like It at Rhode Island College on April 28, and speaking at the college’s Robers Hall auditorium on April 28 at 5 p.m.
Accomplished during his long and distinguished career with a list of prestigious credits including films, television, radio, and theater, Houseman has demonstrated talents as a director for the stage, as a film producer, and as a producer of television.
He collaborated with Orson Wells on radio’s Mercury Theater, and with Wells he also produced his talents to the screen in modern dramas.
He collaborated on the film version of Citizen Kane, and worked with Maxwell Anderson on Valley Forge, Leslie Howard on Hamlet, and Archibald MacLeish on Paris, Days of War, Days of Peace.
During World War II, Houseman served in the Office of War Information as chief of the film division, where he also created the “Voice of America” news and feature offerings.
Between 1945 and 1962 Houseman produced 18 feature films for Paramount, MGM, and United Artists studios. Among these were The Blue Dahlia, Executive Suite and Lust for Life.
In 1968 he was appointed head of the acting department at the Juilliard School, a position he held simultaneously for eight years as artistic director of The Acting Company.
Houseman has directed extensively for the stage, including the musicals Candide, Song with Mars Martin, the national tour of the musical, The Music Man, Don Juan in Hell and Henry Fonda’s, one-man show Clarence Darrow.
His work as a dramatist, Houseman has had articles in Harper’s, The New York Times, The Washington Post, and other publications.
The third volume of his memoirs was published in 1983. It received a nomination for the National Book Award and the Book Association. The first volume, published in 1980, won the National Book Award for best theatre book of the year.
He has won many awards and honors including the National Book Award, the Pulitzer Award for best supporting actor in The Paper Chase, and the Kennedy Center Award. He also has received a number of honorary degrees, the National Arts Club Medal of Merit, and many other awards and awards.
In the summer of 1985 Houseman directed Richard III for the Old Globe Theatre in San Diego.
Between 1996 and 1994 he served as the artistic director of the American Repertory Theater.
His talk at RIC will cost $4 general admission. For those who buy tickets to As You Like It, the price is $10. Admission will be free for RIC students.
Music Review:
Cellist, pianist offer fervent recital
by Paul Thomas
Chamber Music continued to attract a full house with the 9 p.m. performance featuring cello, piano and voice. Both the cellist and pianist, Alfred Lamourous, demonstrated exemplary technical skill throughout their respective recitals.
Opening was the Sonata in D Major by Ludwig van Beethoven for cello and piano. The first movement contained lively rapid passages. This immediately gave both performers an opportunity to demonstrate the aforementioned sensitivity to one another's musicality and technical competency regarding articulation.
Their unity was equally reflected in the second movement, which was a slow piece, the first through its dark and soulful sound. The cello and piano interplay succeeded in evoking Beethoven's typical emotional content of the music.
Without breaking, the Allegro fuoco emerged from the second movement, and was handled extremely well in terms of balance and dynamics by the duet. Lamourous was very impressive with his technique, and his musicality helped, and Lamourous' control of piano voicing created a truly integrated performance.
Sonata in A Minor for Cello and Variations on a Theme by Corelli composed by Giuseppe Tartini was the third movement. In variation piece, the stated theme was blithely played, varied and developed, resulting from melodic turns, bowing techniques, and syncopation. Except for a few minor slips at the finish, the movement was a triumph. Chamber performed with continued acumen.
The musical responsiveness continued in the final piece of the afternoon, Samuel Barber's, Sonata in C minor. Here they captured their audience throughout the three movements, demonstrating exceptional expression in both artistry and passion. A dramatic and moving work, they succeeded in conveying the meaning behind the words as they played effortlessly. The first movement was a combination of soothing descents and ascending phrases, and frenzied passages.
The two sections seemed to be the basis for the Adagio of the second movement, which then segued into Presto with focus, intensity, and limpidity leading to its more Adagio.
Their portrayal of the third movement Allegro appassionato brought their presentation to a truly fervent and passionate conclusion.
Calendar of Events
April 14 - April 21
MONDAY, APRIL 14
Noon to 1 p.m. "Hyphates," Anonymous meeting, Student Union, Room 305.
Noon to 1 p.m. "Freshstart" forum, "Freshstart" is a four-session program for students who have been involved in alcohol or drug use or who are quit-smoking. The sessions will be held April 14, 16, 21 and 23 from noon to 1 p.m. in Craig Lee, Room 130. Free to all RIC students, faculty and staff. Sponsored by the Counseling Center and the Office of Health Promotion.
Noon to 2 p.m. Health Watch Table, free health information and blood pressure screening available. Dental Dining Center.
2 to 3 p.m. Career Workshop to be offered by Career Services: Craig Lee, Room 104. Open to all RIC students and alumni. Workshop is limited to 15. For more information call 456-8031.
3:30 p.m. Edgar Tafiro to speak on "The Conspiracy in Assistantship Programs" in John K. Kennedy, Gage Auditorium, Reception in the Faculty Center. Free and open to all. Sponsored by the Political Science Club.
MONDAY-THURSDAY, APRIL 14-17
Noon Men's Student Union, Room 304.
TUESDAY, APRIL 15
1 p.m. Dr. Joseph Skrzyniak to speak on "Complexities of Smooth Muscle Cell Growth Effects on Extracellular Matrix." Skrzyniak will visit SUNY - Potsdam and the Albert Einstein Medical Center, New York. Clarke Science, Room 127. Open to all students. For further information call 456-8061.
1 to 3 p.m. Men's Basketball RIC vs. Worcester State College. Home.
3 p.m. Women's Softball RIC vs. Roger Williams College. Away.
3:30 p.m. Women's Softball RIC vs. Bridgewater State College (double header). Home.
WEDNESDAY, APRIL 16
2 p.m. AIESEC's weekly meeting. AIESEC is the International Association of Students in Economics and Business Management. Craig Lee, Room 252.
2 p.m. Biology Colloquium. Dr. Salma J. Unakar of the Oakland University Department of Biological Sciences, to speak on "Experimental Cataracts: Morphological and Cytochemical Studies." Foggar-1, Room 101. Open to all students.
2 p.m. Chamber Recital Series. The New Music Ensemble of Providence to perform, along with other ensembles, the premiere of Sebastian Currier's "Cantus Firmus" by Joa Harnay, and some works by Stephen Crane (for mezzo-soprano, violin, viola, guitar, harp and harpsichord). Craig Lee, Room 127. Free and open to all.
2 p.m. Richard Wilbur: "A Poet's Reading." Wilbur is a distinguished poet whose books of poetry include Walking to Sleep, Things of Time, and The Light in the Attic. He will read from his new book at Smith College. Fogarty Life Science, Room 050. Free and open to all.
2 p.m. Video on life in El Salvador to be presented by the Latin American Student Organization. Video Den, Student Union. Free and open to all.
2 to 3 p.m. Anchor Orientation. Craig Lee, Room 127. Sponsored by the Office of Student Personnel.
2 to 3 p.m. Anchor Christ Fellowship. Weekly meeting. Student Union, Room 304.
2 to 3 p.m. Psychology Department Colloquium Series. Dr. Robert Montville, assistant professor of psychology at RIC, to speak on "Factors Influencing the Development of Self-Esteem in Early Adolescence." RIC, Room 104. Refreshments will be served. Horace Mann, Room 303. Open to all.
2 to 3:45 p.m. Dance Support Group to meet. Craig Lee, Room 127. Open to all students. For further information call 456-8061.
THURSDAY, APRIL 17
2 to 4 p.m. Interview Workshop to be offered by Career Services. Craig Lee, Room 104. Open to RIC students and alumni. Workshop is limited to 15. For more information call 456-8031.
2 to 4 p.m. Job Search Seminar Day to be offered by the Human Resource Management Club. RIC, Room 104. Refreshments will be served. Free and open to the campus community.
3:30 p.m. Women's Softball RIC vs. Bridgewater State College. Home.
7:30 p.m. Financial planning seminar, "Investing in the 80's," to be offered by the Rhode Island College Foundation. Financial planning consultant Wayne Lawler will discuss investing strategies. Governor Conley's Room, Roberts Hall. Free and open to all.
THURSDAY-SATURDAY, APRIL 17-19
4 p.m. Women's Track and Field. RIC at Boston College. Relays distance events.
4 p.m. Mary Tucker Third Lecture (Arts and Sciences) to be presented by Dr. Charles Mazzacone, professor of chemistry at RIC. Mazzacone will speak on "A Look at the Future." Clarke Science, Room 128. Reception to follow in Alumni Lounge, Roberts Hall.
7 to 7:30 p.m. Bible Study to be offered by Anchor Christian Fellowship. Willard Hall, upstairs lounge. Open to all. For further information call 456-8061.
SATURDAY, APRIL 19
11 a.m. Women's Track and Field. RIC at Westfield Invitational.
Noon Men's Track & Field. RIC vs. Westfield State. Away.
1 p.m. Women's Softball RIC vs. Western Connecticut State University (double header). Home.
3 p.m. Men's Baseball RIC vs. Amherst College. Away.
SUNDAY, APRIL 20
10 a.m. Sunday Mass. Student Union, Room 304.
7 p.m. Sunday Evening Mass. Browne Hall, upper lounge.
MONDAY, APRIL 21
Noon Men's Softball RIC vs. Roger Williams College. Away.
Noon to 1 p.m. Glee Society to present "Let's Make a Better World." "Sattle" will be stopping at RIC on his evangelistic crusade. The event will be held in the Student Union Ballroom (weather permitting, inclement weather). Free and open to all.
Noon to 2 p.m. Health Watch Table, free health information and blood pressure screening available. Dental Dining Center. Sponsored by Health Promotion. Open to all.
3 p.m. Men's Tennis RIC vs. Roger Williams College. Away. |
SDM-Net: A Simple and Effective Model for Generalized Zero-Shot Learning
Shabnam Daghaghi\textsuperscript{1} \quad Tharun Medini\textsuperscript{1} \quad Anshumali Shrivastava\textsuperscript{1,2}
\textsuperscript{1}Department of Electrical and Computer Engineering, Rice University
\textsuperscript{2}Department of Computer Science, Rice University
Abstract
Zero-Shot Learning (ZSL) is a classification task where some classes referred to as \textit{unseen classes} have no training images. Instead, we only have side information about seen and unseen classes, often in the form of semantic or descriptive attributes. Lack of training images from a set of classes restricts the use of standard classification techniques and losses, including the widespread cross-entropy loss. We introduce a novel Similarity Distribution Matching Network (SDM-Net) which is a standard fully connected neural network architecture with a non-trainable penultimate layer consisting of class attributes. The output layer of SDM-Net consists of both seen and unseen classes. To enable zero-shot learning, during training, we regularize the model such that the predicted distribution of unseen class is close in KL divergence to the distribution of similarities between the correct seen class and all the unseen classes. We evaluate the proposed model on five benchmark datasets for zero-shot learning, AwA1, AwA2, apY, SUN, and CUB datasets. We show that, despite the simplicity, our approach achieves competitive performance with state-of-the-art methods in Generalized-ZSL setting for all of these datasets.
1 INTRODUCTION
Supervised classifiers, specifically Deep Neural Networks, need a large number of labeled samples to perform well. Deep learning frameworks are known to have limitations in fine-grained classification regimes and detecting object categories with no labeled data [Xiao et al., 2015, Socher et al., 2013, Xian et al., 2017, Zhang and Koniusz, 2018]. On the contrary, humans can recognize new classes using their previous knowledge. This power is due to the ability of humans to transfer their prior knowledge to recognize new objects [Fu and Sigal, 2016, Lake et al., 2015]. Zero-shot learning aims to achieve this human-like capability for learning algorithms, which naturally reduces the burden of labeling.
In the zero-shot learning problem, there are no training samples available for a set of classes, referred to as unseen classes. Instead, semantic information (in the form of visual attributes or textual features) is available for unseen classes [Lampert et al., 2009, 2014]. Besides, we have standard supervised training data along with the semantic information for a different set of classes, referred to as seen classes. The key to solving zero-shot learning problem is to train a classifier on seen classes to predict unseen classes by transferring knowledge analogous to humans.
Early variants of ZSL assume that during inference, samples are only from unseen classes. Recent observations [Chao et al., 2016, Scheirer et al., 2013, Xian et al., 2017] realize that such an assumption is not realistic. Generalized ZSL (GZSL) addresses this concern and considers a more practical variant. In GZSL there is no restriction on seen and unseen classes during inference. We are required to discriminate between all the classes. Clearly, GZSL is more challenging because the trained classifier is generally biased toward seen classes.
Where samples are images, in order to create a bridge between visual space (training data) and semantic attribute space (semantic information), some methods utilize embedding techniques [Palatucci et al., 2009, Romera-Paredes and Torr, 2015, Socher et al., 2013, Bucher et al., 2016, Xu et al., 2017, Zhang et al., 2017, Kodirov et al., 2015, Akata et al., 2016, 2015, Simonyan and Zisserman, 2014, Frome et al., 2013, Xian et al., 2016, Zhang and Saligrama, 2016, Al-Halah et al., 2016, Zhang and Shi, 2019, Atzmon and Chechik, 2018] and the others use semantic similarity between seen and unseen classes [Zhang and Saligrama, 2015, Fu et al., 2015b, Mensink et al., 2014]. Semantic similarity based models represent each unseen class as a mixture of
seen classes. While the embedding based models follow three various directions; mapping visual space to semantic space [Palatucci et al., 2009, Romera-Paredes and Torr, 2015, Socher et al., 2013, Bucher et al., 2016, Xu et al., 2017, Socher et al., 2013], mapping semantic space to the visual space [Zhang et al., 2017, Kodirov et al., 2015, Shojaoe and Baghsahh, 2016, Ye and Guo, 2017], and mapping both visual and semantic space into a joint embedding space [Akata et al., 2016, 2015, Simonyan and Zisserman, 2014, Frome et al., 2013, Xian et al., 2016, Zhang and Saligrama, 2016, Al-Halah et al., 2016].
Another recent methodology which follows a different perspective is deploying Generative Adversarial Network (GAN) to generate synthetic samples for unseen classes by utilizing their attribute information [Mishra et al., 2018, Zhu et al., 2018, Xian et al., 2018, Felix et al., 2018, Kumar Verma et al., 2018]. Although generative models boost the results significantly, it was argued that they are more difficult to train [Sutskever et al., 2015, Salimans et al., 2016]. Furthermore, training requires generation of a large number of samples followed by training on much larger augmented data which hurts their scalability.
A recent notable model called DCN [Liu et al., 2018], is also based on mapping visual features and semantic attributes to a common embedding. DCN minimizes cross-entropy on seen classes to learn their visual features. For the model to not ignore the unseen class attributes, it employs a regularization. DCN chooses to minimize the entropy of unseen classes. In essence, it is forcing the network not to predict uniform distribution (maximum entropy). Instead, it forces all the probability mass on one of the unseen classes (least entropy). While this entropy regularization is simple and remarkably improves network accuracy on unseen classes, we argue that it is sub-optimal. Consider an example where the correct class is a squirrel, and we have rats, mice, and several similar rodents in the unseen class. These unseen classes likely have attributes similar to the squirrel’s attribute. However, forcing the network to concentrate the probability only on one class is likely to lose information. Worse, nothing stops the entropy loss to converge on an utterly wrong class, which also minimized the entropy.
To resolve these issues, we propose a Similarity Distribution Matching (SDM) regularizer, which enforces a complete distribution on the unseen class to match the distribution obtained from the semantic similarity of class attributes with the correct class. Therefore, SDM uses attribute information in a more explicit way. The regularization imposes a larger structure on the network. We show that SDM outperforms DCN by a significant margin and achieves competitive performance with state-of-the-art algorithms on ZSL benchmark datasets.
1.1 OUR CONTRIBUTION
We propose a simple, fully connected neural network architecture with unified (both seen and unseen classes together) cross-entropy loss. Our proposal differs from a standard neural network for supervised classification in two ways. The first difference is that in the proposed network, the final layer is fixed and non-trainable. The weight vectors for neurons in the last non-trainable layer are precisely the available semantic attributes. We argue that this standard architecture is no less powerful than the popular embedding models. The second difference is a novel loss function based on semantic similarity-based regularization.
In ZSL, due to the lack of training data for the unseen class, after minimizing any loss function over the training data, the classifier will always prefer seen classes over unseen classes. This is the main challenge of ZSL problem where for any given input, the predicted class will likely only come from the seen classes. We propose Similarity Distribution Matching (SDM) to regularize this minimization problem which enables training data from seen classes to also learn and even predict unseen classes.
In particular, we directly use attribute similarity information between the correct seen class and the unseen classes to create a regularizer. Among all classifiers with small training loss on the seen data, we prefer classifiers whose predicted probability distribution on unseen classes, matches the normalized similarity distribution. The similarity distribution is defined by the attribute similarity between the correct seen class and all the unseen classes. As a result of SDM, training instances for seen classes also serve as proxy training instances for the unseen class without increasing the training corpus. Thus SDM after simplification leads to a straightforward regularizer, which we argue is more informative than the recently proposed entropy regularizer [Liu et al., 2018]. SDM regularization, along with cross-entropy loss, enables a simple MLP network to tackle GZSL problem. Our proposed model achieves competitive performance with state-of-the-art methods in Generalized-ZSL setting on all five ZSL benchmark datasets.\footnote{The code is available at https://github.com/shabnamD70/SDM-GZSL}
2 RELATED WORKS
The main goal of ZSL problem is to bridge the gap between visual features and semantic representations of unseen classes. Semantic representations are usually available in the form of word embeddings learned on text corpus or human annotation attributes. Some early ZSL methods utilized a two-step approach. [Lampert et al., 2009, Al-Halah et al., 2016] learn a probabilistic attribute classifier and then estimate class posteriors. [Norouzi et al., 2013] predict seen
class posteriors then take the convex combination of class label embeddings to project images into the semantic space. These two-step methods suffer from projection domain shift [Fu et al., 2015a]. On the other hand, recent works in ZSL directly learn an embedding between visual and semantic representations. [Akata et al., 2015, 2013] learn a bilinear compatibility function through structural SVM loss and ranking loss, respectively. DeViSE [Frome et al., 2013] utilizes a pairwise ranking loss to learn a mapping between visual space and semantic space. ESZSL [Romera-Paredes and Torr, 2015] introduces a simple analytical approach and utilizes square loss with $L_2$ norm regularization to learn the compatibility function between visual and semantic space.
Loss functions in embedding based models have training samples only from seen classes and there is no sample from unseen classes. It is not difficult to see that this lack of training samples biases the learning process towards seen classes only. One of the recently proposed techniques to address this issue is augmenting the loss function with some unsupervised regularization such as entropy minimization over the unseen classes [Liu et al., 2018].
The two most recent state-of-the-art discriminative GZSL methods, CRNet [Zhang and Shi, 2019] and COSMO [Atzmon and Chechik, 2018], both employ a complex mixture of experts approach. CRnet is based on k-means clustering with an expert module on each cluster (seen class) to map semantic space to visual space. The output of experts (cooperation modules) are integrated and finally sent to a complex loss (relation module) to make a decision. CRnet is a multi-module (multi-network) method that needs end-to-end training with many hyperparameters. Also, COSMO is a complex gating model with three modules: a seen/unseen classifier and two expert classifiers over seen and unseen classes. Both of these methods have many modules, and hence, several hyperparameters; architectural, and learning decisions. A complex pipeline is susceptible to errors, for example, CRnet uses k-means clustering for training and determining the number of experts and a weak clustering will lead to bad results.
Utilizing generative models is a totally different approach in GZSL setting. Given the semantic representation of classes, GANs aim to synthesize visual features and turn GZSL problem into a conventional classification problem. Xian et al. [2018] generates discriminative visual features through parsing Wasserstein GAN [Jahanian et al., 2017] with classification loss. Sarıyıldız and Cinbis [2019] extends this notion with gradient matching loss and learning an unconditional discriminator. Mishra et al. [2018] train a conditional Variational Auto-Encoder (cVAE) to generates samples from given semantic representations. Kumar Verma et al. [2018] follows a similar approach and adds a multivariate regressor to map the generated samples to the relevant semantic representation. Xian et al. [2019] employs both GAN and VAE with an additional discriminator to generate more discriminative features.
Our proposed model follows a discriminative framework to solve GZSL setting. We map visual features to semantic space, calculate similarity measures in semantic space and finally apply a softmax classifier. By utilizing SDM regularization, We efficiently implement all three components by a simple MLP network.
### 3 PROBLEM DEFINITION
Training dataset $\mathcal{D} = \{(\mathbf{x}_i, \mathbf{y}_i)\}_{i=1}^n$ includes $n$ samples where $\mathbf{x}_i$ is the visual feature vector of the $i$-th image and $\mathbf{y}_i$ is the class label. All samples in $\mathcal{D}$ belong to seen classes $\mathcal{S}$ and during training there is no sample available from unseen classes $\mathcal{U}$. The total number of classes is $C = |\mathcal{S}| + |\mathcal{U}|$. Semantic information or attributes $\mathbf{a}_k \in \mathbb{R}^{d_k}$, are given for all $C$ classes and the collection of all attributes are represented by attribute matrix $\mathbf{A} \in \mathbb{R}^{d \times C}$. In the inference phase, our objective is to predict correct classes for the test dataset $\mathcal{D}'$. Classic ZSL setting assumes that all test samples in $\mathcal{D}'$ belong to unseen classes $\mathcal{U}$ and tries to classify test samples only to unseen classes $\mathcal{U}$. While in a more realistic setting i.e. GZSL, there is no such assumption and we aim at classifying samples in $\mathcal{D}'$ to either seen or unseen classes $\mathcal{S} \cup \mathcal{U}$.
### 4 PROPOSED METHODOLOGY
In the next few sections, we outline the specific components of our method. The proposed network architecture, the SDM regularization details, and the employed training strategy are presented.
#### 4.1 NETWORK ARCHITECTURE
As Figure 1 illustrates our architecture, the architecture is a fully connected neural network that takes visual features and predicts the class using standard softmax and Similarity Distribution Matching (described later). The final softmax layer has one node for every class, both seen and unseen. To incorporate the semantic attributes of every class in the learning process, we replace the weight corresponding to each class node, in the softmax layer, with the given attributes and make this layer non-trainable or immutable during training. The penultimate layer of the network has the same size as the dimension of semantic embedding of the class.
##### 4.1.1 Why is this Architecture Sufficient?
We contrast our approach with popular embedding based approaches for zero-shot learning and argue that the two approaches are equally powerful in terms of architecture.
The whole learning process is about finding the right compatibility score between the input visual features, call it $v$, and the class attributes, call it $a$. In embedding models, this score is computed via inner product between embedding of visual features and the embedding of attributes. Lets $f(v)$ denotes the embedding of $v$ and $g(a)$ denotes embedding of $a$. Here, $f$ and $g$ are non-linear functions which are generally a neural networks. Thus, the compatibility between $v$ and $a$, call it $C(v,a)$ is given by
$$C(v,a) = \langle f(v), g(a) \rangle$$
In our architecture, the score is softmax which is monotonic in the inner product of the penultimate embedding, which is a function of $v$ (call it $f'(v)$), and the semantic attributed $a$. Thus, with our model we can write
$$C(v,a) = \langle f'(v), a \rangle$$
Since $f'$ is non-linear neural network and can be as complex as we want, given $f$ and $g$, we can always choose $f'$ complex enough such that
$$\langle f'(v), a \rangle = \langle f(v), g(a) \rangle$$
As a result, the power of our architecture is no less than the power of standard embedding models. Instead, softmax is more natural in terms of modeling the class dependencies and particularly incorporating similarity distribution, which is one of our contributions. Unlike embedding models which are limited to modeling pairwise compatibility, softmax models the complete conditional distribution. We will be precisely needing the information of the complete joint distribution to propose a superior regularizer. Besides, the simple softmax and its standard probability interpretation will eliminate the need for fancy normalization which otherwise is a concern for embedding models.
### 4.2 SIMILARITY DISTRIBUTION MATCHING
In the ZSL problem, the network output nodes corresponding to unseen classes are always inactive during learning since cross-entropy loss cannot penalize unseen classes. Moreover, the available similarity information between seen and unseen attributes is never utilized explicitly.
We overcome this inherent bias by regularizing the network to reproduce a predetermined probability distribution on unseen classes where this probability is dictated by semantic similarity. We propose creating unseen probability distribution based on the similarity between semantic attributes. For each seen sample, we represent its relationship to unseen categories by obtaining the semantic similarity (dot-product) of its attribute with the attributes of unseen classes.
We then squash all these dot-product values by softmax to acquire probabilities (Equation 1). While training, we use this similarity distribution to regularize the classifier. In particular, we enforce the predicted probability distribution on the unseen class close to the prescribed similarity distribution.
In order to control the flatness of the unseen distribution, we utilize temperature parameter $\tau$ in softmax [Hinton et al., 2015]. Higher temperature results in flatter distribution over unseen classes and lower temperature creates a more ragged distribution with peaks on nearest unseen classes. The impact of temperature $\tau$ on unseen distribution is depicted in Figure 4.left for a particular seen class. SDM regularizer implicitly introduces unseen visual features into the network without generating fake unseen samples as in generative methods [Mishra et al., 2018, Zhu et al., 2018, Xian et al., 2018]. Below is the formal description of temperature softmax to produce similarity distribution of unseen class $k$ for seen class $i$ (unseen probability distribution):
$$y_{i,k}^u = q \frac{\exp{(s_{i,k}/\tau)}}{\sum_{j \in U} \exp{(s_{i,j}/\tau)}} \quad \text{where} \quad s_{i,j} \triangleq \langle a_i, a_j \rangle$$
(1)
where $a_i$ is the $i$-th column of attribute matrix $A \in \mathbb{R}^{a \times C}$ which includes both seen and unseen class attributes; $A = [a_1 | a_2 | \cdots | a_C]$. And $s_{i,j}$ is the true similarity score between two classes $i, j$ based on their attributes. $\tau$ and $q$ are temperature parameter and unseen similarity distribution regularization factor, respectively.
The proposed method is a multi-class probabilistic classifier that produces a $C$-dimensional vector of class probabilities $p$ for each sample $x_i$ as $p(x_i) = \text{softmax}\left(A^T g_w(x_i)\right)$ where $A^T g_w(x_i)$ is a $C$-dimensional vector of all similarity scores for an input sample (Figure 1).
A natural choice to train such classifiers is the cross-entropy loss which we later show naturally integrates our idea of similarity distribution matching. Therefore, the optimization problem of our framework is as:
$$\min_W \sum_{i=1}^{n} L(x_i) + \lambda \|W\|_F^2$$
(2)
where $\lambda$ is the weight decay regularization factor, and $L(x_i)$ is the cross-entropy loss over true probability distribution ($L$), regularized by cross-entropy over probability distribution based on semantic similarity ($R$) for each sample as shown below:
$$L(x_i) = (1 - \alpha)L(x_i) + \alpha R(x_i)$$
(3)
where $\alpha \in [0, 1]$ is SDM regularization parameter. Through $R$, the SDM regularizer, we want to regularize the overconfidence of the classifier toward seen classes and enrich the network with the ability to also identify unseen samples.
The regularizer term can be expanded to seen and unseen
terms as follows (omitting $i$ subscript for simplicity):
$$R(x) = - \sum_{k \in S} y^s_k \log(p^s_k) - \sum_{k \in U} y^u_k \log(p^u_k)$$ \hspace{1cm} (4)
where $y^s_k$ and $y^u_k$ are probability distributions (based on semantic similarity) for seen and unseen class $k$, respectively. $y^u_k$ is in fact the unseen similarity distribution (Equation 1) that the model attempts to match via SDM regularizer. The second term of Equation 4 is the KL divergence (constant entropy term on $y^s_k$ is omitted) that matches the similarity distribution of unseen classes and their corresponding predicted probability distribution.
We observe that the SDM regularizer is a weighted cross-entropy on unseen class, which leverages similarity structure between attributes as opposed to uniform entropy function of DCN [Liu et al., 2018]. DCN and all prior works use uniform entropy as a regularizer, which does not capitalize on the known semantic similarity information between seen and unseen class attributes.
At the inference time, our proposed SDM method works the same as a conventional classifier. We only need to provide the test image and the network will produce class probabilities for all seen and unseen classes.
5 EXPERIMENT
We conduct a comprehensive comparison of our proposed SDM model with the state-of-the-art discriminative methods for GZSL settings on five benchmark datasets (Table 1). Our model achieves competitive performance with the state-of-the-art methods on GZSL setting for all benchmark datasets.
5.1 DATASET
The proposed method is evaluated on five benchmark ZSL datasets. The statistics for the datasets are shown in Table 1.
Animal with Attributes (AwA1) [Lampert et al., 2014] dataset is a coarse-grained benchmark dataset for ZSL/GSZL. It has 30475 image samples from 50 classes of different animals and each class comes with side information in the form of attributes (e.g. animal size, color, place of habitat). The attribute space dimension is 85 and this dataset has a standard split of 40 seen and 10 unseen classes introduced in Lampert et al. [2014]. AWA2 [Xian et al., 2017] is the public licensed version of AWA1 with roughly the same amount of samples and the same number of attributes and seen/unseen classes as AWA1.
Caltech-UCSD-Birds-200-2011 (CUB) [Wah et al., 2011] is a fine-grained ZSL benchmark dataset. It has 11,788 images
| Dataset | # Attributes | # Seen Classes | # Unseen Classes | # Images |
|---------|--------------|----------------|------------------|----------|
| AwA1 | 85 | 40 | 10 | 30475 |
| AwA2 | 85 | 40 | 10 | 37322 |
| CUB | 312 | 150 | 50 | 11788 |
| aPY | 64 | 20 | 12 | 18627 |
| SUN | 102 | 645 | 72 | 14340 |
Table 1: Statistics of five ZSL benchmark datasets
from 200 different types of birds and each class comes with 312 attributes. The standard ZSL split for this dataset has 150 seen and 50 unseen classes [Akata et al., 2016].
SUN Attribute (SUN) [Patterson and Hays, 2012] is a fine-grained ZSL benchmark dataset that consists of 14340 images of different scenes and each scene class is annotated with 102 attributes. This dataset has a standard ZSL split of 645 seen and 72 unseen classes.
attribute Pascal and Yahoo (aPY) [Farhadi et al., 2009] is a small and coarse-grained ZSL benchmark dataset that has 14340 images and 32 classes of different objects (e.g. airplane, bottle, person, sofa, ...) and each class is provided with 64 attributes. This dataset has a standard split of 20 seen classes and 12 unseen classes.
### 5.2 EVALUATION METRIC
For the purpose of validation, we employ the validation splits provided along with the Proposed Split (PS) [Xian et al., 2017] to perform cross-validation for hyper-parameter tuning. The main objective of GZSL is to simultaneously improve seen samples accuracy and unseen samples accuracy i.e. imposing a trade-off between these two metrics. As the result, the standard GZSL evaluation metric is the harmonic average of seen and unseen accuracy. This metric is chosen to encourage the network not to be biased toward seen classes. Harmonic average of accuracies is defined as $A_H = \frac{2A_S A_U}{A_S + A_U}$ where $A_S$ and $A_U$ are seen and unseen accuracies, respectively.
### 5.3 IMPLEMENTATION DETAILS
To evaluate SDM, we follow the popular experimental framework and the Proposed Split (PS) in Xian et al. [2017] for splitting classes into seen and unseen classes to fairly compare GZSL/ZSL methods. Utilizing PS ensures that none of the unseen classes have been used in the training of ResNet-101 on ImageNet. The input to the model is the visual features of each image sample extracted by a pre-trained ResNet-101 [He et al., 2016] on ImageNet provided by Xian et al. [2017]. The dimension of visual features is 2048. We do not fine-tune the CNN that generates visual features unlike the model in Liu et al. [2018]. In this sense, our proposed model is also fast and straightforward to train. We utilized Keras [Chollet, 2015] with TensorFlow backend [Abadi et al., 2016] to implement our model. We used Xian et al. [2017] proposed unseen classes for validation (3-fold CV) and added 20% of train samples (seen classes) as seen validation samples to obtain GZSL validation sets. We cross-validate $\tau \in [10^{-2}, 10]$, mini-batch size $\in \{64, 128, 256, 512, 1024\}$, $q \in [0, 1]$, $\alpha \in [0, 1]$, $\lambda \in \{0, 10^{-6}, 10^{-5}, 10^{-4}\}$, hidden layer size $\in \{128, 256, 512, 1024, 1500\}$ and activation function $\in \{\text{tanh, sigmoid, hard-sigmoid, relu}\}$ to tune our model. To obtain statistically consistent results, the reported accuracies are averaged over 5 trials (using different initialization) after tuning hyper-parameters with cross-validation. Also we ran our experiments on a machine with 56 vCPU cores, Intel(R) Xeon(R) CPU E5-2660 v4 @ 2.00GHZ and 2 NVIDIA-Tesla P100 GPUs each with 16GB memory. The code is provided in the supplementary material.
Figure 2: Plots of seen ($A_S$), unseen ($A_U$) and harmonic average ($A_H$) accuracies versus total probability ($q$) assigned to unseen classes are shown for four datasets. The maximum obtained harmonic accuracy is also marked by ($\times$). $q$ provides a flexibility to trade-off between $A_S$, $A_U$, and $A_H$.
### 5.4 GENERALIZED ZERO-SHOT LEARNING RESULTS
To demonstrate the effectiveness of the SDM model in GZSL setting, we comprehensively compare our proposed method with state-of-the-art GZSL models in Table 2. Since we use the standard proposed split, the published results of other GZSL models are directly comparable.
As reported in Table 2, our model achieves competitive performance with state-of-the-art GZSL methods on all five benchmark datasets and outperforms the state-of-the-art models on AwA2 and aPY datasets. It is exciting and mo| Method | AwA1 | AwA2 | APY | CUB | SUN |
|------------------------|------|------|-----|-----|-----|
| | U | S | H | U | S | H | U | S | H | U | S | H |
| DAP [Lampert et al., 2009] | 0.0 | 88.7 | 0.0 | - | - | - | 4.8 | 78.3 | 9.0 | 1.7 | 67.9 | 3.3 | 4.2 | 25.1 | 7.2 |
| ALE [Akata et al., 2013] | 16.8 | 76.1 | 27.5 | 14.0 | 81.8 | 23.9 | 6.4 | 73.7 | 8.7 | 23.7 | 62.8 | 3.4 | 21.8 | 33.1 | 26.3 |
| ASL [Ahn et al., 2015] | 11.3 | 74.6 | 19.6 | 8.0 | 71.9 | 14.4 | 3.7 | 55.5 | 6.9 | 2.3 | 59.7 | 3.6 | 14.7 | 30.5 | 19.8 |
| LAFD [Xian et al., 2016] | 7.3 | 68.0 | 11.5 | 7.7 | 65.9 | 10.1 | 3.0 | 51.0 | 6.7 | 1.7 | 57.3 | 3.0 | 10.9 | 24.9 | 19.5 |
| SSH [Zhang and Saligrama, 2015] | 7.0 | 80.5 | 12.9 | 8.1 | 82.5 | 14.8 | 0.2 | 78.9 | 0.4 | 8.5 | 46.9 | 14.4 | 2.1 | 38.4 | 4.0 |
| ConSE [Nourouzi et al., 2013] | 0.4 | 88.8 | 0.6 | 0.5 | 90.6 | 1.0 | 0.0 | 91.2 | 0.0 | 1.6 | 72.2 | 3.1 | 6.8 | 39.9 | 11.6 |
| Synth [Sungkajorn et al., 2016] | 8.9 | 87.6 | 16.2 | 10.9 | 90.5 | 18.0 | 1.6 | 66.0 | 13.3 | 15.1 | 70.9 | 8.8 | 7.9 | 45.3 | 13.4 |
| ESZSL [Romero-Paredes and Torr, 2015] | 6.6 | 67.6 | 11.6 | 7.0 | 69.1 | 10.1 | 2.4 | 70.1 | 12.6 | 8.8 | 71.0 | 2.1 | 15.8 | 24.9 | 15.8 |
| DeViSiR [Fronce et al., 2013] | 13.4 | 68.7 | 22.4 | 17.1 | 74.7 | 27.8 | 4.9 | 76.9 | 9.2 | 23.8 | 53.0 | 32.8 | 16.9 | 27.4 | 20.9 |
| CMP [Sochska et al., 2013] | 0.9 | 87.6 | 1.8 | 8.7 | 89.0 | 15.9 | 1.4 | 85.2 | 2.8 | 7.2 | 49.8 | 12.6 | 8.1 | 21.8 | 11.8 |
| LCL-SWGAN [Xian et al., 2018] | 57.9 | 79.7 | 63.6 | 58.0 | 80.0 | 63.4 | - | - | - | 57.9 | 79.7 | 63.6 | 42.6 | 36.6 | 39.4 |
| SP-Net [Li et al., 2018] | 31.4 | 91.3 | 46.7 | 30.0 | 93.4 | 45.3 | - | - | - | 38.1 | 91.1 | 47.0 | - | - | - |
| SP-AEIN [Chen et al., 2018] | 23.3 | 90.9 | 37.1 | - | - | - | 13.7 | 63.4 | 13.7 | 34.7 | 70.6 | 46.6 | 24.9 | 38.6 | 30.3 |
| SE-GZSL [Kumar Verma et al., 2018] | 56.3 | 67.8 | 61.5 | - | - | - | 46.7 | 53.9 | 41.5 | 40.9 | 30.9 | 30.5 | 34.9 | - | - |
| ZSK [Zhang and Salimans, 2018] | 10.0 | 73.9 | 17.9 | - | - | - | 10.5 | 76.2 | 18.5 | 20.8 | 67.8 | 24.5 | 25.5 | 37.0 | 30.2 |
| DCN [Lin et al., 2018] | 25.5 | 84.2 | 39.1 | - | - | - | 14.2 | 75.0 | 23.9 | 28.4 | 60.7 | 38.7 | - | - | - |
| COSMO [Atzmon and Chechik, 2018] | 52.8 | 80.0 | 63.6 | - | - | - | - | - | - | 44.4 | 57.8 | 50.2 | 44.9 | 37.7 | 41.0 |
| CRnet [Zhang and Shi, 2019] | **58.1** | 74.7 | **65.4** | 52.6 | 52.6 | 63.1 | 32.4 | 68.4 | 44.0 | 28.5 | 56.0 | 80.0 | 34.1 | 34.5 | 35.3 |
| LFGAN+vsA [Liu et al., 2019] | - | - | - | 50.0 | 90.3 | 64.4 | - | - | - | 33.7 | 79.6 | 63.2 | - | - | - |
| SDM-Net (Ours) | 57.2 | 75.8 | 65.2 | **55.1** | 78.6 | **64.7** | **42.7** | **57.2** | **48.7** | **47.1** | **52.5** | **49.6** | **47.2** | **32.6** | **38.6** |
Table 2: Results of GZSL methods on ZSL benchmark datasets under Proposed Split (PS) [Xian et al., 2017]. U, S, and H respectively stand for Unseen, Seen, and Harmonic average accuracies. Our model achieves highly competitive performance with state-of-the-art baselines despite its simplicity.
Motivating while our architecture is much simpler compared to recently proposed CRnet and COSMO, yet, we achieve similar or better accuracies compared to them. We have only one simple fully connected neural network with 2 trainable layers, compared to CRnet with K mixture of experts followed by relation module with complex loss functions (pairwise).
Semantic similarity distribution employed in SDM gives the model new flexibility to trade-off between seen and unseen accuracies during training and attain a higher value of harmonic accuracy $A_H$, which is the standard metric for GZSL. Assigned unseen probability ($q$) enables the classifier to gain more confidence in recognizing unseen classes, which in turn results in considerably higher unseen accuracy $A_U$. As the classifier is now discriminating between more classes we get marginally lower seen accuracy $A_S$. However, balancing $A_S$ and $A_U$ with the cost of deteriorating $A_S$ leads to much higher $A_H$. This trade-off phenomenon is depicted in Figure 2 for four datasets. The flexibility provided by SDM is examined by obtaining accuracies for different values of $q$. In Figure 2.a and 2.b, by increasing total unseen probability $q$, $A_U$ increases and $A_S$ decreases as expected. From the trade-off curves, there is an optimal $q$ where $A_H$ takes its maximum value as shown in Figure 2. Maximizing $A_H$ is the primary objective in a GZSL problem that can be achieved by semantic similarity distribution matching and the trade-off knob, $q$.
Moreover, SDM alleviates overconfidence in seen classes and introduces information about unseen classes during the training phase; Figure 3 shows the impact of $\alpha$ on seen ($A_S$), unseen ($A_U$), and harmonic average ($A_H$) accuracies. The plots represent that conventional cross-entropy loss ($\alpha = 0$) results in almost zero unseen and harmonic average accuracies. This underscores the importance of similarity distribution regularization. As shown in Figure 3 for four datasets, not only unseen accuracy but also seen accuracy benefits from SDM, as the maximum of seen accuracy occurs at some $\alpha$ greater than zero which confirms the significance of probability distribution created by similarity values for cross-entropy loss in GZSL setting.
Figure 3: Plots of seen ($A_S$), unseen ($A_U$) and harmonic average ($A_H$) accuracies versus $\alpha$. The maximum obtained harmonic accuracy is also marked by ($\times$).
It should be noted that both AwA1 and aPY datasets (Figures 2.a, 2.b, 3.a, 3.b) are coarse-grained class datasets. In contrast, CUB and SUN datasets are fine-grained with hundreds of classes and highly unbalanced seen-unseen split,
Figure 4: The impact of temperature parameter $\tau$ for AwA1 dataset. \textit{left figure}: unseen probabilities (before multiplying $q$) produced by temperature softmax Equation (1) for various $\tau$. \textit{right figure}: accuracies versus $\tau$ for proposed SDM classifier. The optimal $\tau$ is 0.2 for AWA1 dataset where the unseen probability distribution is mostly focused on three unseen classes, \textit{rat}, \textit{bat}, and \textit{bobcat}.
and hence their accuracies have different behavior concerning $q$ and $\alpha$, as shown in Figures (2.c 2.d 3.c, 3.d). However, the harmonic average curve still has the same behavior and possesses a maximum value at an optimal $q$ and $\alpha$.
5.5 INTUITION
We illustrate the intuition with AwA1 dataset [Lampert et al., 2009]. Consider a seen class \textit{squirrel}. We compute the closest unseen classes to the class \textit{squirrel} in terms of attributes. We naturally find that the closest class is \textit{rat} and the second closest is \textit{bat}, while other classes such as \textit{horse}, \textit{dolphin}, \textit{sheep}, etc. are not close (Figure 4.\textit{left}). This is not surprising as \textit{squirrel} and \textit{rat} share several attribute. It is naturally desirable to have a classifier that gives \textit{rat} higher probability than other classes. If we force this softly, we can ensure that classifier is not blind towards unseen classes due to lack of any training example.
From a learning perspective, without any regularization, we cannot hope for the classifier to classify unseen classes accurately. This problem was identified in Liu et al. [2018], where they proposed entropy-based regularization in the form of Deep Calibration Network (DCN). DCN uses cross-entropy loss for seen classes and regularizes the model with entropy loss on unseen classes to train the network. Authors in DCN postulate that minimizing the uncertainty (entropy) of predicted unseen distribution of training samples, enables the network to become aware of unseen visual features. While minimizing uncertainty is a good choice of regularization, it does not eliminate the possibility of being confident about the wrong unseen class. Clearly in DCN’s approach, for the above \textit{squirrel} example, the uncertainty can be minimized even when the classifier gives high confidence to a wrong unseen class \textit{dolphin} on an image of seen class \textit{squirrel}. Utilizing similarity distribution matching implicitly regularizes the model in a supervised fashion. The similarity values naturally have information of how much certainty we want for a specific unseen class. We believe that this supervised regularization is the critical difference in why our model outperforms DCN with a significant margin.
5.6 ILLUSTRATION OF SIMILARITY DISTRIBUTION
Figure 4 shows the effect of $\tau$ and the assigned unseen distribution on seen, unseen and harmonic accuracies for AwA1 dataset. Small $\tau$ enforces $q$ to be concentrated on the nearest unseen class, while large $\tau$ spread $q$ over all the unseen classes and basically does not introduce helpful unseen class information to the classifier. The optimal value for $\tau$ is 0.2 for AwA1 dataset as depicted in Figure 4.\textit{right}. The impact of $\tau$ on the assigned distribution for unseen classes is shown in Figure 4.\textit{left} when seen class is \textit{squirrel} in AwA1 dataset. Unseen distribution with $\tau = 0.2$, well represents the similarities between seen class (\textit{squirrel}) and similar unseen classes (\textit{rat}, \textit{bat}, \textit{bobcat}) and basically verifies the result of Figure 4.\textit{right} where $\tau = 0.2$ is the optimal temperature. While in the extreme cases, when $\tau = 0.01$, distribution on unseen classes is mostly focused on the nearest unseen class, \textit{rat}, and consequently the other unseen classes’ similarities are ignored. Also, $\tau = 10$ flattens the unseen distribution which results in high uncertainty and does not contribute helpful unseen class information to the learning.
6 CONCLUSION
We proposed a discriminative GZSL classifier with visual-to-semantic mapping and cross-entropy loss. During training, while SDM is trained on a seen class, it simultaneously learns similar unseen classes through probability distribution based on semantic similarity. We construct similarity distribution on unseen classes which allows us to learn both seen and unseen signatures simultaneously via a simple architecture. Our proposed similarity distribution matching strategy along with cross-entropy loss leads to a novel regularization via generalized similarity-based weighted cross-entropy loss that can successfully tackle GZSL problem. SDM offers a trade-off between seen and unseen accuracies and provides the capability to adjust these accuracies based on the particular application. We achieve competitive performance with state-of-the-art methods in GZSL setting, on all five ZSL benchmark datasets while keeping the model simple, efficient, and easy to train.
7 ACKNOWLEDGMENT
This work was supported by National Science FoundationIIS-1652131, BIGDATA-1838177, AFOSR-YIP FA9550-18-1-0152, ONR DURIP Grant, and the ONR BRC grant on Randomized Numerical Linear Algebra.
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MINUTES OF REGULAR MEETING OF FEBRUARY 7, 1977
14th BOARD OF REPRESENTATIVES
Stamford, Connecticut
A regular monthly meeting of the 14th Board of Representatives of the City of Stamford, Connecticut, was held on Monday, February 7, 1977, in the Board's Legislative Chambers on the Second Floor of the Municipal Office Building, 429 Atlantic Street, Stamford, Connecticut.
The meeting was called to order by the PRESIDENT, FREDERICK E. MILLER, JR., after both parties had met in caucus, at 9:22 P.M.
INVOCATION was given by the Rev. Robert W. Perry, Union Baptist Church, 15 Fifth St., Stamford, Conn.
PLEDGE OF ALLEGIANCE TO THE FLAG: President Frederick E. Miller, Jr., led the assemblage in the Pledge of Allegiance to the Flag.
MOMENT OF SILENCE: President Miller asked for a Moment of Silence out of respect for the memory of Special Police Officer Angus H. McKeithen, who died of injuries sustained while he heroically performed his duties far beyond the call of duty.
ROLL CALL: The Clerk of the Board, Linda D. Clark, called the Roll. There were 35 members present and five absent. The absent members were: Vera Wiesley, John Wayne Fox, Gerald Rybnick, Jeremiah Livingston, and Audrey Cosentini. (Mr. Rybnick and Mrs. Cosentini were ill.)
The PRESIDENT declared a QUORUM.
PAGES: KATHY D'AGOSTINO, a student at Stamford Catholic High. TOM D'AGOSTINO, a student at Dolan Middle School. Both are children of City Representative Thomas D'Agostino.
CHECK OF THE VOTING MACHINE: A check was made of the voting machine and it was found to be in good working order.
COMMITTEE VACANCIES:
MR. MILLER: The CHAIR at this time wishes to announced that DAVID I. BLUM is now also a member of the STEERING COMMITTEE.
The CHAIR will indicate that although there are now two vacancies on the HEALTH AND PROTECTION COMMITTEE, after conferring with the Leadership on both sides, it has been determined that those vacancies will not be filled this evening, but that they should be filled in a week or so.
ACCEPTANCE OF THE MINUTES
MR. BLOIS MOVED for the Acceptance of the May 12, 1976 Minutes, Special Budget Meeting. SECONDED by MR. SIGNORE.
MR. MORGAN: I'd like to speak against accepting the May Special Budget Meeting Minutes. I've had an opportunity to read them and as Chairman of the Fiscal Committee, this was a meeting where I did a considerable amount of work presenting the matters before the Board and I don't believe that the presentation accurately reflects what transpired at the meeting, and I think that they need to be re-done and I would urge that they not be approved in order that that may happen.
MR. EAYS: The minutes mentioned of May, 1976 and on the agenda it even mentions June, 1976, but that is late, as late as it mentions. Now this is February, 1977 and I want to go on record as objected to the delay in getting our minutes out to us so late to be approved. I think we are in violation of the sunshine law and I think we need to do something about it.
MR. LOBOZZA: I'd just like to say one thing. I think that we are understaffed for one thing, and I think that if this problem was resolved, I think that we could get our minutes done on time, but there is quite a bit of work, not only the minutes that go through that office, and I think people should take that into consideration.
DR. LOWDEN: Through the CHAIR, I'd like to ask Mr. Morgan if there are any specific inaccuracies that he can point to, so that we might amend them and then perhaps pass them?
MR. MORGAN: In response to Dr. Lowden's question, I would just...the answer to that specifically, in most cases the answer is "no", and the reason I say that is it's not that I believe what is here is necessarily factually incorrect as it appears, but I don't think what is here accurately represents what transpired. For example, if Dr. Lowden has the minutes before him and he paged through them, he'll see that when some members spoke, they are quoted at great length, and when other members have spoken, they are paraphrased in a word or two, and I don't think that the various arguments that different members may have made during the course of the meeting are fully detailed, so it's the form rather than the substance of these minutes that I have a problem with.
MR. SIGNORE: I have a question. Is it normal in drawing up the minutes, to report every word that happened at the meeting, or just certain pertinent facts relative to certain subjects that were brought up?
MR. MILLER: Who are you addressing that question to, Mr. Signore? The CHAIR can only say that the full Board has the power to either accept or reject the minutes, and that's where the Board makes its statement on the minutes. Normally, when you are talking about minutes, you're not talking about a verbatim transcript; you're talking about some sort of summary which is a fair representation of what occurred at the meeting.
MR. SIGNORE: That's what I'm getting at.
MR. MILLER: It has not been our tradition to have verbatim minutes, although at some times in the past we have had minutes accepted which were practically verbatim transcripts.
MR. SIGNORE: This is exactly what I'm getting at. Thank you.
ACCEPTANCE OF THE MINUTES (continued)
MRS. GOLDSTEIN: I would just like to go on record as stating that I am dismayed that it is February 7, 1977 and we are approving minutes from May 12, 1976.
MR. LOOMIS: Yes, in response to Mr. Lobozza's comments, I'd just like to also go on record indicating that during the previous Board, minutes with staff less than what we have now were usually produced within a week, or sometimes within a couple of days.
MRS. SANTY: I think, at this point, we are unjustly attacking the administrative assistant, since she is not able to answer for herself here, and she has no staff at this time. I think we should cut all discussion and I would like to SECOND that MOVE to accept the minutes.
MR. SIGNORE: I MOVE THE QUESTION.
MR. MILLER: MOVED and SECONDED. The MOTION is CARRIED. We will now vote on the main motion of accepting the minutes. It is necessary to use the machine, taking a DIVISION. Mr. DeRose has left and there are 34 present. Mrs. Perillo is recorded as ABSTAINING. The MOTION is CARRIED with 23 YES votes, 11 NO votes, and 1 ABSTENTION (Mildred Perillo). We will now move on to the minutes of the May 13, 1976, Adjourned Special Budget Meeting.
MR. BLOIS: I move that we Accept the Minutes of the Adjourned Special Budget Meeting of May 13, 1976. SECONDED by Mr. Signore.
MRS. GOLDSTEIN: Mr. President, I don't know what page...oh yes, page 11,247, at the very end, under "Abstentions", it says "Goldstein, Audrey". I would like it made "Goldstein, Sandra".
MR. MILLER: Let Page 11,247 at the end of that page, let it be recorded that the word Audrey be changed to Sandra, next to Goldstein.
MR. MORGAN: I would speak against accepting these minutes for the same reasons that I spoke against accepting the May 12th minutes. These minutes are incomplete in their presentation and I do not believe they fairly represent what transpired at this meeting and I believe they need to be re-done.
MR. SIGNORE MOVED the QUESTION. SECONDED. CARRIED, with a vote of 21 YES, 12 NO and 2 ABSTENTIONS. Mr. Ravallese was not present for that vote, Mrs. Perillo abstained also.
MR. MILLER: Are there any other minutes to be accepted tonight.
MR. BLOIS: I don't think we have the June meeting to be accepted tonight.
COMMITTEE REPORTS
MR. BLOIS: I MOVE that we WAIVE THE READING OF THE STEERING COMMITTEE REPORT.
MR. MORGAN: I'd like to have the Steering Committee Report given, since I believe that there may be some differences between the Steering Committee Report and the printed material we received in the mail, that's our agenda for the Feb. 7th meeting.
SECONDED by MR. HAYS.
MR. MILLER: Would you please elaborate on your specific question, Mr. Morgan?
MR. MORGAN: Well, in one instance, as you well know, there is an item on the Fiscal Committee Agenda, No. 14, Public Works Department, for $1,379,069.03, and while this is a matter that has been considered by the Fiscal Committee at a previous meeting, it was not placed on the agenda by the Steering Committee at its last meeting, and I believe it's here in error, and that is specifically what I'm talking about, but it is very possible that there are other matters that....
MR. MILLER: The CHAIR is unaware of any other errors, Mr. Morgan, and the CHAIR would have to admit that had it not been called to his attention, the President of the Board would not have noticed anything amiss with Item 14 on Page 5. We did have a meeting of the Steering Committee, that last meeting which began about 12:15 A.M. in the morning (after the completion of the January 24th Board meeting); it does appear to be true that the Steering Committee never voted to put item 14 on the agenda. It does appear on the agenda. I wouldn't have noticed it, had it not been called to my attention, but if there are people who have a concern about this item, a delicate conscience about voting on this without first Suspending the Rules, the CHAIR will rule that it would be appropriate that before we consider Item 14 this evening, for a motion to Suspend the Rules to be made and that can be considered by the Board.
MR. MORGAN: I'd just like to point out that I'm a little confused by your approach to parliamentary procedure that this Board seems to operate on. At some meetings you are a stickler for.....
MR. MILLER: No, I'm always a stickler, Mr. Morgan, I am always a stickler.
MR. MORGAN: Perhaps I misunderstood what you said. If the Steering Committee does not place something on the agenda, it has to be taken up under Suspension of the Rules by the Board to consider it tonight?
MR. MILLER: You're absolutely right, Mr. Morgan.
MR. MORGAN: I think that's the only fact that we should be considering now.
MR. MILLER: The only people who have control over the agenda would be a majority of the Steering Committee.
MR. SIGNORE: Mr. President, can we not wait until we get to that particular item on the agenda and continue on with the agenda for the evening?
MR. MILLER: Well, we're discussing what occurred at the Steering Committee and the Chair would simply state that yes, it appears there is a mistake on the agenda for this meeting.
MR. DeROSE: As a Point of Information, why is it that if an item were left off the agenda, then we have to ask for Suspension of Rules to get it on, when in fact it should have been on there? Yet we have an item that allegedly appears on the agenda which was never voted upon, yet we...it's not automatic that we ask for Suspension of the Rules?
MR. MILLER: I think we're a little confused, Mr. DeRose. There is no question about it, if an item is not placed on the agenda by a vote of the Steering Committee, it ought not to appear on the agenda; and if by mistake, it appears on the agenda, then there ought to be a Motion to Suspend the Rules to consider that item. Now if you're alluding to what occurred at that Special Meeting, the problem there was not what occurred at a Steering Committee Meeting, because the Steering Committee did not set up the agenda for that Special Meeting. The problem there was what occurred in a conversation between the Chairman of the Fiscal Committee and the Administrative Assistant when he telephoned her one evening to discuss some fiscal items (he'd been invited to Pres. Carter's Inaugural). What occurred in that conversation could be testified only by Mr. Morgan and Mrs. McEvoy. Be that as it may, we ended up with a CALL for a Special Meeting with the President's signature on it, which the President takes responsibility for, with two particular items not in that Call of the Meeting; and it's quite clear there was no question about it, that was a Special Meeting and it is quite clear in the Charter that nothing can be considered at a Special Meeting which has not been noticed or presented to the members in the CALL of the Meeting. That is a matter in the Charter, not in the Rules of the Board, and you cannot on this Board Suspend a provision of the Charter.
MR. HOFFMAN: Thank you, Mr. President, I'm sitting here and listening to all this and it's almost unbelievable, and I'm sure that anybody who is listening to the radio is going to find it unbelievable as well. I really believe that now, at a quarter to ten, and we have a big agenda before us this evening, we should not be arguing about some petty matter which I really think should be resolved on the floor of the Board but perhaps in the office of the Administrative Assistant, so that then the matters can be discussed and some sort of resolution can be arrived at. But I think to take up the floor of the Board and the time of the 40 members, of the 34 members that are present, and all the other people who are here interested in some matter or another, I really think it's truly ridiculous and I think we ought to call an immediate halt to this nonsense; and if not, I think that at some other future time when there are items that go on to the Steering Committee and other people are upset about them not being put on the regular agenda, then I think it is time we should say we want those minutes read back and we want to know who in the world voted against such-and-such a proposal. I think then that would be what is sauce for the goose is sauce for the gander; and I think now is the time for us to stop this and let's go to work.
MR. MORGAN: I think I agree with Mr. Hoffman. I would like to see the business of the City move along and have this Board proceed in an expeditious fashion, but I also think that it's important that we get on with all the business in an orderly and timely basis and if we're stuck with an agenda that is incorrect or incomplete, that hinders our ability to be effective. I'd like to ask the President of the Board a question, and that is, as the Chairman of the Steering Committee, it is your responsibility, is it not, that the agenda is prepared in its final form, and also as President of the Board, you have the power to call a Special Meeting and the items that are outlined in the Special Meeting are also under your control and I wonder if it is your practice and your intention to exercise those powers on a monthly basis?
MR. MILLER: The President has no control over the agenda for a regular meeting. That control rests with the Steering Committee. The President, or it could be ten (10) members of this Board, or it could be the Mayor, any one of those three ways, those would be the ways for the calling of a special meeting; and in those cases, it would be either the President of the Board, ten members of this Board, or the Mayor of Stamford, who would set up the agenda for the special meeting; and
MR. MILLER (continuing)....the idea of the notice requirement in the Charter I think it's quite obvious the idea is that if there is to be a Special Meeting, you have to guard against the possibility that some item would be considered at that meeting without prior notice to all of the members; and for that matter, prior notice to the citizens of Stamford. So that's the reason for the provision in the Charter, and the CHAIR would still submit the great controversy at the last special meeting took place because we were dealing with a section of the Charter, not part of our Rules, and it appears to be crystal clear in the mind of the President and it was crystal clear in the mind of the Parliamentarian, Mr. Fox, that the Charter clearly demands that if there is a special meeting, nothing can be considered at that meeting which is not in the Call of the meeting, and it is also quite obvious that this Board lacks the power to Suspend any Provision of the Charter. We're not faced with that problem tonight; if there is to be a Motion to Suspend the Rules this evening for any matter, that Motion would be perfectly acceptable. I'm not going to pursue this any longer. We had a Motion by Mr. Blois concerning the Steering Committee; the Chair has said all it has to say about the Steering Committee. Yes, there appears to be a mistake on the Agenda.
MRS. SANTY: A question regarding the Steering Committee. As Chairman of this Committee, how many members are there presently on it, and how is it evenly divided, please?
MR. MILLER: This is not an appropriate question, Mrs. Santy, and I don't believe the question is in order.
MR. SIGNORE: Some of these problems that have come up tonight, I believe will be discussed next Monday night by the Leadership of this Board, and we trust we will be able to come back with some answers for you; and I think we should proceed with the business at hand. Thank you.
MRS. RITCHIE: I just have a suggestion to the Leadership which is that they apply to Revenue Sharing under Title II which are payments that are used for the maintenance of levels of public employment and basic services within the government structure, and get Helen some help and maybe just to concentrate on these minutes.
MR. FLANAGAN: I am certainly delighted that Mr. Morgan brought to the attention of the Board the fact that Item 14 under Fiscal was not properly on our Agenda because it would be a shame for us in our ignorance to vote on $1,379,069.03 without first suspending the rules, because our vote would be improper and subject to challenge at some later point in time, and I thank Mr. Morgan for bringing this to the attention of the Board.
MR. BAXTER MOVED THE QUESTION.
MR. MILLER: Moved and Seconded. We're voting on Waiving a more full report of the Steering Committee report. We'll take a DIVISION, using the machine. There was one NO vote...
MR. BAXTER: I believe that was a vote to Move the Question, which doesn't need a tally, you might now proceed to a vote on the question just Moved.
MR. MILLER: You're correct, Mr. Baxter, we'll proceed to vote on the main Motion itself, to waive the reading of the Steering Committee Report. We'll have to use the machine. The MOTION is CARRIED with 26 YES votes, 6 NO votes and the rest Abstentions. We will now move on to Appointments.
STEERING COMMITTEE REPORT
MEETING HELD MONDAY, JANUARY 24, 1977
At 12:15 A.M. AFTER JAN. 24th SPECIAL MEETING
A meeting of the Steering Committee was held on Monday, January 24, 1977, in the Democratic Caucus Room, Second Floor, Municipal Office Building, 429 Atlantic St., Stamford, Connecticut.
The meeting was called to order by the CHAIRMAN and PRESIDENT of the Board, Frederick E. Miller, Jr., at 12:15 A.M., after the Board has completed its Agenda for the January 24, 1977 meeting which lasted from 9:50 P.M. until 12:05 A.M.
The following members of the Steering Committee were present: David Blum, Julius Blois, Frederick E. Miller, Alfred Perillo, S. A. Signore, Jeanne-Lois Santy, Handy Dixon, John Sandor, Jeremiah Livingston, Vere Wiesley, James Loboza, Michael Morgan, L. Morris Glucksman, Lynn Lowden, Wayne Fox. Also present were Lathon Wider and Mildred Perillo, and the media.
The following matters on the TENTATIVE STEERING AGENDA were acted upon:
(1) APPOINTMENTS
The nine prospective appointees on the Tentative Agenda were all ordered ON THE AGENDA: Canio Lovallo for the Building Board of Appeals; Anthony Fraulo for the Board of Taxation; Loren Jaffe for the Zoning Board of Appeals; Donald O'Toole for Alternate on the Zoning Board of Appeals; Priscilla Duerk and Walter C. Sealy for the Fair Rent Commission; Helen Ellis and George Calyanis for the Human Rights Commission; and Robert Lavach for the Park Commission.
(2) ADDITIONAL APPROPRIATION (FISCAL) ITEMS
The first twelve (12) items on the Tentative Agenda were ordered ON THE AGENDA. Also added to appear on the agenda was $54,560.55 for Public Works for overtime, rock, salt and sand and private contractors (which had been #9 on the Jan. 24, 1977 agenda of meeting just completed earlier in the evening, having been reduced from $165,335.00); also added to appear on the agenda was $1,379,069.03 for Public Works for Sewer Commission (which had been #10 on the Jan. 24, 1977 agenda of meeting just completed earlier this same evening); Items #13, #14, and #15 on the Tentative Agenda were ordered HELD IN COMMITTEE. #13 was $3,196.40 for Board of Recreation, Sterling Farms, Code 663.1301 for Insurance; #14 was $151,000.00 for Public Works Dept., Atlantic Street Alignment and Widening Project, Capital Budget; #15 was the matter of selecting the City auditors. Item #16 was ordered OFF the agenda, and pertained to the decision #1473, Case #MPP-3675 of the State Board of Labor Relations on gasoline to be furnished to City Employees, brought up by the MEA.
LEGISLATIVE MATTERS
There were 26 legislative items on the Tentative Steering Agenda. Fourteen were ordered on the Feb. 7, 1977 Agenda. Those ordered HELD IN COMMITTEE were: Proposed Ordinance for final adoption relating to notice prior to condemnation procedures; Proposed Ordinance requiring job applicants be residents of the City of Stamford six months prior to filing their application of employment; Proposed Ordinance for final adoption for fair employment practices; The matter of pensions for registrars; Proposed ordinance to control and regulate excavation, filling and grading; Three proposed
ordinances regarding the establishment of flood encroachment lines; Proposed ordinance making the birthday of Martin Luther King, Jr. a City holiday; Proposed ordinance re the towing of motor vehicles from private property; Request from City Assessor for a Special Act from General Assembly to eliminate certain inconsistencies and certain Charter changes; Letter from Citizens Monitoring Committee suggesting changes in the Rules of Order of the Board. Ordered OFF the agenda was a request from City Rep. Leonard Hoffman for an ordinance that all roads, private or public, be kept in a condition approved by the City Engineer. Added to the agenda was a new item extending the reporting date of the 10th Charter Revision Commission.
The three items appearing under Personnel were all ordered ON THE AGENDA.
The three items appearing under PLANNING & ZONING were all ordered ON THE AGENDA. Also added was a new item, that of the acceptance of Wallace St. Extension in Shippan as a City Street.
Under Public Works, Item #1 was ordered ON THE AGENDA, being a request from City Rep. Marie Hawe for an investigation into alleged irregularities on a recent drainage project on George Street. Item #2 re the status of the fill on the Genovese tract on Dannell Drive in the vicinity of Toilsome Brook was ordered HELD IN COMMITTEE and moved to the Environmental Protection Committee. Item #3 was ordered HELD IN COMMITTEE, being a request by City Rep. Lathon Wider re inefficient operations he observed in snow-plowing operations of public and private trucks.
Under Health and Protection, all eleven items appearing on the Tentative Steering Agenda were ordered ON THE AGENDA for Feb. 7th. One additional item was added, being the first item under Communications from the Mayor, a letter from Nicholas Tarzia suggesting a consumer protection agency be established locally, and this was ordered ON THE AGENDA.
Under Parks and Recreation, all three items were ORDERED ON THE AGENDA. A fourth item was added at the request of City Rep. Michael Morgan. He felt the fees at the Terry Conners Skating Rink were too high.
Under Education, Welfare and Government, both items were ordered on the Agenda.
Under Sewer Committee, the item of Norman Kruchnow was ordered on the Agenda. A new item was added, that of Mr. Verderossa's complaint about sewer on Fenway, and Mr. Morgan requested this ON THE AGENDA.
Under Public Housing and General Relocation, a new item was ordered on the agenda, being a letter from the Health Dept. regarding conditions at the Housing Authority.
Under Urban Renewal Committee, the three items listed on Tentative Steering, were ordered to appear on the Feb. 7th agenda as one item.
Under Environmental Protection Committee, two new items were added, both to be HELD IN COMMITTEE, one being the flooding matter on Dannell Drive; and the other regarding Hanover being closed too much so that people are not able to bring their trash there, especially on weekends.
STEERING COMMITTEE REPORT (continued)
SPECIAL COMMITTEES
House Committee had two items and both were ordered ON THE AGENDA.
On Charter Revision Committee, the one item was ordered HELD IN COMMITTEE.
Mr. Miller read three letters which required no action on the part of this Board.
There being no further business to come before the STEERING COMMITTEE, on MOTION, DULY SECONDED and CARRIED, the meeting was ADJOURNED at 12:45 a.m.
FREDERICK E. MILLER, JR., Chairman
Steering Committee
HMM:MS
MR. BLOIS: Mr. Chairman, I would like to ask at this time to SUSPEND THE RULES for the purpose of suggesting a citation for five youthful participants in the First International Special Winter Olympics held in Colorado, also some City agencies that made this possible, if I may.....
MR. MILLER: You may. MOVED and SECONDED. The MOTION is CARRIED.
MR. BLOIS: This is the suggested citation:
That the Board of Representatives congratulates the Stamford Board of Recreation and its staff for bringing international esteem to this community through eminently successful programs for the retarded.
That the Board of Representatives hereby salutes this spectacular event by its City Board of Recreation.
The Board of Recreation further acknowledges the efforts of the following cooperating agencies:
The Aid to the Retarded, Inc.
The Connecticut JayCee Women's Club
The Stamford JayCee Women's Club
and other local sponsors without whom this successful event would not have been possible.
All of the above earned and deserve the City's gratitude.
I, therefore, request the Board Clerk to hereby present such acknowledgments to all those concerned in a letter from this Board. I so MOVE.
MR. MILLER: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY. The CHAIR will recognize Mr. Glucksman at this time.
URBAN RENEWAL COMMITTEE - Morris Glucksman
MR. GLUCKSMAN: I would like to make a motion to SUSPEND THE RULES to take Item #1 at this time.
MR. MILLER: Moved and Seconded. The motion is CARRIED UNANIMOUSLY.
LETTER 12/29/76 from Chmn. Edith Sherman, URC, inviting Board members to 1/13/77 public hearing re Veterans; Memorial Park; and 12/20/76 letter from URC Dir. Hibben same subject advising Bd. of Reps.' approval will be needed for proposed plan change. Urban Renewal Committee Chmn. Glucksman 1/21/77 notice of meeting to be held 1/31/77 to discuss proposed URC plan change which includes increasing size of Veterans' Memorial Park and taking of three additional bldgs. Mayor Clapes' letter 1/24/77 requesting that if Bd. of Reps. approves URC proposed changes, it be done so Conditionally with stipulation that a signed binding contract with Macy's go along with the approval.
MR. GLUCKSMAN: Before you on your desk you will see a draft resolution entitle. "RESOLUTION APPROVING AMENDMENT TO URBAN RENEWAL PLAN FOR THE SOUTH EAST QUADRANT ENTITLED URBAN RENEWAL PROJECT #CONN. R43" as adopted by the City of Stamford Conn. Redevelopment Commission on January 13, 1977. This is the resolution we're seeking to change tonight. The basic changes include first the purchase of the remaining buildings on Main Street, an enlargement of Veterans Memorial Park and thirdly an access way to the super-block, through Atlantic Street. The URC had a Public Hearing on January 13, and they voted to adopt this plan change. The URC Committee of the Board held their meeting on Monday January 31, and at this meeting the Committee voted to adopt this change. The change will enlarge the Veterans Park and will allow a third Department Store in the super-block.
The taking of the building on Main Street will result in the relocation of about eight families as well as the businesses now located therein. The disadvantage is that we'll have is to pay for the building, it is an additional cost which we must incur; however the URC is not asking for funds for this purpose now; they seek only the plan change since they have the money to cover the cost of this building. They assume it will cost about a million dollars for the building and for all the relocation expenses. While they do not need the money now, they will be coming to us for additional funds to fund the parking garage for the super block.
The advantages include a larger Veterans Park, a third Department Store, with additional tax revenue, and an access way. Approving this plan would meet one of the basic demands then Macys' and Sears Stores will agree to locate in Stamford. The Mayor requested that we approve this plan change; the condition that he wants is that Macys' sign a binding commitment before they come into our town, and the other condition, the Mayor felt that we shouldn't buy the building. Our Committee felt there was no purpose to attach any conditions to the approval of this resolution. We are seeking to work with Macys' and Sears
URBAN RENEWAL COMMITTEE (continued)
MR. GLUCKSMAN: (continuing) . . . our goal to make Stamford more beautiful and attractive and ultimately more profitable. We were told, to attach these conditions would only delay the project again and would prevent any construction on the Veterans Park for months. I MOVE we approve this change and approve this needed resolution.
MR. MILLER: MOVED and SECONDED. This was also given to two other committees. Parks and Recreation, Mr. Sandor.
MR. SANDOR: We did not meet on this.
MR. BAXTER: Planning and Zoning concurs, Mr. President.
MR. COSTELLO: I'd just like to say that the Veterans Memorial is long overdue; Mr. Pia and his committee have been working for a number of years now in getting this memorial built.
MR. LOOMIS: As Vice Chairman of the Committee I'd like to concur with Mr. Glucksman's report, and also with Mr. Costello's remarks. They had promised to build this two years ago, and the more they delay this, the more Sarge Pia has to go out to raise money for this park.
MR. SIGNORE: I wish also to agree with the previous speakers; I want to say it's about time.
MR. FLANAGAN: I am very pleased with the expanded scope of this park. Some times delay works for the benefit rather than the detriment of any project, and in this case the city would get a much larger and beautiful park because of the delay.
MR. WIDER: I feel that passing this plan we will have something that will look good and be good and would move URC ahead and get this property off of our back.
MR. ZIMBLER: As a veteran I'd just like to add my voice to those of the other speakers, it's about time. I know that Tony Pia has worked very hard on this project, we owe him a deep debt of gratitude and I hope we go along with it. "Thanks, Tony"
MRS. CLARK: I'd also like to speak in favor of this. I think it's about time I was able to look out across my patio and see a beautiful Stamford rather than the mess we now have.
MR. D'AGOSTINO: MOVE the Question.
MR. MILLER: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY. We'll now vote on the motion made by Mr. Glucksman. The MOTION is CARRIED UNANIMOUSLY. We will now revert to the regular order of the agenda. The Appointments Committee, Mr. Dixon.
APPOINTMENT COMMITTEE - Handy Dixon
MR. DIXON: I thought for a minute we would never get to this point. The Appointments Committee met February 3, 1977. Present were Dixon, Costello, M. Perillo, Ravallese, Walsh, Carlucci, Signore, Wiesley, and for a short period, Sherer, (Mr. Sherer attended a meeting of L & R on the same evening). Absent from the meeting was A. Cosentini.
MR. DIXON: First on the agenda is the name of Canio Lovallo.
BUILDING BOARD OF APPEALS
(1) Canio Lovallo (R)
91 Westwood Road
(Replacing Irving Teitelbaum whose term expired)
TERM EXPIRES
12/1/82
WITHDRAWN
MR. DIXON: Next is the name of Anthony Fraulo, and I MOVE for confirmation.
MR. BLOIS: MOVED AND SECONDED. Mr. Fraulo has been CONFIRMED by a vote of 30 yes, 4 no.
BOARD OF TAXATION
(2) Anthony Fraulo (R)
10 Rockrimmon Road
(Replacing Michael Boshka whose term expired)
TERM EXPIRES
12/1/81
30 YES
4 NO
No votes: M. Perillo, G. Ravallese, A. Perillo, P. Walsh.
MR. DIXON: On the agenda next is the name of Loren Jaffe, and I MOVE for confirmation of Mr. Jaffe.
MR. BLOIS: MOVED AND SECONDED. Mr. Jaffe is CONFIRMED, UNANIMOUSLY.
ZONING BOARD OF APPEALS
(3) Loren Jaffe (R)
29 Vincent Lane
(Replacing Elsie Howard whose term expired. Note: Mr. Jaffe is currently an Alternate member)
TERM EXPIRES
12/1/81
UNANIMOUS
ALTERNATE
(4) Donald O'Toole (R)
424 Ocean Drive West
(Replacing John McNulty who resigned)
TERM EXPIRES
12/1/79
HELD IN COMMITTEE
MR. DIXON: Next is the name of Priscilla H. Duerk, I so MOVE for confirmation of Mrs. Duerk.
MR. BLOIS: MOVED and SECONDED. Mrs. Duerk has been CONFIRMED by a vote of 34 YES, and 1 NO (D. Blum).
FAIR RENT COMMISSION
(5) Priscilla H. Duerk (R)
Rocky Rapids Road
(Replacing P. Vescio who resigned)
TERM EXPIRES
12/1/77
APPOINTMENTS COMMITTEE (continued)
MR. DIXON: Next on the agenda is the name of Walter C. Seely, the committee voted to confirm Mr. Seely and I so MOVE.
MR. BLOIS: MOVED and SECONDED. Mr. Seely is CONFIRMED by a vote of 27 YES, and 1 NO. (Dave Blum)
FAIR RENT COMMISSION
(6) Walter C. Seely (R)
59 Long Hill Road
(Replacing Hope Johnson whose term expired)
APPROVED TERM EXPIRES
27 YES 12/1/79
1 NO (Blum)
MR. DIXON: Mr. President, next on the agenda is the name of George Calyanis, and I MOVE for confirmation.
MR. BLOIS: MOVED and SECONDED. Mr. Calyanis is CONFIRMED by a vote of 29 YES, and 1 NO.
HUMAN RIGHTS COMMISSION
(7) George Calyanis (R)
3 Meadow Park Ave. No.
(Replacing J. Zelinski, Jr. whose term expired)
APPROVED
29 YES 12/1/79
1 NO (D. Blum)
MR. DIXON: The next name is that of Helen Ellis, and I MOVE for confirmation of Mrs. Ellis.
MR. BLOIS: MOVED and SECONDED. Mrs. Ellis has been CONFIRMED BY A VOTE OF 18 YES, AND 11 NO.
HUMAN RIGHTS COMMISSION
(8) Helen Ellis (R)
75 Revonah Ave.
(Replacing Wm. Herman whose term expired in 1974-never replaced)
APPROVED
18 YES 12/1/77
11 NO
No votes: M. Perillo, M. Morgan, H. Dixon, G. Ravallese, J. Lobozza, Linda Clark, L. Wider, J. Blois, G. Baxter, R. Costello, L. Carlucci, -
MR. DIXON: Next is the name of Robert Lavach, and I so MOVE.
MR. BLOIS: MOVED and SECONDED. Mr. Lavach has been CONFIRMED by a vote of 30 YES 2 NO. (M. Perillo and L. Wider)
PARK COMMISSION
(9) Robert Lavach (R)
290 Sylvan Knoll Rd.
Re-Appointment
APPROVED
30 YES 12/1/81
1 NO (M. Perillo)
APPOINTMENTS COMMITTEE (continued)
MR. DIXON: That concludes my report, Mr. President.
MR. BLOIS: At this time with your permission, the Board's permission and the Minority Leader's permission I'd like to ask for a five minute recess.
MR. SIGNORE: Providing it's held to five minutes, Mr. President.
MR. MILLER: We will recess for five minutes. Recessed from 10:55 to 11:13 p.m.
MR. MILLER: Meeting will come to order. We have completed the Appointments Committee agenda. I understand there will be a motion at this time to suspend the rules. The Chair will recognize Mr. D'Agostino.
MR. D'AGOSTINO: I'd like to have the rules suspended so I can bring up item #2 under Public Works.
MR. MILLER: There's a motion to suspend the rules, to cover item #1 under Public Works.
(1) LETTER FROM CITY REP. MARIE HAWE 11/11/76 suggesting this committee begin an investigation into alleged irregularities in connection with drainage on George Street.
MR. MILLER: The question is on SUSPENSION OF THE RULES to consider Item #1 under Public Works. The MOTION is LOST. We will now proceed to the regular agenda. Item #1 under Fiscal, Mr. Morgan. Mr. Signore will not participate in the vote of the debate and is leaving the floor. There are now 34 members present.
FISCAL COMMITTEE - Michael Morgan
MR. MORGAN: The Fiscal Committee met on Wednesday, February 2, 1977. Present were: Sandra Goldstein, Chris Nizolek, Linda Clark, Mildred Ritchie, Ralph Loomis, George Hays, and Michael Morgan.
(1) $92,581.00 - FINANCE DEPARTMENT - Requests from 29 departments for .0802 Car Allowance and/or .0801 Transportation - for balance of fiscal year 76/77 Mayor Clapes' letter 11/5/76; Comm. Hadley's letters 11/5/76 and 11/18/76 and breakdown shown below. Bd. of Finance approved 11/10/76. This Board held in committee 12/7/76 & 1/17/77 pending further study and request for additional information. Letter of 1/17/77 to Fin. Comm. Hadley from Int. Auditor Russkowski transmitted two lists of employees indicating names and titles of those requesting .0801 and/or .0802 funds.
Codes .0802 Car Allowance $89,762.00
.0801 Transportation 2,819.00
$91,581.00
(Original request was for $96,131.00 but $3,550.00 Comm. on Aging deferred by Bd. of Finance and later at a Special Meeting this item unable to be brought up for consideration.
FISCAL COMMITTEE (continued)
| Dept. Code | Department | Actual | 9 Months' Estimate | .0802 Car Allot Total | .0801 Transm. Total |
|------------|-----------------------------------|--------|--------------------|-----------------------|---------------------|
| 101 | Registrar of Voters | 314 | 475 | 789 | - |
| 103 | Board of Finance | 192 | 585 | 777 | - |
| 104 | Planning Board | 162 | 1,070 | 1,232 | 325 |
| 107 | Zoning Board | 3 | 27 | 30 | - |
| 108 | Zoning Board of Appeals | 18 | 108 | 126 | - |
| 110 | Env. Protection Board | 123 | 850 | 973 | - |
| 112 | Sewer Commission | 87 | 405 | 492 | - |
| 113 | Human Rights Commission | 270 | 1,053 | 1,323 | 100 |
| 114 | Commission on Aging | 297 | 1,750 | 2,047 | 3,550 |
| 115 | Fair Rent Commission | 33 | 756 | 789 | 109 |
| 201 | Mayor's Office | 201 | 603 | -804 | - |
| 210 | Town & City Clerk | - | - | - | 300 |
| 240 | Comm. of Finance | 15 | 85 | 100 | - |
| 244 | Central Services | 366 | 1,170 | 1,536 | - |
| 250 | Assessor's Office | 720 | 2,520 | 3,240 | - |
| 260 | Tax Collector | 257 | 873 | 1,140 | 20 |
| 301 | Public Works Adm. | 1,135 | 3,481 | 4,616 | - |
| 302 | Weights & Measures | 255 | 765 | 1,020 | - |
| 310 | Bureau of Highways | 2,707 | 8,100 | 10,807 | - |
| 330 | Bureau of Engineering | 4,603 | 13,808 | 18,411 | 200 |
| 332 | Div. of Bldg. Inspection | 2,396 | 7,188 | 9,584 | 250 |
| 340 | Bureau of Sanitation | 2,337 | 7,069 | 9,426 | 120 |
| 410 | Police | 987 | 2,916 | 3,903 | - |
| 550 | Health | 66 | 540 | 606 | .895 |
| 551 | Code Enfrcmt. Task Force | 840 | 4,170 | 5,010 | - |
| 610 | Parks | 729 | 2,500 | 3,229 | 500 |
| 620 | Tarry Conners Rink | 63 | - | 63 | - |
| 650 | Bd. of Recreation | 1,653 | 4,941 | 6,594 | - |
| 670 | Brennan Golf Course | 276 | 819 | 1,095 | - |
Total $21,135 $68,627 $89,762 $6,369
MR. MORGAN: The Committee voted 6-0-2 and I so MOVE.
MRS. GOLDSTEIN: Personnel concur$.
MR. HOFFMAN: I for one have never favored this car allowance and/or transportation allowance. I understand that some of these are contractual obligations, however this doesn't necessarily make it right that the taxpayer has to accept this. I wonder: how many people that are being given this car allowance are actually people who are members of a union that have bargained with the city in good faith to acquire this amount. Do you have any idea Mr. Morgan?
FISCAL COMMITTEE: (continued)
(item #1)
MR. MORGAN: A number of the people appearing on this list that was submitted to us by the Internal Auditor are members of the MEA and are entitled to this allowance as a result of contractual negotiations. I believe the number is 63.
MRS. GOLDSTEIN: My committee met with MEA and MAA in relation to this very thing and actually we did get a rational explanation. We also got the names of everyone who is receiving the car allowances and there is a clear policy. This is a policy that is contractual for some and for the MAA; they get it because the MEA and the Police Department have been getting it.
MR. HAYS: I MOVE the question.
MR. MILLER: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY. We will proceed to the main motion, Item #1 under Fiscal. We will take a DIVISION, using the machine. Mr. Signore has left the floor and is not participating in the vote. The MOTION is CARRIED, with 26 YES votes.....5 NO votes (L. Hoffman, M. Hawe, B. McInerney, George Baxter, and J. Sandor) 3 ABSTENTIONS (S. Signore, H. Dixon, M. Perillo)
(2) $875.90 COMMISSION ON AGING - Code 114.0801
Transportation - Additional Appropriation requested as per letters listed under #1 above. Deducted from Mr. Hadley's statement and approved by Bd. of Finance 11/18/76 as a separate item. Held in Committee 12/6/76 and 1/17/77.
MR. MORGAN: Our committee approved by a vote of 6-0 and I so move.
MRS. GOLDSTEIN: Personnel Concurs.
MR. BAXTER: I just wanted to ask a question on this that I wanted to ask before. At three dollars a day, could you tell me, Mrs. Goldstein how many miles a trip is?
MR. MORGAN: About twenty-five miles a day is what they're estimating. The rule-of-thumb for the city, I believe is 12c a mile.
MR. HOFFMAN: Are these city employees or CETA employees?
MR. MILLER: Were talking about Commission on Aging, they would all be city employees.
MR. HOFFMAN: My understanding is that these are CETA employees.
MR. MORGAN: Not that I'm aware of, Mr. Hoffman.
MR. HOFFMAN: Would it be advisable to check on this before we passed on this item.
FISCAL COMMITTEE (continued)
Item #2
MR. MILLER: I understand, Mr. Hoffman, that all of the employees of the Commission on Aging have a certain status in that none of them are members of the classified service. They do not participate in a pension program. We will now proceed to a vote on item #2, we will take a DIVISION USING THE MACHINE. There are 35 members present. Let Mr. Wider's vote be recorded as a yes vote. The MOTION IS CARRIED, with 28 YES votes .... 4 NO votes. (L. Hoffman, M. Hawe, B. McInerney, J. Sandor) 3 ABSTENTIONS (J. Blois, A. Perillo, R. Costello)
(3) $55,758.00 - COMMITTEE ON TRAINING AND EMPLOYMENT INC. (CTE)
Code 792 - Mayor Clapes' letter 12/6/76;
from John T. Brown, Jr., Exec. Dir. of CTE. For Stamford Youth Services Bureau 1976-1977 Proposal under guidelines of Connecticut Justice Commission as conduit for Law Enforcement Assistance Administration (LEAA), a Federal funding source, in order for Stamford to maintain a Youth Services Bureau, the Grant must be supported by State and Local cash match, as follows:
| | Amount |
|----------------|----------|
| FEDERAL, LEAA | $50,182.00 = 90% Fed. Grant |
| State, CJG | 2,788.00 = 5% State Cash |
| Local, City of Stamford | 2,788.00 = 5% City Cash |
| | $55,758.00 |
The City's share will be appropriated as follows:
| Description | Amount |
|------------------------------|----------|
| 792.0120 Employee Benefits | $1,770.00|
| 792.0601 General Mat. & Supplies | 650.00 |
| 792.0466 Printed Matter | 188.00 |
| 792.0501 Telephone | 180.00 |
| | $2,788.00|
Board of Finance approved 12/9/76 $55,758.00
This Board Held in committee 1/17/77.
MR. MORGAN: The Committee voted 7-0 to accept the Federal Grant and 3 in favor and 4 against appropriating the City's share.
MR. MILLER: What is the intention of the Committee, that would never be appropriated, that we would kill that this evening, the City's contribution?
MR. MORGAN: That's right. We would not act favorable on the City's portion based on our vote. I should say that I voted in favor of this and it was the wisdom of the majority of the committee to vote against it.
MR. MILLER: MOVED and SECONDED.
MRS. CLARK: I'd like to ask Mr. Morgan if he'd be in favor of my making a motion to reinstate the $2,788, because as it is my understanding, and I've talked to Mr. Brown and other people on this; I called Hartford on this; if indeed we do not approve a portion of this, then the funds will be in very serious jeopardy.
MR. MILLER: Are you making a motion Mrs. Clark?
MRS. CLARK: Yes I am.
FISCAL COMMITTEE (continued)
Item # 3 (continued)
MR. MILLER: You're making a motion to restore $2,788? Seconded by Mr. Wider and Mr. Ravallesse.
MR. MORGAN: I accept Mrs. Clark's motion.
MR. HOFFMAN: It is my understanding from several people that indeed the amount of money, and I understand it was $25,000 that was appropriated by the Board of Finance in their wisdom last year, and it was passed by this Board as one of its first actions in 1976, it is my understanding that not one cent of this was given to any of the youth services that they talk about here. Is that correct, Mr. Morgan?
MR. MORGAN: As I said, Mr. Hoffman, last year was used as a study by some staff members at CTE to ascertain exactly what the problems were and what support problems could be implemented in the event that there were subsequent federal funds. The purpose of the money last year which was $25,000 was an LEAA Grant from the federal government, and the City of Stamford appropriated $1,250 in order to begin this study process.
MR. HOFFMAN: It would seem to me that after having given them $25,000 which was supposedly going to be used for similar things such as they listed here this evening, I would say that indeed that track record then isn't very good. I understand also that there is a youth service with the Police Department. I would say again that you are talking about $50,000; well it's just federal money but indeed that's our tax dollars that are coming back to us and will probably be wasted as it sounds, because it doesn't sound like Mr. Brown's track record is all that good.
MR. MILLER: I'm sorry, Mr. Hoffman, before we get back to Mr. Morgan, we didn't get a report from the Health and Protection Committee. Is there a report, Mr. Blum?
MR. BLUM: On the original motion of $55,000, there were 2 YES...2 NO...and 1 ABSTENTION.
MR. MORGAN: By refusing to accept the federal and state money we're not going to get a tax rebate. If you don't get this money back into the City of Stamford, to help these people, it just means that some other community is going to have an opportunity to get these funds, and I would like to see Stamford get it's fair share. If we get this money, then we can go forward after there has been a track record of a year; if in fact we find that this is not an effective program, Mr. Hoffman's objections are entirely valid and we should not approve it for it's second year of operation. They only have a study to look at and the study is aimed at a highly desirable goal that is to do something about the juvenile delinquency problem in the City of Stamford.
MR. HOFFMAN: The analogy here is to three people consuming 100% of the $25,000 granted last year and have finally gotten smart enough to decide to need twice as much next year. I'm for something that'll do something good for these youths of our town but not convinced that this body is the body to do it.
MR. LOOMIS: I'd just like to remind the Board that the Committee did vote down this request and they did because in part we approved six or seven months ago a budget for the entire city and we approved the budget for CTE and many other agencies and departments in this government and they have been allocated funds and it is the practice, or it should be the practice of the fiscal committee only to grant monies for emergencies or special purposes because they do have these budgets to live within. There are a lot of good and worthwhile projects and programs that we can fund but it is the type of program that starts out with a 100% grant from the federal government. We're doubling this year the city share of that grant and I'm sure next year it will become a larger grant on the part of the city.
MRS. CLARK: Unless my eyes are really deceiving me and I don't think they are, I'm looking in my budget book and we did not indeed allocate any money to the Youth Bureau last year.
MRS. PERILLO: Through you, I would like to ask Mr. Morgan, the first time they came before us was last year. The young lady that came with Mr. Brown seemed to me she had no concept of what this program was all about and could give no information. I'd like to know if she knew more about the program this time if she gave any input of information.
MR. MORGAN: Yes.
MRS. MCINERNEY: MOVE the question.
MR. MILLER: MOVED and SECONDED.
MR. DIXON: Mr. President, this is a matter of real importance. I have noted that no one except the Republican side has spoken on this issue. I have something I want to say.
MR. MILLER: We will proceed to a vote on moving the question. We have a call for a DIVISION. We need two-thirds vote. We've an insufficient number of yes votes so we'll proceed with the debate. There were 18 YES and 16 NO.
MR. DIXON: I would say first of all that this is not a waste of money. With the increasing amount of vandalism in Stamford and with the cry and dissatisfaction with the loss of property and the threat to safety, most of which is imposed upon us by idle and disorganized youth of Stamford. How could we see the need for the Youth Services Bureau a year ago if we cannot see the need now to continue it. Juvenile delinquency in this City alone is costing the taxpayers and other private citizens many thousands of dollars each year. Our schools, parks and recreational facilities are being destroyed almost as fast as we can make replacement. We risk losing both life and limb when we walk through the parks and streets of Stamford. If through this agency we can find a way to curtail just some of the acts of delinquency, it could be the beginning of the end of a very bad condition which threatens the life-blood of our city.
MR. BLUM: I support this program in its entirety. The Board of Recreation loses $35,000 in vandalism alone and the Board of Education has thousands of dollars of vandalism that they are trying to rectify and I think this study would be a good group in which to help to do away with part of our vandalism and save the taxpayers many, many dollars.
MRS. MCINERNEY: Can I move the question now, please?
MR. MILLER: MOVED and SECONDED. The MOTION is CARRIED. We will take a DIVISION, using the machine, we're voting on whether or not to move the question. MOTION is CARRIED with 28 YES votes, 5 NO votes, 2 ABSTENTIONS. We will now vote on the motion made by Mrs. Clark to restore the $2,788 in item #3. It is the Chair's understanding that we have 35 members present. Mrs. Clark had asked for a roll call vote. Mrs. Perillo is not on the floor. We have 34 members present. The MOTION IS CARRIED 4 YES VOTES...10 NO VOTES (K. Zimbler, G. Hays, L. Hoffman, R. Loomis, A. Osuch, M. Hawe, L. Santy, J. Fox, M. Ritchie, B. McInerney, J. Sandor)
We are now considering the full $55,758.
MR. MORGAN: Do you need a motion from me?
MR. MILLER: No, we've already had a motion and it was seconded. We'll proceed with the discussion. Mr. Glucksman.
MR. GLUCKSMAN: The purpose of this appropriation is to help the youth of our city. I can't think of any better use for money. One thing that Mr. Morgan said was that this $25,000 that was spent last year that we appropriated was spent for studying. I can't see how now we can for the sake of saving $2,700 we will give up all the study that we spent $25,000. It doesn't make any sense.
MR. BAXTER: I MOVE the question.
MR. MILLER: MOVED and SECONDED. The MOTION IS CARRIED. We will now proceed to a vote on the main motion. The question is on CTE Code 792 $55,758. We have a request for a roll call vote. Necessary for approval two-thirds of those present. The Clerk will call the roll. With 34 participating in the vote (Mr. Walsh has left) The MOTION IS CARRIED with 24 YES VOTES 10 NO VOTES (Zimbler, Hays, Hoffman, Loomis, Osuch, Hawe, Santy, Ritchie, McInerney, Sandor)
MR. MILLER: We will now proceed to Item # 4, Mr. Morgan.
(4) $21,735.00 - STAMFORD HOUSING AUTHORITY - Code 780.0101 SALARIES - Mayor Clapes' letter 1/11/77; Margot Wormser, Exec. Dir. Stamford Housing Authority, letter of 1/7/77 requesting additional appropriation to hire Security Guards for Moderate Rent Projects under Title II of the local Public Works Capital Development and Investment Act, and to be reimbursed by such funds. Projects which need to be covered by security guards are as follows:
| Project | Units |
|--------------------------|-------|
| William C. Ward Homes | 392 |
| Vidal Court | 216 |
| Lawn Hill Terrace | 206 |
| Oak Park | 168 |
| Edward Czesick Homes | 50 |
| **Total** | **1,032 units** |
(2/7/77 - 6/30/77: 21 weeks x 276 hours x $3.75 hr. - $21,735.
MR. MORGAN: The Committee voted 7-0 in favor and I so MOVE.
MR. BLUM: Health and Protection passed 4-0 in favor.
MRS. GOLDSTEIN: We concur.
MR. MILLER: MOVED and SECONDED. Discussion.
MRS. McINERNEY: The problem that I find with this fiscal item is that this Public Works, Capital Development and Investment Act Title II money is being used for an item which is not now nor ever shall be City-funded item with City tax dollars.
I called Mr. Hadley and asked him some questions. He gave me two regulations but has not specifically answered the question I asked him, which was technically, can we take federal dollars and put them into something that has not been for City funds. I called Congressman McKinney's office and I asked about the intent of this public works act, and I was told that the money could be used on items which would normally be funded by City tax dollars or they could be used to fund contracts which would have been paid out of City tax dollars.
It is my opinion that while I certainly will not vote for it, I would like it to be HELD until classification could be received from HUD, because this housing project, the moderate rental, is not even a Federally-sponsored, but is a State-sponsored housing project. I'm sorry, Mr. Morgan, I know you disagree with me, but I certainly would like to have it go back into committee.
MR. MORGAN: I do disagree with you. I think the intent of Title II Public Capital Development and Investment Act is to provide jobs. I realize quite clearly that the Housing Authority is a State agency by definition as is the Board of Education. Nevertheless, we appropriate funds and approve grants regularly for such entities and I believe that acting favorably on this is being consistent with our past practices.
FISCAL COMMITTEE (continued)
Item #4 (continued)
MR. DIXON: The housing units that we're speaking of are federal and state housing units but the people who live there aren't federal and state people, they're city people and the city owes protection to all of its citizens no matter whether they live in housing units controlled by Housing Authority or live in privately-owned houses or any other place in the city. Now someone spoke of the fact that the money should be used for purposes which the city would ordinarily be responsible for, well the city is responsible for the security and protection of all the people in both high density units and we should move on this right now.
MR. BLUM: I, too, looked in the Title II Public Works Act. I feel that these people are in need of protection from security guards because of vandalism that goes on there and they need the protection.
MR. WIDER: I happen to know that Title II wasn't only created by the City of Stamford but this was created throughout the United States. I see this as not only making jobs, I see it in terms of offering something that the people need and that's what we need to think of. They are voters just like we are and they're looking to us for protection.
MRS. GOLDSTEIN: I don't see any inconsistency with this appropriation and with the intent of the Title II fund. First of all these funds were granted to give direct payments to cities with high unemployment. Sadly, Stamford falls into this area. The purpose is to maintain employment and continue basic services, the hiring of these security guards certainly falls within the realm of maintaining employment in the city.
MR. LOBOZZA: I think not only the people in these projects will be affected by this, but I think the city as a whole will be. It will alleviate the problem of the Stamford Police Department so they don't have to spend so much time in these areas and it will give more protection to the rest of the city and I endorse this.
MRS. PERILLO: I agree with a lot that Mr. Dixon says. You know the Board of Reps., some of them are very quick to vote for these projects as long as they are not next door to them or in their area; so when you vote for these projects you have a duty to make sure that these people are safe and it's your duty to vote for this security for these people.
MR. HOFFMAN: MOVE THE QUESTION.
MR. MILLER: MOVED AND SECONDED. The MOTION IS CARRIED. We will proceed to a vote on Item#4 under Fiscal, Stamford Housing Authority Code 730.0101. We will take a DIVISION using the machine. (Miss Nizolek has left the meeting, there should be 34 members present) The MOTION is CARRIED with 26 YES VOTES...3 No VOTES..(Hoffman, McInerney, Miller) 5 ABSTENTIONS. It is 12:20 p.m. and I would ask the leadership whether there is an intention at the present time to adjourn this meeting to some other time.
FISCAL COMMITTEE (continued)
MR. BLOIS: Mr. President we do have intentions of asking for a SUS-
PENSION of the RULES for two more items before we adjourn. I would
like to at this time entertain a motion to SUSPEND THE RULES.
MR. MILLER: Mr. Blois, is there any agreement among the leaders from
both parties as to whether we are to adjourn this meeting to some other
evening and if so what date?
MR. BLOIS: I yield to the Minority Leader. We did talk and he is in
agreement with me.
MR. SIGNORE: I'm in agreement with the Majority Leader.
MR. MILLER: Is there any motion to do something other than continue
with the fiscal agenda?
MR. BLOIS: Mr. Chairman at this time I'd like to make a motion that
we SUSPEND THE RULES to consider Item # 14 under fiscal.
MR. MILLER: There is a motion to SUSPEND THE RULES to consider Item # 14
under Fiscal. MOVED and SECONDED. The MOTION IS CARRIED UNANIMOUSLY.
(14) $1,379,069.03 - PUBLIC WORKS DEPARTMENT - SEWER COMMISSION INTERCEPTORS -
Request for authorization to transfer $1,379,069.03 from
Sewers, South of the Parkway account, to Interceptors, the
latter having an unexpended sum of $1,201,309.66 and need-
ing this to continue project. (Note: City auditors,
Arthur Young & Co. have expressed their wish to have this
transfer approved by both Finance Board and Bd. of Reps.)
Board of Finance approved 12/9/76. (This item not voted
upon 1/24/77 due to it not having been considered by either
of the secondary committees).
MR. MORGAN: This is essentially a bookkeeping transaction to transfer
this sum of money from an account previously in existence to a new account.
This particular project will run from the Bulls Head area up Long Ridge
Road almost to the Merritt Parkway. It's important that we take this item
up promptly particularly because several corporate users of the facility
have substantial sums of money on deposit to enable the company to hook
up to this interceptor. That fee will be in jeopardy if we do not begin the
construction on this promptly. The Committee voted 7-0 in favor and I
so MOVE.
MR. PERILLO: Public Works by a vote of 9-0 concurs with fiscal.
MR. D'AGOSTINO: Sewer Committee concur.
MR. BLOIS: I would like to urge the Board Members to approve this to-
night because I don't think we were thinking in our right minds the
last time we rejected this and I hope that everybody would put this
money back where it's going to be put to use immediately.
FISCAL COMMITTEE (continued)
Item # 14 (under suspension of the rules)
MRS. GOLDSTEIN: I'd like to say I agree wholeheartedly with Mr. Morgan's evaluation of the importance of this item and with Mr. Blois' also. This is a much needed project. The money is already there. It will help alleviate a very, very drastic problem to hundreds and hundreds of home-owners and it is something that must be done as soon as possible.
MR. MILLER: We have a motion to move the question. MOVED and SECONDED. The MOTION IS CARRIED. We will now vote on the main motion. The MOTION is CARRIED UNANIMOUSLY.
RESOLUTION NO. 1081
AUTHORIZING THE TRANSFER OF ONE MILLION THREE HUNDRED SEVENTY-NINE THOUSAND SIXTY-NINE DOLLARS AND THREE CENTS ($1,379,069.03) FROM "SEWERS, SOUTH OF THE PARKWAY" to ACCOUNT KNOWN AS "INTERCEPTORS - PUBLIC WORKS DEPARTMENT - SEWER COMMISSION".
BE AND IT IS HEREBY RESOLVED BY the Board of Representatives of the City of Stamford in accordance with the City Charter:
1. To authorize the transfer of One Million Three Hundred Seventy-Nine Thousand Sixty-Nine Dollars and Three Cents ($1,379,069.03) from a Capital Projects Account in the Public Works Department known as "SEWERS - SOUTH OF THE PARKWAY" to a Capital Projects Account in the Public Works Department known as "INTERCEPTORS - PUBLIC WORKS DEPARTMENT - SEWER COMMISSION".
2. To finance said project by a transfer of funds from the account in the amount indicated in item #1 above.
3. That this resolution shall take effect upon enactment.
The above resolution was APPROVED UNANIMOUSLY.
FISCAL COMMITTEE (continued)
MR. MILLER: We will now move on with the agenda. Mr. Blois?
MR. BLOIS: At this time I would like to suspend the rules for the purpose of bringing up Item # 1 under Public Works.
MR. MORGAN: POINT OF INFORMATION, Mr. President, What is the President's pleasure with respect to the balance of the fiscal committee agenda?
MR. MILLER: Whatever this Board decides to do and it determines when it will adjourn and to what date it will adjourn to. It is now 12:25 and we have a motion to suspend the rules to consider item # 1 under Public Works. MOVED AND SECONDED. The MOTION IS CARRIED UNANIMOUSLY.
UNDER SUSPENSION OF THE RULES - ITEM # 1 - PUBLIC WORKS - Alfred Perillo
(1) LETTER FROM CITY REP. (R-1) MARIE HAWE DATED 11/11/75 SUGGESTING this Committee begin an investigation into alleged irregularities in connection with recent drainage project on George Street.
MR. PERILLO: Public Works Committee met on February 2, 1977. Present were: Perillo, Lobozza, Ravallese, Sandor, Zimbler, Blum, Osuch, Wider, Ritchie, and Nizolek. Having two special meetings with full investigation of all charges referring to the George Street Project and after much deliberation the Committee by a vote of 6 yes, 2 abstentions, 1 no, moved to support a majority report to be given by Mr. Lobozza. I now yield the floor to Mr. Lobozza.
MR. MILLER: The report then to be given by Mr. Lobozza should properly be titled "The Committee Report". If there is a minority report to be heard, we'll hear that later.
MR. LOBOZZA: I'd just like to make this report and be allowed to make a comment when I finish it.
MR. MILLER: You gave a report on behalf of the Committee. The Chair understands there is also a report to be given by Mr. Perillo, and the Chair wants to make it clear to the Board Members that it would be inappropriate to move to accept either the committee report or a minority report. When the reports are given they are received by the Board and no other motion is necessary. Mr. Lobozza has just made a motion. Is that motion on behalf of the majority of the committee?
MR. LOBOZZA: Yes it is.
MR. MILLER: Will you repeat the motion, Mr. Lobozza.
PUBLIC WORKS (continued)
Item # 1 - Public Works
MR. LOBOZZA: I move that this committee should recommend to the full Board of Representatives at its next regular meeting that disciplinary action be taken against Commissioner Rotondo and Operations Officer Loglisci by the Mayor. Such action should be subject to review by the full Board of Representatives. What I'm asking for, Mr. Chairman, is action taken by this Board at this meeting.
MR. MILLER: MOVED and SECONDED by Mr. Sandor. There is a request for a roll call vote. Those members desiring a roll call vote raise their hand. The Chair sees a sufficient number desiring a roll call vote. Necessary for adoption of the resolution a majority of those present and voting. The Clerk will call the roll.
ROLL CALL VOTE
NO VOTES
M. Perillo
M. Morgan
H. Dixon
G. Hays
R. Loomis
G. Ravallese
A. Perillo
A. Osuch
S. Signore
S. Goldstein
R. Costello
G. Connor
F. Miller
L. Santy
M. Ritchie
W. Flanagan
M. Glucksman
L. Clark
T. D'Agostino
B. McInerney
J. Blois
G. Baxter
D. Sherer
L. Carlucci
P. Walsh
ABSTENTIONS
K. Zimbler
L. Lowden
L. Wider
J. DeRose
D. Blum
YES VOTES
M. Hawe
J. Lobozza
J. Sandor
MR. MILLER: With thirty-three members present, the MOTION is LOST, 25 NO VOTES 3 YES VOTES....5 ABSTENTIONS.
MR. PERILLO: If a motion is in order, I move that the issue of the George Street be accepted as its final report to this Board.
MR. MILLER: Mr. Perillo, what is the motion?
MR. PERILLO: The motion is that the issue of the George Street Project be accepted as its final report to this Board.
MR. MILLER: Well I don't quite understand what that would do. Well it is the end of it. We don't have to take another vote on it.
MR. BAXTER: Mr. Perillo has made the motion and I think that it is an appropriate motion in that someone might think, and Mr. Perillo is closing the door on it that the vote we just took has satisfied the twenty-five members that voted against it. I can see just from looking at these people that it has not, and some people have voted against it because of lumping too many things all together, Mr. Rotondo and Mr. Loglisci together without pressuring the Mayor to come to some rapport and I think that there is a significant sentiment on this Board that the Mayor should do something about it and come up and put himself on the line and say no, there's no problem or yes, there is.
MR. MILLER: I don't understand the motion. What is the motion, Mr. Perillo?
PUBLIC WORKS (continued)
Item # 1 (continued)
MR. PERILLO: It is that this issue not be taken up again; that this is it. It kills it.
MR. MILLER: Well I don't think we can have a motion to prevent something from being raised again. I don't think that's in order. Who knows whether it will be raised again. It was voted down. I don't think that particular motion was in order. But I wouldn't refuse to take another motion which pertains to item # 1 but I think it has to be in some other form.
MR. ZIMBLER: Mr. President, would a motion be in order at this time that the matter of the George Street Project, that all material we have gathered on this be turned over to the Commissioner of Public Works for whatever action he deems necessary.
MR. MILLER: That would be in order, yes.
MR. ZIMBLER: I make the motion.
MR. MILLER: MOVED AND SECONDED. Is there any discussion on that motion?
MR. LOOMIS: MOVE the question.
MR. MILLER: MOVED and SECONDED. The MOTION is CARRIED. We'll now vote on Mr. Zimbler's motion. Would you repeat the motion, Mr. Zimbler.
MR. ZIMBLER: The motion is that all material gathered by the Public Works Department pertinent to the George Street Project be turned over to the Public Works Commissioner for his study and for whatever action he deems appropriate.
MR. MILLER: That's the motion we're voting on. The Chair is in doubt, we'll take a DIVISION, using the machine. Is there anyone who hasn't voted? The MOTION is LOST. There are 17 NO VOTES...10 YES VOTES...
MR. SIGNORE: I MOVE we adjourn until Wednesday at 8:00 P.M.
MR. MILLER: There's a motion to adjourn until Wednesday, at 8:00 P.M., Feb. 9th. The Chair would note that this room is not available tomorrow night. MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY.
ADJOURNMENT: The meeting was adjourned at 1:55 A.M.
APPROVED:
Helen M McEvoy, Administrative Assistant
(and Recording Secretary)
Frederick E. Miller, Jr., President
14th Board of Representatives
CMT: HMM et al
Note: above meeting was broadcast in its entirety over Radio WSTC
An adjourned meeting of the 14th Board of Representatives of the City of Stamford, Connecticut, was held on February 9, 1977, in the Legislative Chambers of the Board, 429 Atlantic Street, second floor, in order to complete the unfinished business still pending from the previous meeting of February 7, 1977.
The meeting was called to order by the ACTING PRESIDENT, JULIUS J. BLOIS, at 8:32 p.m.
PLEDGE OF ALLEGIANCE TO THE FLAG: The ACTING PRESIDENT, JULIUS J. BLOIS, led the members in the Pledge of Allegiance to the flag.
ROLL CALL: Roll Call was taken by the ACTING CLERK, MILDRED RITCHIE. There were 24 members present and 16 absent. Several members came in after the Roll Call was taken and are reported among the present count of 24. (Mr. Glucksman came in at 8:45; Mrs. Cosentini came in at 10:10; and Mrs. Hawe left at 10:15 due to illness.) The 16 absent members were:
Michael G. Morgan
Leonard A. Hoffman
Ralph C. Loomis
Adam E. Osuch
Vera Wieslay
John Wayne Fox
Linda D. Clark
Lathon Wider, Sr.
Gerald J. Rybnick
Jeremiah Livingston
George G. Baxter
Christine M. Nizolek
Leo J. Carlucci
George V. Connors
John A. Sandor
Frederick E. Miller, Jr.
The PRESIDENT declared a QUORUM.
CHECK OF THE VOTING MACHINE: A check of the voting machine was conducted and it was found to be in good working order.
MR. BLOIS: We will start with Item #5 on FISCAL. Numbers 1 through 4, also item #14 on the Fiscal Agenda were taken care of at our February 7th meeting. We also handled Item #1 under Urban Renewal, Item #1 under Public Works. Mr. Hayes, will you proceed, please?
FISCAL COMMITTEE - George Hays
(5) $125,000.00 - PUBLIC WORKS DEPARTMENT - Code 341.1501 - LIGHT HEAT & POWER
APPROVED $100,000.
DENIED $25,000.
Additional Appropriation for Bureau of Sanitation, Sewer Treatment Plant which is a projection for the cost of light, heat and power for the balance of fiscal year per Comm. Rotonda's letter 1/11/77, based on experience in operation of new facility. Mayor's letter 1/11/77. Board of Finance approved 1/28/77.
MR. HAYS: The Committee voted in favor, 7-0, and I so MOVE. MOVED and SECONDED.
MR. PERILLO: Public Works concurs.
MR. BLOIS: The MOTION is CARRIED UNANIMOUSLY, for $100,000, Code 341.1501.
(6) $12,700.00 - AMENDMENT TO THE 1976-1977 CAPITAL PROJECTS BUDGET - PUBLIC WORKS DEPARTMENT - FOR PROJECTS TO BE KNOWN AS:
a. "SHIPPAH FIRE STATION NEW ROOF" $7,200.00
b. "SOUTH END FIRE STATION NEW ROOF" $5,500.00
$12,700.00
Board of Finance approved 1/20/77. Letter 1/19/77 from S.J.Bernstein, Chairman Pro Tem of Planning Board, recommended approval unanimously, due to emergency nature of the situation, of funds requested based on Mr. Strat's estimates of cost.
MR. HAYS: The Committee voted 7-0 in favor and I so MOVE.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY, with 22 YES votes, there being 22 members on the floor voting.
RESOLUTION NO. 1080
AMENDING THE 1976-1977 CAPITAL PROJECTS BUDGET
BY ADDING THERETO A PROJECT IN THE AMOUNT OF
TWELVE THOUSAND SEVEN HUNDRED DOLLARS ($12,700.00)
FOR THE PUBLIC WORKS DEPARTMENT TO BE ENTITLED:
(1) "SHIPPAH FIRE STATION NEW ROOF" ($7,200.00);
(2) "SOUTH END FIRE STATION NEW ROOF" ($5,500.00);
TO BE FINANCED BY THE ISSUANCE OF BONDS.
BE AND IT IS HEREBY RESOLVED BY the Board of Representatives
of the City of Stamford in accordance with the City Charter:
1. To adopt an amendment to the 1976-1977 Capital Projects
Budget by adding a project in the amount of TWELVE THOUSAND
SEVEN HUNDRED DOLLARS ($12,700.00) to be known as:
(a) SHIPPAH FIRE STATION NEW ROOF $7,200.00
(b) SOUTH END FIRE STATION NEW ROOF $5,500.00
$12,700.00
2. To authorize the financing of said project by the issuance
of bonds.
3. That this resolution shall take effect upon enactment.
FISCAL COMMITTEE (continued)
(7) $900.00 - ZONING BOARD - Code 107 - Additional Appropriation requested per Mayor's Letter 1/7/77, and Zoning Chairman Martine P. Levine's letter 1/6/77. Bd. of Finance approved 1/13/77.
| Code | Description | Amount |
|---------------|------------------------------|--------|
| 107.0104 | Overtime-Meetings | $240.00|
| 107.0301 | Stationery & Postage | $60.00 |
| 107.0501 | Telephone & Telegraph | $60.00 |
$900.00
MR. HAYS: The Committee voted 7-0 in favor and I so MOVE.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED with 21 YES, and 1 NO (B. McInerney)
(8) $34,194.00 - HEALTH DEPARTMENT - LEAD POISONING Prevention Program Code 570. Mayor's letter 1/5/77, Health Director Ralph Gofstein's letter 12/17/76 advising of verbal notice that this program will be funded for six months from 1/1/77 thru 6/30/77, and line allocation will be furnished at a later date. The program is a Federal Grant. Bd. of Finance approved 1/13/77.
MR. HAYS: The Committee voted 7-0 in favor of this and I so MOVE.
MR. BLUM: The Health and Protection Committee concur.
MR. BLOIS: With 27 members present and voting on this item, The Motion is CARRIED UNANIMOUSLY.
We will move on to Item # 9, Mr. Hays. Mr. Glucksman is now present at the meeting, making a total of 27 members present.
MR. HAYS: Thank you Mr. President, Item #9 is a request from the Long Ridge Fire Co. Code 473.0101.
MR. BLOIS: Will the members please take their seats, so we can continue with the meeting. Please go on Mr. Hays.
(9) $9,480.98 - LONG RIDGE FIRE DEPARTMENT (VOLUNTEER) - Code 473.0101 - SALARIES - Additional Appropriation requested, Mayor's letter 1/5/77; Chief R.D. June, Jr., Long Ridge Fire Co. Letter 12/10/76, to cover salary increases of four employees based on contractual agreement between City and the International Assn. of Firefighters, per breakdown attached. Bd. of Finance approved 1/13/77.
MR. HAYS: The Fiscal Committee voted 7-0 in favor and I so MOVE.
MR. BLOIS: Excuse me, Mr. Hays, you Board members must realize we are only working with 23 members and you can't leave the floor because we won't have a quorum. If you want to take a break in an half an hour or so, you can break for a smoke but let's get some work done here tonight. We're going to have to have another member here on the floor.
MR. BLUM: Health and Protection concur.
MRS. GOLDSTEIN: Personnel concur.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY.
MR. WALSH: I wonder if I could make a motion to suspend the no smoking rule for tonight since we got so few members present?
MRS. SANTY: You cannot Suspend the Rules, the signs are posted.
MRS. GOLDSTEIN: You may suspend the rules.
MRS. SANTY: It's the Law, Mrs. Goldstein.
MR. BLOIS: The motion is in order. Do we have 21 on the floor?
MR. BLOIS: The motion has been made and seconded to suspend the smoking rules for this evening. The MOTION is LOST, because we don't have a quorum. Would you please come back on the floor? We're on the radio, wait until we get a quorum. Clear the machine.
MR. WALSH: I would like to make a motion since we just have so many members here tonight to make a quorum, to suspend the no smoking for tonight only.
MR. BLOIS: MOVED and SECONDED. We'll take a division. Has everyone voted? The MOTION is CARRIED, You don't need two thirds.
MRS. RITCHIE: Fourteen to seven, you need fifteen.(all members talking at one time, as to amount needed)
MR. BLOIS: You don't need two-thirds on this, present and voting that's two-thirds.
FISCAL COMMITTEE (continued)
MRS. SANTY: May I make a suggestion, the smokers leave one at a time.
MR. BLOIS: Let's proceed with the meeting. We're on Item #10.
DR. LOWDEN: Excuse me, but I hate to tell you this, I think we have to vote on the motion now, we voted to suspend, I don't think we voted on the motion.
MR. BLOIS: He made a motion to suspend the rules.
DR. LOWDEN: Well if it's present and voting, we have two-thirds.
MR. BLOIS: Fourteen is two-thirds.
DR. LOWDEN: For suspension of rules or suspension of smoking prohibited sign.
MR. BLOIS: We have two-thirds here so what do you want to do? Do you want to make a motion?
MR. D'AGOSTINO: I suggest we forget about it and get back to work.
MRS. RITCHIE: I second that.
MR. WALSH: Mr. President, I just thought it would help proceed the evening along faster if we could smoke tonight, and people would not leave the floor.
MR. BLOIS: Would you make a motion.
MR. WALSH: I would like to make a motion to suspend the no smoking rules for tonight, only.
MR. BLOIS: We voted on that and the vote was fourteen to seven.
MR. WALSH: So we won.
MRS. RITCHIE: Ask Helen, you need fifteen.
MR. BLOIS: We're going to have to stop this nonsense, the vote was taken, it was fourteen to seven, that's two-thirds vote. Let's proceed to Item 10 on the agenda.
MR. SIGNORE: This is in violation of State Law, that's all I'm going to say.
MRS. SANTY: I will certainly report this to Dr. Gofstein tomorrow.
MR. BLOIS: Mr. Hays will you please continue, we're on Item # 10.
(10) $15,000.00 - POLICE DEPARTMENT - Code 410.1204
Pavement Markings and Signs - Additional Appropriation requested Mayor's letter 1/7/77; Acting Chief of Police Lt. J.T. Considine's letter of 12/31/76 and Sgt. R.J. Leone, Traffic Div., letter 12/27/76 detailing the need. Bd. of Finance approved 1/20/77.
MR. HAYS: We voted 7-0 in favor and I so MOVE.
MRS. GOLDSTEIN: In relation to this item, I think it's important to note that Sgt. Leone who is head of Traffic Division has virtually operated this fiscal year with no funds. He has done a remarkable job and deserves a vote of thanks.
MRS. McINERNEY: I would agree with Mrs. Goldstein, but I would like to know through the Chair how many roads are planned to be marked with this $15,000 before the end of this fiscal year.
MR. HAYS: Acting Chief Considine reported to us that they will do all they can with this money. They are out of signs which is very critical; they did mention Rockrimmon Road, as one that is needed to be done.
MR. LOBOZZA: I would like to say, Mr. Chairman, is, this money really needed and it is a case where if we had three times this amount of money, it still wouldn't be enough for the job they have to do.
MR. ZIMBLER: I think that if any body is deserving of money right now it is Dick Leone. His budget has been chopped unnecessarily by the Board of Finance.
MR. D'AGOSTINO: I MOVE the Question.
MR. BLOIS: MOVED and SECONDED. I'm sorry we didn't have 20 members on the floor. Now if we are going to be constantly going out, we are going to adjourn the meeting because this is very aggravating.
MRS. SANTY: Mr. President, I have to leave. The smoke in this room is intolerable, and I am sorry. There are a lot of people here with medical problems and it is unfair to those present. We have had very good constructive meeting up to this time.
MR. BLOIS: Are we ready to proceed to a vote on Item #10?
MR. DIXON: Would it be in order at this time to move to have the coffee pot out here?
FISCAL COMMITTEE (continued)
(Item #10)
MR. BLOIS: The MOTION is CARRIED UNANIMOUSLY.
(11) $78,000.00 - POLICE DEPARTMENT - Code 410.0101 -
Salaries - Additional Appropriation requested
Mayor's letter 1/10/77 and Acting Chief Considine's
letter 12/29/76 detailing estimated account deficits
fiscal year 76/77. Mayor Clapes' letter states this
is to be 100% funded with Public Works Title II
funding. Bd. of Finance approved 1/13/77.
MR. HAYS: The Fiscal Committee voted 7-0 in favor and I so MOVE.
MR. BLUM: Health and Protection concur.
MRS. GOLDSTEIN: Personnel Committee concur.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY.
(12) $105,900.00 POLICE DEPARTMENT - Code 410.0103 -
Approved $75,000.00 Overtime - Additional Appropriation re-
Denied- $30,000.00 quired Mayor Clapes' letter 1/10/77 &
Acting Chief Considine's letter 12/29/76
detailing estimated account deficits for
fiscal year 76/77. Bd. of Finance
approved 1/20/77.
MR. HAYS: We elected to reduce this amount to $75,000.00 and
denied the balance, and I so MOVE.
MR. BLUM: H&P concur
MRS. GOLDSTEIN: Personnel concur.
MRS. McINERNEY: I would like to ask through the Chair why the
overtime account is so high even with the reduction. It appears
to me this Board approved $70,000.00 in June for overtime.
MR. HAYS: I think the entire Fiscal Committee is somewhat concerned
about this, too. It may also surprise Mrs. McInerney that they
transferred an additional $60,000.00 from the salary account into
the overtime account during the current Fiscal year. They claim
that they had extra occasions this year to incur more overtime
such as the Bicentennial and the visit from the Queen and several
other items, but with these items it only totals about $18,000.00.
It seems the real diminishment of the overtime account funds re-
sults from a contract requirement that requires people to be called
in to work overtime when the minimum manpower must be made up with
officers who have already served a tour of duty that day, or who
must be paid overtime to work the additional period to make up the
minimum manpower requirement.
FISCAL COMMITTEE (continued)
(Item #12)
MRS. McINERNEY: I would like to know through the Chair what the minimum manpower is, and does the Police Department have any kind of assistant to check to make sure that they have a legitimate reason for not showing up for work.
MR. HAYS: I personally don't know, I would refer you to the Chairman of the Health & Protection Committee.
MR. BLUM: I only listen to the Acting Chief Considine at the Personnel and Fiscal Committee. There is a great amount of overtime on lengthy cases. The time it takes to make these reports is quite a bit of overtime.
MR. HAYS: In response to Mr. Blum, this is an item that certainly adds up to the overtime incurrence, but it is not the major item. The major item is still this minimum personnel requirement which is a very significant item.
MRS. RITCHIE: The minimum manpower was disclosed but we were asked not to state what it was for security reasons for the City of Stamford.
MR. BLOIS: Does that answer your question, Mrs. McInerney?
MRS. McINERNEY: To a degree, yes and no. I would like to find out why they are not at work.
MRS. RITCHIE: Mr. President, I think maybe I can take you in confidence later and tell you, but it is not for publication.
MR. LOBOZZA: If Mrs. McInerney feels that the system is being abused, she should make a trip down to Police Headquarters and I think Chief Considine would be more than glad to let her go through the files and check, then she can report back to the Board. I don't feel a doctor's certificate for a man being out one day is necessary.
MR. PERILLO: The main reason is not to alert those who know how much security this City has and then they know what position they can take.
MR. D'AGOSTINO: We have a couple of Policemen that just retired and they are working shorthanded, these men have to work double shifts.
MR. SIGNORE: I MOVE the question.
FISCAL COMMITTEE (continued)
(Item # 12)
MR. BLOIS: We'll vote on moving the question. MOVED and SECONDED. The MOTION IS CARRIED UNANIMOUSLY. We'll now vote on the main Item, we will take a DIVISION, using the machine. The MOTION is CARRIED with 22 YES, and 1 NO (B. McInerney)
(13) $54,560.55 - PUBLIC WORKS DEPARTMENT - Additional Appropriation requested per Mayor's letter 1/11/77 - Comm. Rotondo's letter 1/11/77. Bd. of Finance approved 1/13/77. This Board approved $110,774.45 at Special Meeting 1/24/77 and Def erred balance of $54,560.55.
MR. HAYS: Fiscal Committee voted 7-0 in favor and I so MOVE.
MR. PERILLO: Public Works with a vote 9-0 concur with Fiscal.
MR. DIXON: I would ask through you, Mr. President, if he knows just how well-equipped the City is, and is the City in any way capable of handling a snow job without calling in any private contractors.
MR. HAYS: I can only comment based on a brief conversation I had with Commissioner Rotondo; that funds are very critical in this account and they have studied the cost of doing it themselves versus private contractors.
MR. DIXON: It has been observed by many that a lot of private contractors are just driving snow plows up and down the street after the snow has been removed, and I'm wondering if it's absolutely necessary to have the number of private contractors out on the job.
MR. HAYS: The Public Works Department did present our committee with a detailed list of each item. We have the contractor's name and the amount paid them. Our Committee was unanimously satisfied with the request.
MR. D'AGOSTINO: Mr. President, what I don't understand is, there are so many private contractors around town, how do we know who works for the City? If you see a truck going down the road, it doesn't mean he is working for the City.
MR. ZIMBLER: When they are physically plowing the snow in the street you assume they are on City Business. I have seen private contractors go up and down the street, ten minute later a different private contractor comes and plows where the other guy already plowed.
FISCAL COMMITTEE: (continued)
(Item #13)
MR. PERILLO: To clear this up a little you have to see the maps that are upstairs in Mr. Scarella's office to determine just how the City operates, and unless there is two inches of snow or more, then the privates are called out; otherwise the City maintains the streets by its own.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY.
MR. HAYS: That concludes the Fiscal Report. I have one observation on the minutes of the report. I noticed copies go to the Fiscal Committee to the Town Clerk and to President Miller and a copy also to the Majority Leader. I'm somewhat concerned that our distinguished Co-Minority Leaders are not recipients of copies of the report.
MR. BLOIS: I am unaware of that Mr. Hays. I can explain that through Mrs. McEvoy. Monday night Mike Morgan handed me the Fiscal Report and I brought it in to Mrs. McEvoy for typing and she prepared it and I was going to give the report until we got here tonight and I passed it over to you, Mr. Hays. This is the reason my name appears on it.
MR. HAYS: I am very pleased that there is no discrimination.
MR. BLOIS: Thank you.
LEGISLATIVE AND RULES COMMITTEE - Donald Sherer
(1) FOR FINAL ADOPTION - PROPOSED ORDINANCE SUPPLEMENTAL regarding the storage of salt for protection of water supply of residents with wells. Approved for publication 1/17/77. Public meeting to be held.
MR. SHERER: The L&R Committee met on February 2 and 3 at which time there was a complete attendance. This ordinance was proposed by Representative Sandra Goldstein and was approved for publication on January 17, 1977. A public hearing was held on February 2. The vote of the Committee was 6-0 in favor for FINAL ADOPTION.
MRS. GOLDSTEIN: The reason behind this storage ordinance is to minimize the contamination to the environment, and to save the City thousands of dollars through evaporation of uncovered salt. Salt must be stored under cover and on sealed storage pads with retention bins for run off. The Environmental Protection Board, it's Director Mr. Pavia, Doctor Gofstein, Health Director and Pat Scarella, Supervisor of Highways who spoke at the public hearing; all have lent their support to this ordinance, and I hope our Board will support it, too.
MR. DIXON: My only concern at the moment, I don't think this goes far enough. We're talking about contamination of water, I think the ordinance should be extended to cover the amount of salt that is put on the roadways north of the reservoir, because we have a tremendous amount of run-off from the roads running directly into the reservoir and if the water can contaminate well water, it can certainly contaminate the water in the reservoirs and in effect will endanger the whole citizenry of Stamford.
MR. SHERER: We don't want anyone who doesn't have wells to feel that this is only for the benefit of other people. It goes to the benefit of the community.
MR. FLANAGAN: The last five years as a member of the Public Works Committee or Health and Protection Committee, we begged, pleaded and threatened the Public Works Commissioners to do something about the salt storage areas. It has been proven without a doubt that the salt stored in that area does leach into and contaminate many wells.
MRS. MCINERNEY: I would like to point out there is another problem with salt. It does contaminate and can undermine septic systems as well. I also would like to agree with Mr. Dixon; the road salt can cause just as many problems for someone who lives on a state highway.
MR. ZIMBLER: I support this ordinance. This is a very real problem. Those of us who were at the public hearing heard from homeowners in some of the affected areas whose water supply has been contaminated. It is a problem very real.
MR. HAYS: I think this is a very valuable and very vital first step. To address a comment to Mr. Dixon, and I speak for my district and that of Mrs. McInerney, a great deal of the rest of our salt is not a problem caused by the City of Stamford but caused by the State of Connecticut.
MR. D'AGOSTINO: MOVE the question.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED. We will now vote on the main item for FINAL ADOPTION. MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY; with 22 YES votes.
WHEREAS it is the finding of this Board that leaching salt can be a contaminant to the environment which in large quantities can deleteriously affect the nature and the property of local soil, its inherent and beneficial qualities, the quality of water resources within and through it and the various forms of life sustained by our soil and water courses, and;
WHEREAS it is further found that the damages done by salt contamination to the environment can be both long term and in some instances permanent, and;
WHEREAS it has been further found that a major source of salt contamination in Stamford is stockpiles of the substance stored for the purpose of winter salting of roads by both the City itself and those who contract to provide the service of salting such roads to the City of Stamford, as well as the State of Connecticut, and;
WHEREAS, the Board of Representatives is interested in protecting the local environment from unnecessary despoilation to preserve it for its own sake, as well as the benefits to be derived from it by all the residents of Stamford, and;
WHEREAS, it is further found that the City of Stamford can suffer avoidable economic loss from stockpiles of its own salt when left open to the environment when it dissolves and washes away;
NOW, THEREFORE, BE IT ORDAINED BY THE CITY OF STAMFORD:
1. This ordinance shall be entitled the Salt Contamination Ordinance.
2. The standards of the State of Connecticut promulgated for proper storage and the prevention of leaching of stockpiles of salt are hereby adopted by the City as appendix "A" of this ordinance.
3. The City shall not enter into any agreement, nor shall it permit any person, firm or corporation to provide the service of salting the City streets and highways unless the salt to be used by such person shall be stored and confined to prevent leaching in accordance with the standards of the State of Connecticut adopted by this ordinance.
4. All persons, firms or corporation providing the services of salting City streets and highways by contract or agreement shall, prior to the commencement of such contract or agreement, inventory and locate the source of salt to be used in salting the streets and highways of the City. Such contracts or agreements shall provide that such person shall not perform such services until a person duly authorized by the Public Works Department of the City inspects and renders written approval that the storage and confinement of such salt conforms to the standards adopted herein.
Continued on next page
ORDINANCE NO. 344 SUPPLEMENTAL (continued)
5. The City shall include the above requirements in all contracts and agreements whether written or oral for salting services as a condition to the award and performance of such services with the additional provision that any breach thereof shall be grounds for immediate termination of the contract or agreement.
6. No person shall store salt except in accordance with the standards adopted in this ordinance for the storage of same to prevent leaching.
7. The City shall provide for the protection of its salt stockpiles from the environment in such a manner as to prevent avoidable dissolution of same.
8. This ordinance shall take effect upon adoption.
Effective date: March 26, 1977.
(2) PROPOSED ORDINANCE SUPPLEMENTAL REQUESTING TAX EXEMPTION AND/or REIMBURSEMENT OF TAXES PAID ON CHURCH OF JESUS OF THE APOSTLES FAITH, INC. OF STAMFORD, CONN.
Property located at 474-480 South Pacific Street, Stamford; under provisions of Sec. 12-81(b) of the Conn. General Statutes (1967 P.A. 311) as requested by Bishop J.L. Drayton and submitted by Jack Pinsky. Held in Committee 1/17/77 for additional work on the matter.
MR. SHERER: The Committee voted in favor and I so MOVE.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED UNANIMOUSLY.
(3) PROPOSED AMENDMENT TO THE "RULES OF ORDER" OF THE 14th BOARD OF REPRESENTATIVES - submitted by Audrey Cosentini 11/22/76 at Steering Committee meeting. (Two-thirds of those present required to vote yes for passage) Held in Committee 12/6/76 and 1/17/77.
Under "COMMITTEES", Item No. 12 shall be amended to include the following additional text, to be a second paragraph under Item No. 1w:
"The Steering Committee may not place on the Agenda for RECONSIDERATION any MOTION that has been previously acted upon at a Regular or Special Meeting of the Board unless all Board members who voted on the prevailing side during the Regular or Special Meeting have been given (5) days' notice prior to the Steering Committee meeting. The responsibility for such notification shall rest with the President of the Board. No member who did not vote on the pre-"
vailing side, when the item was considered at the Regular or Special Meeting may introduce the MOTION TO RECONSIDER."
MR. SHERER: The third item on the agenda is a proposed amendment to the rules of order of the 14th Board, submitted by Audrey Cosentini. It was unanimously approved by the L&R Committee 7-0. In our discussion we added a line to the proposed change. The line would be in addition to what we have in the agenda and would read as follows: "EXCEPTED FROM THIS RULE ARE THE NAMES OF APPOINTEES SUBMITTED BY THE MAYOR TO THE BOARD OF REPRESENTATIVES FOR CONFIRMATION". The Rules of the Board states that whenever a rule change is to be made by the Board said change must be printed in full on the agenda, also it takes two-thirds vote to change the Rules of the Board. It would also take SUSPENSION OF THE RULES because we are adding a line which was not printed on the agenda. I first ask for SUSPENSION OF THE RULES, and I so MOVE.
MR. BLOIS: MOVED and SECONDED. We need 2/3 votes on this. We will take a DIVISION. The MOTION is CARRIED.
MR. SHERER: I would like to MOVE that the Board accept the RULE CHANGE.
MR. BLOIS: MOVED and SECONDED.
MR. DIXON: I would like to see the Steering Committee with a little more leeway. This draws a strong line or limits the Steering Committee. I would like to see the amendment include as an alternative to what is in this proposed amendment, a time limitation, rather than to restrict the Steering Committee to the wording of this paragraph which must have the consent of those prevailing members who voted for a particular motion.
MR. SHERER: I just want to clarify one thing. It doesn't mean that you have to seek the consent of all those who prevail.
MR. FLANAGAN: I'm opposed to this amendment. I really don't think the term "reconsideration" as it is used in Robert's Rules, which are the Rules of our Board, as well as our Special Rules. Reconsideration of a motion is something that occurs during a meeting such as if tonight we wish to reconsider an item that we voted down on Monday because this is the same meeting. I do think that regardless of how many times the motion has been defeated we are operating a democracy and that any member in the minority has a right to ask for it to be taken up again. I think the minority interest would be severely compromised by any such amendment as this and it is contrary to Robert's Rules of Order and after all if you don't operate on the Rules, then we don't have any system at all to operate to protect the minority.
MRS. GOLDSTEIN: I disagree with Mr. Flanagan. Not only is this not contrary with Robert's Rules, it conforms totally with Robert's Rules. I don't think it does anything to hurt the rights of the minority; after all, anyone on the prevailing side can bring it up at any time during the course of the existence of the particular Board.
DR. LOWDEN: Unless Robert's Rules says something else, I think this is a good practical idea. I think the amendment was brought up and proposed for a practical purpose, that is to see that we don't have to deal with issues over and over again that cannot win.
MR. HAYS: I speak in opposition of the motion. I am probably as adverse as anybody else here to having die-hards continue, but I don't think that the losing side should be ever deprived of an opportunity to again approach the Steering Committee on the same thing.
MR. COSTELLO: I am opposed to this amendment. It is taking away the freedom of this Board to resubmit an item and I would just like to go on record as being in agreement with Mr. Flanagan.
MRS. RITCHIE: May I suggest that maybe we hold this in Committee for further study. It seems we are a little confused with Robert's Rules.
MR. DEROSE: I MOVE the question.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED unanimously. We will vote on the main motion. This requires a 2/3 vote. We will take a DIVISION using the machine. The MOTION is DEFEATED. 18 NO VOTES AND 5 YES VOTES.
| NO VOTES | YES VOTES |
|----------|-----------|
| M. Perillo | W. Flanagan |
| K. Zimbler | M. Glucksman |
| H. Dixon | M. Ritchie |
| G. Hays | T. D'Agostino |
| G. Ravallese | J. DeRose |
| A. Perillo | D. Sherer |
| S. Signore | R. Costello |
| J. Loboza | D. Blum |
| J. Santy | P. Walsh |
(4) AMENDMENTS TO ORDINANCE NO. 342 SUPPLEMENTAL CONCERNING SALE OF CITY-OWNED PROPERTY AT HAIG AVE. AND ST. CHARLES STREET. Vetoed by Mayor Clapes for "technical reasons". Held in Committee 12/6/76. Waiver of Publication vote DENIED 34 NO, 2 YES, so returned to committee 1/17/77.
LEGISLATIVE AND RULES COMMITTEE (continued)
Item #4 (continued)
MR. SHERER: In a joint meeting with Public Works Committee we completely discussed the question of price and came up with the following changes. The original ordinance which was voted upon at an earlier meeting and vetoed by the Mayor had a dollar amount of $5,200.00 and a zoning restriction. We have since that time renewed discussions with the potential buyers and have come upon the following: The sum of $7,500.00 is hereby authorized; approval of the Mayor, the Planning Board and the Board of Finance having been previously granted. Thank you and I so MOVE.
MR. PERILLO: Public Works voted 7-0 in favor with L&R.
MR. BLOIS: MOVED and SECONDED. The MOTION is CARRIED WITH 22 YES votes and 1 NO vote (J. DeRose)
ORDINANCE NO. 342 SUPPLEMENTAL
CONCERNING THE SALE OF CITY-OWNED PROPERTY TO HOWARD ARONS.
BE IT ORDAINED BY THE CITY OF STAMFORD THAT in conformity with Section 488 of the Stamford Charter and notwithstanding any provision of Chapter 2, Sections 2-24 to 2-27 inclusive, of the Code of General Ordinances of the City of Stamford, the sale to HOWARD ARONS of the following property, viz:
All that certain piece, parcel or tract of land situated in the City of Stamford, County of Fairfield and State of Connecticut containing 0.2057 acres, more or less, and bounded as follows:
Northerly: 3.44 feet by land of the City of Stamford;
Easterly: 450.00 feet by land of MARTIN MISEVIC et al;
Southerly: 41.65 feet by ST. CHARLES AVENUE; and
Westerly: 437.32 feet by HAIG AVENUE.
For the sum of $5,200.00, is hereby authorized, approval of the Mayor, the Planning Board and the Board of Finance having been previously granted.
The sale is approved contingent upon the deed containing a restrictive covenant prohibiting high-rise apartments on the property in question for a period of ten (10) years.
The Mayor is hereby authorized to execute all documents necessary to transfer title to said property.
This ordinance shall take effect from the date of its enactment.
(5) PROPOSED ORDINANCE THAT APARTMENT HOUSE/MULTIPLE DWELLING UNIT BOILERS BE INSPECTED EACH YEAR BEFORE COLD WEATHER SETS IN - TO APPLY TO ALL MULTIPLE DWELLING BUILDINGS OVER FIFTEEN YEARS OLD, LOCATED WITHIN CITY OF STAMFORD, REGARDLESS OF OWNERSHIP WITH INSPECTION MANDATORY AT END OF EACH SUMMER BY HOUSING CODE ENFORCEMENT UNIT OF THE HEALTH DEPT. Submitted by L. Morris Glucksman and Leonard Hoffman, per Mr. Glucksman's letter 10/22/76 and subsequent discussions of members of Board. Held in Committee 11/22/76 and 12/13/76 Steering.
MR. SHERER: The Committee voted 5-0 for PUBLICATION and I so MOVE.
MR. BLUM: Health and Protection by a vote of 3-1 concurs.
MR. PERILLO: What is the purpose for this proposal, this ordinance?
MR. SHERER: I think the obvious purpose is for older apartment buildings in town, mainly to apartment houses, but it would go for any place that is rented.
MR. PERILLO: How many complaints have you got on this?
MR. SHERER: Well, Mr. Glucksman who proposed the ordinance must have had a basis for his intent.
MR. GLUCKSMAN: The landlord of the apartment complex where I live was arrested about a month ago for 55 violations of not giving heat and 99% of the time his reasons are that the boiler broke down and we just feel that's a cop-out.
MR. PERILLO: Now you are speaking about one dwelling versus how many multiple dwelling homeowners. Do you want to punish the whole city because of your landlord. I ask you?
MR. GLUCKSMAN: That's not a question.
MR. PERILLO: What do you mean, that's not a question. I'm going to be one of the guys that are going to be punished because of your landlord. Answer me that?
MR. GLUCKSMAN: No, I do not know how many people own how many houses in the City of Stamford but I just know that tenants are people who pay the rent for certain services and there are entitled to be secure in the knowledge that during the course of very cold winters especially the one we are in the process of enduring they have a right to know that the boilers will not be broken down.
MR. PERILLO: How many multiple dwelling owners are there in Stamford?
MR. GLUCKSMAN: More than one.
MR. PERILLO: Alright, let's go to the other extreme. With your ten dollar license that you are requesting, how much revenue will be coming into the Health Dept? How many personnel would the Health Dept. put out to fulfill this new operation?
MR SHERER: If I may respond as acting Chairman, Mr. Perillo, I think that the purpose of the publication is to stir up.....
MR. PERILLO: I'm against this publication. I want it dead right now.
MR. SHERER: I just want to say that the L&R Committee felt that it was a serious issue to warrant the attention of the community and we would not research it prior to publication but rather publish and then have a Public Hearing and carry on a research upon the input received at the public hearing such as what you are giving us tonight which is extremely valuable.
MR. PERILLO: Much of the questions I have here are of interest to the multiple dweller owner.
MRS. MCINERNEY: -POINT OF INFORMATION- Am I to understand here that this particular ordinance will effect Mr. Perillo directly?
MR. PERILLO: Yes and I have only three units and I live in one of them.
MRS. MCINERNEY: But this is not a conflict of interest, Mr. Perillo?
MR. PERILLO: Why is it a conflict of interest? I'm paying.
MRS. MCINERNEY: I understand that but this is something that personally, I don't mean it in the broad sense of the word, but this is something that personally affects you.
MR. PERILLO: I have other homeowners in my district who are questioning these.
MRS. MCINERNEY: Let's find out if there are people in Stamford who are being adversely affected and what we can do to straighten this out where the small property owner who only owns one or two dwellings won't be affected and the large property owner who seems to be making the abuses can be controlled a bit more.
LEGISLATIVE AND RULES COMMITTEE (continued)
Item # 5 continued
MR. PERILLO: I'm subject to the same ten dollar license fee permit. I'm subject to hiring a licensed heating engineer. How much is he going to charge? Is there a fee?
MR. GLUCKSMAN: That would be between the landlord and the heating engineer.
MR. SIGNORE: We can all have an opportunity to be heard in reference to the exact provision to the ordinance at the public hearing. What I seem to find out and I drafted the ordinance, of the age you are going to have it inspected, when is the best time to have the boiler inspected to insure a safe winter. That's the kind of information we would like to get at this public hearing so we can draft as close to perfect ordinance as possible. I hope we can approve this ordinance for publication tonight.
MR. D'AGOSTINO: I would like to say that I would be very careful with this for the simple reason you are going to end up putting a lot more inspectors on and it is going to cost the city a lot of money, so I would kind of restrict it to apartment houses.
MRS. RITCHIE: I would like to ask Mr. Glucksman, would he accept a certificate from the oil companies contractor that comes in to inspect the boiler and therefore avoid this license certified engineer.
MR. BLOIS: I would like the record to note that Mrs. Hawe has left the meeting for this evening.
MR. GLUCKSMAN: In answer to Mrs. Ritchie, I spoke with Mr. Nehring of the Health Dept. and he tells me just about all of the heating companies have a heating engineer on their staff, or are affiliated with one.
MRS. PERILLO: I am also a landlord with my husband and I do not feel I am in conflict of interest because I am speaking for the people in my district that are landlords and will be affected by this.
MR. FLANAGAN: I MOVE the question.
MR. BLOIS: MOVED AND SECONDED. We will vote for PUBLICATION of the Ordinance. The MOTION is CARRIED WITH 13 YES and 10 NO votes.
YES VOTES
K. Zimbler
H. Dixon
G. Hays
W. Flanagan
M. Glucksman
M. Ritchie
A. Cosentini
Dr. Lowden
T. D'Agostino
B. McInerney
S. Goldstein
D. Sherer
D. Blum
NO VOTES
M. Perillo
G. Ravallese
A. Perillo
R. Costello
P. Walsh
S. Signore
J. Lobozza
J. Santy
J. DeRose
J. Blois
(6) ORDINANCE REQUESTED BY CITY REPRESENTATIVE MICHAEL G. MORGAN REGARDING ELECTRIC SIGNS.
MR. SHERER: The Committee voted to HOLD this item in committee.
(7) REQUEST FOR WAIVER OF BUILDING PERMIT FEE FOR renovation of third floor of South building of The Stamford Hospital (obstetrical and gynecological patients). Building to cost $408,000.00. Request from Attorneys Durey&Pierson, Mr. Pierson dated 12/15/76.
MR. SHERER: The Committee voted 6-1 to approve the request for waiver of the building permit. I so MOVE.
MR. BLOIS: MOVED AND SECONDED. The MOTION is CARRIED UNANIMOUSLY.
(8) PROPOSED ORDINANCE SUPPLEMENTAL FOR TAX EXEMPTION AND REIMBURSEMENT OF TAXES PAID FOR PROPERTY ACQUIRED BY BI-CULTURAL DAY SCHOOL INC., A CONNECTICUT NON-PROFIT, EDUCATIONAL INSTITUTION LOCATED AT 1499 Hope St. (formerly Estate of Harry M. Zuckert - requested by Atty. Julius B. Kuriansky under date 12/16/76.
MR. SHERER: By a vote of 4-0 The L&R Committee approved the request.
MR. BLOIS: MOVED and SECONDED.
MR. SIGNORE I would like Mr. Sherer to clarify for the Board why they get a tax exemption on this particular item. The Bi-Cultural school is not located on that piece of property.
MR. SHERER: The constitution has certain rules governing church and state. The Bi-cultural day school is an non-profit organization and because it is a religious organization it is entitled to the protection of the constitution.
MRS. SANTY: You mean that if it is not being used for religious purposes they will get a tax exemption.
MR. SHERER: As long as it is not used for profit purposes, yes.
MRS. COSENTINI: It says "reimbursement of taxes paid for property acquired." What happened, did they pay taxes on this and then acquired this?
MR. SHERER: The closing was in December and adjustments were made for taxes paid in advance to July 1.
MRS. COSENTINI: I understand they have to receive a zoning change for this. What if it is not granted?
MR. SHERER: I don't have the details of that. Once again as long as they are not using it for profit they are entitled to an exemption.
LEGISLATIVE AND RULES COMMITTEE (continued)
Item # 8 Continued
MR. HAYS: Mr. President, through you I ask Mr. Sherer a question. I find no fault with any facility used for religious purposes being tax exempt. If the institution owns another facility that is used for a non-profit school I don't object to that principle either if our policy is that every non-profit school in the city whether owned by a religious entity or not is tax exempt.
MR. ZIMBLER: Move the question.
MR. BLOIS: Moved and Seconded. The motion is carried unanimously. We will now vote on the main motion. The motion is carried unanimously.
(9) PROPOSED ORDINANCE SUPPLEMENTAL FOR TAX EXEMPTION FOR CHURCH OF THE ANNUNCIATION LOCATED AT 1230 Newfield Ave. Mr. Louis Bratsenis, President of the Board of Trustees, on 1/4/77 dropped off current tax bill he received. Ord. No. 292 gave them tax exemption through 9/1/74 Grand List.
MR. SHERER: The Committee voted to HOLD this in Committee.
(10) PROPOSED ORDINANCE SUPPLEMENTAL FOR TAX EXEMPTION FOR PROPERTY OF FIRST CHURCH OF CHRIST Scientist at 655 Stillwater Road and Bridge Street letter of Clerk Mrs. Janet M. Fisher dated 1/7/77, enclosing current tax bill. (They were recently granted a waiver of building permit fee to start building their new church at this location.)
MR. SHERER: The Committee voted to HOLD this in Committee.
(11) PROPOSED ORDINANCE SUPPLEMENTAL TO AMEND ORDINANCE NO. 332 SUPPLEMENTAL PROVIDING FOR A TAX ABATEMENT FOR "PILGRIM TOWERS" Located at Washington court, in the City of Stamford, Conn. which property is owned by Pilgrim Towers, Inc., and known as "Pilgrim Towers". Letter of Barry Boodman dated 12/17/76 (rec'd 1/5/77) and note dated 1/5/77 from Dagny Huitgrun, of Community Development Dept. Changes proposed in these amended documents (ordinance and agreement) are necessary to bring them into conformity with language requirements of Dept. of Community Affairs.
MR. SHERER: The Committee voted 7-1 in favor of this item. The purpose of this ordinance actually changes a couple words to say up to 100% tax abatement at Pilgrim Towers. We had granted a 100% tax abatement to Pilgrim Towers last year.
MR. BLOIS: Moved and Seconded, The Motion is CARRIED unanimously.
(12) PROPOSED ORDINANCE SUPPLEMENTAL TO REPEAL ORDINANCE NO. 339 Supplemental. (Actually Ord. 343 was adopted and instead of amending, it really replaced Ord. 339 regarding separation of newspapers, magazines, etc., mainly changing effective date of ordinance for business and commerce.) Submitted by Law Department.
MR. SHERER: Item #12 is a technical change also. The Committee by a vote of 5-0 approved and I so Move.
MR. BLOIS: Moved and Seconded.
MR. GLUCKSMAN: I call the question.
MR. BLOIS: I don't think you are being fair to the Board members to do it right off the bat.
MR. GLUCKSMAN: I will retract it then Mr. Blois but I just want to say that there is really nothing to discuss.
MR. ZIMBLER: Thank you, Mr. President, I will try to be brief to please some of my colleagues but I think it is fair to point out that initially Mrs. McInerney and I had been quoted as planning tonight to ask for a suspension of the rules to bring up a proposed change in this ordinance. We have decided that rather than asking for a suspension of the rules tonight and bring it up that we will be submitting it to the Steering Committee. Absolutely nothing had been done, paper is piling up in people's garages, cellars, attics or what have you.
MR. DEROSE: Mr. President, POINT OF INFORMATION, I would like to know why we are continuing with this dialogue when it has absolutely nothing to do with the item before us. The hour is late and this is the second night we are meeting in the last three days.
MR. BLUM: I would just like to have a clarification, does this mean that we are going to have one ordinance?
MR. SHERER: What this will net us is an Ordinance saying that there will be paper separation commencing January 1, and that commencing June 1 businesses shall comply, which is exactly what we took up in the January meeting.
MR. BLOIS: If there are no other speakers we will move on.
MR. SIGNORE: Because of a possible conflict of interest I will leave the room at the time of the voting.
MRS. SANTY: Because of conflict of interest I also will leave the room.
MRS. COSENTINI: POINT OF INFORMATION, Mr. President, what could the conflict be on clearing the books so we don't have two ordinances
LEGISLATIVE AND RULES COMMITTEE (continued)
(Item #12 continued)
MRS. COSENTINI: (continuing)....saying the same thing?
MR. BLOIS: I can't answer for those people that left. We don't have 21 people to take the vote. Please take your seats.
MR. BLUM: What can the conflict be? That is what I would like to know.
MR. BLOIS: That is a personal privilege.
MRS. COSENTINI: POINT OF INFORMATION, Mr. President. Since this is not an issue of substance I don't believe that either of the people in the other room have to really worry about conflict.
MR. BLOIS: Do we have 21 people sitting? We are voting on Item #12 Moved and Seconded. We will take a division using the machine. The motion is CARRIED with 18 YES votes 2 NO votes (K. Zimbler and A. Cosentini) 1 ABSTENTION (M. Perillo) (J. Santy and S. Signore Taft the room did not participate in the voting)
(13) PETITION REQUESTING ESTABLISHMENT OF A CURFEW OF 10:00 P.M. for Children under age of Sixteen (16) years. Signed by 47 citizens. Submitted at Board meeting 1/17/77. By Lois Santy and Sal Signore.
MR. SHERER: The Legislative and Rules Committee after some heavy research and investigation has found that there already exists in the City of Stamford, in the City Ordinances, a curfew which would satisfactorily cover this exact case. I think it is a 9:00 p.m. curfew for children 15 and under. It was the opinion of the L&R Committee that the Health and Protection ought to inquire with the Police Department why they are not enforcing this very substantial ordinance. The Committee has requested to take this item off because it is not in our jurisdiction.
(14) THE MATTER OF EXTENDING THE REPORTING DATE OF MARCH 7, 1977 TO A LATER DESIGNATED DATE FOR THE TENTH CHARTER REVISION COMMISSION TO MAKE THEIR REPORT TO THE BOARD OF REPRESENTATIVES.
MR. SHERER: This was a request by Chairman Isadore Mackler of the Charter Revision Commission requesting that we provide a resolution or sort to a problem they have come up with that of reporting to the Board no later than the March, 1977, meeting. The Committee voted unanimously to request the President to write a letter to Mr. Mackler.
MR. BLOIS: MOVED AND SECONDED.
MRS. COSENTINI: I went up to see the Commission last month and they were asking us for this extension. If you look through the rules
LEGISLATIVE AND RULES COMMITTEE (continued)
Item #14 continued
MRS. COSENTINI: (continuing)....and regulations for the operation of that Commission. If we wish to get these items on the agenda or on the ballot in November we should be mindful of the fact it will take ninety - five days.
MR. BLOIS: Miss Nizolek spoke to me about this and she said that The Charter Revision Commission would concur with this. We will proceed to a vote. The MOTION is CARRIED unanimously.
PERSONNEL COMMITTEE REPORT - Sandra Goldstein
(1) LETTER OF 1/18/77 FROM THOMAS BARRETT, CITY LABOR NEGOTIATOR inviting Board members to offer written suggestions on any recommendations they may have to offer for changes in upcoming negotiations on labor contracts.
MRS. GOLDSTEIN: The Personnel Committee met on February 1, 1977. Present were Mr. Wiesley, Mr. Blum, Mrs. Santy, Dr. Lowden, Mr. Osuch, Mrs. Ritchie, and Mrs. Goldstein. Excused were Mr. Connors and Mr. Livingston. Item #1 is a letter from Tom Barret, City Labor Negotiator and I would like to read this letter to the Board.
Dear Mr. Miller: In the event that the Board had some recommendations for changes which will be made in the present contracts it would be most helpful if I could receive any written suggestions as soon as possible. We would like any member of the Board to feel free to submit any suggestions to Mr. Barrett. We have already received from two members some excellent recommendations which we incorporated into our committee recommendations.
MR. HAYS: I attempted to call Mr. Barrett in response to that memorandum and my call was not returned. I understand several of my colleagues right here had similar experience recently. I would suggest to the President to communicate with him. I think we are all concerned about contracts, particularly this year when we are trying to overcome debts from the past and we really have to work on contracts, that's the major part of our budget.
MRS. COSENTINI: I would like to ask the Chairman of Personnel, if she would accept some suggestions on the presentation as well as the substance of those contracts. When the contracts were presented to us last year answers were given in a lump. I don't think it is an adequate answer and I would urge the Personnel Committee to instruct Mr. Barrett that when he presents the contracts to us that each clause in the contract be accompanied by a cost analysis and the number of personnel involved.
MRS. GOLDSTEIN: I agree whole-heartedly of course. As a matter of fact on the last two contracts we provided just that.
PERSONNEL COMMITTEE (continued)
(2) LETTER OF 1/14/77 FROM SUA INCORPORATED, Bette L. Davis, V.P., regarding personnel classification system in local government operations, and offering to discuss their approach to developing a supervisory role and level review program, etc.
MRS. GOLDSTEIN: It was unanimous with the Committee that we have enough studies going on already. I would love to see some of these studies concluded and enacted before we undertake any further studies.
MR. ZIMBLER: While we're on personnel, through the Chair I'd like to ask the Chairman of the Personnel Committee, and if she does not have the answer herself, possibly she could get it from Mr. Bernstein. On two job announcements it indicated that the examination for the particular job will be entirely an oral examination, in other words the oral examination counting for 100% of the total weight on the exam. Now again I am not sure exactly how this was worded but I seem to recall on the last Board some of the lengthy investigations of the Civil Service system and also on the reports of the Blue Ribbon Panel that investigated the Civil Service System that this was one of the things that was very strongly recommended that no strictly oral examination be given on any position.
MRS. GOLDSTEIN: I think you are incorrect on this. An oral examination is a perfectly legitimate examination. I mean as long as there are standards being applied. Some examinations are written, some oral, some are performance and some are a combination of two, three or four of these things. It is up to the department head and the personnel director and personnel commission to deem which of the various methods are most appropriate for a particular job. However, why they chose an oral for these two jobs that I don't know, but I assume they made a determination based on what they thought was best for the job. I can't answer it any further than that other than to say it is certainly legal and above board.
MR. ZIMBLER: Oh no, I never said it wasn't. I'm only questioning the judgement of the personnel department because I thought that this was part of the report of the Blue Ribbon Panel to do away with this. I don't know, perhaps Dr. Lowden would know more about that; he is our resident Maven on tests.
DR. LOWDEN: I have read the Blue Ribbon Panel's report and I don't recall their having any objections to an oral examination.
MR. LOBOZZO: Through the Chair to Mrs. Goldstein, I would like to know if both those jobs that they advertised for tests are included and were budgeted for.
MRS. GOLDSTEIN: Mr. Lobozza, we appropriated money for Productivity Planner in Public Works and legal assistant.
PLANNING AND ZONING COMMITTEE - George Baxter
(1) **LETTER DATED NOVEMBER 10, 1976 FROM COURTLAND TERRACE ASSOCIATION, INC.** to Jon Smith, Planning Director, with copies to Bd. of Reps. Suggesting Moratorium on Condominiums and multiple dwelling units because of their demands upon City services.
Also questioning legality of condominiums under existing zoning regulations. Held in committee 11/22/76, no report made 1/17/77.
(2) **LETTER OF NOV. 1, 1976 FROM COURTLAND TERRACE ASSN., INC., SUPPORTING THE POSITION TAKEN BY THE AMERICAN-ITALIAN ASSN.** to prevent an X-Rated movie house from locating West Park. Mrs. Betty Conti, Pres., also telephoned to add remarks that perhaps someone could contact New York City about their recent legislation to eliminate porno parlors, X-Rated houses, etc., from Times Sq. area. She said they seemed to have something that was constitutional and effective.
(3) **LETTER OF 1/17/77 FROM CITY REP. 5th DIST. LEO J. CARLUCCI** requesting that Madison Place be accepted as a City street.
(4) **LETTER OF 1/21/77 to City Rep. George Baxter from Atty. Comerford of Brennan, Dichter & Brennan** requesting dedication of Wallace St. Extension.
NO REPORT GIVEN ON ABOVE ITEMS - PLANNING AND ZONING
HEALTH AND PROTECTION COMMITTEE - Dave Blum
(1) **LETTER OF 11/22/76 FROM CITY REP. DAVID BLUM** stating his investigation discloses that during the past seven months three senior citizens lost their lives due to automobile accidents at some of our downtown intersections. He wishes this Committee to investigate among other things the lighting and timing sequence of the walk signals and possibly providing a longer walk time period. (Report made 1/17/77 by ex-Vice Chairperson Lois Santy, with statement that matter be held in committee for further work, study, and solution.)
MR. BLUM: We held a meeting Feb. 3 in which a quorum was present. On the first item we had Sergent Leone from the safety Office, Dolores Russell from the Commission on aging and we had a letter here from Mr. Oefinger and a letter from Joan Fitzpatrick from the Park Manor. In the discussion that took place they came out with a solution where Sgt. Hoyt and Dolores Russell will get together and propose at a later date a hearing, a safety educational plan for senior citizens.
HEALTH AND PROTECTION COMMITTEE (continued)
MR. BLUM: (continuing)...This item is being HELD in committee.
(2) LETTER OF DEC. 8, 1976 FROM RECREATION SUPERINTENDENT BRUNO GIORDANO enclosing a specially compiled vandalism report; also previous expression that something should be done about the perpetrators of all this damage, perhaps by contacting the judicial and prosecutorial authorities. (The latter held in committee by Parks & Rec. 9/20, 10/6 and 11/8/76; and no report on 12/6/76). Lois Santy made report 1/17/77 and held in committee for follow-up and possible solution.
MR. BLUM: I have been in contact with Bruno Giordano and they are still working on a plan in which to curb vandalism.
(3) PETITION DATED DEC. 4th and 5th, 1976 signed by 60 residents of Bertmor Drive, Club Road, Kerr Road, and members of St. Cecelia's Faculty requesting that Bertmor Drive be designated a Dead End Street, and be closed to traffic as children and homes are endangered. (Report made 1/17/77 by Lois Santy and Committee will do additional work on this problem and report back.)
MR. BLUM: I talked to the Chief of Police with Sgt. Leone and they went out to see this road and they looked it over and I'm going to get a report from the Chief and process this to the engineering department.
MR. HAYS: I thought this was a committee report, we're getting one man's report of what he individually did. Is that out of order.
MR. BLOIS: I presume he is reporting for the committee.
MR. BLUM: I am reporting for the committee. We had this meeting and we took up these items.
MR. BLOIS: Did you have a quorum, Mr. Blum?
MR. BLUM: Yes, we did.
MR. ZIMBLER: POINT OF ORDER MR. PRESIDENT, with all due respect to my committee chairman, I was one of the ones present at that committee and certainly I don't recall item 3 for example being discussed or item 2. I recall we had a lengthy discussion on item 1 and several other items, but I don't think items 2, 3 ever came up. I am saying this only from the standpoint of clarity.
MR. BLUM: Well they didn't come up, but I am working on them and I am moving them. I am holding them in committee and trying to get some research on them.
MR. BLOIS: We will proceed down to the ones you discussed. Would you please report on item 2 and 3 and what you are doing with them. Are you holding them.
HEALTH AND PROTECTION COMMITTEE (continued)
MR. BLUM: We are holding them in committee for further investigations and the same for item 3.
(4) LETTER JAN. 1, 1977 from Supt. of Communications Hawley C. Oefinger regarding proposed State Legislation permitting right turn after stop at all red lights unless a sign prohibits that movement. Suggests that this be looked into and recommendations be made to our State reps.
MR. BLUM: I received a letter from Commissioner Oefinger. I also got a copy of the law. I think I would like to take this up this evening in a sense of what the Board would like to do.
MR. BLOIS: I think it would be proper for you to discuss this in your committee and come back to the Board with a suggestion. Item #4 is being HELD IN COMMITTEE.
(5) LETTER OF 1/11/77 from Richard F. Ferrara, PRESIDENT OF FIRST FAIRLAWN CONDOMINIUM ASSOCIATION, INC., regarding hazardous streets (Standish Road, Revere Drive, and Seaton Road.) which do not receive snow plowing, sanding or salt-services.
MR. BLUM: MR. Ravallesse reported to me that this has been taken up with Mr. Ferrara and himself and it has been handled. This has been dropped from our committee.
MR. PERILLO: Public Works also investigated this issue and in talking to Mr. Scarella, Superintendent of Highways, he and Mr. Ferrara, President of First Fairlawn Condominiums Assoc. have agreed on the problem.
(6) LETTER OF 12/7/76 from Evelyn F. Ort regarding dog problem, requesting refund of $10.00 she paid Dog Warden on 12/3 because her was lured off her property and broke his chain by a bitch in heat, whose owner then penned up her errant male dog. (The unleashed dog problem was discussed in a letter to Prosecutor Martin Nigro in a letter of 11/12/76 at length by Mrs. Santy of H&P committee.) No respond from Mr. Nigro.
MR. BLUM: This is being held in committee for further investigation.
(7) COPIES OF LETTERS dated January 4, 6, 10, 18, 1977 from Carl E. Nehring, Director, Housing Code Enforcement, to Donadeo Realty & Management Co. regarding 792 Washington Blvd. (Ambassador Arms Apts.) advising that certain units are declared unfit for human habitation and directing the vacating of same within 30 days, also several notices to Stamford Housing Authority from Dr. Ralph Gofstein directing various and sundry repairs to several apartments as designated.
HEALTH AND PROTECTION COMMITTEE (continued)
(Item # 7)
MR. BLUM: Our committee met in regard to the Ambassador Arms. This should now go to the Housing and Relocation because this apartment house has been condemned by the Health Commissioner. We are now in the process of relocating the tenants, but in the meantime I think we have to look very closely about these tenants that are still there. The housing Code Officer is checking on each item that is reported and is repaired but I can say....
MR. HAYS: Mr. President, that's not a committee report.
MR. D'AGOSTINO: Mr. President, I was at that meeting. This should never have been put into our committee to start off with. HUD will not give them any money to fix this building. The building has been condemned. The families do not belong there.
MR. BLUM: Why didn't your committee so state in the beginning instead of discussing it for a half hour.
MR. D'AGOSTINO: I don't think Mr. Blum was aware of it at the time.
MR. COSTELLO: This is a long story here but the Ambassador Arms has been a problem for a long time. I have attended many fair rent hearings, been to the Health Dept. many times, it seems the landlord has gone broke and they are just letting the place go to pot and as the people move out each family is being helpfully relocated now. Federal funds were applied for but since the Ambassador Arms is across the Street from St. John's Towers they can't be gotten. The landlords just want out, they don't have the money any more.
MR. BLUM: Is there anything wrong in giving a progress report? What is the objection if I had called these. It was on the agenda and I took the initiative to call those who were interested in this particular building. Now I just would like to say something in regards to the Ambassador Arms and the entire Stamford, whoever wants to stop me can stop me right now.
MR. HAYS: I think he is out of order. This is what he should be reporting to his committee and then this Board is entitled to the committee report, but he as an individual should report to his committee.
MR. DIXON: I have to say in defense of Mr. Blum, he is Chairman of that committee and Mr. Blum did not put this item on the agenda, the Steering Committee put it on. What Mr. Blum is attempting to do is make a progress report. It requires no action from this Board. I think we owe Mr. Blum the courtesy to listen to his report.
MRS. GOLDSTEIN: I agree with Mr. Dixon, as a matter of fact when something is being held in committee I find it very helpful to see just what status is at the present time.
HEALTH AND PROTECTION COMMITTEE (continued)
(8) LETTER OF JANUARY 8, 1977 FROM JACK DAZZO, 728 Hope St. requesting supervision of children sledding at Sterling Farms. His son was severely injured on 12/31/76.
MR. BLUM: I have been in touch with Mr. McGuire at Sterling Farms. I have been investigating this. This item has been taken up by the Golf Authority.
MR. HAYS: I again have to object to a point of order. This is not a committee report he is giving.
MR. BLOIS: I proceeded to ask Mr. Blum if he had a quorum three different times and he reported yes, so I have to respect him. Mr. Blum, proceed, if you had a quorum and you're giving a progress report.
MR. BLUM: I am reporting progress on this Jack Dazzo. I expect to get a report from Mr. McGuire. This is being HELD in committee.
MR. GLUCKSMAN: POINT OF INFORMATION, I really resent this criticism that is being thrown at Mr. Blum; he is trying to do a good job. I respect him that he has gone to work on his own and now wants to report this to our Board. I think we shouldn't criticize him but let him give this report.
MR. DIXON: In conjunction with what Mr. Glucksman just said, I appreciate everything he said, it's quite obvious that Mr. Blum is being harrassed and it is equally obvious why he is being harassed. I just wish this would discontinue.
(9) LETTER OF DECEMBER 27, 1976 FROM CITY REP. LATRON WIDER Sr. regarding the hazards of illegally parked oil trucks, delivery trucks, etc., and requesting that the Police Dept. tow and/or take proper action to correct this situation.
MR. BLUM: Item # 9 is being HELD in committee pending further study.
(10) LETTER OF 1/14/77 SIGNED BY CHIEFS OF THE FIVE VOLUNTEER FIRE DEPARTMENTS OF STAMFORD regarding the 911 emergency telephone system which they wish to go on record as stating they are opposed to it, and never were consulted about it. They are quite satisfied with their present system of handling emergency calls with the Police and Fire Departments and feel it is efficient and economical.
MR. BLUM: At our meeting we had the five volunteer chiefs in which they told us they would like answers in regard to 911, whether this is going to be another Centrex pushed upon the fire chiefs. They are totally opposed to the 911, they favor the emergency call system they now have.
MR. LOBOZZA: I would like to correct Mr. Blum. I was present at this meeting although I am not a member of this committee but this does
HEALTH AND PROTECTION COMMITTEE (continued)
(Item #10)
MR. LOBOZZA: (continuing)....involve my district. The Chiefs did not say they were against the 911 number. They were against the way it was put forth. They have no information to date about it. What they are requesting is information. They haven't really made a decision whether they are for it or against. They don't like the way the Mayor pushed it on them and they would like it explained to them.
MR. D'AGOSTINO: I also attended that meeting and there were a couple of other points brought out with that 911. Turn of River and Bull's Head, they have their own system.
MR. BLOIS: I have a correction, We don't have a fire house in Bull's Head.
MRS. COSENTINI: The press has been reporting the 911 as part of Centrex. Is it or is it not part of the Centrex System?
MR. BLUM: Chief Russell told us whenever Centrex comes in, you can be assured that the next thing is 911. This item is being HELD in Committee.
(11) LETTER OF DECEMBER 8, 1976 from City Rep. Blum to Margot Wormser, Dir. of Stamford Housing Authority, requesting copies of some minutes, after having been refused in a phone request. Written request denied and Mr. Blum had to go to their office to read minutes, or else pay for copies.
MR. BLUM: Item #11 is being dropped from the agenda.
(12) MAYOR CLAPES' LETTER 1/14/77 enclosing Nicholas Tarzia Letter of protection agency.
MR. BLUM: Item #12 is being HELD in committee.
PARKS AND RECREATION - George Hays
(1) SUPT. BRUNO GIORDANO'S (REC. DEPT.) letter 11/22/76 requesting approval of fees for ETHEL KWESKIN THEATRE and Paddle Tennis fees. Held in committee 1/17/77.
MR. HAYS: This is being HELD in committee.
(2) LETTER OF DEC. 13, 1976 FROM CITY REP. KURT ZIMBLER (R16) regarding complaints from homeowners near City owned Finch/Levine property on Long Ridge Road where Norwalk Community College students are conducting "archeological digs".
MR. HAYS: This is being HELD in committee.
(3) PARK SUPT. ROBERT B. COOK'S LETTER 1/6/77 REQUESTING APPROVAL of marina fees for 1977 boating season. Registration for marina permits take place in February so time is of the essence.
PARKS AND RECREATION (continued)
(item 3)
MR. HAYS: (continuing)....This item is being HELD in committee.
(4) LETTER OF EMILY CANEY, 27 HACKETT CIRCLE N. given to City Rep. Morgan stating fees at Terry Connors Skating Rink too high.
MR. HAYS: This is also being HELD in committee.
EDUCATION, WELFARE AND GOVERNMENT COMMITTEE - Mildred Ritchie
(1) LETTER DATED 10/22/76 from M. Perillo, (O9th) submitting nine enclosures of questionnaires, cards, forms, etc. to be filled out by school children for Dr. Goftstein, Health Dept., requesting comprehensive data on child's history, mother's pregnancy, as to what age did child say "ma-ma" or "da-da" did pregnant mother have toxemia or swollen ankles, etc. (Held in committee 11/8/76, and Steering 12/13)
MRS. RITCHIE: EWG met and had a quorum. Item #1- This was looked into and a letter was sent to Mrs. Perillo, which I believe she was pleased with the information. This information is vitally necessary for health, adequate health supervision.
MRS. PERILLO: I was not pleased, neither were the people who inquired on it but I thank Mr. Wiesley for doing the investigation for me and they will pursue it in their own fashion.
(2) LETTER DATED 12/6/76 from City Rep. Sandra Goldstein, urging this Board to support the State's attempts to condemn the Stamford Railroad Station and adjacent property so that extensive Federal funding may be applied for to build a modern and safe railroad facility. Held in Committee 12/13/76 in Steering.
MRS. RITCHIE: This was held in committee.
SEWER COMMITTEE - Thomas D'Agostino
(1) LETTER OF NOV. 9, 1976 FROM NORMAN KRUCHOW TO Mr. D'Agostino with several complaints such as now that he is sewered, garbage pick-up is once a week; and when Hope St. was sewered, the drain inlet, street curbs, etc., are most unsatisfactory. Held in Committee 12/6/76 and no report on 1/17/77.
MR. D'AGOSTINO: We had a meeting on the 25th. We invited Mr. Sabia and Mr. Kruchow. The problem with the garbage is resolved and the curbs will be taken care of as soon as the warm weather is here.
(2) LETTER DATED 10/28/76 TO SEWER COMMISSION SUBMITTED BY CITY REP. MICHAEL MOARGAN relating the experiences with the Contractor, the City Engineering Office, the Sewer Commission, The Public Works Dept., in connection with the Fenway St. Storm Drainage System, Sanitary Sewer and Gas Line Renovation project, etc. That Peter M. Verderosa of 18 Fenway has been having since Sept. 1974.
MR. D'AGOSTINO: This is being HELD in committee.
URBAN RENEWAL COMMITTEE - Morris Glucksman
MR. GLUCKSMAN: Thank you, Mr. President, as you recall we passed this item on Monday night and it was approved unanimously. (This item was considered under suspension of the rules before the appointments committee)
PUBLIC HOUSING AND GENERAL RELOCATION COMMITTEE - Jeremiah Livingston
MRS. MCINERNEY: No report.
ENVIRONMENTAL AND PROTECTION COMMITTEE - Dr. Lynn Lowden
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AID enzymatic activity is inversely proportional to the size of cytosine C5 orbital cloud
Article
Published Version
Rangam, G., Schmitz, K.-M., Cobb, A. and Petersen-Mahrt, S. (2012) AID enzymatic activity is inversely proportional to the size of cytosine C5 orbital cloud. PloS ONE, 7 (8). e43279. ISSN 1932-6203 doi: https://doi.org/10.1371/journal.pone.0043279 Available at http://centaur.reading.ac.uk/28979/
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AID Enzymatic Activity Is Inversely Proportional to the Size of Cytosine C5 Orbital Cloud
Gopinath Rangam 1,2, Kerstin-Maike Schmitz 1, Alexander J. A. Cobb 3, Svend K. Petersen-Mahrt 1,2*
1 DNA Editing in Immunity and Epigenetics, Fondazione Istituto FIRC di Oncologia Molecolare, Milano, Italy, 2 DNA Editing Lab, Clare Hall Laboratories, London Research Institute, South Mimms, United Kingdom, 3 School of Pharmacy, University of Reading, Reading, United Kingdom
Abstract
Activation induced deaminase (AID) deaminates cytosine to uracil, which is required for a functional humoral immune system. Previous work demonstrated, that AID also deaminates 5-methylcytosine (5 mC). Recently, a novel vertebrate modification (5-hydroxymethylcytosine - 5 hmC) has been implicated in functioning in epigenetic reprogramming, yet no molecular pathway explaining the removal of 5 hmC has been identified. AID has been suggested to deaminate 5 hmC, with the 5 hmU product being repaired by base excision repair pathways back to cytosine. Here we demonstrate that AID’s enzymatic activity is inversely proportional to the electron cloud size of C5-cytosine - H > F > methyl >> hydroxymethyl. This makes AID an unlikely candidate to be part of 5 hmC removal.
Citation: Rangam G, Schmitz KM, Cobb AJA, Petersen-Mahrt SK (2012) AID Enzymatic Activity Is Inversely Proportional to the Size of Cytosine C5 Orbital Cloud. PLoS ONE 7(8): e43279. doi:10.1371/journal.pone.0043279
Editor: Sebastian D. Fugmann, National Institute on Aging, United States of America
Received June 7, 2012; Accepted July 18, 2012; Published August 20, 2012
Copyright: © 2012 Rangam et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
Funding: SKPM was supported by Fondazione Istituto FIRC di Oncologia Molecolare (FOM-FIRC), Milan, Italy and the London Research Institute / Cancer Research UK (LRI/CRUK) core funding. Materials and services CR received by post-doctoral fellowship from Cancer Research United Kingdom and FOM-FIRC core funding (salary). KMS was supported by Marie-Curie post-doc fellowship #274627 (materials and salary). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.
Competing Interests: The authors have declared that no competing interests exist.
* E-mail: email@example.com
Introduction
Demethylation of 5-methylcytosine (5 mC) in DNA is an integral part in the maintenance of an intact epigenome and driving regulated processes like embryonic development. Due to chemical constraints DNA demethylation can only be facilitated by conversion, possibly via deaminases and oxygenases, and/or removal of the 5 mC nucleotide. Activation induced deaminase (AID) deaminates cytosine (C) or 5 mC to uracil (U) or thymine (T) [1]. Genetic ablation of AID in mice lead to a partial loss of global DNA demethylation [2], while AID seems also to be important for resolving DNA demethylation marks during competency formation [3] and for zebrafish development [4]. The TET protein family converts 5 mC into 5-hydroxymethylcytosine (5 hmC) [5], and although data indicate this modification can be processed further [6,7], it is not known how the TET induced modifications lead to dC reformation. Without biochemical evidence, it was hypothesised that 5 hmC could be deaminated by AID, and in conjunction with DNA repair lead to dC formation [8,9].
In this study we determined the precise substrate requirements for AID, by utilising our ssDNA oligonucleotide deamination assay [1] incorporating cytosine modifications (hydrogen, fluoro, CH₃, or CH₂OH at C5 position of dC). Our data show that while AID can deaminate unmodified cytosines or cytosine with a fluoro or a methyl group at their C5 position, 5-hydroxymethylated cytosine could not be processed by AID. Substrates with electron cloud size at C5 position of cytosine exceeding that of a methyl group are not a substrate for AID. We conclude that AID is not involved in 5 hmC conversion.
Materials and Methods
Recombinant AID (HIS-tagged) was produced in *E. coli* and purified by affinity column (Ni-NTA agarose, Qiagen) as previously described [10]. The oligodeoxynucleotide substrates were purchased from Purrnex, Germany and Alta-Bioscience, UK, and are described in Table 1. The ssDNA oligonucleotide deamination assay (ODA) and AID active-site titration was based on our previous protocols [1,10,11]. Oligos containing two cytosines in the sequence of two AGCs [preferred sequence target for AID], one 5’-AGC unmodified C – serving as a control for AID activity – and one 3’-AGC containing modified cytosine (overview of the cytosine modifications in Figure 1B), were synthesised. For each reaction, 2.5 pmol of the 5’-biotin-tagged and 3’-fluorescein-tagged oligo was mixed with 1 ng of RNaseA in reaction buffer R (50 mM NaCl, 3 mM MgCl₂, 40 mM KCl, 40 mM Tris HCl pH 8.0, 1 mM DTT, 10 % glycerol) in a total volume of 10 µL, denatured for 3 min at 90°C followed by immediate quenching in ice-water. Oligos were incubated with the indicated amounts of recombinant AID and for the indicated time. Percent activity of AID was determined as previously described [11,12]. Reactions were stopped by addition of 100 µL water and denaturation for 3 min at 90°C. To recover the oligos, 8 µL of streptavidin magnetic beads (Dynal M270, Invitrogen), washed twice in TEN-M (50 mM Tris HCl pH 7.5, 10 mM EDTA, 1 M NaCl) and resuspended in fresh 750 µL TEN-M were added and oligos were allowed to bind for 15 min. Beads were collected with a magnet and washed twice in TEN-M preheated to 70°C and finally in TE. An excess of complementing oligo RG16 (with a G opposite the target sites) was annealed to the modified oligo in 1x MtMg reaction buffer, followed by cleavage...
Figure 1. In vitro deamination of substrates with unmodified (5’ AGC) and C5 modified cytosines (3’ AGC) by AID. (A) MtMig recognizes only deaminated products of cytosine or cytosine derivatives (U, T, 5FU, 5 hmU) opposite a dG in a double stranded context. Absence of MtMig or cytosine-derivatives did not lead to product formation. (B) Name, vdWv of the C5, and structure of deoxynucleoside derivatives used in the assays are shown on the left of the gels. Oligos were incubated with 1.8 pmol AID for the indicated times and migration of substrate and products are indicated on the right of gels. Bases in brackets are those that have been deaminated by AID and removed by MtMig prior to cleavage. Triangle indicates a nonspecific cleavage product excluded from quantitation. One representative of three independent experiments is shown.
E
\[ y = 0.1133x - 0.004 \]
\[ r^2 = 0.99 \]
\[ H = 7.24 \text{ Å}^3 \]
\[ CH_2OH = 33.25 \text{ Å}^3 \]
\[ F = 13.31 \text{ Å}^3 \]
\[ CH_3 = 24.46 \text{ Å}^3 \]
F
\[ y = 7.9181x - 0.305 \]
\[ r^2 = 0.98 \]
\[ H = 7.24 \text{ Å}^3 \]
\[ CH_2OH = 33.25 \text{ Å}^3 \]
\[ F = 13.31 \text{ Å}^3 \]
\[ CH_3 = 24.46 \text{ Å}^3 \]
(C) Quantitation of the 3' AGC deamination assays shown in B; 3' AG-C- (top); 3' AG-5FC - (middle); 3' AG-5 mC - (bottom). Although the scales are different on the y-axis, the kinetic profiles do not significantly deviate from one another. (D) Quantitation of the 5' AGC deamination of (B), indicating that the various modification at the 3' AGC do not alter the activity of AID towards the 5' AGC. (E) The average product formation in the linear phase (5 – 30 min) of the reaction from (C) was converted to pmol [P]/pmol [E]/min. The values were then plotted against the inverse of the vdWv from (B) for each derivative. The line of best fit and its $r^2$ value are shown. The position of the theoretical value of the CH$_2$OH side chain is indicated on the x-axis by an arrow. (F) The vdWv plotted against the average ratio of the 3' target to that of the 5' target for each time point. Analogous to (E), the line of best fit showed extremely high correlation ($r^2 = 0.98$) and intersected the x-axis (1/23.96) at a size that is smaller than that of 5 hmc (i.e. a larger value of the observed vdWv).
doi:10.1371/journal.pone.0043279.g001
at the site of the mismatch with MtMig (*Methanobacterium thermoautotrophicum* mismatch glycosylase; also known as thermostable TDG from Trevigen, USA catalog No 4070–500-EB) for 1 h at 47°C. Although classified as a TDG, MtMig belongs into another family of DNA glycosylases and is able to recognize various mismatches opposite a G. The additional step of NaOH mediated strand cleavage, although possibly enhancing the overall readout (manufactures details), was not included in this assay, as it would not alter the relative results of the experiments. Cleavage reactions were stopped by addition of 20 µl 0.4 % fushin in formamide and denaturation at 90°C for 3 min, followed by quenching on ice. Samples were resolved on 17.5 % TBE-urea gels at 200 V and visualised using a Typhoon scanner for fluorescence imaging (Filter: 526 SP (532 nm), Laser: Blue 480 nm).
The van der Waals volumes (vdWv) of the C5 modifications of cytosine were calculated as described [13]. As the oligos contained two AGCs, it was possible that some of the 5' AGC targeting was not observed due to a second 3' targeting on the same oligo. To this end we calculated the Poisson frequency of a second hit on the same oligo, and added this value to the observed % conversion at the 5' AGC.
**Results**
Understanding the kinetics of DNA deaminases provides an important aspect of how these proteins function and can be regulated [11]. In a biochemically controlled manner AID possessed activity towards 5 mC [1], initiating the epigenetics field into studying how DNA deaminases can influence DNA methylation marks. It is therefore vital that the current hypothesis on substrate choice for AID is tested by biochemical means rather than idle speculation. In order to test for AID's competence to deaminate C5-modified cytosines, we generated substrate oligos harbouring modifications that vary within their vdWv of C5-side chains (listed in Figure 1B).
**MtMig can Recognise Modified Deaminated Products**
Firstly, we had to prove that the ODA is suitable for using modified substrate oligos. Previously, we monitored AID activity on 5 mC by annealing a complementary oligo to the substrate post-AID incubation [1], followed by incubation with MtMig enzyme for quantitating the deamination. This DNA glycosylase, unlike human TDG or UDG, belongs to the helix-hairpin-helix family of glycosylases [14]. It has been proposed that MtMig recognises mismatches opposite G as strain energy in dsDNA [15]. To test if MtMig can recognise the modified deaminated bases, we synthesised oligos containing the various deaminated products: uracil (U), 5-fluoro-uracil (5FU), thymine (T), and 5-hydroxymethyl uracil (5 hmU). After annealing to the second strand oligo with a dG opposite the target base, we incubated the indicated dsDNA with the MtMig enzyme for 30 min at 47°C. As seen in Figure 1A, MtMig was able to efficiently recognize the mismatches, remove the bases, and cleave the backbone, thereby producing fragments that migrated faster through the gel. Neither the absence of MtMig nor un-deaminated modified base (C, 5FC, 5 mC, or 5hmC)
| Table 1. Oligonucleotides used. |
|---------------------------------|
| **Figure 1A** |
| SPM163 | 5'-BrATTAATTATTTAGCTAT TTA TTATTTATTTATTTATTT-FITC3' |
| SPM164 | 5'-BrATTAATTATTTAGUTAT TTA TTATTTATTTATTTATTT-FITC3' |
| HC1178 | 5'-BrATTAATTATTTAGC5hmAT TTA TTATTTATTTATTTATTT-FITC3' |
| DM1854 | 5'-BrATTAATTATTTAGTAT TTA TTATTTATTTATTTATTT-FITC3' |
| RG50 | 5'-BrATTAATTATTTAGC5'AT TTA TTATTTATTTATTTATTT-FITC3' |
| RG52 | 5'-BrATTAATTATTTAGU5'AT TTA TTATTTATTTATTTATTT-FITC3' |
| RG51 | 5'-BrATTAATTATTTAGC5hmAT TTA TTATTTATTTATTTATTT-FITC3' |
| RG53 | 5'-BrATTAATTATTTAGU5hmAT TTA TTATTTATTTATTTATTT-FITC3' |
| spm166 comp | 5'-AAATAAATAAATAAATAAATAAATAAGCTAATAAATAATAT-3' |
| **Figure 1B–F and Fig. 2** |
|---------------------------------|
| RG17 | 5'-BrGTATTTGTATTTGTAGCTAGTGCTATTTGTATTTGTATTT-FITC3' |
| RG22 | 5'-BrGTATTTGTATTTGTAGCTAGTGCTAG5hmTATTTGTATTTGTATTT-FITC3' |
| RG23 | 5'-BrGTATTTGTATTTGTAGCTAGTGCTAG5'ATTTGTATTTGTATTT-FITC3' |
| RG33 | 5'-BrGTATTTGTATTTGTAGCTAGTGCTAG5hmTATTTGTATTTGTATTT-FITC3' |
| RG16 comp | 5'-ATAACAATAAACAAATAGCTACTAGCTAACAATAACAATAAC-3' |
doi:10.1371/journal.pone.0043279.t001
Figure 2. Excess enzyme does not lead to 5 hmC deamination. (A) The ssDNA oligonucleotide deamination assay was performed for 15 min at 37°C with increasing amounts of enzyme (0–11.5 pmol AID) and analysed as in Figure 1. Labels are as in Figure 1. Triangle indicates a nonspecific cleavage product excluded from quantitation. Each substrate oligo was tested at least 3 times, representative gels are shown. (B) The gels were quantitated, and analysed as in Figure 1 F, with the resulting average 3' target to 3' target ratio plotted against the inverse vdW.
doi:10.1371/journal.pone.0043279.g002
resulted in a product. These data indicated that MtMig is capable of recognising AID deaminations of modified cytosine bases.
**AID Deamination of Modified Bases Over Time**
To establish kinetic parameters for the AID deamination, we determined the amount of active AID (12–15 %) within our preparations [11], allowing us to precisely control the number of molecules of active AID within each reaction. Furthermore, using various substrate and enzyme concentrations we were unable to establish Michaelis-Menten (MM) like kinetics for AID activity (data not shown). Although we hope that future work will allow us to determine which parameter of the reaction kinetics caused non-MM kinetics, we decided to pursue rate determination without calculating $K_m$, $K_d$, or $V_{max}$ – as this could be misleading.
A time dependent ODA was performed with a near excess of substrate (2.5 pmol oligo and 1.84 pmol AID), demonstrating that recombinant AID was able to deaminate C, 5FC, and 5 mC (Figure 1B). However, 5 hmC could not be converted, even after prolonged incubations. The substrate conversion per enzyme over time was determined from the linear phase (early time points – Figure 1C) of the reactions (nmol product/ pmol enzyme/ min). This activity was plotted against the inverse of vdWv for each modified substrate (Figure 1E), this type of graphical conversion allowed for the determination of the theoretical maximum volume (X intercept) AID can accommodate. A line of best fit was applied to the data, which showed a very strong correlation ($r^2 = 0.99$). The X intercept was calculated and converted to vdWv, giving a theoretical maximum of 27.28 (± 1.05) Å$^3$. This volume is below that of 5 hmC (33.25), indicating that AID is unlikely to act on 5 hmC, even theoretically. Aside from determining the activity on the 3’-target, the conversion for the 5’-target (unmodified C) was also measured (Figure 1D). There was no significant difference in deamination, demonstrating that the presence of the various cytosine modifications did not alter the overall kinetics of AID, i.e. there was no indirect effect on AID activity. Since the 3’ target did not influence the 5’ target we could use the ratio between the two sites as a measure of AID efficiency. This ratio was plotted against the inverse of the vdWv (Figure 1F), and this approach also demonstrated that the theoretical maximum of C5 (26.14 (±0.20) Å$^3$) is below that of 5 hmC.
**Excess AID Enzyme does not Deaminate 5hmC**
To determine if the lack of 5hmC deamination was due to working with near substrate excess, we also performed AID deaminations with the oligo basis containing excess of enzyme. As shown in Figure 2, increasing AID concentration lead to a linear increase in deamination on C, 5FC, and 5 mC substrates (Figure 2A). As with the time dependence, we did not observe any deamination on 5 hmC. Furthermore, neither overexposure of the same gel, nor incubation with 100 pmol of AID (60 fold more than in Figure 2) for 2 h showed any 5 hmU product formation (data not shown). The gels from Figure 2A were quantitated, and the ratio between the 3’ and 5’ target calculated and plotted against the inverse of the vdWv (Figure 2B). X intercept calculations showed a theoretical maximum of 25.39 Å$^3$. As in the time dependent experiment, this volume is smaller than the volume of the 5 hmC side chain, indicating that 5 hmC is unlikely to be a substrate for AID.
**Discussion**
A recent study has suggested a cooperation of TET1 and AID in demethylating DNA duplexes [9] unfortunately a direct coupled activity was not demonstrated. However, further modifications of 5 hmC may be a pre-requisite step, since DNA glycosylases such as TDG, SMUG1, and MBD4 were shown to exhibit robust excision activity against 5 hmU-C in dsDNA, but no or very low 5 hmC glycosylase activity *in vitro* [6,8,16,17], and tissue extracts from *smug1* knockout mice lack nearly all hmU-DNA excision activity, suggesting it to be the dominant glycosylase for hmU [17].
Here, using modified C5 carbons of dC (hydrogen, fluoro, CH$_3$, or CH$_2$OH) we demonstrated a correlation between the inverse size of the C5 side chain vdWv and AID activity, which excluded 5 hmC as a substrate. We cannot fully disregard the shape (as CH$_2$OH is more ellipsoid) or electron density at C5 as a possible factor influencing AID activity, but size seems to be the major determinant. This implies that AID is unlikely to be active in the TET dependent 5 mC modification pathway. Importantly, work by Kiefer and colleagues [18] also demonstrated that modifications of the C5 side-chain inhibited AID activity and AID was unable to deaminate 5 hmC, supporting our finding. It cannot be fully disregarded that modifications of AID could lead to acceptance of 5 hmC as a substrate, nor that some yet to be identified activity of other DNA deaminases can lead to 5 hmC deamination. These results also have to be placed into an evolutionary context, where AID is the ancestral protein of APOBEC3 and appears prior to the TET family of proteins.
It is therefore more likely that subsequent modifications of 5 hmC (e.g. 5fC and 5caC) will be important in the TET pathway [6,7]. 5fC and 5caC have been shown to be excised by the above-mentioned TDG [19]. This novel function of TDG may explain its developmental requirement, as TDG knock-out mice are embryonically lethal [20], while UNG [21], SMUG1 [17], and MBD4 [22] deficient mice thrive.
This work is the first to indicate, that there are at least two separate molecular mechanisms that have evolved in counteracting DNA methylation. One of which will go through a base modification that is irreversible and requires removal (AID), while the other will use a modification (TET), which simply ‘hides’ the methyl group from recognition. The later can be processed further to become a substrate for replacement, or it could be reversed back to 5 mC. Because AID induces base lesions that lead to extensive DNA demethylation [2], it will be important to determine to what extent DNA damage and other DNA instabilities will induce local or global DNA demethylation.
**Acknowledgments**
Loris Moretti at the Drug Discovery Unit, IEO, Milan for his chemical calculations support. Rahul Kohli and colleagues for sharing unpublished data with us.
**Author Contributions**
Conceived and designed the experiments: SKPM GR AJAC. Performed the experiments: GR. Analyzed the data: SKPM GR AJAC KMS. Contributed reagents/materials/analysis tools: SKPM AJAC. Wrote the paper: KMS SKPM GR.
**References**
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AalWiNes: A Fast and Quantitative What-If Analysis Tool for MPLS Networks
Peter Gjøl Jensen
Aalborg University
Denmark
Dan Kristiansen
Aalborg University
Denmark
Stefan Schmid
Faculty of Computer Science
University of Vienna
Austria
Morten Konggaard Schou
Aalborg University
Denmark
Bernhard Clemens Schrenk
Faculty of Computer Science
University of Vienna
Austria
Jiří Srba
Aalborg University
Denmark
ABSTRACT
We present an automated what-if analysis tool AalWiNes for MPLS networks which allows us to verify both logical properties (e.g., related to the policy compliance) as well as quantitative properties (e.g., concerning the latency) under multiple link failures. Our tool relies on weighted pushdown automata, a quantitative extension of classic automata theory, and takes into account the actual dataplane configuration, rendering it especially useful for debugging. In particular, our tool collects the different router forwarding tables and then builds a pushdown system, on which quantitative reachability is performed based on an expressive query language. Our experiments show that our tool outperforms state-of-the-art approaches (which until now have been restricted to logical properties) by several orders of magnitude; furthermore, our quantitative extension only entails a moderate overhead in terms of runtime. The tool comes with a platform-independent user interface and is publicly available as open-source, together with all other experimental artefacts.
CCS CONCEPTS
• Networks → Network reliability; Network algorithms.
KEYWORDS
Network Verification, Network Performance, Tools
ACM Reference Format:
Peter Gjøl Jensen, Dan Kristiansen, Stefan Schmid, Morten Konggaard Schou, Bernhard Clemens Schrenk, and Jiří Srba. 2020. AalWiNes: A Fast and Quantitative What-If Analysis Tool for MPLS Networks. In The 16th International Conference on emerging Networking EXperiments and Technologies (CoNEXT ’20), December 1–4, 2020, Barcelona, Spain. ACM, New York, NY, USA, 8 pages. https://doi.org/10.1145/3386367.3431308
INTRODUCTION
While communication networks are a critical infrastructure of our digital society, their correct configuration and operation is complex, requiring operators to become “masters of complexity” [21]. As many recent network outages were caused by human errors, e.g., [8, 13, 14], we currently witness major research efforts toward more automated and formal approaches to operate and verify networks [5, 7, 15, 16, 24, 25, 29, 34, 39].
A particularly critical but challenging task for human operators is to reason about failures (in this paper referred to as what-if-analysis). In order to meet their stringent dependability requirements, most modern communication networks come with fast recovery mechanisms which revert traffic to alternative paths [11, 12, 28, 31]. While this is attractive, already a single link failure can lead to unintended network behaviors which are easily overlooked and may violate the network policy [8]. Especially multiple link failures, which are more likely to occur in large networks and can be caused e.g. due to shared risk link groups [6, 17, 30], may threaten network dependability.
It is often insufficient to only ensure the logical correctness (e.g., policy compliance) of the network behavior under failures. A dependable network also needs to satisfy quantitative properties. For example, traffic should be rerouted along short paths, e.g., regarding link latency (offering a low latency) or number of hops (reducing load), even under a certain number of link failures.
We are particularly interested in networks based on Multiprotocol Label Switching (MPLS) [2]. MPLS networks are widely deployed in the Internet today, especially in IP networks and for traffic engineering purposes. The study of MPLS networks is also interesting from a theoretical perspective, as the header size in these networks is not fixed; rather, additional labels may be pushed on the header while rerouting packets around failed links, creating “tunnels”. This makes the employment of formal methods particularly challenging as we must deal with a possibly unbounded set of packet headers.
Our Contributions. We present a what-if analysis tool for MPLS networks, AalWiNes\(^1\), which supports a fully automated and fast verification of the network behavior under failures. In particular, AalWiNes relies on an expressive query language and allows us to test both logical properties (such as the policy compliance) as
\(^1\)AALborg WiN Network verification Suit
well as quantitative properties (such as the latency, number of hops, required label stack size resp. tunneling depth, or number of failed links), and in polynomial-time using an over- and under-approximation technique for an arbitrary number of link failures (and with a low number of inconclusive answers). AALWiNES operates directly on the dataplane forwarding tables, allowing to debug issues not visible in the control plane.
At the heart of AALWiNES lies a weighted pushdown automaton, a quantitative generalization of classical automata: based on the router forwarding tables and a query (the input to the tool), we build a weighted pushdown system and then perform a quantitative reachability analysis. To improve performance, AALWiNES uses novel algorithms tailored to this use case.
We offer an optimized C++ implementation of AALWiNES and report on its platform-independent user interface. Considering a case study in cooperation with NORDUnet, a major network operator, we show that our tool outperforms state-of-the-art approaches (only applicable to verification of logical properties) by several orders of magnitude in terms of runtime. We also demonstrate that our quantitative extension only entails a reasonable overhead. As a contribution to the research community and in order to ensure reproducibility, we released our tool as open source and we also shared all our experimental artefacts [23].
**Related work and novelty.** The problem of how to render networks more automated and formally verifiable has recently received much interest, both for specific networks and protocols, such as BGP [38], OpenFlow [5, 25], or MPLS [34] networks, as well as for networks which are protocol agnostic [24]. The different systems rely on different approaches, including e.g., algebraic approaches [5], static verification based on geometric approaches [24], or automata-theoretic approaches [22]. We specifically consider MPLS networks and use an automata-theoretic approach. Whereas some recent work focus on verification of the control plane configurations [4, 7, 18–20, 32], we directly verify the router forwarding tables, which allows us to also catch errors in the data plane [36].
We focus on polynomial-time verification via a suitable over-and under-approximation, even under failures: many existing approaches in the literature do not consider failure scenarios explicitly (and still exhibit a super-polynomial runtime, e.g., due to SAT solving [29]), and/or have to solve NP-hard problems when modelling failures scenarios, e.g. SMT solving [7]. Furthermore, most existing approaches target different network types [4, 7, 19, 20, 32] and do not support arbitrary header sizes, which however arise in the context of MPLS networks: by representing MPLS networks symbolically as pushdown automata, we hence achieve an exponential speedup compared to the direct encoding of all possible sequences of header symbols.
To the best of our knowledge, our tool is the first to consider what-if analysis of quantitative aspects as well, and we are not aware of any applications of weighted automata theoretical results in this context. The few weighted solutions that exist do not consider failure scenarios and have an exponential runtime [27]. The paper closest to ours is P-Rex [22], a polynomial-time approach to verify logical properties of MPLS networks, also accounting for possible failures by using approximative analysis. As we demonstrate in our evaluation, our tool not only adds the novel quantitative dimension, but also outperforms P-Rex by several orders of magnitude. We further contribute an interactive user interface and make a leap forward regarding applicability for network operators.
Finally, we note that what-if analyses tools have been developed also various other networking contexts, such as in CDNs, to predict the effects of possible configuration and deployment changes [37].
## 2 MPLS NETWORK MODEL
This section introduces our MPLS model and query language.
### 2.1 Network definition
An MPLS network consists of a topology and forwarding rules.
**Definition 1.** A *network topology* is a directed multigraph \((V, E, s, t)\) where \(V\) is a set of *routers*, \(E\) is a set of *links* between routers, \(s : E \to V\) assigns the *source router* to each link, and \(t : E \to V\) assigns the *target router*.
We assume that links in the network can fail. This is modelled by a set \(F \subseteq E\) of *failed links*. A link is *active* if it belongs to \(E \setminus F\). We assume asymmetric link failures that can be caused e.g., by congestion in one direction, resulting in packet drops that can also appear as a link failure.
Let \(L\) be a nonempty set of MPLS labels used in packet headers. We define the set of MPLS operations on packet headers as \(Op = \{\text{swap}(\ell) \mid \ell \in L\} \cup \{\text{push}(\ell) \mid \ell \in L\} \cup \{\text{pop}\}\). Given an alphabet \(A\), let \(A^*\) denote the set of all finite words over the elements of \(A\), including the empty word \(\epsilon\).
**Definition 2.** An *MPLS network* is a tuple \(N = (V, E, s, t, L, \tau)\) where \((V, E, s, t)\) is a network topology, \(L = L_M \uplus L_{M'} \uplus L_IP\) is a finite set of labels partitioned into (1) the MPLS label set \(L_M\), (2) the set of MPLS labels with the bottom of the stack bit (S) set to true \(L_{M'}\), (3) a set of IP addresses \(L_IP\), and \(\tau : E \times L \to (2^{E \times Op}^*)^*\) is the routing table.
The routing table, for every link \(e \in E\) and a top (left-most) packet label \(\ell\), returns a sequence of traffic engineering groups \(\tau(e, \ell) = O_1O_2\ldots O_k\) where each traffic engineering group is a set of the form \(\{(e_1, \omega_1), \ldots, (e_m, \omega_m)\}\) where \(e_j\) is the outgoing link such that \(t(e) = s(e_j)\) and \(\omega_j \in Op^*\) is a sequence of operations to be performed on the packet header. In a given traffic engineering group, the router can nondeterministically (e.g. pseudorandomly) select any active link and forward the packet via that link while applying the corresponding sequence of MPLS operations. This allows us to abstract away from various routing policies that facilitate e.g. splitting of a flow along multiple shortest paths. The group \(O_i\) has a higher priority than \(O_{i+1}\) and during the forwarding, and the router always selects the traffic engineering group with the highest priority and at least one active link.
### 2.2 Valid MPLS headers
The MPLS labels can be nested only in a specific way. For a given network \(N = (V, E, s, t, L, \tau)\), we define the set of valid headers \(H \subseteq L^*\) by \(H = L_IP \cup \{\alpha\ell_1\ell_0 \mid \alpha \in L_M', \ell_1 \in L_M', \ell_0 \in L_IP\}\). Hence the on top of the IP label there can be one label with the
Let $L_M = \{30, 31\}$, $L_{M}^{-1} = \{s20, s21\}$ and $L_{IP} = \{ip_1\}$. We use here and in what follows the convention that all labels that are on the bottom of the MPLS label stack (have the bottom of stack bit $S$ set to true) are prefixed with small $s$. Then $\mathcal{H}(30 \circ s20 \circ ip_1, \text{pop} \circ \text{swap}(s21) \circ \text{push}(31)) = 31 \circ s21 \circ ip_1$.
### 2.3 Example network
An example of a simple network topology is given in Figure 1a together with the forwarding table described in Figure 1b. The example defines two label switching paths for IP-packet routing from $v_0$ to $v_3$, either via the links $e_1$ and $e_4$, or the links $e_2$ and $e_3$. The respective path can be selected nondeterministically. Moreover, packets arriving via the link $e_0$ with the service label $s40$ (agreement with the neighboring network operator) are routed via the links $e_1, e_5, e_6$ and leave the network on the link $e_7$.
Every forwarding rule for the router $v$ is represented by a line in the table and depending on the incoming link $e_{in}$ (where $t(e_{in}) = v$) and the top of the stack label, it determines the outgoing link $e_{out}$ (where $s(e_{out}) = v$) and a sequence of stack operations that replace the top label. Each such rule has a priority that is depicted by the priority column in the middle of the table. In our example, it is only the router $v_2$ that has more than one priority group associated to its forwarding table in order to protect the link $e_4$. If a packet arrives via the link $e_1$ with label $s20$ on top of the stack then it is primarily forwarded via the link $e_4$ while the label is swapped with $s21$. Only if the link $e_4$ fails, a backup rule with priority 2 is used so that it forwards the traffic via the link $e_5$, first swapping the top label with $s21$ and then pushing a new label 30 on top of the label stack. The router $v_4$ then pops the label and the packet arrives to $v_3$ with the same label as if the link $e_4$ did not fail.
### 2.4 Network traces
We now define valid traces in an MPLS network $N = (V, E, s, t, L, \tau)$ under the assumption that the links in the set $F \subseteq E$ failed. For a traffic engineering group $O = \{(e_1, \omega_1), (e_2, \omega_2), \ldots, (e_m, \omega_m)\}$ we let $E(O) = \{e_1, e_2, \ldots, e_m\}$ denote the set of all links in the group. The group $O$ is active if it contains at least one active link, i.e. $E(O) \setminus F \neq \emptyset$. Further, we define $\mathcal{A}(O_1 O_2 \ldots O_n) = \{(e, \omega) \in O_j \mid e \text{ is an active link}\}$ where $j$ is the lowest index such that $O_j$ is an active traffic engineering group, and we let $\mathcal{A}(O_1 O_2 \ldots O_n) = \emptyset$ if no such $j$ exists. The set $\mathcal{A}(\tau(e, \ell))$ so contains all the currently available output links and the corresponding label-stack operations to be performed on a packet arriving on the link $e$ with the top-most label $\ell$. A trace in a network is a routing of a packet in the network and consists of a sequence of active links together with the corresponding label-stack headers.
**Definition 4.** A trace in a network $N = (V, E, s, t, L, \tau)$ with a set of failed links $F \subseteq E$ is any finite sequence
$$
(e_1, h_1)(e_2, h_2) \ldots (e_n, h_n) \in ((E \setminus F) \times H)^*
$$
of link-header pairs where $h_{i+1} = \mathcal{H}(h_i, \omega)$ for some $(e_{i+1}, \omega) \in \mathcal{A}(\tau(e_i, \text{head}(h_i)))$ for all $i$, $1 \leq i < n$, where $\text{head}(h_i)$ is the top (left-most) label of $h_i$.
Examples of network traces for our running example are provided in Figure 1c. The traces $\sigma_0$ and $\sigma_1$ describe two possible traces for routing a packet arriving to $v_0$ with the destination IP...
\( ip_1 \), under the assumption that \( F = \emptyset \). The trace \( \sigma_2 \) shows a failover protection of the link between \( v_2 \) and \( v_3 \) in case that \( F = \{ e_4 \} \). Finally, the trace \( \sigma_4 \) encodes a label switching path for packets arriving to \( v_0 \) with the service label \( s40 \) and it is a valid trace for example for the set of failed links \( F = \{ e_2, e_3 \} \).
### 2.5 Query language
We present a powerful query language that allows us to specify regular trace properties, both regarding the initial and final label-stacks as well as the link sequence in the trace.
**Definition 5.** A reachability *query* for an MPLS network \( N = (V, E, s, t, L, \tau) \) is of the form \( \langle a \rangle b \langle c \rangle k \) where \( a \) and \( c \) are regular expressions over the set of labels \( L \), \( b \) is a regular expression over the set of links \( E \), and \( k \geq 0 \) specifies the maximum number of failed links to be considered.
We assume here a standard syntax for regular expressions and by \( Lang(a) \), \( Lang(b) \) and \( Lang(c) \) we understand the regular language defined by the expressions \( a \), \( b \) and \( c \), respectively. For specifying labels in the regular expressions \( a \) and \( c \) we use the abbreviations:
- **ip** = \([ip_0, \ldots, ip_n]\) where \( L_{IP} = \{ ip_0, \ldots, ip_n \} \),
- **mpls** = \([l_0, \ldots, l_n]\) where \( L_M = \{ \ell_0, \ldots, \ell_n \} \), and
- **smpls** = \([l^+_0, \ldots, l^+_n]\) where \( L^+_M = \{ \ell^+_0, \ldots, \ell^+_n \} \).
We further use the following notation for specifying links in the network. If \( v \) and \( u \) are routers, then \([v\#u]\) matches any link \( e \) from \( v \) to \( u \) such that \( s(e) = v \) and \( t(e) = u \). If \( in_1 \) is an interface on router \( v \) that uniquely identifies the outgoing link \( e \), and \( in_2 \) identifies the incoming interface on router \( u \) for the link \( e \), then \([v.in_1\#u.in_2]\) matches exactly the link \( e \). The dot-syntax is used to denote any link in the network and it is extended to match also any router so that \([v\#] = \bigcup_{u \in V}[v\#u]\) and \([#\#u] = \bigcup_{v \in V}[v\#u]\).
**Problem 1 (Query Satisfiability Problem).** Given an MPLS network \( N \) and a query \( \varphi = \langle a \rangle b \langle c \rangle k \), decide if there exists a trace \( \sigma = (e_1, h_1) \ldots (e_n, h_n) \) in the network \( N \) for some set of failed links \( F \) such that \( |F| \leq k \) where \( h_1 \in Lang(a) \), \( e_1 \ldots e_n \in Lang(b) \), and \( h_n \in Lang(c) \). If this is the case, the query \( \varphi \) is *satisfied* and we call \( \sigma \) a *witness trace*.
Examples of queries are provided in Figure 1d. The query \( \varphi_0 \) asks about the existence of a trace that starts and ends with the label-stack containing only the IP header, such that the first link is incoming to the router \( v_0 \), followed by zero or more hops via unspecified links, and ending with link that leaves the router \( v_3 \), all under the assumption of no link failures. The traces \( \sigma_0 \) and \( \sigma_1 \) satisfy the query, however, even though the trace \( \sigma_2 \) has the required form as well, it does not satisfy \( \varphi_0 \) as it requires that the link \( e_4 \) fails. The next query \( \varphi_1 \) expresses a similar property as \( \varphi_0 \) with the exception that we allow for up to 2 link failures and the inner path may not contain any link between \( v_2 \) and \( v_3 \) (the symbol \( ^c \) stands for complement of regular expressions). The traces \( \sigma_1 \) and \( \sigma_2 \) satisfy this query. The query \( \varphi_2 \) asks about a possible routing path between \( v_0 \) and \( v_3 \) where the header of the initial packet contains the label \( s40 \) on top of an IP header and leaves the network with an arbitrary MPLS label (where the bottom of the stack bit is set to true) on top of the IP header. Indeed, the trace \( \sigma_3 \) has this property and it is a valid trace even in case of no link failures. The next query \( \varphi_3 \) checks the transparency of the routing from \( v_0 \) to \( v_3 \) by asking whether a packet with the service label \( s40 \) can leave our network with at least one additional MPLS label on top of the service label. Should this be the case then our network leaks internal MPLS labels to the neighboring networks, which is not desirable. Even in case of one link failure, the query is not satisfied. Finally, the query \( \varphi_4 \) asks whether in case of one link failure there is an IP routing, with an optional MPLS label on the top of the IP label, with three or more hops between the incoming and outgoing links, and this is indeed the case as documented by the witness traces \( \sigma_2 \) and \( \sigma_3 \). In case of no link failures, the query is satisfied only by the trace \( \sigma_3 \).
### 3 QUANTITATIVE EXTENSION
After describing our network model and the query language used in our tool, we now present a novel extension of the framework which allows us to account for quantitative aspects, like latency, number of hops, tunnels (label stack size), number of failures, and linear combinations of these measures.
For a given network query, there can be several network traces that satisfy the query and for some queries there exist even infinitely many witness traces. From the user perspective, it is hence essential that when debugging the reasons why a certain query holds, we can impose quantitative constrains on the traces and specify what kind of witness traces we wish to visualize. For traffic engineering purposes we may want to find a trace that has the lowest latency or the smallest number of hops. We may be interested in finding a trace that minimizes tunneling depth or the number of failed links required to execute a given trace, or we may wish to find a trace that balances several such measures simultaneously.
We shall start by defining atomic quantitative properties of network traces. Let \( N = (V, E, s, t, L, \tau) \) be an MPLS network and let \( F \subseteq E \) be the set of failed links. An *atomic quantity* is a function \( p : ((E \setminus F) \times H)^* \rightarrow \mathbb{N}_0 \) that for a given trace \( \sigma \) evaluates to a non-negative integer \( p(\sigma) \) representing the quantitative measure of the trace. In our tool, we support the following atomic quantities of a network trace \( \sigma = (e_1, h_1) \ldots (e_n, h_n) \):
- **Links**(\( \sigma \)) = \( n \) is the length of the trace,
- **Hops**(\( \sigma \)) = \( |\{ e \in \{ e_1, \ldots, e_n \} \mid s(e) \neq t(e) \}| \) is the number of hops, where we avoid counting links that are self-loops,
- **Distance**(\( \sigma \)) = \( \sum_{i=1}^{n} d(e_i) \) is the distance for any distance function \( d : E \rightarrow \mathbb{N}_0 \), e.g., the geographical distance, latency or e.g. inverse bandwidth capacity,
- **Failures**(\( \sigma \)) = \( \sum_{i=1}^{n-1} |failed(i)| \) where \( failed(i) = \{ e \mid (e, \omega) \in O_k, \ 1 \leq k < j \}, \) where \( \tau(e_j, head(h_i)) = O_1O_2 \ldots O_m, \) and where \( j \), is the lowest index such that \( O_j \) is an active traffic engineering group, and
- **Tunnels**(\( \sigma \)) = \( \sum_{i=1}^{n-1} \max(0, |h_{i+1}| - |h_i|) \) is the number of pushes of new MPLS labels on the existing label-stack.
The atomic quantity **Failures**(\( \sigma \)) measures the minimal number of failed links which are necessary at each router in order to enable the feasibility of the trace \( \sigma \). The function **Tunnels**(\( \sigma \)) measures the positive increase in the label-stack height during the trace \( \sigma \) that corresponds to the number of tunnels created during the trace.
Consider again the traces for our running example from Figure 1c. We have **Hops**(\( \sigma_0 \)) = **Links**(\( \sigma_0 \)) = 4 and **Hops**(\( \sigma_3 \)) = **Links**(\( \sigma_3 \)) =
5. We also observe that $Failures(\sigma_2) = 1$ while $Failures(\sigma_3) = 0$. Finally, we can see that e.g. $Tunnels(\sigma_1) = 1$, $Tunnels(\sigma_2) = 2$ and $Tunnels(\sigma_3) = 0$.
We can now combine the atomic quantities in order to define composed criteria for trace weight specification, by constructing linear expressions of the form
$$expr ::= p \mid a * expr \mid expr_1 + expr_2$$
where $p$ is an atomic quantity and $a \in \mathbb{N}$. A vector of linear expressions $(expr_1, expr_2, \ldots, expr_n)$ allows us to specify trace properties by priorities, so that $expr_1$ has a higher priority than $expr_2$ etc. For a trace $\sigma$, there is a natural evaluation of linear expressions to nonnegative integers and for a vector of linear expressions, we assume the lexicographical ordering $\sqsubseteq$ on vectors of nonnegative integers, by abuse of notation extended to traces.
**Problem 2 (Minimum Witness Problem).** For a network, a query that is satisfied in the network and a vector of linear expressions $(expr_1, expr_2, \ldots, expr_n)$, we want to find a witness trace $\sigma$ such that $\sigma \sqsubseteq \sigma'$ for any other witness trace $\sigma'$.
Consider the query $\varphi_4$ in our running example from Figure 1 where we want to find witness traces that will minimize the vector $(Hops, Failures + 3 \cdot Tunnels)$. The query has two witness traces $\sigma_2$ and $\sigma_3$ and when we evaluate them on the minimization vector, we get the pair $(5, 1+3:2) = (5, 7)$ for $\sigma_2$ and $(5, 0+3:0) = (5, 0)$ for $\sigma_3$. As lexicographically $(5, 0) \sqsubseteq (5, 7)$, the answer to the minimum witness problem is the trace $\sigma_3$. In general, there can be several minimum witness traces, and we may return any of those, or add another minimization criterion to the vector of linear expressions.
### 4 TOOL IMPLEMENTATION
We now give an overview of the tool architecture, its theoretical foundation and integration with the dataplane configuration. The front end of our tool provides a web-browser based visualization. The graphical interface allows us to load a number of predefined networks from the Internet Topology Zoo [1], the operator’s network used in the experiments as well as the running example used in this tool paper. In the interface we can specify the query, including an online help for router names with interfaces as well as the sets of labels tested at each router. In options, we can set different parameters for the tool and graphically create the vector of linear expressions for the minimum trace specification. If a witness trace is discovered, the GUI visualizes the trace including the operations performed at each router. A screenshot in Figure 2 shows how to specify the minimization vector $(Hops, Failures + 3 \cdot Tunnels)$ and the corresponding witness trace. The GUI is written in JavaScript and the source code is available under the GPL3 license. The backend verification engine is running on a web server at https://demo.aalwines.cs.aau.dk/ and there is also a packaged version of the tool that can be run locally without the use of a web server (and allows to input additional MPLS networks created by the user).
#### 4.1 Verification methodology
Our tool is based on automata-theoretic approach that leverages a translation from the query satisfiability (in an MPLS network) to a reachability analysis of a pushdown automaton (with potentially infinitely many reachable configurations). As reachability in pushdown automata is decidable in polynomial time [9, 10], this approach has the potential of scaling to large networks.
The connection between MPLS networks and pushdown automata was first noticed in [22, 34] where the authors provide a command-line prototype implementation in Python with encouraging experiments showing the feasibility of the approach. They use a state-of-the-art pushdown model checker Moped [3, 35] for reachability checking on pushdown automata and show that they can verify complex network queries on network topologies with 20–30 routers in a matter of hours. However, the work in [22] is a purely qualitative approach and does not provide any support for quantitative analysis. In order to deal with quantitative aspects, we extend the approach from [22] and suggest a novel translation from the query satisfiability problem with minimization criteria for witness traces, into the framework of weighted pushdown automata [26]. The theoretical foundations for the verification of weighted pushdown automata have been developed in the area of dataflow analysis [33] where polynomial-time algorithms are known even for the weighted extension. The basic observation behind this automata-theoretic approach to reachability analysis of weighted pushdown automata is that the set of all reachable configurations in a pushdown system forms a regular language that can be effectively represented by a nondeterministic finite automaton (of polynomial size) with transitions annotated by weights. The length of the shortest path to reach a pushdown configuration then corresponds to the shortest accepting path in the finite automaton under that configuration. As the Moped tool employed in [22] cannot handle weighted pushdown automata, we develop a new weighted pushdown automata C++ library AalWiNes (available at https://github.com/DEIS-Tools/AalWiNes) to replace Moped. Our experiments show a significant (several orders of magnitude) speedup due to the novel translation method with optimized reduction methods as well as due to our efficient implementation of the backend engine.
and the created pushdown system hence becomes significantly larger. We also note that [22] reports that the unweighted verification of similar queries on a network of comparable size took between 28 minutes (for the simpler queries) and up to 109 minutes (for the more complex ones). This shows an improvement of several orders of magnitude and makes it possible to perform MPLS verification interactively for human operators, in particular in combination with our GUI ([22] is a command-line tool).
Finally, the plot in Figure 4 shows a comparison (note the logarithmic scale) of the verification times (in seconds) between Moped, our Dual unweighted approach and our weighted engine with the quantity Failures (we also run the experiment for the other quantitative measures and the verification times did not differ significantly). The plot includes over 5602 experiments on different queries on the networks from the Internet Topology Zoo database, ordered by their verification times. As the input format of all three engines is the same, all experiments were run with the same set of network topologies and the same queries. Again, we outperform Moped by almost an order of magnitude by using our unweighted engine. An interesting phenomenon can be observed for our weighted engine that behaves similarly as Moped on the smaller instances; however, on the difficult instances it is able to verify 6 more cases than our unweighted implementation. This is due to the fact that the guided search for shortest traces, that minimize the number of failures, allows us to find witness traces that are otherwise not discovered by the unweighted search; this highlights the benefits of quantitative analysis. This is further confirmed by the percentage of inconclusive answers that corresponds to 0.57% (32 inconclusive answers out of 5568) for the Dual unweighted approach and only 0.04% (2 inconclusive answers out of 5574) for the weighted engine optimizing the number of failures. In vast majority of cases we can hence use our approximation approach that is guaranteed to run in polynomial time.
6 CONCLUSION
We presented an MPLS what-if analysis tool that not only provides an unprecedented performance in theory but also in practice, as demonstrated in our case study with a major network operator. We regard our contribution concerning the automated analysis of quantitative aspects as a first step, and believe that our paper opens interesting avenues for future research. We are currently improving the expressiveness of the query language.
Acknowledgements. We thank Henrik T. Jensen from NORDUnet for providing us with configuration data. The research is supported by DFF project QASNET and WWTF project ICT19-045.
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## A APPENDIX
By default, our tool accepts a generic and vendor agnostic XML input format for a network. The input is split into a *topology* definition and a *routing* definition and examples are given below.
### topo.xml
```xml
<network>
<routers>
<router name="R0">
<interfaces>
<interface name="ae1.11"/>
<interface name="ae5.0"/>
...
</interfaces>
</router>
...
</routers>
<links>
<sides>
<shared_interface interface="et-3/0/0.2"
router="R0"/>
<shared_interface interface="et-1/3/0.2"
router="R3"/>
</sides>
</links>
...
</network>
```
### route.xml
```xml
<routes>
<routings>
<routing for="R0">
<destinations>
<destination from="ae1.11" label="$300292">
<te-group>
<routes>
<route to="et-1/1/0.0">
<actions>
<action arg="$300050" type="swap"/>
<action arg="496505" type="push"/>
</actions>
</route>
</routes>
</te-group>
...
</destination>
...
</destinations>
</routings>
...
</routes>
</routing>
```
### A.1 IS-IS input
Our tool accepts topological description and routing tables exported directly from an IS-IS system; to do so we run the following commands on each router in the network:
```
show isis adjacency detail | display xml
show route forwarding-table family mpls extensive | \
display xml
show pfe next-hop | display xml
```
To correctly reconstruct the network configuration, an additional mapping file has to be constructed. Each line in the mapping file corresponds to a single logical routing entity and is given in the form `<aliases>:<adj.xml>:<route-ft.xml>:<pfe.xml>`. Edge routers can also be defined by omitting the xml-files. In the case of edge routers, the routing-table is assumed empty, and such routers will act as sink-nodes in the network. An example of such a mapping file is given below.
```
192.0.0.1,R1:R1-adj.xml:R1-route.xml:R1-pfe.xml
192.0.0.2,10.10.0.2,E1
...
```
A network given as an extract from an IS-IS system can be turned into the vendor agnostic format by calling directly our binary and providing the `--write-topology topo.xml` and `--write-routing route.xml` options.
### A.2 Location data
To correctly visualize the network in the GUI, an additional location mapping has to be provided giving latitude and longitude to each router. This information is also used for computing the physical distance between routers used in the minimum trace specification. An example is given below.
```
{
"R0": {
"lat": 46.5,
"lng": 7.3
},
...
}
``` |
| 識別番号・報告回数 | 報告日 | 第一報入手日 | 新医薬品等の区分 | 厚生労働省処理欄 |
|------------------|--------|-------------|-----------------|-----------------|
| 一般的名称 | - | 研究報告の公表状況 | http://www.emea.eu.int/pdfs/human/bwp/513603en.pdf | 公表国 米国 |
| 販売名（企業名） | - | | | |
研究報告の概要
変異型クロイツフェルト・ヤコブ病 (vCJD) の異常プリオンの感染性がヒト血漿中で存在したとしても血漿分画製剤の製造工程中で感染性が減少することが報告されている。製造業者は公表されているデータを参考に自社の製造工程における異常プリオンの除去効果を評価する必要があり、その試験を実施するための現時点でのガイドラインを示している。評価する具体的な製造工程として、低温エタノール分画、PEG処理、クロマトグラフィー処理、ろ過処理、ウイルス除去膜処理等をあげている。
| 報告企業の意見 | 今後の対応 |
|----------------|------------|
| 本ガイドラインで述べられているように、プリオン蛋白については、血漿分画製剤の製造工程で除去できるとの考え方がある。当社製造工程における除去効果についても検証すべく検討を行っている。 | 今後とも異常プリオンの除去に関する情報収集を行っていく。 |
234
COMMITTEE FOR MEDICINAL PRODUCTS FOR HUMAN USE (CHMP)
GUIDELINE ON THE INVESTIGATION OF MANUFACTURING PROCESSES FOR PLASMA-DERIVED MEDICINAL PRODUCTS WITH REGARD TO VCJD RISK
| DISCUSSION IN THE BWP | June–November 2003 |
|-----------------------|-------------------|
| TRANSMISSION TO CPMP | November 2003 |
| RELEASE FOR CONSULTATION | November 2003 |
| DEADLINE FOR COMMENTS | End March 2004 |
| EMEA EXPERT WORKSHOP | January 2004 |
| DISCUSSION IN THE BWP | July, September 2004 |
| TRANSMISSION TO CHMP | October 2004 |
| CHMP ADOPTION | October 2004 |
| DATE FOR COMING INTO OPERATION | October 2004 |
7 Westferry Circus, Canary Wharf, London, E14 4HB, UK
Tel: (44-20) 74 18 84 00 Fax: (44-20) 74 18 85 45
E-mail: email@example.com http://www.emea.eu.int
©EMEA 2004 Reproduction and/or distribution of this document is authorised for non commercial purposes only provided the EMEA is acknowledged.
# TABLE OF CONTENTS
1. INTRODUCTION ........................................................................................................... 3
2. SCOPE OF THE DOCUMENT: .................................................................................. 3
3. INVESTIGATIONAL TSE CLEARANCE STUDIES .................................................. 4
3.1 General principles ................................................................................................. 4
3.2 Scaling down process ............................................................................................ 5
3.3 Choice of spiking agent ......................................................................................... 5
3.4 Choice of assays .................................................................................................... 6
3.5 Choice of manufacturing steps .............................................................................. 7
3.6 Interpretation and limitations of data ..................................................................... 7
3.7 Re-evaluation of TSE clearance ............................................................................ 8
3.8 Sanitisation of equipment ...................................................................................... 8
4. SUMMARY / CONCLUSION ....................................................................................... 9
1. INTRODUCTION
Human transmissible spongiform encephalopathies (TSEs), including in particular variant Creutzfeldt-Jakob disease (vCJD), were addressed in expert meetings/workshops at the EMEA in January 1998, January 1999, December 1999, May 2000, December 2000, June 2002 and January 2004. A revised CHMP Position Statement on variant CJD and plasma-derived medicinal products was issued in June 2004.\(^1\)
In 1996, a variant form of CJD (vCJD) was identified. The official UK figures for vCJD at the beginning of August 2004 were a total of 147 definite or probable vCJD cases. (One case in Hong Kong was a UK case and is included in the UK figures.) Outside of the UK, there has been one case in Ireland, one in the USA, and one in Canada, who were probably infected while in the UK. However, none of the 7 cases in France and 1 case in Italy had spent time in the UK. The possibility of cases occurring in other countries cannot be excluded. All vCJD clinical cases, which have been genotyped so far, are homozygotes (Met-Met) at codon 129 of the prion protein (PrP) gene. However, evidence of infection has recently been reported in a patient without disease, who was a heterozygote (Met-Val) at codon 129.\(^2\)
There is strong evidence that vCJD is caused by the agent responsible for bovine spongiform encephalopathy (BSE) in cattle. The most likely hypothesis is that vCJD has occurred through exposure to BSE contaminated food.
Uncertainties still exist concerning the number of cases of vCJD that will occur. In contrast to sporadic CJD, the evidence of extensive lymphoreticular involvement has led to concerns about the possibility of transmission from pre-clinically infected individuals via blood or blood products.
Data from experimental rodent models of TSEs have shown infectivity of blood components.\(^3,4,5,6\) Infectivity has also been detected in buffy coat of a prosimian microbe experimentally infected with a macaque-adapted BSE strain.\(^7\) Intra-species transfusion experiments have also shown that experimental BSE or natural scrapie infection can be transmitted between sheep by blood transfusion.\(^8\) On the other hand, experiments to detect vCJD infectivity in human blood using wild-type mice,\(^9\) transgenic mice as well as primates have not shown any transmission yet but some of the studies are still ongoing.\(^10\) However, tracing of recipients of blood transfusion from UK donors has revealed two possible cases of secondary transmission after transfusion of red cells from donors who subsequently developed symptoms of vCJD.\(^2,11\) Epidemiological studies have so far been unable to identify a single case of CJD resulting from the administration of plasma-derived products (studies conducted in high risk recipient populations such as hemophiliacs).\(^10,12\) The epidemiological experience is too limited to reach conclusions on whether or not vCJD could be transmitted by plasma-derived medicinal products. As of February 2004, no case of vCJD has been identified with a history of exposure to plasma-derived products.\(^11\)
Plasma from donors from the UK is currently not fractionated as a precautionary measure because the UK had the highest exposure to BSE and has significantly more vCJD cases than any other country. Plasma from donors from France is currently fractionated as the risk benefit ratio is considered favourable. If other countries eventually report several cases of vCJD at some time in the future, a process previously shown to be able to reduce TSE infectivity will provide reassurance on the safety of past products, and could help to justify continuing fractionation.
2. SCOPE OF THE DOCUMENT:
Available data indicate that the manufacturing processes for plasma-derived medicinal products would reduce infectivity if it were present in human plasma. The 2004 Position Statement states\(^1\) “Manufacturers are now required to estimate the potential of their specific manufacturing processes to reduce infectivity using a step-wise approach.”
The aim of this document is to provide guidance on how to investigate manufacturing processes with regard to vCJD risk. At this time, experience in this area has not reached a point where definitive guidance can be given. Therefore, the guideline provides advice based on available experience and other approaches may be acceptable. It is very important to read this document in conjunction with the revised Position Statement cited above, especially section 9.2.3 Manufacturing processes for plasma-derived medicinal products. As indicated in the Position Statement, consultation with relevant
competent authorities is encouraged and CHMP and its Biotechnology Working Party (BWP) will be available to discuss issues that arise.
3. INVESTIGATIONAL TSE CLEARANCE STUDIES
3.1 General principles
The principles, which are outlined in Note for Guidance CPMP/BWP/268/95 for studies validating the inactivation and removal of viruses\textsuperscript{13}, should be extended to TSE agents as far as possible.
Material from production should be spiked with a volume of not more than 10% of an appropriate infectious preparation and TSE inactivation/removal should be studied in an exactly down-scaled laboratory model. The experiments should be strictly separated from production and performed in a manner that is well controlled and documented, and undertaken by appropriately qualified personnel. As with virus validation studies, the validity of the down-scaled model should be demonstrated by relevant process parameters and appropriate performance of down-scaled models.
Only those steps which are likely to contribute to inactivation/removal need to be investigated. TSE-agents are expected to be resistant to most physicochemical virus inactivation procedures which are usually applied in the manufacture of plasma-derived medicinal products. Therefore, investigation may focus on removal/partitioning steps such as cold ethanol fractionation, PEG-precipitation, chromatography, depth filtration or nanofiltration.
In a virus validation study, investigation of such removal steps would include the demonstration of partitioning of the agents to the side fractions, and parameters which influence the effectiveness of a process step to inactivate/remove agents would be explored (see Section 5.5 of Note for Guidance CPMP/BWP/268/95\textsuperscript{13}). Studies with TSEs are far more difficult and costly than for conventional agents and it may be acceptable to review the robustness of the process on a theoretical basis as part of the design of the investigational study or to use an appropriately validated \textit{in vitro} assay. It should be borne in mind that the removal may be sensitive to variations of manufacturing parameters. Therefore, in-process limits are important for the design of investigational studies for partitioning steps. The studies should include evaluation of partitioning of prions into side fractions using an \textit{in vitro} assay. Reduction factors <1 log are not significant.
The initial spiking titre may be high enough to allow a study of a combination of two (or more) steps. The design of such combined-step studies should allow determination of reduction factors from each single step and from the combined steps by analysing the corresponding intermediate samples. Such combined-step studies may be helpful to substantiate the additivity of low or moderate reduction factors. Moreover, studying combined steps may be helpful where a significant alteration of the physicochemical state of the TSE material, which would influence the removal at the following step, may be suspected (e.g treatment with detergent preceeding a filtration step). An investigation study that encompasses the entire process would be an ideal goal. However, as with viruses, the experimental limitation is that the initial spiking titre will be, in many cases, too low to follow more than one or two steps.
The main points to be considered are:
- scaling down process
- choice of spiking agent
- choice of assays
- choice of manufacturing steps
- interpretation and limitations of data
- re-evaluation of TSE clearance
- sanitisation of equipment
3.2 Scaling down process
The principles of scaling down the manufacturing process for experimental TSE studies are the same as those for virus validation studies. Manufacturers should provide data on the yield, quality and composition of the product(s) or intermediates made in the scaled down version of the process, and these should be comparable with those obtained in typical batches of the full-scale product(s).
3.3 Choice of spiking agent
Data from animals experimentally infected with TSE agents indicates that infectivity can be found in blood of which about half is found in the plasma and half in the buffy coat.\(^3\) The level of infectivity is low, at least 10,000 times less than found in brain so that brain tissue is the only practicable source of spiking material.\(^4\) While the highest possible titre should be used, the spike should not exceed 10% of the total volume to avoid distorting the nature of the fraction studied.
The main considerations are;
i) the strain of the inoculum and the species in which it was prepared;
ii) its physicochemical nature.
i) Species and strain
The factors governing the source of materials for use as the spike include supply, assay and likely similarity of the material to the infectivity which could be present in the plasma. The supply of unpassaged material from cases of vCJD is limited for ethical and other reasons. While normal mice may be used for the bioassay of vCJD, and there is at least one published example of the use of such human material in spiking studies\(^{14}\), the use of vCJD is not mandatory. In principle large amounts of bovine brain from animals infected with BSE may be available, although in practice material of a suitable quality is difficult to obtain. The assay of the material is again potentially difficult. This applies also to sheep infected with BSE, and most strongly to sheep infected with scrapie. Except for demonstration projects, for example to show that a process will not only remove model agents but the agent of vCJD, it therefore seems most reasonable to use rodent adapted laboratory strains of TSEs (e.g. scrapie, familial CJD, BSE or vCJD). As they differ in their pathology and strain characteristics, several strains have been investigated. The principles involved in their assay are well established. In studies published so far there has been no clearly demonstrable effect of species or strain on removal studies\(^{14}\) although strains may differ in their resistance to heat inactivation.\(^{15,16}\) For removal studies, there is no reason to make a choice based on the appropriateness of the strain, so a decision can be made on practical grounds. The rationale for the choice of strain should be given in all cases.
ii) Physicochemical form of spiking agent
Although TSE infectivity has been unambiguously detected in blood in animal experiments, to date the physicochemical nature of TSE agents in blood is unknown. It has been suggested that it might be more like the infectivity found in spleen than that in brain, on the assumption that it originates from a tissue other than brain. However it is not clear where infectivity in the blood originates in those model systems where it has been demonstrated. It is possible that it represents material released as the brain degenerates, in which case brain would be an appropriate spiking material. On the other hand brain tissues containing highly aggregated insoluble forms of PrP\(^{Sc}\) may or may not resemble the infectious prions in blood. It is important to consider carefully the various possible physical types of spiking agent.
Vey and co-workers\(^{17}\) have described studies with four types of agent, all derived from hamster brain homogenate.
(a) Crude brain homogenates.
Crude brain homogenates have been used most extensively in published studies of infectivity. They contain the highest concentration of infectivity. The homogeneity and reproducibility of such preparations could be important factors in the studies performed. If the particle size covers a wide range there may be a correspondingly wide range of removal by a physical technique such as filtration. The reproducibility of the preparation may also be an important factor in judging the reliability of the results obtained.
(b) Microsomal fraction.
Microsomal fractions are prepared by differential centrifugation of brain homogenates, leading to removal of large aggregates and represent membrane-bound infectivity. While the infectivity level is lower than crude homogenates it is still high and the preparation may be expected to be more uniform than crude brain homogenates.
(c) Caveolae-like domains (CLDs).
These have been prepared by sucrose-density ultracentrifugation of detergent-lysed brain homogenates. The infectivity level is lower than that of microsomes and they may simulate membrane domains shed from cells.
(d) Purified PrPSc.
Purified PrPSc has been prepared by repeated detergent extraction of brain homogenates followed by salt precipitation and ultracentrifugation. It represents forms not associated with cells or membranes. It is not clear whether such preparations resemble material which could occur naturally.
Results of precipitation studies indicated that the three membrane-bound spikes (homogenates, microsomes, CLDs) behave similarly, thus any of these three types may be suitable spiking agents for such investigations. Because the largest aggregates are removed, and the material may be more consistently prepared whilst maintaining high levels of activity, a microsomal fraction may be preferred. In contrast, the purified PrPSc was more easily precipitated (including into the cryoprecipitate) than any of the membrane fractions. Other types of spikes are also possible.
It is not clear whether the behaviour of any of these spiking materials is representative of the form of infectivity which may be found in plasma. The spike preparation(s) that would be expected to provide the greatest challenge to the process step(s) under investigation should be selected in order to evaluate under worst case conditions. The rationale for the choice of preparations should be given in all cases.
3.4 Choice of assays
Infectivity assays are accepted as the gold standard for the detection of TSE agents. The presence of the agent in a tissue or fluid is established by infection of suitable animal models, where induction of a neurological disease after an incubation period is the signature of the agent. Infectivity is measured by end point titration in animals. The duration of the incubation period may also be used to quantify the infectivity present in the tested material if validated against end point titration of infectivity. The existence of a species barrier to transmission and species and strain effects put constraints on the materials which can be assayed. For example sporadic CJD preparations from humans rarely infect normal wild type mice, although transgenic mice have been prepared which can be used. This is one of the factors in the selection of the spiking agent discussed above. However, bioassays are very complex to be carried out as, due to the incubation period, the most rapid of them may require at least 6 to 9 months of observation and clinical monitoring of the injected animals (e.g. hamster model, 263K), and up to 15-18 months for non-transgenic murine models. In addition, for a given bioassay, the nature of the agent to be tested is restricted to the combination of infectious agent/strain and recipient animal. In other words, it is not possible to test, on a given animal strain or species, all types of infectious material which could be used as spiking material in a validation study. This is a further limitation obstructing the design of validation studies for the manufacturing process to demonstrate partitioning or inactivation of human TSEs.
Bioassays have to be carried out in dedicated laboratories and animal rooms, with security levels adapted to the manipulated strains (level 2 for characterised scrapie strains, level 3 for human and BSE
strains). Very few sites in Europe are able to handle a large number of animals and for a long period of clinical observation, in level 2 or level 3 premises. Finally, given the complexity of the assay, the length of the incubation period and the requested security measures, the cost of such tests is very high. Nevertheless, most published studies of process clearance have included some element of infectivity assays. If performed, a well-characterised system of strain and indicator animal should be used.
There is still no generally applicable *in vitro* test available to identify presence of infectivity and to quantify the infectivity level. A few cell lines (N2a, GT1) are susceptible and can be infected by some TSE strains adapted to mice\textsuperscript{18}, whereas some cell lines, transfected with the PrP gene are able to replicate some scrapie strains.
The alternative assay which has also featured in published studies involves the detection of PrP\textsuperscript{Sc}. Currently, the exact nature of the TSE agents is still unknown although numerous experimental results suggest that they could be composed entirely of the host protein, PrP, accumulating with an abnormal conformation. The protein in its abnormal conformation (PrP\textsuperscript{Sc}) is relatively resistant to proteinase K (giving rise to PrP\textsuperscript{res}), and to concentrations of denaturing agents such as guanidinium hydrochloride which remove PrP\textsuperscript{C}. Detection of PrP\textsuperscript{Sc} or PrP\textsuperscript{res} in animal tissues can be considered as a surrogate marker of infectivity. However the correlation between infectivity and PrP\textsuperscript{res} varies between strains and possibly with the methods for measuring either parameter. These considerations affect the confidence with which clearance measured by removal of PrP\textsuperscript{Sc} can be related to the clearance of infectivity although the relationship has been established in specific instances in a number of published studies.\textsuperscript{19} When the correlation between a biochemical assay for PrP\textsuperscript{Sc} and a bioassay has been established, demonstration of partitioning or inactivation of infectious prion proteins by the biochemical assay may be sufficient.
Further guidance on the step-wise approach to the use of biochemical assays or bioassays is provided in the CHMP Position Statement\textsuperscript{1}, Section 9.2.3 *Manufacturing processes for plasma-derived medicinal products*.
### 3.5 Choice of manufacturing steps
Bearing in mind the known resistance of TSE agents to conventional virus inactivation methods such as heat, the manufacturing steps for investigation should be those where some removal or partitioning of the agent might be expected. Thus there is little point in carrying out studies of solvent/detergent and heat treatment processes, and attention should be focused on ethanol fractionation, precipitation, chromatography, and filtration steps, which have been shown in a number of studies to have significant capability for removal of TSE agents.
On the other hand it should be borne in mind that the behaviour of the spike in a particular step may be affected by previous treatment. For example solvent detergent treatment could disaggregate infectivity so that it more readily passes a filter and studies with untreated materials would therefore overestimate the clearance.
All manufacturers must critically evaluate their manufacturing processes in the light of published data. Guidance on the step-wise approach to product-specific investigational studies is described in Section 9.2.3 of the CHMP Position Statement.\textsuperscript{1}
### 3.6 Interpretation and limitations of data
Viral evaluation studies of processes are subject to a number of reservations, which apply with even greater strength to evaluation of processes with respect to their ability to remove TSEs. They include the following:
1. The modeling of the process may be imperfect. Steps based on separation have been difficult to model reliably in viral evaluation studies; this is particularly true of ethanol fractionation steps, which may be particularly important in the removal of TSE agents.
2. It has been assumed that where two steps are assessed the total clearance approximates to their sum. This may not be the case, in particular where the spike is heterogeneous, so that one fraction could be preferentially removed by one step and the same subfraction by another step.
3. Pretreatments may affect the clearance of the agent. For example, if the material is treated with detergent, it may pass through a subsequent step such as filtration more easily than if it is not because of dispersal of the material.
4. The assays which can be used are not ideal. Infectivity assays are expensive and very slow. While there is generally a correlation between PrP\textsuperscript{Sc} content and infectivity, the relationship may depend on the method used to measure PrP\textsuperscript{Sc} as well as infectivity. So far, most studies have been confirmed by infectivity assays which are considered to be the most relevant.
5. The strain and species of origin of the spike may determine the assays to be used. While so far there is no evidence of a major influence on removal steps, it is still possible that the clearance recorded may be influenced by the origin of the spike.
6. The physicochemical nature of the spike may be significant. There is currently no indication of the physicochemical form of TSE agents in blood, if present. Different membrane-containing spike materials have been tested in one published study, and were cleared in very similar ways by all the precipitation steps evaluated; in contrast, a non-membrane-associated spike material was cleared more readily for certain precipitation steps.\textsuperscript{17} For certain non-precipitation (e.g. adsorption) steps, the opposite can occur. The spike material providing the most rigorous test may therefore vary with the process step.
7. In animal studies, the amount of agent present in the blood is low, whereas the spike added will be of as high a titre as possible. It is possible that material will be removed less effectively at low than at high concentrations.
8. Evaluation of processes for viral inactivation/removal includes an assessment of the robustness of the process, for example studying the effect of modification of the process parameters. The difficulties of performing such studies with TSEs, other than by using solely \textit{in vitro} assay methods, means that the studies are unlikely to be repeated often.
The confidence which can be placed on a figure for the ability of a process step to remove the agent of TSE is therefore lower than for its ability to remove model viruses.
### 3.7 Re-evaluation of TSE clearance
As for the virus validation studies, it may be necessary to re-evaluate TSE clearance data for a production process, if significant changes are made. In view of the difficulty in performing the studies and the reservations about the results obtained, such changes would probably have to be major. Alternatively, developments in the scientific area could make the studies easier, for instance by making \textit{in vitro} infectivity assays possible, which could justify further work.
### 3.8 Sanitisation of equipment
Inactivation of prions by conventional decontamination methods has been evaluated in numerous studies. TSE infectivity is particularly difficult to inactivate, and some samples have been shown to be environmentally infectious for years. A certain number of treatments are acknowledged to be ineffective under normal application conditions (e.g. alkylating agents, detergents) while some others have been recognized as quite effective (e.g. soaking in $\geq 2\%$ bleach or in sodium hydroxide (NaOH) 1-2N for 60 min, autoclaving at 134-138°C under certain conditions of pressure and time). Some procedures have been adopted as reference treatments or recommendations by WHO\textsuperscript{20} and used with medical devices or wastes. However, their applicability is rather limited due to a number of reasons; most methods are harsh and may well damage most biological products, they have a corrosive effect on the equipment used in production or show a limited efficacy against other infectious agents (e.g. NaOH is reported as non-sporicidal). A number of experimental treatments (e.g. alkaline cleansers, proteases, etc.) are under evaluation for use in cleaning and decontamination procedures but not applicable yet.
Because of the resistance of TSE agents to inactivation, and their propensity to stick to stainless steel and other materials, it is particularly important to consider the sanitisation and cleaning procedures used for fractionation equipment for their ability to inactivate or remove TSE agents. The sanitisation
and reuse of columns should also be considered in the light of the effect of possible treatments on TSE infectivity. It should be borne in mind that many fractionation processes terminate in a depth filtration step, where the filter aid is discarded. If this is shown to be an effective step, it decreases the risk of contamination of the product by any infectivity that leaches from the equipment.
Investigation of inactivation or removal of TSE agents adhering to metal surfaces may be extremely difficult. A model has been developed in which a steel wire dipped in a TSE preparation can be implanted in the brain of a susceptible animal which then goes on to develop disease. Sanitisation of the wire might be monitored by such a model by loading wires with different dilutions of agent, treating them and then determining the loss in infectivity resulting. An example of this approach to investigate novel methods of disinfection of prion-contaminated medical devices has recently been published.\textsuperscript{21} The extrapolation of results from such studies to equipment at a manufacturing level may be difficult. NaOH solutions are commonly used for cleaning of production equipment. Treatment with 0.1 M NaOH has been shown to convert PrP\textsubscript{Sc} into a protease-sensitive form, either in solution or when adsorbed to a metallic surface.\textsuperscript{22} The results need to be confirmed by studies of infectivity.
In view of the above considerations, no specific recommendation can be given at this time until new scientific information relevant to plasma processing equipment becomes available.
4. SUMMARY / CONCLUSION
All manufacturers must critically evaluate their manufacturing processes in the light of published data. Guidance on the step-wise approach to product-specific investigational studies is described in Section 9.2.3 of the CHMP Position Statement.\textsuperscript{1} For removal studies, there is no reason to make a choice based on the appropriateness of the strain of TSE agent, so a decision can be made on practical grounds. Different preparations of spiking agents can be used. The spike preparation(s) that will provide the greatest challenge to the process step(s) under investigation should be selected in order to evaluate under worst case conditions. The rationale for the choice of strain and preparations should be given in all cases.
It is recognised that there are limitations of the data because of the model character and approximations that are linked to feasible experimental studies. However, it is expected that these investigational studies will provide a helpful indication on the capacity for removal of the TSE agent during manufacture of plasma-derived medicinal products.
References
1. CHMP Position statement on Creutzfeldt-Jakob Disease and plasma-derived and urine-derived medicinal products, June 2004 (EMEA/CPMP/BWP/2879/02/rev 1) http://www.emea.eu.int/pdfs/human/press/pos/287902rev1.pdf
2. Peden AH, Head MW, Ritchie DL, Bell JE, Ironside JW. Preclinical vCJD after blood transfusion in a \textit{PRNP} codon 129 heterozygous patient. Lancet 2004;364:527-529.
3. Brown P, Rohwer RG, Dunstan BC, MacAuley C, Gajdusek DC, Drohan WN. The distribution of infectivity in blood components and plasma derivatives in experimental models of transmissible spongiform encephalopathy. Transfusion 1998;38:810-816
4. Brown P, Cervenáková L, McShane LM, Barber P, Rubenstein R, Drohan WH. Further studies of blood infectivity in an experimental model of transmissible spongiform encephalopathy, with an explanation of why blood components do not transmit Creutzfeldt-Jakob disease in humans. Transfusion 1999;39:1169-1178
5. Taylor DM, Fernie K, Reichl HE, Somerville RA. Infectivity in the blood of mice with a BSE-derived agent. Journal of Hospital Infection 2000;46:78.
6. Cervenakova L, Yakovleva O, McKenzie C, Kolchinsky S, McShane L, Drohan WN, Brown P. Similar levels of infectivity in the blood of mice infected with human-derived vCJD and GSS strains of transmissible spongiform encephalopathy. Transfusion 2003;43:1687-1694.
7. Bons N, Lehmann S, Mestre-Francés N, Dormont D, Brown P. Brain and buffy coat transmission of bovine spongiform encephalopathy to the primate *Microcebus murinus*. Transfusion 2002;42:513-516
8. Hunter N, Foster J, Chong A, McCutcheon S, Parnham D, Eaton S, MacKenzie C, Houston F. Transmission of prion diseases by blood transfusion. Journal of General Virology 2002;83:2897-2905
9. Bruce ME, McConnell I, Will RG, Ironside JW. Detection of variant Creutzfeldt-Jakob disease infectivity in extraneural tissues. Lancet 2001;358:208-209
10. Cervenáková L, Brown P, Hammond DJ, Lee CA, Saenko EL. Factor VIII and transmissible spongiform encephalopathy: the case for safety. Haemophilia 2002;8:63-75
11. Llewelyn CA, Hewitt PE, Knight RSG, Amar K, Cousens S, Mackenzie J, Will RG. Possible transmission of variant Creutzfeldt–Jakob disease by blood transfusion. Lancet 2004;363:417-421.
12. Ricketts MN, Brown P. Transmissible spongiform encephalopathy update and implications for blood safety. Clin Lab Med 2003;23:129-37.
13. CPMP Note for guidance on virus validation studies: the design, contribution and interpretation of studies validating the inactivation and removal of viruses, February 1996 (CPMP/BWP/268/95) http://www.emea.eu.int/pdfs/human/bwp/026895en.pdf
14. Stenland CJ, Lee DC, Brown P, Petteway SP, Rubenstein R. Partitioning of human and sheep forms of the pathogenic prion protein during the purification of therapeutic proteins from human plasma. Transfusion 2002;42:1497-1500
15. Taylor DM. Inactivation of transmissible degenerative encephalopathy agents: a review. The Veterinary Journal 2000;159:10-17.
16. Somerville RA, Oberthür RC, Havekost U, MacDonald F, Taylor DM, Dickinson AG. Characterization of thermodynamic diversity between transmissible spongiform encephalopathy agent strains and its theoretical implications. Journal of Biological Chemistry 2002;277:11084-11089.
17. Vey M, Baron H, Weimer T, Gröner A. Purity of spiking agent affects partitioning of prions in plasma protein purification. Biologicales 2002;30:187-196.
18. Klöhn P-C, Stoltze L, Flechsig E, Enari M, Weissmann C. A quantitative, highly sensitive cell-based infectivity assay for mouse scrapie prions. Proc. Natl. Acad. Sci. 2003;100:11666-11671.
19. Lee DC, Stenland CJ, Müller JLC, Cai K, Ford EK, Gilligan KJ, Hartwell RC, Terry JC, Rubenstein R, Fournel M, Petteway SR. A direct relationship between the partitioning of the pathogenic prion protein and transmissible spongiform encephalopathy infectivity during the purification of plasma proteins. Transfusion 2001;41:449-455.
20. WHO Laboratory Biosafety Manual 2003
21. Fichet G, Emmanuel C, Duval C, Antiloga K, Dehen C, Charbonnier A, McDonnell G, Brown P, Lasmézas CI, Deslys J-P. Novel methods for disinfection of prion-contaminated medical devices. Lancet 2004;364:521-526.
22. Käsermann F, Kempf C. Sodium hydroxide renders the prion protein PrPSc sensitive to proteinase K. Journal of General Virology 2003;84:3173-3176. |
Lecture 4: Euler characteristic
Brian Lehmann
Boston College
Today we start with a game that assigns numbers to shapes.
We start by assigning 1 to a single point.
\[ \bullet = 1 \]
One point
When we add on more shapes, the numbers add as well:
\[ \bullet \bullet = 2 \]
\[ \bullet \bullet \bullet = 3 \]
Several points
Next, we assign a line segment the number $-1$.
\[ \text{Line segment} = -1 \]
Again, we can combine shapes:
\[ \text{A shape} = 3 - 1 = 2 \]
Now we start formalizing these constructions. First, some terminology:
**Definition**
A 0-cell is a point.
A 1-cell is any shape that can be “continuously deformed” to a line segment.
Three 1-cells
Not 1-cells
A 1-dimensional cellular complex is a union of 0-cells and 1-cells that satisfies the following rules:
1. The ends of every 1-cell must be attached to 0-cells.
2. The interior of a 1-cell does not intersect any other cells.
(This is the same as the mathematical object called a “graph.”)
Given a 1-dimensional cellular complex $S$, we define its Euler characteristic $\chi(S)$ by adding up the numbers associated to its pieces.
$$= 4 - 5 = -1$$
$$= 4 - 6 = -2$$
Let $S$ be a one-dimensional shape. Then we can give $S$ the structure of a cellular complex: we cover $S$ with 0-cells and 1-cells which satisfy the earlier rules. Once we do this procedure, we also obtain an associated Euler characteristic for $S$.
There are many different cellular structures we can give $S$. However, these different choices will end up giving us the same Euler characteristic!
**Observation 1:** The Euler characteristic of $S$ does not depend on which cellular structure we use for $S$.
**Observation 2:** If we “continuously deform” the shape $S$ the Euler characteristic does not change.
Example
Let $S$ be the circle. Then $\chi(S) = 0$.
In fact, the number of 0-cells is equal to the number of 1-cells no matter what cellular structure we give to $S$.
When $S$ is connected, we can think of $\chi(S)$ as “1 - (number of holes in $S$).”
= 4-5=-1
= 4-6=-2
We now introduce a new shape: a 2-cell (with no boundary).
\[ = 1 \]
A 2-cell
Since a 2-cell is a product of 1-cells, we assign it the number \((-1) \times (-1) = 1\).
Just as with 1-cells, we can “deform” 2-cells freely. However, we are not allowed to tear them, glue them, etc.
More 2-cells
Not a 2-cell
Definition
A 2-dimensional cellular complex is a union of 0-cells, 1-cells, and 2-cells that satisfies the following rules:
1. The entire boundary of a $k$-cell must be attached to cells of dimension $\leq (k - 1)$.
2. The interior of a $k$-cell does not intersect any cells of dimension $\leq k$.
Given a 2-dimensional cellular complex $S$, we define the Euler characteristic $\chi(S)$ by adding up the numbers associated to the various cells.
Sphere: one 0-cell, one 1-cell, two 2-cells
$$=1-1+2=2$$
Cylinder (no caps): two 0-cells, three 1-cells, one 2-cell
$$=2-3+1=0$$
Definition
The Euler characteristic $\chi(S)$ of a 2-dimensional shape $S$ is found by giving $S$ the structure of a cellular complex and computing the associated number.
Just as in the 1-dimensional case:
Observation 1: The Euler characteristic of $S$ does not depend on which cellular structure we use.
Observation 2: If we “continuously deform” the shape $S$ the Euler characteristic does not change.
Sphere: one 0-cell, one 1-cell, two 2-cells
Torus: one 0-cell, two 1-cells, one 2-cell
There is no way to continuously deform a torus to a sphere! If there were such a deformation, their Euler characteristics would be the same. But the sphere has Euler characteristic 2 and the torus has Euler characteristic 0.
We will be particularly interested in the connected compact orientable surfaces (which we will simply call “surfaces”).
Loosely, one can think of a surface as a “doughnut with $g$ holes.” The quantity $g$ is called the “genus.”
Theorem
Suppose that $S$ is a surface with $g$ holes. Then
$$\chi(S) = 2 - 2g.$$
Proof.
The proof is by induction on $g$. We have already seen the base case $g = 0$: a sphere has Euler characteristic 2.
Proof.
For the induction step, any surface $S$ with $g$ holes can be constructed by taking a surface $T$ with $g-1$ holes, removing two disks, and “gluing on” a shape $C$ that deforms to a cylinder.
Proof.
Let’s analyze how this operation changes the Euler characteristic.
First, we need to remove two disks $D$ from $T$ to create a space to glue the cylinder. If we choose our cellular complex carefully, we can simply remove two 2-cells from $T$. Thus the Euler characteristic of the new shape is $\chi(T) - 2$.
Proof.
Next, let’s glue on the cylinder. In terms of cellular complexes, we can choose one 0-cell on the boundary of each disk in $T$, connect them with a 1-cell, and then glue on a 2-cell to form the cylinder. Altogether, we have
$$\chi(S) = (\chi(T) - 2) + (0 - 1 + 1) = \chi(T) - 2.$$
Our induction assumption is that $\chi(T) = 2 - 2(g - 1) = 4 - 2g$. Altogether
$$\chi(S) = \chi(T) - 2 = 2 - 2g.$$
We next present a different perspective on the Euler characteristic: it measures the “total amount of curvature” of a surface. This deep result is known as the Gauss-Bonnet Theorem.
The Gauss-Bonnet theorem gives another connection between different areas of math. The Euler characteristic of a surface is a “topological” invariant: it does not change under continuous deformation. The curvature of a surface is a “metric” invariant: it depends on how our surface is embedded. The fact that these two quantities are related is quite surprising!
Suppose we have a compact orientable surface. The Gaussian curvature at a point is a measurement of “how much” the surface curves at a point.
The Gaussian curvature at $p$ is a signed quantity: it can be positive, negative, or zero. The sign will depend on whether or not the curves through $p$ all “bend in the same direction.”
Positive, negative, and zero curvature
We will only give a precise definition in one special case: a smooth parametrized surface $S \subset \mathbb{R}^3$.
**Definition**
Suppose that $S \subset \mathbb{R}^3$ is a smooth surface parametrized locally by an equation $f$:
$$f(u, v) = (f_1, f_2, f_3).$$
We define the vectors:
$$f_u = \left( \frac{\partial f_1}{\partial u}, \frac{\partial f_2}{\partial u}, \frac{\partial f_3}{\partial u} \right)$$
$$f_v = \left( \frac{\partial f_1}{\partial v}, \frac{\partial f_2}{\partial v}, \frac{\partial f_3}{\partial v} \right)$$
Similarly, we define $f_{uu}$, $f_{uv} = f_{vu}$, $f_{vv}$ as vectors of second partial derivatives.
We also consider the normal unit vector
$$\hat{n} = \frac{f_u \times f_v}{\|f_u \times f_v\|}.$$
(For concreteness we choose the outward direction, although it does not matter.) Then the Gaussian curvature is
$$K = \frac{\langle f_{uu}, \hat{n} \rangle \langle f_{vv}, \hat{n} \rangle - \langle f_{uv}, \hat{n} \rangle^2}{\langle f_u, f_u \rangle \langle f_v, f_v \rangle - \langle f_u, f_v \rangle^2}.$$
Example
Let’s compute the Gaussian curvature of the sphere of radius $R$. A parametric equation for the sphere is
$$f(u, v) = (R \sin(u) \cos(v), R \sin(u) \sin(v), R \cos(u)).$$
We can identify the various vectors we need for computation:
$$f_u = (R \cos(u) \cos(v), R \cos(u) \sin(v), -R \sin(u))$$
$$f_v = (-R \sin(u) \sin(v), R \sin(u) \cos(v), 0)$$
and so the denominator is
$$\langle f_u, f_u \rangle \langle f_v, f_v \rangle - \langle f_u, f_v \rangle^2 = R^4 \sin^2(u)$$
Furthermore
\[ f_{uu} = (-R \sin(u) \cos(v), -R \sin(u) \sin(v), -R \cos(u)) \]
\[ f_{uv} = (-R \cos(u) \sin(v), R \cos(u) \cos(v), 0) \]
\[ f_{vv} = (-R \sin(u) \cos(v), -R \sin(u) \sin(v), 0) \]
\[ \hat{n} = (\sin(u) \cos(v), \sin(u) \sin(v), \cos(u)) \]
and so the numerator is
\[ \langle f_{uu}, \hat{n} \rangle \langle f_{vv}, \hat{n} \rangle - \langle f_{uv}, \hat{n} \rangle^2 = R^2 \sin^2(u) \]
Altogether the curvature (at every point!) is the constant value \(1/R^2\).
Example
Consider the torus parametrized by
\[ f(u, v) = ((c + a \cos(v)) \cos(u), (c + a \cos(v)) \sin(u), a \sin(v)) \]
Major radius \( c \), minor radius \( a \)
Example
A similar computation shows that the curvature is
$$K(u, v) = \frac{\cos(v)}{a(c + a \cos(v))}$$
Note that this can be positive or negative depending on the sign of $\cos(v)$.
The following theorem relates the Euler characteristic to curvature.
**Theorem (Gauss-Bonnet)**
Let $S$ be a smooth compact orientable surface with no boundary. Then
$$\int_S K \, dA = 2\pi \chi(S)$$
where $dA$ is the area element on $S$.
Although the curvature can vary a lot, the “total curvature” will be the Euler characteristic! If we continuously deform $S$, the curvature can change but the net effect on the total curvature will cancel out.
Example
Consider the sphere of radius $R$:
$$f(u, v) = (R \sin(u) \cos(v), R \sin(u) \sin(v), R \cos(u)).$$
The area element is $\|f_u \times f_v\| \, du \, dv = R^2 \sin(v) \, du \, dv$. Integrating:
$$\int_S K \, dA = \int_0^\pi \int_0^{2\pi} \frac{1}{R^2} (R^2 \sin(v)) \, du \, dv = 4\pi = 2\pi \chi(S)$$
verifying Gauss-Bonnet in this case.
Sketch of proof.
Every smooth compact orientable surface admits a “triangulation”: a cellular complex structure whose pieces $P$ each consist of three smooth edges connecting three vertices:
Our plan is to analyze $\int_P K \, dA$ for each piece $P$ and then add up the results.
Sketch of proof.
For each triangle $P$ one can prove a “local Gauss-Bonnet” theorem:
$$\int_P K \, dA + \int_{\partial P} \kappa_g + \sum_{\text{vertices } v \text{ in } P} \theta_v = 2\pi$$
where $\kappa_g$ denotes the geodesic curvature and $\theta_v$ denotes the exterior angle at the vertex $v$. (One can think of the $2\pi$ as the “total rotation” as we traverse around the boundary of $P$.)
Sketch of proof.
We can compute $\int_S K \, dA$ by adding up all the pieces:
$$\int_S K \, dA = \sum_P \int_P K \, dA$$
$$= \sum_P \left( 2\pi - \int_{\partial P} \kappa_g - \sum_{\text{vertices } v \text{ in } P} \theta_v \right)$$
Let’s compute the three terms in the sum one-by-one. We will let $V$ denote the total number of vertices, $E$ denote the total number of edges, and $F$ denote the total number of triangles in our triangulation.
Sketch of proof.
Since we have one contribution of $2\pi$ for each triangle $P$, the total contribution of this term is $2\pi F$.
Next, consider $\sum_P \int_{\partial P} \kappa_g$. Every edge in $S$ lies between exactly two triangles $P_1, P_2$. Note that this integral changes sign when we reverse the orientation of our curve. Since the orientation of our edge in $P_1$ is the opposite of its orientation in $P_2$, the total contribution of the integral of $\kappa_g$ over this edge to the integral is 0. Adding up, the entire contribution of this integral is 0.
The remaining term is $\sum_P \left( \sum_{\text{vertices } v \text{ in } P} \theta_v \right)$. To compute this sum we will reverse the summation: we first fix a vertex $v$ and then sum all the exterior angles $\theta_P$ for triangles $P$ containing $v$.
Sketch of proof.
For a vertex $v$ of a triangle $P$, the sum of the exterior angle $\theta_P$ and the interior angle $\alpha_P$ of $P$ at $v$ is equal to $\pi$. Moreover, the sum of all the interior angles at a given vertex is $2\pi$. Thus the sum of the exterior angles at a vertex $v$ is
$$\sum_{P \text{ meeting } v} \theta_P = \left( \sum_{P \text{ meeting } v} \theta_P + \alpha_P \right) - 2\pi$$
$$= \pi \cdot (\text{number of } P \text{ meeting at } v) - 2\pi$$
$$= \pi \cdot (\text{number of edges meeting at } v) - 2\pi$$
Sketch of proof.
Returning to our earlier sum,
$$\int_S K \, dA = \sum_P \left( 2\pi - \int_{\partial P} \kappa_g - \sum_{\text{vertices } v_i \text{ in } P} \theta_i \right)$$
$$= 2\pi F - 0 - \sum_{\text{vertices } v} (\pi(\text{number of edges meeting at } v) - 2\pi)$$
$$= 2\pi F + 2\pi V - \sum_{\text{vertices } v} \pi(\text{number of edges meeting at } v)$$
Since each edge meets two vertices, every edge appears twice in the sum above. Altogether
$$\int_S K \, dA = 2\pi V - 2\pi E + 2\pi F = 2\pi \chi(S).$$
One can also define the Euler characteristic for a cellular complex of dimension $n$: to each cell of dimension $n$ we assign the number $(-1)^n$.
**Question (Hopf sign conjecture)**
Suppose that $X$ is a compact Riemannian manifold of dimension $2d$. If $X$ has positive curvature at every point, is $\chi(X) > 0$?
For surfaces, this is true by Gauss-Bonnet. But the general case has been open for 100 years!
Exercises:
1. Euler’s formula: you can explore Euler’s formula and its relationship with Euler characteristics.
2. Gauss-Bonnet: you can get more practice with the Gauss-Bonnet formula.
Images made using sketch.io and taken from Wikipedia, Mark Irons, Keenan Crane, Markus Wallner-Novak |
Union, Connecticut
Plan of Conservation and Development
2020 - 2030
APPROVED OCTOBER 6, 2021
Page Left Blank Intentionally
## Contents
| Topic | Page |
|----------------------------------------------------------------------|------|
| Introduction | 7 |
| Union in Perspective | 11 |
| Demographics | 16 |
| Housing | 18 |
| Governance | 21 |
| Land Use | 23 |
| Natural Resources | 29 |
| Transportation | 46 |
| Education | 50 |
| Economics | 51 |
| Future Land Use | 56 |
| Goals, Objectives, Policies, Strategies | 61 |
| Appendix I -- State Plan of Conservation and Development Category Descriptions | 75 |
| Appendix II -- Union Open Space Plan (printed as adopted - not part of the POCD -- for information purposes only) | 79 |
| Appendix III -- Union Design Guidelines (printed as adopted - not part of the POCD -- for information purposes only) | 87 |
| Appendix IV – Mashapaug Pond | 95 |
## Maps
| Title | Page |
|--------------------------------------------|------|
| Town Location | 12 |
| Urbanized Areas | 13 |
| Union 1850 | 15 |
| Residential Distribution and Parcels | 19 |
| State Plan of Conservation and Development for Union | 24 |
| Zoning Districts | 25 |
| Land Use - Land Cover, 2006 | 26 |
| State Natural Data Diversity Data Base | 35 |
| Soils | 36 |
| Surficial Materials | 37 |
| Ag Soils | 38 |
| Regional Drainage Basins | 39 |
| Sub-Regional Drainage Basins | 40 |
| Dams | 41 |
| FEMA | 42 |
| Surface Water Quality | 43 |
| Groundwater Quality | 44 |
| Wetlands | 45 |
| Streets | 49 |
| Development Constraints | 57 |
| Town Plan of Conservation and Development | 58 |
| Title | Page |
|--------------------------------------------|------|
| Population Change | 16 |
| Population Projections | 16 |
| Total Household Population Change | 17 |
| Median Age Change | 17 |
| Dependency | 17 |
| Housing Permit Activity, 1990 - 2009 | 18 |
| Land Use Change | 23 |
| Educational Attainment | 50 |
| Tax Burden for Median Household | 51 |
| Equalized Mill Rates | 52 |
| I-84 Traffic | 53 |
| Town Proximity | 53 |
| Business Profile | 54 |
| Cost of Community Services | 55 |
Page Left Blank Intentionally
Introduction
Made in conformance with Connecticut statute and the desires of the residents of Union; the plan of conservation and development (Plan) provides a blueprint for decision making that fosters a healthy environment, economic opportunity, and a high quality of life for all residents. The Plan balances population, housing, and economic development with habitat preservation, agriculture, open space, and infrastructure needs. In doing this, the Plan presents a vision for the Town’s future, and a series of recommendations and/or strategies for achieving that vision.
The intent of the Plan is to guide the Town’s efforts in land use planning and growth management, the provision of public facilities and services, environmental protection, economic development and land conservation. The “goal” of this Plan is to provide Union with a comprehensive, understandable, and usable blueprint to guide future decisions with flexibility and creativity in its application to accommodate competing objectives.
A Plan of Conservation and Development has its legal basis in Connecticut statute (Section 8-23). This law requires each community to have a plan and to update that plan every ten years. Section 8-23 sets forth several mandatory and discretionary areas to be addressed in a plan of conservation and development:
In preparing such plan, the commission or any special committee shall consider the following:
1. The community development action plan of the municipality, if any,
2. the need for affordable housing,
3. the need for protection of existing and potential public surface and ground drinking water supplies,
4. the use of cluster development and other development patterns to the extent consistent with soil types, terrain and infrastructure capacity within the municipality,
5. the state plan of conservation and development adopted pursuant to chapter 297,
At least once every ten years, the [Planning] commission shall prepare or amend and shall adopt a plan of conservation and development for the municipality. Following adoption, the commission shall regularly review and maintain such plan.
Section 8-23, Connecticut General Statutes
6. the regional plan of development adopted pursuant to section 8-35a,
7. physical, social, economic and governmental conditions and trends,
8. the needs of the municipality including, but not limited to, human resources, education, health, housing, recreation, social services, public utilities, public protection, transportation and circulation and cultural and interpersonal communications,
9. the objectives of energy-efficient patterns of development, the use of solar and other renewable forms of energy and energy conservation, and
10. protection and preservation of agriculture.
Such plan of conservation and development shall:
1. be a statement of policies, goals and standards for the physical and economic development of the municipality,
2. provide for a system of principal thoroughfares, parkways, bridges, streets, sidewalks, multipurpose trails and other public ways as appropriate,
3. be designed to promote, with the greatest efficiency and economy, the coordinated development of the municipality and the general welfare and prosperity of its people and identify areas where it is feasible and prudent:
- to have compact, transit accessible, pedestrian-oriented mixed use development patterns and land reuse, and
- to promote such development patterns and land reuse,
4. recommend the most desirable use of land within the municipality for residential, recreational, commercial, industrial, conservation and other purposes and include a map showing such proposed land uses,
5. recommend the most desirable density of population in the several parts of the municipality,
6. note any inconsistencies with the following growth management principles:
- Redevelopment and revitalization of commercial centers and areas of mixed land uses with existing or planned physical infrastructure;
- expansion of housing opportunities and design choices to accommodate a variety of household types and needs;
- concentration of development around transportation nodes and along major transportation corridors to support the viability of transportation options and land reuse;
- conservation and restoration of the natural environment, cultural and historical resources and existing farmlands;
- protection of environmental assets critical to public health and safety; and
- integration of planning across all levels of government to address issues on a local, regional and state-wide basis.
7. make provision for the development of housing opportunities, including opportunities for multifamily dwellings, consistent with soil types, terrain and infrastructure capacity, for all residents of the municipality and the planning region in which the municipality is located, as designated by the Secretary of the Office of Policy and Management under section 16a-4a,
8. promote housing choice and economic diversity in housing, including housing for both low and moderate income households, and encourage the development of housing which will meet the housing needs identified in the housing plan prepared pursuant to section 8-37l and in the housing component and the other components of the state plan of conservation and development prepared pursuant to chapter 297. In preparing such plan the commission shall consider focusing development and revitalization in areas with existing or planned physical infrastructure.
Such plan may show the commission's and any special committee's recommendation for
1. conservation and preservation of trap rock and other ridgelines,
2. airports, parks, playgrounds and other public grounds,
3. the general location, relocation and improvement of schools and other public buildings,
4. the general location and extent of public utilities and terminals, whether publicly or privately owned, for water, sewerage, light, power, transit and other purposes,
5. the extent and location of public housing projects,
6. programs for the implementation of the plan, including:
- a schedule,
- a budget for public capital projects,
- a program for enactment and enforcement of zoning and subdivision controls, building and housing codes and safety regulations,
- plans for implementation of affordable housing,
- plans for open space acquisition and greenways protection and development, and
"Smart growth" means economic, social and environmental development that (A) promotes, through financial and other incentives, economic competitiveness in the state while preserving natural resources, and (B) utilizes a collaborative approach to planning, decision-making and evaluation between and among all levels of government and the communities and the constituents they serve.
- plans for corridor management areas along limited access highways or rail lines, designated under section 16a-27,
7. proposed priority funding areas, and
8. any other recommendations as will, in the commission’s or any special committee’s judgment, be beneficial to the municipality. The plan may include any necessary and related maps, explanatory material, photographs, charts or other pertinent data and information relative to the past, present and future trends of the municipality.
This plan is organized into two sections to address the preceding statutory requirements. The first section provides background information on the current state of the Town and potential future developments. This section of the plan includes: general demographics, housing, natural resources, education, transportation and economics. This section is intended to be amended as new information is developed or available. The next section contains the Town’s goals, objectives, and policies/strategies. This section is intended to provide the policy base and direction to guide growth and development.
Union in Perspective
Incorporated in 1734, Union was the last town settled in eastern Connecticut. Union has the smallest population in Connecticut. The initial and lasting impression of the Town is that it is rural. There are no shopping centers or large subdivisions that characterize most towns in Connecticut. There are large tracts of forests, some farms, ponds, streams, wetlands and a scattering of homes. As an upland town, Union has a fairly rough topography. During the drafting of this plan residents made clear their desire to maintain the town as a rural place.
People choose to be here [Union] for a variety of reasons. For some, Union provides a haven from the hustle and bustle of professional lives. For others it is a good place to raise children. And for still others, the personal freedom and natural beauty found in Union are great attractions. Somehow it is removed from the negative side of civilization. Union is a community ... Perhaps the best way to describe it as extended family. The natural beauty of Union is one of the major reasons why people choose to live here. It is truly beautiful, a walk through the vast woods will convince you. People who live in Union really want to be here, in spite of long commutes to work, shopping or entertainment\(^1\).
Union is located in the northeastern part of Tolland County (Map 1) and is bordered by the Connecticut towns of Willington, Woodstock, Eastford, Ashford, and Stafford and the Massachusetts towns of Wales, Holland, and Sturbridge. Union is part (one of 29 towns from Connecticut and Massachusetts) of the Quinebaug-Shetucket National Rivers Heritage Corridor (also known as the “Last Green Valley”). The Corridor was established by Congress in 1995 as a means to protect one of the last undeveloped areas within the Boston - New York Metropolitan Region.
Union is a medium sized town (29.8 square miles) covering 19,056 acres making it the seventy-forth largest community of the 169 towns in the State. Union has 25.2 persons per square mile compared to Connecticut, which has 612 persons per square mile. This makes Union one of the least densely populated towns in Connecticut. The Town is in proximity to a number of urbanized areas (map 2), standing out as one of the few remaining non-urbanized locations in southern New England.
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\(^1\) *Union Lands: A People’s History*, Union Historical Society, 1984, pages. 392-393
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
Urbanized Areas and the Town of Union
Legend
- Interstates
- Town of Union
- Urbanized Areas
- States
Union has the highest elevation (981 feet) than that of its surrounding towns and the highest elevation of any town found in eastern Connecticut. The Town averages 50 inches of rain and 54 inches of snow per year. The number of days with any measurable precipitation is 133. On average, there are 191 sunny days per year in the Town. The July high is around 81 degrees. The January low is 15. Total precipitation, especially for snowfall surpasses each of Union’s neighboring towns. This is primarily a function of elevation compared to the other towns.
Union has a number of historic sites of significance covering its history. The Town’s history is well chronicled. The History of Union, Connecticut by Charles Hammond, 1893 Quintin Publications, 2004: www.QuintinPublications.com and Union Lands: A People’s History, Union Historical Society, 1984. There is a current project to accurately identify locations of historic significance using GPS technology. This work is being done by the Town’s Historical society. Additionally, under the Town’s Zoning Regulations there are specific protections for sites having historic or archaeological significance. Section 2.07 of the Regulations establishes the Commissions rights to suspend, revoke or modify an existing permit if the Commission “determines that the site has historical or archaeological significance.”
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2 Section 2.07, Town of Union Planning and Zoning Regulations
Town of Union - 1850
Demographics
Union’s population is not projected to grow significantly during the next ten to twenty years. The University of Connecticut State Data Center projects only a modest increase in the growth rate of less than one-half of one percent.
The median age of the Town’s residents was 43 in 2008 - compared to 37 for the County and 40 for the State. The trend for Union is for the median age to increase at a rate higher than the State and County. UConn’s projections show that the median age will increase by 13.2 years from the 2000 census level. This compares to the State’s increase of just 3.6 years for the same period. Notably, the number of children and elderly dependent on working people in the town will rise significantly. The result of this growth will place more tax burden on workers within the town to provide direct and indirect services for children (education) and the elderly. The issue of housing affordability and availability may develop as the number of elderly dependent person’s increases. Residents with income below the poverty level is estimated at 3.5 percent (compared to 5.6 percent for the County and 7.9 percent for the State). Children below the poverty level were at 6.1 percent (10.6 CT).
Median household income for the Town in 2009 (DECD) is estimated at $72,428 ($74,520 for the County and $68,055 for the State).
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
Dependancy, 2000 - 2030
- Number of Children (age 0-19) that are dependant on 100 Workers (age 20 - 64)
- Number of Elderly (age 65 and over) that are dependant on 100 Workers (age 20 - 64)
Median Age Change, 2000 - 2025
- Median Age of Household Population
- Connecticut
Total Household Population by Age
- 2000: 82 (Children), 389 (Elderly), 156 (Total)
- 2005: 86 (Children), 429 (Elderly), 165 (Total)
- 2010: 99 (Children), 400 (Elderly), 166 (Total)
- 2015: 130 (Children), 366 (Elderly), 162 (Total)
- 2020: 162 (Children), 336 (Elderly), 163 (Total)
- 2025: 198 (Children), 313 (Elderly), 164 (Total)
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
- 0-19
- 20-24
- 25-29
- 30-64
- 65+
Housing
Union contains (2008) 377 housing units (map 4); of which the vast majority (more than 96.7 percent) were single family units\(^3\). This compares to 316 housing units in 1997. Housing increase has been steady (4.8 permits per year), but modest since 1990. Unless an unanticipated event occurs or circumstances change; this rate of growth should remain unchanged.
The evidence suggests that the town will continue to contain the single family home as the dominant housing type for duration of this plan. The median price for housing in 2007 was $236,000 compared to $256,000 for Tolland County and Connecticut at $295,000\(^4\).
The State of Connecticut defines affordable housing as that which does not cost a family more than 30 percent of its gross income. Once a family goes over that 30 percent threshold they often have difficulties paying other needed expenses. Average Housing prices within the Town are currently above that attainable for the median household income ($72,428) within the Town. This means that housing costing more than $21,728 annually (assuming the median income for the Town) would not be deemed affordable. This is true for Union and every other town in Connecticut. However, given the Town’s limited total housing numbers Union “appears” more at odds with state policy than is reality. The issue is that The U.S. Department of Housing and Urban Development (HUD)
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\(^3\) Connecticut Economic Resource Center, 2010 Town Profile: Union, CT
\(^4\) Connecticut Economic Resource Center, 2010 Town Profile: Union, CT
Parcels and Structure Distribution 2009
Legend
- Union Structures
(......) Parcel Polygon
This map is for planning purposes ONLY—it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
has in place a system used by all states by which “Fair market Rents” (FMR) are established. This is done as a means to establish a payment standard for several federal assistance programs. HUD sets FMR’s based on unit-bedrooms. The Department of Economic and Community Development, in 2008, had Union with 2.41 percent (4 Governmentally Assisted Units and 4 CHFA Assisted Mortgages) of its housing as affordable.
Connecticut has several laws that attempt to foster housing diversity. The basic enabling statute for zoning, Section 8-2 includes the following language:
Such regulations shall also encourage the development of housing opportunities, including opportunities for multifamily dwellings, consistent with soil types, terrain and infrastructure capacity, for all residents of the municipality and the planning region in which the municipality is located, as designated by the Secretary of the Office of Policy and Management under section 16a-4a. Such regulations shall also promote housing choice and economic diversity in housing, including housing for both low and moderate income households, and shall encourage the development of housing which will meet the housing needs identified in the housing plan prepared pursuant to section 8-37t and in the housing component and the other components of the state plan of conservation and development prepared pursuant to section 16a-26.
In 1990 the Connecticut Affordable Housing Appeals Act (8-30g of the Connecticut General Statutes) was enacted that provides that a developer of “affordable housing” denied locally may appeal such ruling to the courts and have that denial overruled if such town contains less than 10 percent designated as “affordable.” Connecticut law places the burden on the local land use commission to justify an action that would deny the development of affordable housing. This law in effect can put aside the local land use rules if they interfere with the State policy goal of providing affordable housing.
The Town’s zoning and subdivision regulations are not structured to discourage affordable housing. Rather, they reflect the communities desire to maintain a rural setting -- respectful of the varied natural resources found within the Town. The regulations are also a reflection of the rough, wet, and rocky conditions found throughout the Town. These realities do not lend themselves to smaller housing lots. While the Town’s three acre minimum house lot may seem large it is really a necessity for well and septic location. Additionally, the Town has little or no prospect for public water or sewer -- both of which would be in conflict with the State Plan of Conservation and Development.
Governance
Union has a Board of Selectmen, Town Meeting, Board of Finance form of government. Town government is the most personal and in many ways, the most important level of government. It is accessible; people interact with it daily – including its elected and appointed officials. Residents depend on it for a range of services that affect quality of life. The Town of Union performs a wide range of functions and services. Some of these functions or services are optional and others are mandatory. All authority granted to the Town is derived from the State.
Union is a small town by Connecticut standards. However, its obligations are essentially the same as Connecticut’s largest municipalities. Elected persons hold the key administrative offices in Union. These include Chief Administrative Officer (First Selectman), Town Treasurer, Tax Collector, and Town Clerk. The Assessor, Public Works Director, Building Inspector, and Zoning Enforcement Officer, are other key administrative staff and are appointed. Additionally, Union has commissions made up of residents that perform administrative and legislative functions. These include Board of Selectmen, Board of Finance, Planning and Zoning Inland Wetlands Commission, Zoning Board of Appeals, and Board of Education. Collectively, these individuals and boards make the Town run on a day-to-day basis.
The town has an annual budget of just over two-million dollars. Revenue is primarily generated from the Property Tax (approximately $1.7 million), $382,000 received from the State, and the balance from other local sources. The average per capita tax (2007) was $2,378 -- ranking 71 of the 169 towns. Debt per capita is at $722 (2007 - 144/169). Only 3.8 percent of the Town’s Grand List comes from commercial or industrial taxes -- the rest falls on residential properties and related taxes. Primary expenses for the Town are those related to education and roads.
“The Union Free Public Library was established during a town meeting in November of 1894. It officially opened its doors March 25, 1895. At first housed in a private home, it quickly outgrew its space, and a dedicated building was completed in 1912. The library still occupies this building. Renovations of the basement in the 1960s and 1970s opened additional space.”
for a children’s room, which now houses our collection of junior fiction, non-fiction, reference materials, and videos, and provides a great resource for our local school children who visit on a weekly basis during the school year.\(^5\)” The Town’s Library contains 11,743 volumes (2001) and has a circulation per capita of 4.7\(^6\).
The Town has a volunteer fire department. Police protection is provided by the Connecticut State Police through Troop C in Tolland. Union has its own transfer station and animal control facility located at the Town Garage.
\(^5\) Town of Union web site
\(^6\) Connecticut Economic Resource Center, Union Town Profile, 2010
Land Use
The Connecticut Plan of Conservation and Development shows Union to be a rural community dominated by Existing Preserved Open Space and Conservation Areas. These designations are primarily the result of the Nipmuck Forest, Yale Forest, and watershed areas. The State’s Plan also indicates an area in yellow that designates a traditional village area where town services are located as well as places of worship and education (areas in and around the old Town Hall and Library). From the State’s perspective, Union is a rural town containing significant tracts of undeveloped lands with a traditional town center that should remain in its current state.
Union has had zoning since 1934 and subdivision regulations since 1971. The Zoning Regulations are designed to strike a balance in protecting the Town’s rural character and allowing flexibility for economic growth. The Town’s zoning regulations divide the Town into five zones: Rural Residential, Retail Trade, Commercial/Industrial, Union Land, and Floodprone Areas. The largest zone is Residential\(^7\). This zone has a minimum lot size of 3 acres and 250 feet of frontage for single family homes. While the Residential Zone, as the name
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\(^7\) Non-residential zones are discussed later in this section with economic development matters.
State Plan of Conservation and Development 2010 - 2020
Legend
- Existing Reserved Open Space
- Presentation Areas
- Conservation Areas
- Rural Community Center
- Rural Areas
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Zoning Districts
Legend
- Commercial/Industrial
- Retail Trade
- Rural Residential
- Special Development
This map is for planning purposes ONLY – it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Land Use Land Cover, 2006
Legend
- Developed
- Jurisdictional Grass
- Other Grasses
- Agriculture
- Deciduous Forest
- Coniferous Forest
- Water
- Non-forested Wetland
- Forested Wetland
- Tidal Wetland
- Barren Land
- Utility ROWs
Source: University of Connecticut Center for Land Use Education
implies permits residential uses -- a variety of compatible uses are also allowed\(^8\). These include farms, forestry and related practices, child and adult day care, open space, and a variety of accessory uses. Additionally, the Residential Zone provides the opportunity, subject to Special Permit conditions for additional uses, including: outdoor recreational uses, education/religious/philanthropic uses, riding stables, hair dressing salons, kennels, shooting range, and “Rural Industries.”
According to the Center for Land Use Education and Research (CLEAR) at the University of Connecticut’s Changing Landscape Project, the Town has experienced an 8.7% increase in developed lands between 1985 and 2006. CLEAR’s data is based on remote sensing using spatial imagery related to land cover change. “Land cover, as its name implies, shows the ‘covering’ of the land. This is to be distinguished from land use, which is what is permitted, practiced or intended for a given area. For example, a “forested” land cover area as detected by the satellite may appear as “rural residential” on your town’s zoning map. CLEAR’s land cover information comes from remotely sensed data from satellites, in this case several of the Landsat satellite series. Sensors aboard the satellite collect (sense) radiation in a number of different wavelengths that is reflected from the surface of the earth. The data are converted via computer programs and human expertise into land cover maps made up of many pieces, or pixels, of information that are 30 meters (or about 100 feet) square.\(^9\)” This translates to a net gain of 91.5 acres of developed lands during this period. The largest loss of land cover came as deciduous forest with 93.1 acres lost. The largest gain, 129.7 acres, came from coniferous forest lands. A major concern expressed in the Town’s Open Space Plan is that as lands are developed “for residential and non-residential purposes, less suitable lands begin to become more attractive. Less desirable lands are usually steeper in grade. The may be more swampy, or possess poorer percolation.
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\(^8\) Please consult with the Town’s Zoning Regulations and/or Planning and Zoning Commission for details
\(^9\) University of Connecticut Center for Land Use Education and Research
qualities. Uncontrolled development upon these lands may render adverse effects to the developer, the home owner and unquestionably to the community."10
Union is dominated by a forested (coniferous forests are the dominant type found) rugged terrain with many outcroppings of rock – interspersed with water, bogs, and wetlands. Approximately 86 percent of the Town is forested and one-third (6,300 acres) of the Town is protected forest land: including Bigelow Hollow State Park, Nipmuck State Forest and the Mountain Laurel Sanctuary. Along with protected State forest lands, there is the Yale-Meyer’s Forest owned by Yale University. These lands cover approximately 3,000 acres. The Yale-Meyer’s Forest covers 7,840 acres with lands in the towns of Eastford, Ashford, Woodstock, and Union -- which has the largest acreage. The entire acreage is managed by Yale for use as a large scale classroom and research laboratory. While the forest provides ongoing research and teaching opportunities for the Yale Forestry Program, it is not a self-sustaining operation and must be subsidized by Yale University. Accordingly, it must be understood that these lands are not protected lands. That is not to imply that there are development plans by Yale; but there must not be any assumption of permanent protection.
As would be expected, residential development is confined within close proximity to the Town’s road system. The oldest dwellings are found along Buckley Highway near to the town center. Future development will most likely occur in proximity to the Town’s existing roadways.
The privately owned and presently undeveloped lands within Union have casually but successfully combined to render the Town aesthetically pleasing and rural in character. It will be presumptuous to assume, however, that such rural and open character will remain constant or unchanged, or that development pressures will not gravitate upon the physical setting.
Town of Union Open Space Plan
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10 Town of Union, Open Space Plan (full Plan can be found in Appendix 2)
Natural Resources
Forests provide many benefits such as cleaning the air and water and habitat for wildlife, recreational opportunities, timber, firewood, maple syrup, and other forest products, and contribute heavily to rural character. Union’s forests contain large unfragmented areas – some of the largest unfragmented areas in the state. Although from about 1730 to 1870 much of the present forest was cleared for agriculture\(^{11}\). Today, all that’s left of that agricultural past are the stone walls that are found throughout the forest. Except for the Yale-Myers Forest, the management of forest lands within the Town is inconsistent. This includes those lands owned by the State. Yale has a detailed management approach: “In the past 15 years, the Yale Forests has embarked on a long-term silvicultural program designed to replace the old even-aged forest with a mosaic of stands with a well-distributed mixture of age classes ranging from zero to 80 or 100 years. This changeover may not be completed until about 2070\(^{12}\).” The forest lands found in Union are largely unfragmented. While there are numerous meanings for “forest fragmentation,” the general meaning is the separation/division either by ownership or physical barrier (road) into areas of 100 acres or less. The more divided a forest becomes the more susceptible it may become too inconsistent management of the forest resource and/or degrading of wildlife habitat. The long-term health of the forest and associated wildlife is enhanced with minimum fragmentation. Albert Todd in the February 1999 issue of the Journal of Forestry: “Forest fragmentation affects water quality and quantity, fish and wildlife populations, and biological health and diversity of the forest itself. When many small habitat losses occur over time, the combined effect may be as dramatic as one large loss. Forest fragmentation can disrupt animal travel corridors, increase flooding, promote the invasion of exotic vegetation, expose forest interiors, and create conflicts between people and wildlife. Habitat loss reduces the number of many species and totally eliminates others.”
\(^{11}\) Yale
\(^{12}\) Yale
Wildlife
The Town’s wildlife includes bear, deer, beaver, fox, and a wide range of birds. This is in large part due to its large tracts of undeveloped/unfragmented lands. Additionally, the Town has multiple areas identified by the Department of Environmental Protection’s Natural Diversity Data Base with unique or endangered species present. The Natural Diversity Data Base maps represent approximate locations of endangered, threatened and special concern species and significant natural communities in Connecticut. Exact locations are not provided to ensure that such species are better protected. Development proposed in or near to one of these locations should have consultation made with the DEP.
Waterbodies
The Town’s roadways create barriers to wildlife movement. This is especially true for Interstate 84. Many species simply will not cross pavement. Many states and countries now provide bridges and/or tunnels for wildlife to overcome this problem.
Soils
Soil resources are a major influence to the Town’s development patterns and future development. Mining (lead) preceded agriculture in importance during the early days of what would ultimately become the Town of Union. Today, soils control the placement of septic systems for housing, road and bridge construction, wetlands are defined by soil type, productive soil-based agriculture is defined by soils and sand and gravel extraction are soil based. Union’s soils are primarily “Till.” Till is unsorted glacial sediment that varies from clay to sand, gravel and large boulders. Agricultural soils (Prime, Important, and Locally Significant) are the most conducive to crop production. However, these soils are scattered and limited. Much of the lands once farmed are now either forest or wet areas (wetlands, bogs, or ponds). During the early history of the town settlers would release beaver ponds and dry up other wet areas to plant
crops. There was also the removal of forest for crop production. Much of this has now reverted to wet areas or forests.
Water
“Indigenous of Connecticut’s uplands, Union contains numerous streams, brooks, ponds, lakes and other water bodies and wetlands which fulfill important ecological functions and contribute to a large extent in shaping the aesthetic characteristics and natural resources of the community.”\textsuperscript{13} Extensive water resources are found within the Town as surface water (streams, and ponds) and groundwater. The benefits these resources provide include wildlife habitat and drinking water. Union’s water resources are also an important economic asset that increase property values and bring tourist dollars into the community. Within the Town all surface water ranks as either A or AA by the Department of Environmental Protection. This means that these water resources have “good to excellent quality.”
The Town has 23 named water bodies. The largest of these is Mashapaug Pond – which covers more than 300 acres. Mashapaug Pond (which is the Nipmuck Indian word for “Great Pond”) is unique – it is the headwater of two major rivers: the Quinebaug River and the Shetucket River. Mashapaug Pond, which has an elevation of 702 feet, doubled in size in the mid-1880’s with the addition of two dams. One major concern raised by residents, especially by those with properties next to Mashapaug Pond, is the relatively new policy (which is under review by the Town and DEP) of the Department of Environmental Protection to not lower the level of the pond during winter months. Since this new policy went into effect there has been additional shoreline erosion and an increase in vegetation within the pond.
The Town has three major watersheds: Willimantic, Quinebaug, and Natchaug. Additionally, Union contains nine sub-regional drainage basins/watersheds. Watersheds are critical areas for water quality and habitat retention. Actions taken in one part of a watershed often have an impact on other parts of the watershed. Given that watersheds often do not conform to political boundaries, it is important to communicate with neighboring towns to prevent adverse affects originating in one part of a watershed. Currently, such communications are on an informal and random basis. This sets up the situation where decisions in one town could have an impact on another due to the nature of watersheds and the reality of political boundaries.
\textsuperscript{13} Town of Union, Open Space Plan
Potable water in Union (water used for drinking purposes) is derived from private wells. The Town has no public drinking supplies. These wells draw upon groundwater, which comes from both bedrock and stratified drift aquifers underlying the Town. Some aquifers are relatively shallow and are recharged from rainfall and stream flow. Because they are open to the surface, they are particularly susceptible to contamination from human activities such as fuel-tank leakage, sewage, oil and gas spills, and agricultural/lawn chemicals. The highest yields for wells are generally extracted from the thick course-grained deposits located near large streams. This type of aquifer is composed primarily of sand or sand and gravel overlays by fine to very fine sand, salt and clay. It may be possible to obtain relatively large volumes of groundwater from coarse-grained stratified drift aquifers.
According to the Water Quality Classifications Map of Connecticut, groundwater within the Town of Union is classified as GAA and GA. Groundwater classified as “GA” and “GAA” are suitable for existing or proposed public drinking water. The exception to this is a site at the intersection of Routes 171 and 190 where contamination compromising groundwater quality is located.
Floodplains or 100-year flood zones are found throughout the Town. These areas are lowlands along streams and poorly drained areas which support runoff during heavy rains. As implied these are areas subject to periodic flooding and therefore areas where development should be avoided. The Federal Emergency Management Agency (FEMA) maps these areas for the National Flood Insurance Program. The Town regulates these areas though it’s zoning regulations and Inland Wetlands and Watercourses Regulations. The Town’s Zoning Regulations include a specific zone (Floodprone Areas Zone) which covers the Federal Emergency Management Agency Flood Insurance Rate Map for the Town. The areas covered are what are commonly referred to as the 100-year flood area.
Wetlands and Watercourse
Wetlands and watercourses are found throughout the Town. The Town, as an agent of the State, regulates wetlands and watercourses. Unlike many states Connecticut’s inland wetlands and watercourses law are based on soils -- not vegetation or other indicators. This sometimes causes confusion with the public and commission members; especially when a visual inspection is made of a particular site that may not ‘look like a wetland.’ Wetlands are a natural cleansing agent – providing pollution treatment by serving as a biological and chemical oxidation basin. They provide flood and storm control by the hydrologic absorption and storage capacity.
Wetlands provide wildlife habitat for a wide range of terrestrial and semi-aquatic animals and numerous plant species. This includes breeding, nesting, and feeding grounds -- including waterfowl, migratory birds, and rare, threatened, or endangered wildlife species. Wetlands protect subsurface water resources and provision of valuable watersheds and recharging ground water supplies. They enhance erosion control by serving as a sedimentation area and filtering basin, absorbing silt and organic matter. Additionally, wetlands serve as sources of nutrients in water food cycles and nursery grounds and sanctuaries for fish. Finally, wetlands provide great recreation and education opportunities for people. It is important to note that the wetland itself is only part of the ecosystem that makes up a “wetland.”
The area outside the wetland has direct and indirect influence on the quality of the wetland and those organisms that depend on the wetland. This area, known as “Upland Review” areas may vary in shape and size. Connecticut does not employ a simple buffer method around wetlands. Connecticut employs a flexible approach whereby areas or activities, regardless of their distance from a wetland, may be regulated if such area or activity may adversely influence the wetland.
Recreational Space
Union has an abundance of natural areas to easily serve the future needs of any natural resource based recreation (hiking, biking, fishing, hunting, etc.). Outdoor recreation activities (hunting, fishing, hiking, biking, and snowmobiling) abound in the Town. This attracts many persons outside of the Town on a year-round basis. There may be needs for organized recreational activities (soccer, baseball, tennis, etc.). There are a variety of methodologies used to calculate future recreational resource needs. The current Town Open Space Plan references several. Additionally, the Town may require an open space set-aside when subdivisions are proposed as a means of addressing the recreation/open space needs generated by that development.
Protecting Open Space
In 1963 the General Assembly created a new law that allows farm, forest, and open space properties to be taxed at their use value as opposed to their market value. Public Act 63-490,
It is hereby declared
1. that it is in the public interest to encourage the preservation of farm land, forest land, open space land and maritime heritage land in order to maintain a readily available source of food and farm products close to the metropolitan areas of the state, to conserve the state's natural resources and to provide for the welfare and happiness of the inhabitants of the state,
2. that it is in the public interest to prevent the forced conversion of farm land, forest land, open space land and maritime heritage land to more intensive uses as the result of economic pressures caused by the assessment thereof for purposes of property taxation at values incompatible with their preservation as such farm land, forest land, open space land .... Sec. 12-107a. Declaration of Policy
Use Value Assessment law addresses the classification of land as open space, farm, and forest land. The three categories are administered differently. The forest designation has a minimum requirement of 25 acres and certification by the State Forester. The farm designation is contingent on meeting six criteria - evaluated by the town assessor. The open space designation is predicated on the town's planning commission. The statute (Section 12-107e) "the planning commission of any municipality in preparing a plan of conservation and development for such municipality may designate upon such plan areas which it recommends for preservation as areas of open space land, provided such designation is approved by a majority vote of the legislative body of such municipality." Currently, Union extends the open space designation to any property over the three acre minimum lot size established for residential use.
Natural Data Diversity Data Base
Legend
- NDDB Locations
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Soils
This map is for planning purposes ONLY -- it contains NO authoritative data
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
Source: NECCOG and Connecticut Department of Environmental Protection
Surficial Materials
Legend
- Deposits of Ice Dammed Ponds
- Deposits of Sediment Dammed Ponds
- Floodplain Alluvium
- Swamp or Tidal Marsh Deposits
- Thick Till
- Till
- Undifferentiated Meltwater Deposits
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Ag Soils
Legend
- IMPORTANT FARMLAND SOILS
- PRIME FARMLAND SOILS
This map is for planning purposes. ONLY - it contains NO authoritative data.
Source: NFCCUG and Connecticut Department of Environmental Protection
Regional Drainage Basins
Legend
- Natchaug
- Quinebaug
- Willimantic
This map is for planning purposes ONLY - it contains NO authoritative data.
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
Sponsors: NECCOG and Connecticut Department of Environmental Protection
Sub Regional Drainage Basins
Legend
- Bigelow Brook
- Breakneck Brook
- Fenton River
- Furnace Brook
- Hamilton Reservoir Brook
- Littleton Brook
- Mount Hope River
- Roaring Brook
- Still River
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: U.S. Census and Connecticut Office of Environmental Policy
Dams
Legend
- Dam Locations and Names
This map is for planning purposes ONLY --it contains NO authoritative data
Union, Connecticut - Plan of Conservation and Development, 2020 – 2030
Source: NECCOG and Connecticut Department of Environmental Protection
FEMA Flood Zones
Legend
- 100 Year Flood Zone
- Other Flood Areas
This map is for planning purposes ONLY – it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Surface Water Quality
Legend
- A
- AA
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Groundwater Quality
Legend
Groundwater Quality
GA
GAA, GAAs
ToGA, GAA
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NEK COG and Connecticut Department of Environmental Protection
Wetlands
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- Wetland Soils
- Upland Review Area
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NECCO and Connecticut Department of Environmental Protection
Roads and Infrastructure
Union, like most communities (especially rural ones) is auto dependent. During the next ten years this will not change. Accordingly, maintaining the Town’s road network in a safe condition is a primary objective. As of December 31, 2008, Union contained a total of 43.18 miles of maintained roads. The State maintained 19.46 miles of these roads (45 percent of the total) within the Town and the Town maintained 23.72 miles of road (55 percent). Other than drainage systems related to the Town’s roadways, Union does not have any public sewers or any public water supplies. The prospect for either is remote and many residents expressed their strong desire not to allow such infrastructure in the future. The reason for this opposition is that such an introduction of infrastructure would accelerate development incompatible with the rural character of the Town.
The Town’s road system and other infrastructure items are managed by the Public Works Department. Funds for road projects are primarily from State and Federal sources: Town Aid Road (TAR) program, State Economic Assistance Program (STEAP), and the Federal Collector Program. TAR funding levels dropped significantly from the 2000 fiscal year to the 2003 fiscal year. While funding for roads now has improved, road improvement options are limited to routine maintenance and limited upgrades. Costs to reconstruct a road can range up to $150,000 per mile depending on the type of work required. The challenge for the Town, through the Public Works Director, is to earmark funds where they will gain the most benefit for the Town. The Town has decreased its investment in the Public Works Department. The majority of that reduction came from the road maintenance portion of the Public Works budget. The other line items have remained static. The Town currently has two full-time persons and secures seasonal (snowplowing and mowing primarily) help on a part-time basis. The Public Works Director, in addition to administrative duties is a working supervisor. Five years ago, the Town had three full-time workers (including the Director). The size of the staff and the overall budget are comparable to other towns in the region. The Public Works Department has responsibility for the following:
- Town Road Management: This includes mowing and brush cutting along Town rights-of-way, replacing/repairing signs and fences, plowing in the winter and sweeping in the spring, patching potholes as needed, installation of drainage, cleaning catch basins, removing road kill, cleaning and repair as the result of storm damage, and the
maintenance of equipment related to road maintenance. Currently, the Department has three dump trucks, one pick-up truck, a backhoe, a roadside brush chipper, mowing equipment, and various other smaller tools to complete their tasks. The Public Works Department does not itself build or do major reconstruction of Town roads; most of this work is subcontracted by the Town to private contractors. However, the Department is responsible for the investment strategy that decides where funds are invested. The Department, through its Director, is responsible for coordinating with Town contractors for such things as road construction, oiling, and catch basin cleaning. The Department will do some drainage work related to these projects as well as other related work as a means to save monies for the Town.
- Public Buildings, Grounds Maintenance and other Duties: Transfer Station: Public Works duties include plowing/sanding and cleaning the facility, mowing and trimming grassed areas, removal and hauling of materials (cardboard bales, batteries, and tires) in coordination with the contractor, repairs to equipment in coordination with contractor, and covering shifts when the operator is unavailable. Town Office, Public Works Building, Library, Historical Building, Town Grove, and four cemeteries: Public Works duties include plowing and sanding, mowing and trimming (including baseball and soccer fields at the school), digging and setting of foot or headstones, general maintenance of equipment, moving furniture, changing light bulbs, broken windows, etc....
- Driveway Permits: The Department issues driveway permits for all Town roads.
- State Reporting: All required State reports for roads and the Transfer Station are prepared and submitted by the Public Works Department.
- OSHA Compliance: The Department must ensure that all activities are compliant with State and/or Federal rules to protect both the public and the employees.
- Budget Preparation and Administration: Department (through the Director and in coordination with the First Selectman) is responsible for the preparation and administration.
- **Grant Procurement and Administration:** The Department (through the Director and in coordination with the First Selectman) seeks assistance through available funding sources. If secured, then the Department is responsible for their proper usage and reporting.
Union is bisected by Interstate 84 and approximately 11 miles from the Massachusetts Turnpike (Interstate 90). The Town is within reasonable distance to the major population centers of New England: 45 miles from Springfield, MA, 33 miles from Hartford, CT, 30 miles from Worcester, MA, and 68 miles from Boston. Many of the Town’s residents commute to work from Union to one of these locations. The Town also hosts hundreds of daily commutes through the Town as persons use the Town as a short-cut to Interstate 84 and back on a daily basis. All of which places additional burden on the road system.
Union has easy access to Bradley International Airport for air travel. Residents may also access airfields in Worcester, Providence, and Boston. Passenger train service is available in Hartford and Worcester; making access available to the Boston and New York metro areas.
Streets
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NAME
- BORDER (ON MAP ONLY)
- BREAKWATER
- State Rd
- Interstate
- Expressway
- Roadway
- Boulevard
- Parkway
- Park Trail
- Other
- Cemetery
- Dr - Aerial
- Dr - Not Drivable
- River
- Drainage
- River - Brook
- Stream
- Canal
- Reservoir
- Recreation Facility
- Waterbody
- Street
- Sidewalk
- Vehicle Cross
- Waterway
- Waterbody
This map is for planning purposes ONLY—it contains NO authoritative data.
Source: NECCD9 and Connecticut Department of Environmental Protection
Education
Education is a fundamental responsibility for Union. The town is mandated to supply elementary and secondary education for its residents. This charge is the most expensive obligation of the Town. Total Town expenditures per pupil for PK-12 based upon the (2007-2008) Strategic School Profile are 13,118. Expenditures for the Elementary School are $11,628 compared to the state average of $12,151.
The Union School provides K-8 elementary and middle school education for the town’s residents. Stafford High School, Woodstock Academy, Windham Vocation Technical School, the Rockville VoAg program and the ACT magnet school provide secondary and vocational education options. The Town also provides required Special Education services to Special Needs students on an as needed basis. The Union Elementary School is fully integrated with the latest in computer technology ensuring students and staff ready access to a range of education options. Enrollments have been consistent between 70 to 80 elementary students. However, secondary enrollments have gone from 22 in 2002-3 to 39 in 2006-07. Total enrollments anticipated to be at or near 125 students (k-12). The Town completed a new school in 2010 that should meet the education needs of the Town for the future.
The Town consistently out performs students in other school systems on the Connecticut Mastery Test. The Town is also within fifty –miles of 30 colleges and universities including the University of Connecticut at Storrs.
Economics
Union’s economic well-being, like other municipalities, is tied to that of the State, Nation and World\(^{14}\). The primary purpose for the pursuit of economic development is to lower the tax burden -- especially for residential taxpayers - which make up the majority of the property tax revenue in Union. The 2009-10 Mill Rate (a mill is equal to $1.00 of tax for each $1,000 of assessment) for Union was 22.63.
Compared to other Connecticut towns (using an equalized mill rate) Union ranks 30th with an equalized mill rate of 11.36 (2005-06). The tax burden per capita ($2,255) ranks 65th highest in 2008. The average per capita tax burden for the state in 2008 was $2,308. The goal, in short, is to grow the Grand List.
The money Union raises by taxing real estate, motor vehicles and business equipment toward general government operations, transportation, education and other services forms the town’s “Grand List.” The grand list is a compilation of all the taxable property in the town. The equalized mill rate (Towns set their tax rates in mills. Each mill equals $1 in taxes for
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\(^{14}\) This plan does not attempt to speak to the larger economic issues beyond the control of the Town. The focus is on what Union can do to enhance its economic well-being as a means to develop compatible businesses/jobs and ease the tax burden on business and homeowners.
every $1,000 in assessed property), is a way to measure a community’s tax burden and compare it to other towns in Connecticut. The equalized mill rate is derived from the most recent available grand levy (total taxes generated) of a town divided by the equalized net grand list (real estate, business equipment and motor vehicles) on which such levy is based. The higher the equalized mill rate, the higher the town property tax. Property values are updated on a five year basis. The process is called “Revaluation” and is mandated by State statute. The Town’s last revaluation occurred in 2008.
The Town, under its zoning regulations, provides significant flexibility and opportunity for business development. Along with the three specific economic development zones (Retail Trade, Commercial/Industrial, and Special Development) the town provides a range of opportunities for commercial ventures within the Rural Residential Zone for Rural Industries. Section 3.09 of the Regulations states, in part: “The purpose of these regulations [Rural Industries] is to provide economic opportunities in rural areas by permitting the operation of small businesses and industries which, because of their limited size, large setbacks, sidelines and open space requirements, will be capable of existing in otherwise residentially zoned areas without any adverse affects on the quality of life, environment, aesthetic values and property values in such areas.” In the case of a Rural Industry, the minimum lot size is five acres - compared to three acres for a residential structure (which might also be a home occupation. In both the Retail Trade Zone and the Commercial/Industrial Zone no single building is allowed to exceed square feet in size. Currently (2009) the Town contains 15 businesses - employing 154 persons (68 of these persons are Union residents). While Union does not have a large number of businesses, these include real estate, restaurants, and specialty services. Many businesses are home-based and look to be just homes. All the surrounding towns have residents who work in Union. These range in size from one employee to several employees. The Town has no large (50 or more employee) business. In August 2008 the Town’s total work force was 475 with 460 person’s employed and just 15 unemployed (3.2 percent). In February 2010 the Town had a workforce of 481 persons with 447 employed and 34 persons unemployed -- which translates to an unemployment rate of 7.1 percent. This compares to Connecticut’s 9.1 percent unemployment rate and the nation’s 9.7 unemployment rate for February 2010.
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15 Section 3.09.01, Town of Union Zoning Regulations
Collectively, the Town’s businesses contributed less than 10 percent to the Town’s Grand List. Total retail sales in Union has been in decline. In 2006 retail sales totaled just over 3.3 million dollars. Compare this to retail sales in 1997 of $4.4 million and $7.2 million in 1995. Most of the people that are employed outside of the Town are employed in Stafford (40) -- this is followed by Mansfield and Hartford with 23 each. While the Town may lack a bank, medical services, supermarket, fast food or gas -- these are each readily available in most of the neighboring towns. During this plan’s development a recurring point was that the town should encourage business so long as it respects the special character of the Town. Due to the Town’s small population base and need to provide a range of public services it is important that the Town find ways to diversify its Grand List as a means of minimizing the tax burden on its residents.
A key economic strength of Union is location. The Town has easy access to the major economic/population centers in New England and the Northeast -- including transportation resources (air, rail, and roadway). The Town is in proximity to the Massachusetts Turnpike (I-90) - a major east-west connection. However, making potential patrons of Union businesses aware of their existence is a challenge on the interstate system. One suggestion made during the Plans development was to locate a welcome/information center near or at Exit 74. Many states (notably Vermont) have such centers which can enhance awareness of local business. Interstate 84, which handles more than 18 million vehicle trips per year, bisects the Town and has three interchanges (Exits 72, 73, and 74). While the three interchanges have significant limitations due to natural resources (primarily wetlands) there are lands that could be developed in and around these sites.
• Exit 72: On the Ashford Line in the southern end of Town Exit 72 intersects with Route 89 (just south of Route 190) currently has a limited amount of commercial activity.
- Exit 73: This interchange has the greatest number of limitations in the immediate vicinity of the interchange with Route 190. However, lands to the east and west of the interchange along 190 toward Stickney Hill Road and Barrows Road may offer opportunities for development.
- Exit 74: Just south of the State line with Massachusetts, this interchange has had the most development and appears to have the most potential for additional development. Currently, a potential travel center project, located primarily in the town of Holland may bring more activity to Exit 74. However, what direct benefits to Union or unintended consequences are not known.
Another potential area for commercial development may be along Buckley Highway (Route 190) between Kinney Hollow Road and Cemetery Road. This area is the historic center of the Town and is well traveled by residents and persons using Route 190 to get to Interstate 84. Given the historic nature of the area guidelines would have to be used to ensure compatibility with existing uses and the historic aspects of the center. The average daily traffic count for this section of roadway is about 2,500 (17,500 per week or 910,000 per year).
Union is home to a number of agricultural enterprises. These include dairy farming, seed production/distribution, Christmas trees, goat products, and forestry. Residents clearly want agriculture to be part of the Union landscape and economic profile. Of special note is the remaining dairy farm (Bradway’s) located on the western side of town. Dairy farming is land intensive and unique in its economics. Dairy farmers do not operate in the normal market place. The price they receive for the milk they produce is regulated by a national pricing system. The price paid for a gallon of milk has little relation to the farmer and their price to produce that gallon of milk. In Connecticut, the price paid to farmers is at or below what it costs to produce. That system has failed for years to provide a fair rate of return for our local farmers -- resulting in more than a fifty percent reduction in the number of dairy farms in Connecticut during the past 15 years. In response to this the General Assembly enacted a new law in 2009 specifically to assist dairy farmers with a financial supplement for milk produced. The
| Sector | Establishments | Employment |
|---------------------------------------------|----------------|------------|
| Agriculture | 9.1% | 10.7% |
| Construction and Mining | 18.2% | 17.9% |
| Manufacturing | 9.1% | 10.7% |
| Trade | 45.5% | 50% |
| Finance, Insurance and Real Estate | 9.1% | 10.7% |
Source: DECD
Town’s vast forest resources provide ongoing economic activity and much potential. This not only includes raw products, but value added products such as flooring, saw dust, pellets, and furniture blanks.
During the preparation of this plan it was suggested, due to the unique geography of the Town, that Union may be a candidate for a wind energy project. This suggestion came from a representative of Yale University. Apparently Yale has conducted some preliminary research that indicates that a wind turbine system could operate efficiently and effectively in Union. The reason for this has to do with the elevation of Union compared to surrounding areas. Union is higher than any town in the region. The economic opportunities for the Town are significant if such a project could be realized.
A significant part of the Town’s economic well-being relates to working lands (farm and forest production) and open space. The cost of providing town services is substantially less for these lands. This data shows clearly these differences and the reason for maintaining lands in farm, forest, or open space. “While it is true that an acre of land with a new house generates more than an acre of hay or corn, this tells us little about a community’s bottom line. In areas where agriculture or forestry are major industries, it is especially important to consider the real property tax contribution of privately owned working lands. Working and other open lands may generate less revenue than residential, commercial or industrial properties, but they require little public infrastructure and few services.” Union, because of its extensive working lands and open space, coupled with natural resource (wetlands, floodplains, ledge, etc.) has a great deal of limitation on growth. However, those same limitations work to hold down municipal service related expenses.
16 Cost of Community Services Study, American Farmland Trust, 2005
Future Land Use
The Union Future Land Use Map, shown on page 58, illustrates the desired pattern of land uses. The map uses the same categories as that used by the state in their plan of conservation and development Locational Guide Map. Descriptions of each land use category are provided in Appendix A. The map found on page 57 shows areas with development constraints. This map clearly demonstrates that the Town has significant limitations on future development (residential and/or commercial). Much of the land in Union either cannot be developed or has severe development constraints. These constraints include lands owned by the State (Natchaug Forest), institutional lands (Yale Forest), water resources (including wetlands), steep slopes, rights-of-way, and generally poor soil conditions not conducive for development. The reality of the landscape was one of the reasons the Town was the last town to be formed in eastern Connecticut. Today, the landscape coupled with the large areas of lands in either state or institutional ownership is why the Town has the smallest population in the State. There simply is not much available land for development (of any type) to take place.
The limitations on development has a direct correlation on the number of homes that might be built in the Town. This includes affordable housing units. The lack of developable lands also limits economic diversification. Development limitations do ensure that one of the most rural parts of Connecticut remains undeveloped. This reality is positive for wildlife, plants and other natural resources that are scarce throughout much of the State.
The map (page 58) shows that the state’s vision of the Town’s future development differs little from that of the Town. There are two differences between the two plans:
- The Union Plan shows the Yale-Meyers Forest and Boy Scout Camp as “Institutional/Non-Profit Lands” where the State shows these lands as “Existing Preserved Open Space.” Neither land holding is permanently protected and have the potential to be developed. Accordingly, the Town believes that they should be shown in a more accurate state.
- The current State Plan shows no areas within the Town as “Growth Areas.” Union believes that the areas in and around the three interstate interchanges are appropriate places for commercial growth. This is especially true for those lands associated with Exit 74. This plan makes no suggestion as to the type of growth that might take place at these locations. However, given the current character of the Town, abundance of natural resources and the approaches taken
Constrained Areas for Development
Legend
constrained areas
This map is for planning purposes ONLY -- it contains NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
Town Plan of Conservation and Development 2010-2020
Legend
- Institutional/Non Profit Lands
- Existing Preserved Open Space
- Preservation Areas
- Town Growth Areas
- Conservation Areas
- Rural Community Center
- Rural Areas
This map is for planning purposes ONLY - It includes NO authoritative data.
Source: NECCOG and Connecticut Department of Environmental Protection
in the current zoning regulations (i.e. size limitations for structures) much care should be given to ensure that development does reflect the values of Union.
Page Left Blank Intentionally
Goals, Objective, and Policies/Strategies
The goals, objectives, and policies/strategies of the Plan serve as guidelines and actions for directing future growth and planning in the Town. These guidelines are broad enough to cover all major planning areas, but are specific enough to guide and evaluate the progress of the plan.
- Goals establish the general, long-term desired policies/outcome that, if implemented, will preserve the positive aspects of the Town and improve those aspects that are less desirable.
- Objectives are the short-term policies/actions which, if achieved, will serve to implement the long-term goals. Objectives are specific, measurable, achievable and politically, legally, and financially feasible.
- Policies/Strategies describe “how” the desired outcome will be achieved. They correspond directly to the objective they serve.
Natural Resources
Goal:
The continuance of the unique natural characteristics of the Town that contribute to the Town’s identity and quality of life of its residents.
Objectives:
- Minimize development impacts that could affect the water quality and habitat of lakes, ponds, streams, floodplains, and wetlands.
- Protect the wildlife habitat in the Town and strive to enhance the natural diversity of the Town’s plants and animals.
- Require the setting aside, as permanent open space, lands located in critical areas of Town which would serve the needs of future generations for outdoor passive and active recreational opportunities.
- To protect marginal lands from uncontrolled development.
- To conserve and protect environmental and ecological assets encompassed in Union’s inland wetland and watercourses.
- To approve or consent to tax concessions to prevent unwarranted runaway development upon undeveloped lands.
Policies/Strategies
- The outright purchase of lands with open space or conservation potentials in terms of future community goals, needs and interests.
• The acquisition of open space or conservation lands through subdivision open space set-aside option and consideration of cash in lieu of open space to place in a special fund to acquire desirable open space
• The acquisition of open space or conservation easements when such actions will protect/enhance natural resources
• The full use the so-called 490 Program (use-value assessment) for farm, forest and open space. Specifically, the open space provision should cover all lands over the minimum lot size.
• Promote sustainable development practices, in coordination with the University of Connecticut Cooperative Extension System and other agencies, including but not limited to low-impact development techniques for stormwater management
• Pursue regional solutions for the protection of natural resources, such as streams and groundwater aquifers that cross municipal boundaries.
• Encourage land owners to voluntarily restrict the development potential of property through grants of conservation easements, rights of first refusal to the town or other appropriate protections in areas designated for open space uses such as agriculture and resource conservation.
Historic and Cultural Resources
Goal:
The maintenance and preservation of the historic and/or cultural structures and sites that contribute to the Town’s heritage and help to define its character.
Objectives:
- The proper maintenance and continued integrity of historic resources including structures, documents and landscapes.
- The nomination and listing of qualified historic resources on the State and/or National Register of Historic Sites.
- Increase community support for historic preservation
Policies/Strategies
- Consider modification to Subdivision and Zoning regulations to include a comprehensive archeological review and all available measures, including purchase of archaeological easements, dedication to the Town, tax relief, purchase of development rights, consideration of reasonable project alternatives, etc., should be explored to avoid development on sensitive archaeological sites.
- Continue to survey, document and evaluate historic and potentially historic resources for designation, recognition, and protection
- Modify the Town Library to meet ADA requirements
- Work with the historical society encouraging the adaptive use of historic buildings
- Additions or alterations to historically significant structures should conform to the style and period of the initial construction as much as possible. Development of adjacent properties should be encouraged to be sympathetic to listed historic sites by acknowledging and including historic forms, materials, and architectural details in their design.
Transportation
Goal:
A safe and efficient road system that addresses current and future needs of the Town.
Objectives:
- Prioritize needed road and intersection improvements and create a Town road improvement program to address identified maintenance and safety issues.
- Full use of available state and federal funding
- New and existing roads in the Town are designated, designed, and maintained according to their appropriate functional classification.
- Minimize the impact of new transportation improvements on existing development and natural resources
Strategies/Policies:
- Conduct an inventory of all pavement in terms of condition and utilize the “Best First” approach as suggested by the University of Connecticut Transportation Institute
- All Town Public Works personnel will become certified through the Connecticut Transportation Institute Road Master Program and attend training as available resources allow
- Road improvements and new road alignments will be designed to avoid or minimize disturbance to identified historical or cultural resources, where feasible
Housing
Goal:
Housing consistent with the rural character of Union that is affordable to all persons within the Town
Objectives
- Protect existing residential uses from intrusion by incompatible or undesirable land use activities
- Protect natural resources from adverse impacts due to housing development
- Affordable housing for the range of economic segments and life stages
Strategies/Policies
- Maintain land use regulations in order balance the ability to develop property with the need to protect natural resources
- The Town shall assist property owners in the identification, preservation, and protection of historical and architecturally significant housing by providing referral to the appropriate governmental and other agencies, the Town shall assist property owners in the identification of historically significant structures.
- The Planning and Zoning Commission shall study possible options to encourage affordable housing while maintaining the essential character of the Town.
Education
Goal:
All students will acquire the knowledge and skills necessary to achieve their highest potential.
Objectives:
- Adequate educational facilities and programs serving local community needs should be provided as needed.
- Students will perform at or above a proficient level on tests administered by the District.
- Our students will be provided the opportunity to succeed with the guidance of a highly qualified staff.
- The District will demonstrate sound financial management in optimizing the taxpayer dollar.
- Children birth through age 5 are prepared to succeed when they enter school.
Strategies/Policies:
- Work with the community to build a modern school building.
- Make use of the expertise, experience and networking resources of local education resource centers to provide staff support, student services, program review, organizational cohesion and economics of scale.
- Develop and implement specific service delivery models for regular student and students in need of support.
• Develop an organizational structure that fuses the best characteristics of a rural K-8 system with a middle school structure for students in grades 5,6,7,8.
• Provide the technology and training for a more efficient use of student data and teacher accountability in implementing service delivery and updated curriculum to students.
• Work with local and state officials to remove unfunded mandates and make it easier for local school districts to share resources.
Governance
Goal:
Cost-effective, appropriate and responsive services as required by law and those responsive to the needs, as expressed by the residents of Union.
Objectives:
- Appropriate Town services and facilities necessary to conduct the business of the Town
- Adequate fire, police, and emergency medical care for the health and welfare of citizens and property
Strategies/Policies:
- Update the Capital Improvement Program (CIP) annually, or as determined necessary with the approval of major new developments or major POCD amendments not considered in the adopted Capital Improvement Program.
- Maintain the Town’s Emergency Operations Plan
- Coordinate with local and State Offices of Emergency Services utilizing the National Incident Management System (N.I.M.S.) in order to coordinate multi-agency emergency response.
- Cooperate with regional approaches for the planning, construction, operation and maintenance of drainage and flood control facilities
Economic Development
Goal:
A strong local economy consistent with a sustainable natural environment, rural character and a high quality of life to provide:
- Employment and other economic opportunities for residents of Union
- Strong commercial areas to serve the needs of the Town
- Supportive Business Approach
- A solid tax base to support local services
Objectives:
- A positive image of the Town as a vibrant, desirable place in which to live, work, shop, and visit.
- That Town government - its processes, staff and leadership - are welcoming and helpful to businesses seeking to start, expand or locate in the Town.
Policies/Strategies
- Continue to support the Last Green Valley as the lead marketing organization for recruiting visitors to Union and the Quinebaug Shetucket national Rivers Heritage Corridor
- Promote farm-based retail activities to protect against the loss of agricultural lands
- Support regional strategies to attract visitors to the area in ways that balance the economic benefits from tourism with the economic costs of expanded traffic and use of public facilities and services
Land Use
Goal
Manage growth in a proactive rather than reactive way that maintains the rural character and protects the natural resources of the Town.
Objectives
- To promote a community comprised largely of single-family neighborhoods in an open and natural setting together with logical commercial areas that serve the local community
- The continuation of production agriculture and forestry operations
- Maintain the Open Space policy as stated in the Town’s Open Space Plan for the state’s use-value assessment law.
Strategies/Policies:
- Maintain current land use regulations -- modify only after demonstration that such changes will enhance the goals/objectives of this Plan and the Town’s Open Space Plan
- Coordinate planning with neighboring jurisdictions in order to ensure compatible land uses.
- Maintain the Town’s policy, as adopted by Town Meeting, to designate "Open Space Land" for purposes of taxation under said statutes\(^{17}\):
\(^{17}\) The following is from the Town’s Open Space Plan (Appendix B) as adopted
1. All unimproved contiguous parcels of land held in single-unit ownership in excess of three (3) acres located within any zoning district within the Town of Union;
2. All validated wetlands, excluding house lots, as shown on the latest amended map entitled "Inland Wetland Map".
The following are excluded from Open Space Land classification:
1. Any land containing improvements such as but not limited to home sites, swimming pools, tennis courts, accessory buildings and septic systems;
2. Any land legally subdivided into residential building lots and thus filed in the Office of the Town Clerk bearing subdivision approval by the Union Planning and Zoning Commission;
"The designation as Open Space Land does not imply approval for purchase, condemnation or lease thereof by the Town."
Appendix I
State Plan of Conservation and Development
Category Description\(^{18}\)
GROWTH AREAS (Map Color Code: Beige)
High priority and affirmative support toward concentration of new growth that occurs outside of Regional Centers and Neighborhood Conservation Areas into specified areas capable of supporting large-scale, mixed uses and densities in close relationship to the Regional Centers.
- Growth Areas are lands near Regional Centers or Neighborhood Conservation Areas that provide the opportunity for staged urban expansion generally in conformance with municipal or regional development plans.
- These lands reflect moderately developed areas with vacant, developable lands, existing or planned water or sewer services, and the potential for future mixed use and intensive development of areawide significance.
- Growth areas have transportation services or the opportunity to promote public transportation services and patterns of development supportive of energy conservation and air quality programs.
RURAL COMMUNITY CENTERS (Map Color Code: Yellow)
Cluster in locally designated centers the relatively higher intensity land uses of residential, shopping, employment, and public facilities and services occurring in rural communities.
In the state’s more rural communities, Rural Community Centers reflect existing mixed use areas or places that may be suitable for future clustering of the more intensive housing, shopping, employment, and public service needs of municipalities outside of urban development areas. Rural Community Centers are areas where small-scale community systems of water supply, waste disposal, and public services are appropriate but large-scale public service systems should be avoided.
EXISTING PRESERVED OPEN SPACE (Map Color Code: Dark Green)
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\(^{18}\) Material adapted from the Connecticut Office of Policy and Management Locational Guide Map Description
Support for permanent continuation as public or quasi-public open space, and discouragement of sale and structural development of such areas except as may be consistent with the open space functions served.
Existing Preserved Open Space represent areas in the state with the highest priority for conservation and permanent use as open space. They include:
- federal, state, and municipal parks, forests, trail and greenway corridors and other selected open spaces;
- major open space preserves in quasi-public ownership;
- Class I water utility owned lands and state owned lands that meet the definition for Class I land as contained in regulations of the Department of Public Health for existing and potential reservoir and diversion sites.
- Class I water utility owned lands within Aquifer Protection Areas (Sec. 22a-35h(10))
PRESERVATION AREAS (Map Color Code: Medium Green)
Foster the identification of significant resource, heritage, recreation, and hazardous areas of statewide significance and advocate their protection by public and quasi-public agencies in their planning and investment decisions. Avoid support of structural development except as directly consistent with the preservation values.
Preservation Areas are lands that do not reflect the level of permanence of Existing Preserved Open Space but which nevertheless represent significant resources that should be effectively managed in order to preserve the state's unique heritage. They include:
- water supply watershed lands that conform to the Department of Public Health's Class I criteria, except are not owned by a water utility or the state, as related to both existing and potential surface water supplies;
- land not in water utility or state ownership that is within 200 feet of a well in an Aquifer Protection Area;
- floodways/wave hazard areas include lands which are or may be defined under the National Flood Insurance Program/the state's Channel Encroachment Line Program/the Coastal Area Management Program;
- inland wetlands;
- tidal wetlands and other coastal resource areas as designated by the Connecticut Coastal Area Management Program;
- existing water bodies;
- agricultural or forest lands for which the development rights have been acquired;
- locations of State Endangered, Threatened and Special Concern species and their essential habitats (not currently mapped);
- potential major outdoor recreational areas including impoundments, diversion pools, recreational streams, and public beaches, as identified by the Connecticut Water Resources Planning Program and/or the Statewide Comprehensive Outdoor Recreation Plan;
• open space areas including areas designated in local plans and approved by the local legislative body to permit reduced value assessments;
• designated natural or archaeological areas of regional or statewide significance.
CONSERVATION AREAS (Map Color Code: Light Green)
Plan and manage, for the long-term public benefit, the lands contributing to the state's need for food, fiber, water and other resources, open space, recreation, and environmental quality and ensure that changes in use are compatible with the identified conservation values.
Conservation Areas represent a significant portion of the state and a myriad of land resources. Proper management of Conservation Area lands provides the state with its best opportunity to provide for the state's future need for food, fiber, water and other resources. They include:
• Class II public water supply watershed lands, as defined in the Department of Public Health regulations, irrespective of ownership, as related to existing and potential surface water supplies, unless designated either as a Neighborhood Conservation Area of a Growth Area;
• those portions of Level A or Level B Aquifer Protection Areas that are not classified as Existing Preserved Open Space or Preservation;
• flood fringe areas which are, or may be, defined under the National Flood Insurance Program/state’s Channel Encroachment Line Program/Coastal Area Management Program as areas subjected to 100-year flood and not included in the floodway;
• scenic areas--ridgelines, scenic highways, coastal bluffs, trails; greenways or other areas associated with the protection and enhancement of existing major investments in public open space and recreation (Scenic and recreational river corridors are identified in the Plan as in previous editions. These will be superseded by stream segments to be designated under the Protected Rivers Act);
• sand and gravel resources with 50 acre feet or more of construction aggregate commodities;
• prime agricultural lands--active agricultural lands or prime soils of 25 or more acres of contiguous land;
• historic areas--sites and districts of national, state and local historic designation and other areas of statewide historic significance;
• previously identified scenic and recreational river corridors, until replaced in the future by formally designated Protected Rivers;
• potential major outdoor recreational areas, and;
• natural areas of local significance, including conservation easements.
Rural Lands (Map Color Code: White)
RURAL LANDS Discourage structural development forms and intensities which exceed on-site carrying capacity for water supply and sewage disposal and therefore cannot function on a permanent basis and are inconsistent with adjacent open rural character or conservation areas or which are more appropriately located in Rural Community Centers.
Rural Lands are those areas falling outside any other Guide Map category.
Appendix II
Please note that this plan is placed in the Plan of Conservation and Development for Information Purposes ONLY -- it is not part of the POCD
TOWN OF UNION, CONNECTICUT
PLANNING
FINDINGS AND PROPOSALS
OPEN SPACE PLAN
A. INTRODUCTION
The purpose of this plan is to assist community officials to secure meaningful open space areas and corridors within the Town of Union to meet the demands of future population and concurrently aid in the protection of environmentally sensitive natural resources and assets. The plan attempts to suggest methods, guidelines and criteria to secure open spaces in a progressive manner proportional to community growth and population needs. The plan emphasizes the importance of retaining, free of development and in perpetuity, sensitive areas which play important roles in sustaining ecological balance and community aesthetics.
B. PRESENT AND FUTURE DEVELOPMENT PATTERN
The privately owned and presently undeveloped lands within Union have casually but successfully combined to render the Town aesthetically pleasing and rural in character. It will be presumptuous to assume, however, that such rural and open character will remain constant or unchanged, or that development pressures will not gravitate upon its physical setting. Pressures for development will slowly but gradually increase as land values, comparative to other communities, will make it more attractive for people to seek development opportunities in Union. The inevitable growth process will thus continue and land consumption will be unavoidable.
As growth continues in its path, more and more land is gradually occupied by the various residential and non-residential land uses, an intrinsic part of the community growth process. Thus, the function of land conservation and open space retention should therefore be less and less questionable as time passes.
As lands best suited for development are consumed for residential and nonresidential purposes, less suitable lands begin to become
more attractive. Less desirable lands are usually steeper in grade. They may be more swampy, or possess poorer percolation qualities. Uncontrolled development upon these lands may render adverse effects to the developer, the home owner and unquestionably to the community. The effects are usually pollution of streams, brooks and other waterways, thus eventual contamination of sources of potable water.
C. SENSITIVE AREAS
Union's present and future residents will, in all likelihood, and for many years to come, depend upon subsurface water supply. Thus, mismanagement of development or sensitive areas could result in severe consequences as it has been in other areas of the state or the nation.
Indigenous of Connecticut's uplands, Union contains numerous streams, brooks, ponds, lakes and other water bodies and wetlands which fulfill important ecological functions and contribute to a large extent in shaping the aesthetic characteristics and natural resources of the community. Natural streams, brooks or water bodies play important roles in refurbishing abutting water table, chief source of potable water and these cannot be duplicated. Vegetation cover on poorly drained soils takes years to rebuild and stabilize; while scenic steep slopes and cliffs are susceptible to erosion difficult to prevent; wetlands are the natural habitat of any common or rare animal species. These ecologically sensitive assets should be retained, protected, and whenever practical, enhanced by preventing destruction or disturbance by unwarranted or uncontrolled development. Conversely, however, less desirable lands possess important environmental wealth which combined with the adverse effects resulting from abuse or misuse render its preservation and protection virtually mandatory. Thus, the very same elements which make marginal lands difficult to develop are the same elements that make these lands desirable for conservation purposes.
D. AREAS FOR PASSIVE AND ACTIVE OUTDOOR ACTIVITIES
While the community is not likely to experience immediate needs to provide land for outdoor recreation opportunities due to its current open space character, planning officials should pursue the "assemblage" of open space lands for the use and enjoyment of future generations. These lands would remain open undeveloped but allocated for outdoor recreational opportunities and would serve as a "land bank" for future use.
There are various methods utilized to determine the amount of open and recreational land that a community should have. In 1940, the NRA (National Recreation Association) suggested an average of one acre of playground area and at least ten acres of recreational space for every 1,000 population. The Baltimore Regional Planning Commission devised standards which suggested 44 acres of open space per 1,000 population to satisfy the needs of various facilities. In its 1965 publication entitled "Open Space for Urban America", the Dept. of Housing and Urban Development suggested four acres of play per 1,000 population.
Reference is made to appendix A of the Plan for recreational and open space standards in terms of population needs.
Connecticut Laws (1) provide local planning and zoning commissions with legislation which enable said commissions to request the setting aside of "open spaces for parks and playgrounds when, and in places, deemed proper by the planning commission, which open spaces for parks and playgrounds shall be shown on the subdivision plan". It has been accepted by courts of jurisdiction that the amount of land that can be requested to be set aside for parks and playgrounds can be in the neighborhood of ten (10%) percent of the total acreage in the subdivision tract.
(1) Sec. 8-25 of the Connecticut General Statutes
E. OPEN SPACE POLICY
It is hereby recommended that Union Planning Officials endeavor to pursue the following open space policy:
1. To require the setting aside, as permanent open space, lands located in critical areas of town which would serve the needs of future generations for outdoor passive and active recreational opportunities;
2. To protect marginal lands from uncontrolled development;
3. To conserve and protect environmental and ecological assets encompassed in Union's inland wetland and water courses;
4. To accede to tax concessions to prevent unwarranted runaway development upon undeveloped lands.
F. RECOMMENDED METHODS TO SECURE OR PROTECT OPEN SPACE OR SENSITIVE AREAS
Several methods have been used by communities to secure open space, or to protect sensitive areas. These methods have been followed by varying degrees of success. It is hereby recommended that the Union Planning and Zoning Commission pursue the following:
1. The outright acquisition of lands with open space or conservation potentials.
From time to time, landowners prompted by personal motivation or interest, offer the sale of their lands to local government at reduced prices with the proviso that upon acquisition these lands remain open and undeveloped. Community officials should assess
the open space or conservation potentials of these lands in light of future community goals, needs and interests. Several matching grants sources are usually funded for these purposes by Federal agencies.
2. *The acquisition of open space or conservation lands through subdivision procedures.*
In many communities, the subdivision regulations contain sections or clauses whereby the developer or subdivider is required to exclude from the total subdivision tract a certain percentage (about 10%) for open space purposes. Open space lands may, at developer's option be conveyed to the community upon approval or filing of subdivision plans or documents. These lands are dedicated open spaces, so described on subdivision plans, and are used for recreational purposes but generally for conservation purposes. In some circumstances developers or subdividers find it more financially convenient to offer monies as donations in lieu of open space lands. Union should not ignore the advantage of this alternative, particularly when the open space which may be otherwise donated may be insignificant, isolated or meaningless. Voluntary monies contributions or donations thus received are set in special "open space funds" and utilized for the acquisition of open space or conservation areas where convenient or warranted.
3. *The acquisition of open space or conservation easements.*
While outright fee simple acquisition of open space or conservation lands is suggested, there may be occasions where such acquisition is unwarranted or may present a hardship to the developer or subdivider. These circumstances however, should not relieve the planning officials from their responsibilities to protect, for example, sensitive areas, wetlands, scenic or historic features, or from enlarging the community open space or conservation holdings. It is therefore suggested that in such instances, planning and zoning officials consider the securing of "open space, conservation or greenbelt easements". These easements to be filed upon subdivision approval should prescribe that lands covered 'by the easements "be retained in perpetuity in their natural state". Such easements do not usually diminish the potential development density; it simply prevents unwarranted development upon specified portions of the property.
5. *The provision of tax concessions to delay unwarranted runaway development*
The release of land for development purposes is usually prompted by the financial burden that maintenance of such land causes upon the landowner. Unable to sustain the financial burden, the landowner places the property on the market. The outcome may very well be development and with it the conversion of undeveloped land into development. Connecticut laws provide (1) for tax concessions by the community while the lands remain open, undeveloped. Community officials should take advantage of this opportunity and provide Union with legislation to diminish financial pressures to dispose of land for development. It is hereby submitted that while P.A. 490 entitles lower assessments for lands totaling 25 acres or more, Union should pursue to extend protection to undeveloped lands above the minimum required lot size up to 25 acres. It is also submitted that such tax concessions should be in effect on or before Union's next re-evaluation program is completed. (2)
6. The provision of legislation creating Union's Conservation Commission.
As community officials endeavor to guide development, Union should pursue the enactment of town ordinances creating a "conservation commission" as provided under Sec. 131a of the Connecticut General Statutes. To said commission, eligible and competent citizens should be appointed to assist community officials, but particularly planning and zoning officials, in arriving at major land use decisions but primarily in guarding open space or conservation lands so conveyed by donors, developers or subdividers.
(1) Conn. General Statutes, Title 12,
Sec. 107a and 107e, and
Sec. 504a thru 504f.
7. The provision of Zoning controls to allow development while enhancing Union's open space holdings.
Union's Zoning Regulations provide for development in lots three acres in size. Conventional development methods have a tendency to consume large tracts of lands which at best can contain 10% of open space lands. Planning and Zoning officials should assess the benefits of "cluster development" whereby developers may concentrate permissible densities in sections of the development tract while leaving as open undeveloped land greater percentages of the subdivision tract. Cluster development is not meant to allow greater density of development, (i.e. more houses than otherwise permitted) it simply allows the concentration of development in less vulnerable subdivision areas, while protecting permanently sensitive areas.
8. Protection of Sensitive Lands.
Under Chapter 440 of the Connecticut General Statutes, inland wetland and water courses within the State are protected through specific regulatory procedures. The Town of Union's Planning and Zoning Commission was appointed by the town's legislative body as the Inland Wetland Commission and duties contained in Chapter 440. It is hereby recommended that Union's Planning and Zoning Commission in its capacity as the Inland Wetland Commission exercise its rights to protect from undue disturbance and unwarranted development of inland wetland and water courses. These land features possess qualities and assets of irreplaceable natural value which the Commission should endeavor to retain for the benefit and enjoyment of future generations. Map entitled "Inland Wetland Map" prepared by the Tolland County Soil and Water Conservation District on file since adoption in the Union Town Clerk's office, delineates inland wetlands and water courses and should be reviewed for applicability as development occurs within Union. It is further recommended that if such inland wetlands and water courses be threatened, planning officials seek protection of same by applying any of the open space and land conservation methods outlined and described as items 1 thru 6 of Section F of this Plan.
CONCLUSION
The recommendations in this Plan are made in light of the present trends, desires and population projections contained in Union’s Plan of Development completed in December, 1970. These factors may change, substantially, thus each recommendation should be separately evaluated and assessed for applicability for each individual case. Union planning officials should endeavor, however, to acquire open space and conservation areas in a progressive manner as development takes place, thus ensuring that the character, beauty, and natural assets of Union are preserved and wherever possible enhanced for future generations.
## APPENDIX A
### POPULATION NEEDS
#### RECREATIONAL AND OPEN SPACE STANDARDS
| Type of Recreational Activity | Space Requirements Per Population | Recommended Size of Facility |
|--------------------------------------------------------------------|----------------------------------|------------------------------|
| **1. Active Recreation** | | |
| Children’s Play Area | 0.5 acres/1,000 pop. | 1 acre |
| Older Children Field Sports | 1.5 acres/1,000 population 1.0 | 15 acres |
| Tennis-Outdoor Basketball | acres/5,000 population 10 | 2 acres |
| Hiking, Horseback, Nature | acres/1,000 population 1-18 | 500 acres mm |
| Golfing | holes/50,000 population | 120 acres |
| **1. Passive Recreation** | | |
| Picnicking | 4 acres/1,000 population | varies |
| Fishing, Rowing, Canoeing | 1 lake/25,000 population | 20 acres water |
| Zoos, arboreturns, Botanical Gardens | 1 acre/1,000 population | 100 acres |
| **1. Other** | | |
| Indoor Recreation Centers | 1 acre/10,000 population | 1-2 acres |
| Outdoor Theaters, Bandstand | 1 acre/25,000 population | 5 acres |
| **1. Recreation Area Standards** | | |
| Playgrounds | 1.5 acres/1,000 population | 3 acres |
| Neighborhood Park | 2.0 acres/1,000 population | 7 acres |
| Playfields | 1.5 acres/1,000 population | 10 acres |
| Community Park | 3.5 acres/1,000 population | 70 acres |
Source: George Nez, *Standards for New Urban Development*, Urban Land Institute, Washington, D.C.
Amendment to Open Space Plan (March 1, 1978)
Eligibility of Open Space Land for Tax Purposes
Pursuant to Paragraph 4, Section F of Union's Open Space Plan, it is in the public interest to prevent the forced conversion of open unimproved land to more intensive development as the result of financial pressures caused by the assessment thereof. The preservation of land should be encouraged in these situations where the tax burden has become prohibitive or unmanageable in order to prevent sudden runaway growth. Such preservation will not restrict development but it will allow for orderly planned growth over ensuing years. Therefore, pursuant to the declaration of policy enunciated by and the authority provided by Title 12, Section 107a and 107e, and Section 504a thru f of the Connecticut General Statutes as amended, the following land is designated "Open Space Land" for purposes of taxation under said statutes:
1. All unimproved contiguous parcels of land held in single-unit ownership in excess of three (3) acres located within any zoning district within the Town of Union;
2. All validated wetlands, excluding house lots, as shown on the latest amended map entitled "Inland Wetland Map".
Exclusions
The following are excluded from Open Space Land classification:
1. Any land containing improvements such as but not limited to home sites, swimming pools, tennis courts, accessory buildings and septic systems;
2. Any land legally subdivided into residential building lots and thus filed in the Office of the Town Clerk bearing subdivision approval by the Union Planning and Zoning Commission;
"The designation as Open Space Land does not imply approval for purchase, condemnation or lease thereof by the Town."
Appendix III
Please note that this document is placed in the Plan of Conservation and Development for Information Purposes ONLY -- it is not part of the POCD
Land Use Guidelines
Commercial, Industrial and Retail Design and Appearance
Purpose
(A) The general appearance, style, and design of commercial, industrial and retail buildings, landscapes, streetscapes, and developments are of prime importance to the Town of Union and its citizens. Union is a small New England community that has traditionally depended upon a forest and agriculture based economy. Residents, in large part, are attracted to the natural environment, scenic beauty, and aesthetic character of the community. The guidelines contained herein are intended to ensure that the rural character for which Union is known will be maintained and perpetuated. The purposes of these guidelines are as follows:
(1) To create a balance between the need for new development and the desire to maintain a safe, healthful, and attractive community environment.
(2) To enhance the general welfare of the community by protecting property values and preserving the natural environment, the unique character, and the aesthetic integrity of the community.
(3) To provide proper guidelines to ensure a high level of quality in the appearance of Union without discouraging good design by setting rigid standards that stifle a developer's or property owner's individuality, creativity, or artistic expressions at a particular site.
(4) To aid in the preservation of natural resources by contributing to air purification, oxygen regeneration, groundwater recharge, energy conservation, and storm water runoff abatement, while reducing noise, glare, and heat.
(5) To ensure adequate light and air and to prevent the overcrowding of land.
(6) To preserve and improve property values and to protect public and private investment through the preservation of open space.
(7) To preserve and protect the quality and character of Union, and to enhance the business economy attracted to the community by such factors.
Applicability
(A) The design guidelines outlined are suggested for all new non-single-family development or redevelopment in Union. Non-single-family development or redevelopment includes duplexes, townhouses, condominiums, multi-family apartments, commercial buildings, industrial buildings, churches, schools, hospital buildings, all other buildings not specifically designed and used for single-family purposes, and accessory buildings associated with all these types of non-single-family developments. For the purposes of these guidelines, the expansion, alteration, or reconstruction of an existing development shall not be considered “redevelopment” unless the value of the expansion, alteration, or reconstruction is greater than 30% of the value of the existing development prior to the expansion, alteration, or reconstruction. The value of the existing development shall be based on "tax value". In the absence of tax value, the Assessor shall estimate the value based upon the best information reasonably available. The value of the expansion, alteration, or reconstruction shall be based on "construction cost".
Criteria for Design
(A) The following criteria have been used in developing the items contained in this article and shall serve as guidelines for development in Union:
(1) Livability. Buildings and outdoor spaces should be designed to fit human scale, to harmonize with the immediate environment, and to accommodate pedestrian traffic.
(2) Visual Impact. New public and private projects should be visually appealing, compatible with a rural New England setting, and compatible with other development in the surrounding area.
(3) Vegetation. Landscape design should preserve existing trees and vegetation and incorporate new trees and shrubbery. Landscaping should be used to screen and soften the impact of development.
(4) Mobility. Land development should provide a network of roads, bicycle paths, and sidewalks that give consideration to the safety of motorists, cyclists, joggers, and walkers.
(5) Views. Streets, buildings, and parking lots should enhance the environment by preserving and providing pleasant views and appropriate geographic orientations.
(6) Energy Conservation. Whenever possible buildings should be oriented so that they facilitate the construction of alternative energy installations.
Exterior Walls and Facades of Commercial Buildings.
(A) The exterior walls of commercial buildings should be designed to reflect, enhance, and promote the desired image of a New England village.
(B) Except to the extent prohibited by the State building codes, the wall area on the first floor of a building fronting a street should have at least 30 percent windows and doors.
(C) Solid walls and blank exteriors are discouraged.
(D) Buildings should be oriented so that a principal or primary facade faces each street on which the building fronts.
(E) Special attention should be given to the design of windows. Reflective glass is not recommended. Windows should not be flush with the building facade and should add variety to the streetscape.
Roof Lines
(A) Pitched roofs with a minimum slope of 6:12 or greater are recommended. They should blend well with the terrain. Flat roofs are discouraged.
(B) Wood or asphalt shingles, slate (natural or synthetic), steel or tile are considered appropriate roof materials.
(C) All rooftop mechanical and electrical equipment (except for alternative energy installations) should be screened from the view of streets and adjacent property.
Color
Colors of paint, stains, and other finishes or materials should be “nature blending” with generally no more than three colors per building.
Topography
(A) Proposed development and buildings to be situated on sloping sites should be planned and designed to minimize the grading of the site, the removal of trees and natural vegetation, and the disruption of natural water courses. Proper erosion control should be observed. Trees that are to remain on the site should be protected to safeguard the root structure.
(B) Grading should blend gently with contours of adjacent properties, with smooth gradations around all cut-and-fill slopes, both horizontally and vertically. On sites containing slopes in excess of 12 percent, mass grading approaches should be avoided.
(C) Developments should be designed so that they do not exceed the capacity of existing topography, natural drainage ways, soils, geology, and other natural site conditions. Areas whose physical site characteristics make them unsuitable for development should be set aside as open space.
(D) Wooded perimeters or the most desirable natural site features should be protected to retain the visual character of the site. Isolated pockets of trees should be protected and used to soften the visual impact of the site.
Lighting
Please see Section 2.1 of the Town of Union Zoning Regulations.
General Landscaping
(A) Natural appearing landscape forms are strongly encouraged. The scale of the proposed landscaping should be in proportion to the building.
Sidewalks
See section 4.66 of the Union Subdivision regulations
Utility Lines.
(A) All new utility lines, with the exception of major transmission lines, should be placed underground.
(B) Utility poles (other than wooden poles erected by a public utility company) and supports should be painted neutral in color.
Parking Areas
(A) Parking lots should not be focal points of development. Parking areas should be located away from streets, preferably behind buildings. Parking areas should be screened by berms, trees, shrubs, walls, or fences.
(B) Storage and loading areas should be screened with planted buffers at least six feet in height, or rising two feet above the material or equipment being stored, whichever is greater.
(C) Twenty-five percent of the paved vehicle accommodation area should be shaded by new or existing trees.
Mechanical, Utility, and Trash Containment Areas
(A) Mechanical and Utility Equipment. Conventional Heating, ventilation, air conditioning, and other mechanical and utility equipment, including but not limited to vents, fans, compressors, pumps, and heating and cooling units, which are located on, beside, or adjacent to any building or development, should be screened from the view of streets and adjacent property. The screen should exceed the height of the equipment, shall not interfere with the operation of the equipment, and should use building materials and design that are compatible with those used for the exterior of the principal building.
(B) Suitable plant materials should be used at the base and corners of any screening wall to soften the wall’s appearance.
(C) Trash Containment Areas. All trash containment devices, including compactors and dumpsters, should be located, designed, and screened so as not to be visible from the view of adjacent streets, parking lots, and other properties.
(D) All trash containment areas and devices should meet the following standards:
(1) All trash containment areas should be enclosed to contain windblown litter.
(2) The enclosure should exceed the height of the compactor or dumpster and should effectively screen the equipment from the view of adjacent streets and property.
(3) The enclosure should be made of a solid material that is compatible with the design and materials of the principal building.
(4) All compactors and dumpsters should be placed on a concrete pad that is large enough to provide adequate support, allows for positive drainage, and conforms to health department regulations.
(5) The enclosure should contain gates to allow for access and to provide security and screening.
(6) The owner or occupant of the premises should maintain the solid waste containment area in good repair at all times.
Fences and Walls
(A) Walls of natural rock material are a part of the community's history. Use of stone walls constructed of local stone materials is strongly encouraged.
(B) Retaining walls should be covered with natural stone found in the area or other suitable material.
(C) Long, solid fences or walls should contain offsets or other architectural features to break up the appearance of a continuous mass.
Mashapaug Pond
Mashapaug Pond is a heavily-used Class AA open water resource, with nearly 7.3 miles of forested shoreline. Partially surrounded by Bigelow Hollow State Park and Nipmuck State Forest, the Pond is accessible 24/7/365 for fishing and boating via the State Park boat launch at its southern end. Owing to a Town of Union ordinance limiting boat speeds, Mashapaug Pond is a favorite of passive recreational boaters—kayakers, paddle boarders, windsurfers, and canoeists—as well as long-distance swimmers. Bass tournaments occur on many summer weekends. In winters, ice-fishermen flock to harvest the Pond’s thriving population of introduced walleye, as well as pan fish and stocked and holdover trout.
In addition to numerous springs in its deeper sections, Mashapaug Pond receives inflows from Wells Brook in the southwest, and from several smaller streams draining from the surrounding forested hills and wetlands. Mashapaug Pond was once renowned for clear waters and record fish. It now faces increasing risks: algae blooms nourished by shoreline topsoil erosion; and aquatic species invasions via trailered boats and/or from existing infestations in the adjoining 50+ acre Little Mashapaug Pond and marsh. The latter have in recent decades become heavily infested with Variable Milfoil and Phragmites. These threats have become key issues for the Town of Union and its residents and visitors who frequent the Pond and/or live along its shorelines. The primary concerns are potential growth of invasive aquatic vegetation, and erosion along the Pond’s shorelines.
As indicated in a previous section, Mashapaug Pond’s original size was doubled in the mid-1880’s by the construction of an earthen dam and a dike on its western shores (Quinebaug watershed), and a concrete floodwater spillway at its extreme southern end (Shetucket watershed), raising its surface elevation to 702 ft above sea level. These three structures were completely rebuilt in the mid-1990’s, with design and operational changes to the dam and spillway that raised lake levels an additional 3-4 ft, depending on the season, and re-directed half of Mashapaug Pond’s natural outflow away from the Quinebaug and into the Shetucket basin. Specifically, whereas the 1880’s dam sent all of Mashapaug Pond’s outflows to Little Mashapaug Pond and the Upper Quinebaug River via two large diameter “bottom-draw” penstocks, DEEP’s 1990’s dam and spillway are configured to split the Pond’s net outflow 50/50. They both drain Mashapaug Pond’s surface water. As a result, since the mid-1990’s Little Mashapaug Pond has been receiving only half of the outflows from Mashapaug Pond that it did previously did, and what water it does get in the vegetation growing season is warmer. The result has been an acceleration of heavy weed growth, dominated by invasive Variable Milfoil. Because Little Mashapaug Pond is separated from Mashapaug Pond by only a few yards, the concerns about invasive vegetation and shore erosion have prompted at least two studies in the 21st century, the first in 2005 and the second in 2010. The lack of any boat hygiene facility at the State Park boat launch adds to the risk to Mashapaug Pond of invasive species introduced by trailered-boats.
As documented in a 2010 study by Lycott Environmental, Inc., Mashapaug Pond’s shoreline development is light and confined to the northern and northwestern shores, because the southwestern and southern shoreline is occupied primarily by the State of Connecticut’s Bigelow Hollow State Park and the Breakneck Block of Nipmuc State Forest. Mashapaug Pond’s watershed encompasses approximately 4.7 square miles, most of it forested and little of it developed. The heavily forested eastern shores are privately owned and entirely undeveloped. Although the study noted that the watershed per se does not appear to contribute a large amount of detrimental runoff, it also recommended that shoreline erosion, stemming mainly from the raised water levels wearing on
previously stable shores, be addressed with water level manipulation, shoreline re-stabilization, and recreation of a plant buffer. It was also recommended that the Town hire a soil scientist to further address causes of erosion and options for remediation.
In terms of vegetation, in 2010 Mashapaug Pond was reported by Lycott Environmental to be oligotrophic in that it then had low nutrient concentrations, low plant growth and the overall vegetative coverage throughout the pond was considered sparse to light (between 0 and 25% coverage). Aquatic Vegetation Species found in the course of that study are listed in the adjoining table. All of those species were determined to be indigenous and beneficial to the ponds ecosystem. Of the thirteen species identified, only Bladderwort (Utricularia spp.) and Bushy Pondweed (Najas flexilis) had the potential to grow to nuisance levels, although no such ‘over growth’ was then found in Mashapaug Pond.
Although Lycott’s 2010 Study recommended continued monitoring to address and identify potential problems before they influence Mashapaug Pond, no further study has since been done. However, to reduce shore erosion and risks of invasive aquatic weeds, a partnership among the Town of Union, the Union Conservation and Safety Association, and CT DEEP has evolved a practice of drawing down Mashapaug Pond’s winter levels to approximate the year-round levels that prevailed through most of the 20th century. This has slowed but not eliminated shoreline erosion and damage from storm waves, boat wakes, and moving ice. It is not known whether Variable Milfoil or other non-indigenous species have invaded Mashapaug Pond.
In addition to Mashapaug Pond, Little Mashapaug Pond and Wells Pond were included in Lycott’s 2010 survey and report. While Wells Pond did not have any growth of non-indigenous vegetation and there was a healthy composition of indigenous species present, Variable Milfoil, an invasive species, was the most prevalent species observed during the survey of Little Mashapaug. Variable milfoil may reduce biodiversity by out-competing indigenous species which provide food and shelter to fish and wildlife, and dense growth of the species can result in reduced sunlight and oxygen available to beneficial, slow-growing indigenous species, as well as fish. There can ultimately be a significant decrease in availability of oxygen in the water column, which could result in fish kills and other harmful conditions for wildlife. Due to the close proximity of Little Mashapaug Pond to the larger adjacent Mashapaug Pond, the 2010 Lycott Study recommended continued monitoring for Variable Milfoil along with herbicide treatments to Little Mashapaug Pond. Pursuant to that recommendation, in 2017 Little Mashapaug was treated with one application of 2-4-D and in the ensuing winters has been drawn down to expose its shallows to sub-freezing temperatures as a further means of weed control. The effect of these measures in Little Mashapaug is unknown as of 2021.
GOAL:
Conserve and enhance the natural, environmental, ecological, educational and recreational values of Mashapaug Pond and its forested watersheds.
OBJECTIVES:
1. Partner with federal, state, regional and private organizations to establish, achieve, and sustain measurable improvements for surface and groundwater quality, wildlife habitat, recreational boating and fishing, and non-motorized uses of hiking trails.
2. Full use of grants to leverage taxpayer-sourced funding.
3. Zoning regulations that will prevent or minimize adverse impacts from unwanted commercial and/or residential development in the Mashapaug District of Union.
4. Reverse current trends toward disorderly and irresponsible uses and behaviors in Bigelow Hollow State Park, Nipmuck State Forest, Yale-Myers Forest, and on Mashapaug Pond.
5. Keep Mashapaug Lake and its watersheds free of invasive species, including non-native aquatic weeds, phragmites, Russian olive, zebra mussels, etc.
ACTIONS:
1. Pursuant to the Lycott Study and other expert recommendations, obtain grants and matching tax-sourced funds to initiate and sustain a rigorous water quality monitoring program for Mashapaug Pond, to establish baselines, detect trends, inform policies and guide interventions.
2. Protect public interests and enhance conservation and property values, by empowering one or more town Constables and/or Wardens to enforce relevant state and town ordinances and regulations on Mashapaug Pond and dam, Bigelow Hollow State Park, Nipmuck State Forest, and in Yale Myers Forest.
3. Work with DEEP, stakeholders such as Trout Unlimited and Cabela's, and volunteer groups to establish and sustain best hygiene practices for towed-in recreational boats at the State Boat ramp.
4. Document history and adverse consequences of DEEP’s errors in the design and control operations of Mashapaug Pond dam and spillway, and advance engineering and operational solutions for implementation by a Town and DEEP collaboration.
5. Research and document the pros and cons of creating an overlay zone in support of the above. |
Object-aware Contrastive Learning for Debiased Scene Representation
Sangwoo Mo\textsuperscript{1,†}, Hyunwoo Kang\textsuperscript{1,†}, Kihyuk Sohn\textsuperscript{2}, Chun-Liang Li\textsuperscript{2}, Jinwoo Shin\textsuperscript{1}
\textsuperscript{1}KAIST \quad \textsuperscript{2}Google Cloud AI
\{swmo, hyunwookang, jinwoos\}@kaist.ac.kr, \{kihyuks, chunliang\}@google.com
Abstract
Contrastive self-supervised learning has shown impressive results in learning visual representations from unlabeled images by enforcing invariance against different data augmentations. However, the learned representations are often contextually biased to the spurious scene correlations of different objects or object and background, which may harm their generalization on the downstream tasks. To tackle the issue, we develop a novel object-aware contrastive learning framework that first (a) localizes objects in a self-supervised manner and then (b) debias scene correlations via appropriate data augmentations considering the inferred object locations. For (a), we propose the contrastive class activation map (ContraCAM), which finds the most discriminative regions (e.g., objects) in the image compared to the other images using the contrastively trained models. We further improve the ContraCAM to detect multiple objects and entire shapes via an iterative refinement procedure. For (b), we introduce two data augmentations based on ContraCAM, object-aware random crop and background mixup, which reduce contextual and background biases during contrastive self-supervised learning, respectively. Our experiments demonstrate the effectiveness of our representation learning framework, particularly when trained under multi-object images or evaluated under the background (and distribution) shifted images.\footnote{Equal contribution}
1 Introduction
Self-supervised learning of visual representations from unlabeled images is a fundamental task of machine learning, which establishes various applications including object recognition [1, 2], reinforcement learning [3, 4], out-of-distribution detection [5, 6], and multimodal learning [7, 8]. Recently, contrastive learning [1, 2, 9–15] has shown remarkable advances along this line. The idea is to learn invariant representations by attracting the different views (e.g., augmentations) of the same instance (i.e., positives) while contrasting different instances (i.e., negatives).\footnote{Code is available at \url{https://github.com/alinlab/object-aware-contrastive}.}
Despite the success of contrastive learning on various downstream tasks [16], they still suffer from the generalization issue due to the unique features of the training datasets [17–19] or the choice of data augmentations [19–21]. In particular, the co-occurrence of different objects and background in randomly cropped patches (i.e., positives) leads the model to suffer from the \textit{scene bias}. For example, Figure 1a presents two types of the scene bias: the positive pairs contain different objects (e.g., giraffe and zebra), and the patches contain adjacent object and background (e.g., zebra and safari). Specifically, the co-occurrence of different objects is called contextual bias [22], and that of object and background is called background bias [23]. Attracting the patches in contrastive learning...
makes the features of correlated objects and background indistinguishable, which may harm their generalization (Figure 1b) because of being prone to biases (Figure 1c).
**Contribution.** We develop a novel object-aware contrastive learning framework that mitigates the scene bias and improves the generalization of learned representations. The key to success is the proposed *contrastive class activation map* (ContraCAM), a simple yet effective self-supervised object localization method by contrasting other images to find the most discriminate regions in the image. We leverage the ContraCAM to create new types of positives and negatives. First, we introduce two data augmentations for constructing the *positive* sample-pairs of contrastive learning: *object-aware random crop* and *background mixup* that reduce contextual and background biases, respectively. Second, by equipping ContraCAM with an iterative refinement procedure, we extend it to detect multiple objects and entire shapes, which allows us to generate masked images as effective *negatives*.
We demonstrate that the proposed method can improve two representative contrastive (or positive-only) representation learning schemes, MoCov2 [28] and BYOL [14], by reducing contextual and background biases as well as learning object-centric representation. In particular, we improve:
- The representation learning under multi-object images, evaluated on the COCO [25] dataset, boosting the performance on the downstream tasks, e.g., classification and detection.
- The generalizability of the learned representation on the background shifts, i.e., objects appear in the unusual background (e.g., fish on the ground), evaluated on the Background Challenge [23].
- The generalizability of the learned representation on the distribution shifts, particularly for the shape-biased, e.g., ImageNet-Sketch [29], and corrupted, e.g., ImageNet-C [30] datasets.
Furthermore, ContraCAM shows comparable results with the state-of-the-art unsupervised localization method (and also with the supervised classifier CAM) while being simple.
## 2 Object-aware Contrastive Learning
We first briefly review contrastive learning in Section 2.1. We then introduce our object localization and debiased contrastive learning methods in Section 2.2 and Section 2.3, respectively.
### 2.1 Contrastive learning
Contrastive self-supervised learning aims to learn an encoder $f(\cdot)$ that extracts a useful representation from an unlabeled image $x$ by attracting similar sample $x^+$ (i.e., positives) and dispelling dissimilar samples $\{x^-_j\}$ (i.e., negatives). In particular, instance discrimination [10] defines the same samples of different data augmentations (e.g., random crop) as the positives and different samples as negatives.
Formally, contrastive learning maximizes the contrastive score:
\[
s_{\text{con}}(x; x^+, \{x^-_n\}) := \log \frac{\exp(\sin(z(x), \bar{z}(x^+))/\tau)}{\exp(\sin(z(x), \bar{z}(x^+))/\tau) + \sum_{x^-_n} \exp(\sin(z(x), \bar{z}(x_n))/\tau)},
\]
where \(z(\cdot)\) and \(\bar{z}(\cdot)\) are the output and target functions wrapping the representation \(f(x)\) for use, \(\sin(\cdot, \cdot)\) denotes the cosine similarity, and \(\tau\) is a temperature hyperparameter. The specific form of \(z(\cdot), \bar{z}(\cdot)\) depends on the method. For example, MoCoV2 [28] sets \(z(\cdot) = g(f(\cdot)), \bar{z}(\cdot) = g_m(f_m(\cdot))\) where \(g(\cdot)\) is a projector network to indirectly match the feature \(f(x)\) with \(f_m(\cdot), g_m(\cdot)\) are the momentum version of the encoder and projectors. On the other hand, BYOL [14] sets \(z(\cdot) = h(g(f(\cdot))), \bar{z}(\cdot) = g_m(f_m(\cdot)),\) where \(h(\cdot)\) is an additional predictor network to avoid collapse of the features because it only maximizes the similarity score \(s_{\text{sim}}(x; x^+) := \sin(z(x), \bar{z}(x^+))\) [14, 15].
**Scene bias in contrastive learning.** Despite the success of contrastive learning, they often suffer from the **scene bias**: entangling representations of co-occurring (but different) objects, i.e., contextual bias [22], or adjacent object and background, i.e., background bias [23], by attracting the randomly cropped patches reflecting the correlations (Figure 1a). The scene bias harms the performance (Figure 1b) and generalization of the learned representations on distribution shifts (Figure 1c). To tackle the issue, we propose object-aware data augmentations for debiased contrastive learning (Section 2.3) utilizing the object locations inferred from the contrastively trained models (Section 2.2).
### 2.2 ContraCAM: Unsupervised object localization via contrastive learning
We aim to find the most discriminative region in an image, such as objects for scene images, compared to the other images. To this end, we extend the (gradient-based) class activation map (CAM) [31, 32], originally used to find the salient regions for the prediction of classifiers. Our proposed method, **contrastive class activation map** (ContraCAM), has two differences from the classifier CAM. First, we use the contrastive score instead of the softmax probability. Second, we discard the negative signals from the similar objects in the negative batch since they cancel out the positive signals and hinder the localization, which is crucial as shown in Table 1 and Appendix C.1.
Following the classifier CAM, we define the saliency map as the weighted sum of spatial activations (e.g., penultimate feature before pooling), where the weight of each activation is given by the importance, the sum of gradients, of the activation for the score function. Formally, let \(A := [A_{ij}]_k\) be a spatial activation of an image \(x\) where \(1 \leq i \leq H, 1 \leq j \leq W, 1 \leq k \leq K\) denote the index of row, column, and channel, and \(H, W, K\) denote the height, width, and channel size of the activation. Given a batch of samples \(B\), we define the score function of the sample \(x\) as the contrastive score \(s_{\text{con}}\) in Eq. (1) using the sample \(x\) itself as a positive\(^3\) and the remaining samples \(B \setminus x\) as negatives. Then, the weight of the \(k\)-th activation \(\alpha_k\) and the CAM mask \(\text{CAM} := [\text{CAM}_{ij}] \in [0, 1]^{H \times W}\) are:
\[
\text{CAM}_{ij} = \text{Normalize} \left( \text{ReLU} \left( \sum_k \alpha_k A_{ij}^k \right) \right), \quad \alpha_k = \text{ReLU} \left( \frac{1}{HW} \sum_{i,j} \frac{\partial s_{\text{con}}(x; x, B \setminus x)}{\partial A_{ij}^k} \right),
\]
where \(\text{Normalize}(x) := \frac{x - \min_x}{\max_x - \min_x}\) is a normalization function that maps the elements to \([0, 1]\). We highlight the differences from the classifier CAM with the red color. Note that the ReLU used to compute \(\alpha_k\) in Eq. (2) discards the negative signals. The negative signal removal trick also slightly improves the classifier CAM [33] but much effective for the ContraCAM.
We further improve the ContraCAM to detect multiple objects and entire shapes with an iterative refinement procedure [34]: cover the salient regions of the image with the (reverse of) current CAM, predict new CAM from the masked image, and aggregate them (see Figure 2). It expands the CAM regions since the new CAM from the masked image detects the unmasked regions. Here, we additionally provide the masked images in the batch (parellely computed) as the negatives: they are better negatives by removing the possibly existing similar objects. Also, we use the original image \(x\) as the positive to highlight the undetected objects. Formally, let \(\text{CAM}^t\) be the CAM of iteration \(t\) and \(\overline{\text{CAM}}^t := [\overline{\text{CAM}}_{ij}^t] = [\max_{t' \leq t} \text{CAM}_{ij}^t]\) be the aggregated CAM mask. Also, let \(x^t\) be the image softly masked by the (reverse of) current aggregated mask, i.e., \(x^t := (1 - \overline{\text{CAM}}^{t-1}) \odot x\) for \(t \geq 2\)
\(^3\)It does not affect the score but is defined for the notation consistency with the iterative extension.
and $x^1 = x$ where $\odot$ denotes an element-wise product, and $B^t := \{x^t_n\}$ be the batch of the masked images. Then, we define the score function for iteration $t$ as:
$$s'_{\text{con}}(x) := s_{\text{con}}(x^t; x, \bigcup_{i \leq t}(B^i \setminus x^t)). \quad (3)$$
We substitute the contrastive score $s_{\text{con}}$ in Eq. (2) with the $s'_{\text{con}}$ in Eq. (3) to compute the CAM of iteration $t$, and use the final aggregated mask after $T$ iterations. We remark that the CAM results are not sensitive to the number of iterations $T$ if it is large enough; CAM converges to the stationary value since soft masking $x^t$ regularizes the CAM not to be kept expanded (see Appendix C.2). We provide the pseudo-code of the entire iterative ContraCAM procedure in Appendix A.
Note that contrastive learning was known to be ineffective at localizing objects [35] with standard saliency methods (using a classifier on top of the learned representation) since attracting the randomly cropped patches makes the model look at the entire scene. To our best knowledge, we are the first to extend the CAM for the self-supervised setting, relaxing the assumption of class labels. Selvaraju et al., [36] considered CAM for contrastive learning, but their purpose was to regularize CAM to be similar to the ground-truth masks (or predicted by pre-trained models) and used the similarity of the image and the masked image (by ground-truth masks) as the score function of CAM.
### 2.3 Object-aware augmentations for debiased contrastive learning
We propose two data augmentations for contrastive learning that reduce contextual and background biases, respectively, utilizing the object locations inferred by ContraCAM. Both augmentations are applied to the *positive* samples before other augmentations; thus, it is applicable for both contrastive learning (e.g., MoCov2 [28]) and positive-only methods (e.g., BYOL [14]).
**Reducing contextual bias.** We first tackle the contextual bias of contrastive learning, i.e., entangling the features of different objects. To tackle the issue, we propose a data augmentation named *object-aware random crop*, which restricts the random crop around a single object and avoids the attraction of different objects. To this end, we first extract the (possibly multiple or none) bounding boxes of the image from the binarized mask\footnote{Threshold the mask or apply a post-processing method, e.g., conditional random field (CRF) [37].} of the ContraCAM. We then crop the image around the box, randomly chosen from the boxes, before applying other augmentations (e.g., random crop). Here, we apply augmentations (to produce positives) to the same cropped box; thus, the patches are restricted in the same box. Technically, it only requires a few line addition of code:
```python
if len(boxes) > 0: # can be empty
box = random.choice(boxes)
image = image.crop(box)
# apply other augmentations (e.g., random crop)
```
Purushwalkam and Gupta [19] considered a similar approach using ground-truth bounding boxes applied on MoCoV2. However, we found that cropping around the ground-truth boxes often harms contrastive learning (see Table 4). This is because some objects (e.g., small ones) in ground-truth boxes are hard to discriminate (as negatives), making contrastive learning hard to optimize. In contrast, the ContraCAM produces more discriminative boxes, often outperforming the ground-truth boxes (see Appendix D.1). Note that the positive-only methods do not suffer from the issue: both ground-truth and ContraCAM boxes work well. On the other hand, Selvaraju et al. [36] used a pre-trained segmentation model to constrain the patches to contain objects. It partly resolves the false positive issue by avoiding the attraction of background-only patches but does not prevent the patches with different objects; in contrast, the object-aware random crop avoids both cases.
**Reducing background bias.** We then tackle the background bias of contrastive learning, i.e., entangling the features of adjacent object and background. To this end, we propose a data augmentation named *background mixup*, which substitutes the background of an image with other backgrounds. Intuitively, the positive samples share the objects but have different backgrounds, thus reducing the background bias. Formally, background mixup blends an image $x_1$ and a background-only image $x_2^{\text{bg}}$ (generated from an image $x_2$) using the ContraCAM of image $x_1$ as a weight, i.e.,
$$x_1^{\text{bg-mix}} := \text{CAM}(x_1) \odot x_1 + (1 - \text{CAM}(x_1)) \odot x_2^{\text{bg}}, \quad (4)$$
where $\odot$ denotes an element-wise product. Here, the background-only image $x_2^{\text{bg}}$ is generated by tiling the background patch of the image $x_2$ inferred by the ContraCAM. Precisely, we choose the largest rectangle in the zeros of the binarized CAM mask for the region of the background patch. The overall procedure of the background mixup is illustrated in Figure 3.
Prior works considered the background bias for contrastive learning [35, 38] but used a pre-trained segmentation model and copy-and-pasted the objects to the background-only images using binary masks. We also tested the copy-and-paste version with the binarized CAM, but the soft version in Eq. (4) performed better (see Appendix E.1); one should consider the confidence of the soft masks since they are inaccurate. Furthermore, the background mixup improves the generalization on distribution shifts, e.g., shape-biased [29, 39, 40] and corrupted [30] datasets (see Table 8). Remark that the background mixup often outperforms the Mixup [41] and CutMix [42] applied for contrastive learning [43]. Intuitively, the background mixup can be viewed as a saliency-guided extension [44, 45] of mixup but not mixing the targets (positives), since the mixed patch should be only considered as the positive of the patch sharing foreground, not the one sharing background.
### 3 Experiments
We first verify the localization performance of ContraCAM in Section 3.1. We then demonstrate the efficacy of our debiased contrastive learning: object-aware random crop improves the training under multi-object images by reducing contextual bias in Section 3.2, and background mixup improves generalization on background and distribution shifts by reducing background bias in Section 3.3.
**Common setup.** We apply our method on two representative contrastive (or positive-only) learning models: MoCoV2 [28] and BYOL [14], under the ResNet-18 and ResNet-50 architectures [27]. We train the models for 800 epochs on COCO [25] and ImageNet-9 [23], and 2,000 epochs on CUB [46] and Flowers [26] datasets with batch size 256. For object localization experiments, we train the vanilla MoCoV2 and BYOL on each dataset to compute their CAM masks. For representation learning experiments, we first train the vanilla MoCoV2 and BYOL to pre-compute the CAM masks (and corresponding bounding boxes); then, we retrain MoCoV2 and BYOL applying our proposed augmentations using the fixed pre-computed masks (and boxes). Here, we retain the models from scratch to make the training budgets fair. We also retrained (i.e., third iteration) the model using the CAM masks from our debiased models but did not see the gain (see Appendix D.6). We follow the default hyperparameters of MoCoV2 and BYOL, except the smaller minimum random crop scale of 0.08 (instead of the original 0.2) since it performed better, especially for the multi-object images. We run a single trial for contextual bias and three trials for background bias experiments.
We use the penultimate spatial activations to compute the CAM results. At inference, we follow the protocol of [48] that doubly expands the resolution of the activations to detect the smaller objects through decreasing the stride of the convolutional layer in the final residual block. Since it produces the smaller masks, we use more iterations (e.g., 10) for the iterative ContraCAM. Here, we apply the conditional random field (CRF) using the default hyperparameters from the pydensecrf library [49] to produce segmentation masks and use the opencv [50] library to extract bounding boxes. We use a single iteration of the ContraCAM without the expansion trick for background bias results; it is sufficient for single instance images. Here, we binarize the masks with a threshold of 0.2 to produce background-only images. We provide the further implementation details in Appendix B.
**Computation time.** The training of the baseline models on the COCO ($\sim$100,000 samples) dataset takes $\sim$1.5 days on 4 GPUs and $\sim$3 days on 8 GPUs for ResNet-18 and ResNet-50 architectures, respectively, using a single machine with 8 GeForce RTX 2080 Ti GPUs; proportional to the number of samples and training epochs for other cases. The inference of ContraCAM takes a few minutes for the entire training dataset, and generating the boxes using CRF takes dozens of minutes. Using the pre-computed masks and boxes, our method only slightly increases the training time.
### 3.1 Unsupervised object localization
We check the performance of our proposed self-supervised object localization method, ContraCAM. Figure 4 shows the examples of the ContraCAM on various image datasets, including CUB, Flowers,
Table 2: Mask mIoU of the classifier CAM using a supervised model and ContraCAM using MoCov2, where both models are solely trained on the target dataset and evaluated on the same dataset.
| Training | Inference | CUB | Flowers | ImageNet-9 |
|--------------|-------------|-----|---------|------------|
| Supervised | Classifier CAM | 0.451 | 0.633 | 0.509 |
| MoCov2 | ContraCAM (ours) | 0.460 | 0.776 | 0.427 |
Table 3: MaxBoxAccV2 of the classifier CAM and ContraCAM using the ImageNet-trained classifier and MoCov2. We report the localization results on the trained (ImageNet) and unseen datasets.
| Training | Inference | ImageNet | CUB | Flowers | VOC | OpenImages |
|--------------|--------------------|----------|-----|---------|-----|------------|
| Supervised | Classifier CAM | 55.95 | 55.52 | 76.87 | 53.88 | 48.01 |
| MoCov2 | ContraCAM (ours) | 55.88 | 64.07 | 75.64 | 59.40 | 49.89 |
COCO, and ImageNet-9 datasets. ContraCAM even detects multiple objects in the image. We also quantitatively compare ContraCAM with the state-of-the-art unsupervised object localization method, ReDo [47]. Table 1 shows that the ContraCAM is comparable with ReDO, in terms of the mask mean intersection-over-unions (mIoUs). One can also see that the negative signal removal, i.e., ReLU in Eq. (1), is a critical to the performance (see Appendix C.1 for the visual examples).
We also compare the localization performance of ContraCAM (using MoCov2) and classifier CAM (using a supervised model). Table 2 shows the results where all models are solely trained from the target dataset and evaluated on the same dataset. Interestingly, ContraCAM outperforms the classifier CAM on CUB and Flowers. We conjecture this is because CUB and Flowers have few training samples; the supervised classifier is prone to overfitting. On the other hand, Table 3 shows the results on the transfer setting, i.e., the models are trained on the ImageNet [51] using the ResNet-50 architecture. We use the publicly available supervised classifier [52] and MoCov2, and follow the MaxBoxAccV2 evaluation protocol [48]. The ContraCAM often outperforms the classifier CAM, especially for the unseen images (e.g., CUB). This is because the classifiers project out the features unrelated to the target classes, losing their generalizability on the out-of-class samples.
We provide additional analysis and results in Appendix C. Appendix C.2 shows the ablation study on the number of iterations of ContraCAM. One needs a sufficient number of iterations since too few iterations often detect subregions. Since ContraCAM converges to the stationary values for more iterations, we simply choose 10 for all datasets. Appendix C.3 shows the effects of the negative batch of ContraCAM. Since ContraCAM finds the most discriminative regions compared to the negative batch, one needs to choose the negative batch different from the target image. Using a few randomly sampled images is sufficient. Appendix C.4 provides additional comparison of ContraCAM and classifier CAM. Finally, Appendix C.5 provides a comparison with the gradient-based saliency methods [53, 54] using the same contrastive score. CAM gives better localization results.
3.2 Reducing contextual bias: Representation learning from multi-object images
We demonstrate the effectiveness of the object-aware random crop (OA-Crop) for representation learning under multi-object images by reducing contextual bias. To this end, we train MoCov2 and BYOL on the COCO dataset, comparing them with the models that applied the OA-Crop using the ground-truth (GT) bounding boxes or inferred ones from the ContraCAM.
We first compare the linear evaluation [24], test accuracy of a linear classifier trained on top of the learned representation, in Table 4. We report the results on the COCO-Crop, i.e., the objects in the COCO dataset cropped by the GT boxes, CIFAR-10 and CIFAR-100 [55], CUB, Flowers, Food [56], and Pets [57] datasets. OA-Crop significantly improves the linear evaluation of MoCov2 and BYOL for all tested cases. Somewhat interestingly, OA-Crop using the ContraCAM boxes even outperforms the GT boxes for MoCov2 under the ResNet-50 architecture. This is because the GT boxes often contain objects hard to discriminate (e.g., small objects), making contrastive learning hard to optimize; in contrast, ContraCAM finds more distinct objects. Note that BYOL does not suffer from this issue and performs well with both boxes. See Appendix D.1 for the detailed discussion.
We also compare the detection (and segmentation) performance measured by mean average precision (AP), an area under the precision-recall curve of the bounding boxes (or segmentation masks),
Table 4: Linear evaluation (%) of MoCov2 and BYOL on various image classification tasks, trained with the original image (-) or object-aware random crop (OA-Crop) using the ContraCAM (CAM) or ground-truth (GT) bounding boxes from the COCO dataset. Gray lines denote the usage of GT boxes, blue and red brackets denote the gain and loss of OA-Crop compared to the original image.
| Model | Network | OA-Crop | Test dataset |
|-----------|---------|---------|--------------|
| | | | COCO-Crop | CIFAR10 | CIFAR100 | CUB | Flowers | Food | Pets |
| MoCov2 | ResNet-50 | - | 74.30 | 77.58 | 53.26 | 22.90 | 72.09 | 59.70 | 59.25 |
| MoCov2 | ResNet-50 | CAM | 76.37 (+2.07) | 84.10 (+6.52) | 62.72 (+9.46) | 25.46 (+2.56) | 77.33 (+5.24) | 62.00 (+2.31) | 60.97 (+1.72) |
| MoCov2 | ResNet-50 | GT | 76.48 (+2.14) | 84.03 (+6.45) | 62.81 (+9.55) | 22.59 (+0.31) | 75.09 (+3.00) | 57.40 (+1.23) | 57.67 (+1.48) |
| BYOL | ResNet-50 | - | 73.36 | 76.62 | 51.79 | 21.95 | 73.77 | 59.49 | 60.72 |
| BYOL | ResNet-50 | CAM | 74.92 (+1.56) | 82.79 (+6.17) | 61.13 (+9.34) | 24.34 (+2.39) | 77.83 (+4.06) | 61.83 (+2.34) | 61.27 (+0.55) |
| BYOL | ResNet-50 | GT | 80.59 (+7.33) | 88.92 (+6.80) | 65.20 (+13.27) | 28.26 (+6.37) | 77.95 (+4.19) | 60.93 (+2.14) | 65.69 (+4.97) |
| MoCov2 | ResNet-18 | - | 67.39 | 62.83 | 41.85 | 15.36 | 58.26 | 45.59 | 45.77 |
| MoCov2 | ResNet-18 | CAM | 69.92 (+2.54) | 70.41 (+0.90) | 53.25 (+11.40) | 16.26 (+0.90) | 60.77 (+2.50) | 48.56 (+3.28) | 46.37 (+2.10) |
| MoCov2 | ResNet-18 | GT | 71.60 (+2.21) | 77.99 (+7.16) | 53.32 (+11.47) | 18.19 (+2.83) | 65.43 (+6.62) | 46.48 (+1.53) | 48.68 (+3.31) |
| BYOL | ResNet-18 | - | 67.74 | 67.82 | 41.96 | 17.24 | 64.79 | 49.58 | 52.90 |
| BYOL | ResNet-18 | CAM | 70.85 (+3.11) | 77.37 (+9.55) | 54.79 (+12.83) | 18.24 (+1.00) | 70.56 (+5.77) | 53.18 (+3.58) | 54.27 (+1.37) |
| BYOL | ResNet-18 | GT | 76.59 (+8.83) | 81.23 (+13.41) | 58.11 (+14.15) | 22.99 (+5.75) | 73.25 (+8.40) | 53.53 (+6.75) | 59.80 (+6.90) |
Table 5: Mean AP (%) of MoCov2 and BYOL fine-tuned on the COCO detection and segmentation tasks, following the setting of the table above, using the ResNet-50 architecture.
| Model | Crop | Test dataset |
|-----------|------|--------------|
| | | Baseline | OA-Crop (CAM) | OA-Crop (GT) |
| MoCov2 | | 36.34 | 36.60 (+0.26) | 35.73 (+0.61) |
| BYOL | | 31.95 | 32.37 (+0.42) | 31.47 (+0.48) |
Table 6: Test accuracy (%) of a linear classifier evaluated on various distribution-shifted datasets, following the setting of the table above, using the ResNet-50 architecture.
| Model | Crop | Test dataset |
|-----------|------|--------------|
| | | ImageNet-9 | ImageNet-Sketch-9 | Stylized-ImageNet-9 | ImageNet-R-9 | ImageNet-C-9 |
| MoCov2 | Baseline | 84.67 | 41.44 | 18.94 | 32.40 | 26.08 |
| MoCov2 | OA-Crop (CAM) | 84.54 (+0.13) | 43.11 (+1.68) | 20.50 (+1.56) | 32.35 (+0.05) | 27.85 (+1.77) |
| MoCov2 | OA-Crop (GT) | 82.49 (+2.18) | 46.85 (+5.42) | 22.18 (+3.34) | 33.68 (+1.28) | 26.81 (+0.73) |
| BYOL | Baseline | 84.07 | 44.28 | 17.91 | 32.13 | 27.51 |
| BYOL | OA-Crop (CAM) | 84.87 (+0.80) | 45.05 (+0.77) | 20.21 (+2.29) | 32.61 (+0.51) | 28.70 (+1.19) |
| BYOL | OA-Crop (GT) | 86.72 (+2.65) | 51.32 (+7.03) | 22.95 (+5.03) | 36.28 (+4.15) | 31.63 (+4.14) |
on the COCO detection and segmentation tasks in Table 5. Here, we fine-tune the MoCov2 and BYOL models using the ResNet-50 architecture. Remark that OA-Crop using the ContraCAM boxes outperforms the baselines, while the GT boxes are on par or worse. This is because the GT boxes solely focus on the objects, while ContraCAM also catches the salient scene information.
In addition, we present the generalization performance of learned representations under the distribution shifts in Table 6. To this end, we evaluate the models trained on the COCO dataset to various 9 superclass (370 classes) subsets of ImageNet, whose details will be elaborated in the next section. ImageNet-9 contains natural images like COCO, but other datasets contain distribution-shifted (e.g., shape-biased or corrupted) images. Note that OA-Crop performs on par with the vanilla MoCov2 and BYOL on the original ImageNet-9 but performs better on the distribution-shifted dataset. It verifies that the OA-Crop improves the generalizability of the learned representation.
We provide additional analysis and results in Appendix D. Appendix D.2 provides an additional analysis that OA-Crop indeed reduces the contextual bias. Specifically, the representation learned from OA-Crop shows better separation between the co-occurring objects, giraffe and zebra. Appendix D.3 provides the comparison with the supervised representation, learned by Faster R-CNN [58] and Mask R-CNN [59], using ground-truth bounding boxes or segmentation masks. OA-Crop significantly reduces the gap between self-supervised and supervised representation. Appendix D.4 presents the class-wise accuracy on CIFAR10 that OA-Crop consistently improves the accuracy over all classes. Appendix D.5 presents the linear evaluation performance of MoCov2 and BYOL trained on a 10% subset of ImageNet for readers comparing with the results with the ImageNet-trained models.
Table 7: Test accuracy (%) of a linear classifier evaluated on the Background Challenge [23], both backbone and classifier are trained under the ORIGINAL dataset. The backbone is trained from the original image (Baseline), background mixup using ContraCAM (BG-Mixup (CAM)), or hard background mixing using ground-truth masks (BG-HardMix (GT)), under the ResNet-18 architecture. Blue (or red) arrows imply higher (or lower) is better. Subscripts denote standard deviation.
| Dataset | MoCoV2 | BYOL |
|------------------|-------------------------|-----------------------|
| | Baseline | BG-Mixup (CAM) | BG-HardMix (GT) | Baseline | BG-Mixup (CAM) | BG-HardMix (GT) |
| Original ↑ | 89.17±0.49 | 90.73±0.05 (+1.56) | 89.69±0.04 (+0.42) | 87.30±0.61 | 89.30±0.02 (+2.00) | 90.95±0.33 (+1.60) |
| Only-BG-B ↓ | 31.29±2.46 | 29.60±0.89 (-1.69) | 26.44±1.63 (-4.85) | 25.59±0.78 | 25.70±1.46 (+0.11) | 27.28±0.04 (+1.69) |
| Only-BG-T ↓ | 44.91±0.16 | 41.95±0.39 (-2.96) | 40.11±0.38 (-4.80) | 42.83±0.51 | 39.94±0.52 (-2.89) | 41.16±0.17 (-1.67) |
| Only-CAM ↑ | 63.87±0.16 | 70.21±1.17 (+6.34) | 72.26±0.38 (+9.06) | 67.70±0.52 | 67.62±0.45 (-0.16) | 72.61±0.13 (+1.59) |
| Mixed-Same ↑ | 80.98±0.34 | 84.13±0.15 (+3.15) | 84.48±0.17 (+0.34) | 79.30±0.31 | 81.28±0.51 (+0.88) | 80.47±0.10 (-0.54) |
| Mixed-Rand ↑ | 60.34±0.66 | 66.89±0.54 (+6.55) | 71.95±0.54 (+1.18) | 58.03±0.08 | 63.83±0.53 (+5.80) | 70.51±0.33 (+1.28) |
| Mixed-Next ↑ | 55.50±0.71 | 63.64±0.41 (+8.14) | 70.25±0.34 (+6.75) | 53.35±0.36 | 63.05±0.54 (+9.70) | 66.81±0.08 (+13.46) |
| BG-Mixp ↓ | 20.64±0.36 | 17.24±0.31 (-3.40) | 12.53±0.69 (-8.11) | 21.27±0.64 | 17.45±0.15 (-3.82) | 14.44±0.56 (-6.83) |
Table 8: Test accuracy (%) of a linear classifier evaluated on various distribution-shifted datasets, following the training of the table above, additionally comparing with Mixup [41] and CutMix [42].
| Model | Augmentation | Test dataset |
|---------------|--------------|----------------------------|
| | | ImageNet-Sketch-9 | Stylized-ImageNet-9 | ImageNet-R-9 | ImageNet-C-9 |
| MoCoV2 | Baseline | 46.70±0.67 | 25.66±0.54 | 37.51±0.80 | 31.82±0.40 |
| MoCoV2 | +Mixup [41] | 51.18±0.88 (+4.48) | 32.36±0.12 (+6.70) | 41.00±0.12 (+3.49) | 40.15±0.27 (+8.33) |
| MoCoV2 | +CutMix [42] | 45.92±0.88 (-0.76) | 26.46±0.08 (+0.80) | 37.07±0.31 (-0.44) | 32.29±0.00 (-0.47) |
| MoCoV2 | +BG-Mixup (ours) | 52.15±0.93 (+5.45) | 33.36±0.04 (+7.70) | 41.50±0.45 (+3.39) | 44.39±0.39 (+12.57) |
| BYOL | Baseline | 45.15±1.12 | 23.80±0.45 | 36.21±0.31 | 28.62±0.06 |
| BYOL | +Mixup [41] | 50.12±1.61 (+4.97) | 28.11±1.15 (+4.31) | 37.90±0.44 (+1.69) | 32.48±0.55 (+3.86) |
| BYOL | +CutMix [42] | 46.07±0.05 (+0.93) | 23.98±0.05 (+0.18) | 35.43±0.44 (-0.78) | 29.68±0.39 (+1.06) |
| BYOL | +BG-Mixup (ours) | 52.40±0.70 (+7.25) | 27.01±0.74 (+3.21) | 39.62±0.21 (+3.41) | 33.83±0.28 (+5.21) |
3.3 Reducing background bias: Generalization on background and distribution shifts
We demonstrate the effectiveness of the background mixup (BG-Mixup) for the generalization of the learned representations on background and distribution shifts by reducing background bias and learning object-centric representation. To this end, we train MoCoV2 and BYOL (and BG-Mixup upon them) on the ORIGINAL dataset from the Background Challenge [23], a 9 superclass (370 classes) subset of the ImageNet [51]. We then train a linear classifier on top of the learned representation using the ORIGINAL dataset. Here, we evaluate the classifier on the Background Challenge datasets for the background shift results, and the corresponding 9 superclasses of the ImageNet-Sketch [29], Stylized-ImageNet [39], ImageNet-R [40], and ImageNet-C [30] datasets, denoted by putting ‘-9’ at the suffix of the dataset names, for the distribution shift results (see Appendix E.2 for details).
We additionally compare BG-Mixp with the hard background mixing (i.e., copy-and-paste) using ground-truth masks (BG-HardMix (GT)) for the background shift experiments, and Mixup [41] and CutMix [42] (following the training procedure of [43]) for the distribution shift experiments. We also tested the BG-HardMix using the initialized CAM but did not work well (see Appendix E.1). On the other hand, the BG-Mixup often makes contrastive learning hard to be optimized by producing hard positives; thus, we apply BG-Mix with probability $p_{\text{mix}} < 1$, independently applied on the patches. We tested $p_{\text{mix}} \in \{0.2, 0.3, 0.4, 0.5\}$ and choose $p_{\text{mix}} = 0.4$ for MoCoV2 and $p_{\text{mix}} = 0.3$ for BYOL. Note that MoCoV2 permits the higher $p_{\text{mix}}$, since finding the closest sample from the (finite) batch is easier than clustering infinitely many samples (see Appendix E.2 for details).
Table 7 presents the results on background shifts: BG-Mixup improves the predictions on the object-focused datasets (e.g., MIXED-RAND) while regularizing the background-focused datasets (e.g., ONLY-BG-T). Table 8 presents the results on distribution shifts: BG-Mixup mostly outperforms the Mixup and the CutMix. We also provide the BG-HardMix (GT) results on distribution shifts in Appendix E.3, and the mixup results on background shifts in Appendix E.4. The superiority of BG-Mix on both background and distribution shifts shows that its merits come from both object-centric learning via reducing background and the saliency-guided input interpolation. In addition, we provide the corruption-wise classification results on ImageNet-9-C in Appendix E.5, and additional distribution shifts results on ObjectNet [60] and SI-Score [61] in Appendix E.6.
4 Related work
**Contrastive learning.** Contrastive learning (or positive-only method) [1, 2, 14] is the state-of-the-art method for visual representation learning, which incorporates the prior knowledge of invariance over the data augmentations. However, they suffer from an inherent problem of matching false positives from random crop augmentation. We tackle this scene bias issue and improve the quality of learned representation. Note that prior work considering the scene bias for contrastive learning [19, 35, 36, 38] assumed the ground-truth object annotations or pre-trained segmentation models, undermining the motivation of self-supervised learning to reduce such supervision. In contrast, we propose a fully self-supervised framework of object localization and debiased contrastive learning. Several works [62, 63] consider an object-aware approach for video representation learning, but their motivation was to attract the objects of different temporal views and require a pretrained object detector.
**Bias in visual representation.** The bias (or shortcut) in neural networks [64] have got significant attention recently, pointing out the unintended over-reliance on texture [39], background [23], adversarial features [65], or conspicuous inputs [66]. Numerous works have thus attempted to remove such biases, particularly in an unsupervised manner [29, 67, 68]. Our work also lies on this line: we evoke the scene bias issue of self-supervised representation learning and propose an unsupervised debiasing method. Our work would be a step towards an unbiased, robust visual representation.
**Unsupervised object localization.** The deep-learning-based unsupervised object localization methods can be categorized as follow. (a) The generative-based [47, 69, 70] approaches train a generative model that disentangles the objects and background by enforcing the object-perturbed image to be considered as real. (b) The noisy-ensemble [71–73] approaches train a model using handcrafted predictions as noisy targets. Despite the training is unsupervised, they initialize the weights with the supervised model. (c) Voynov et al. [74] manually finds the ‘salient direction’ from the noise (latent) of the ImageNet-trained BigGAN [75]. Besides, scene decomposition (e.g., [76]) aims at a more ambitious goal: fully decompose the objects and background, but currently not scale to the complex images. To our best knowledge, the generative-based approach is the state-of-the-art method for fully unsupervised scenarios. Our proposed ContraCAM could be an alternative in this direction.
**Class activation map.** Class activation map [31, 32] has been used for the weakly-supervised object localization (WSOL), inferring the pixel- (or object-) level annotations using class labels. Specifically, classifier CAM finds the regions that are most salient for the classifier score. ContraCAM further expands its applicability from weakly-supervised to unsupervised object localization by utilizing the contrastive score instead of the classifier score. We think ContraCAM will raise new interesting research questions, e.g., one could adopt the techniques from CAM to the ContraCAM.
5 Conclusion and Discussion
We proposed the ContraCAM, a simple and effective self-supervised object localization method using the contrastively trained models. We then introduced two data augmentations upon the ContraCAM that reduce scene bias and improve the quality of the learned representations for contrastive learning. We remark that the scene bias is more severe for the uncurated images; our work would be a step towards strong self-supervised learning under real-world scenarios [77, 78].
**Limitations.** Since the ContraCAM finds the most salient regions, it can differ from the desiderata of the users, e.g., the ContraCAM detects both the birds and branches in the CUB [46] dataset, but one may only want to detect the birds. Also, though the ContraCAM identifies the disjoint objects, it is hard to separate the occluded objects. Incorporating the prior knowledge of the objects and designing a more careful method to disentangle objects would be an interesting future direction.
**Potential negative impacts.** Our proposed framework enforces the model to focus on the “objects”, or the salient regions, to disentangle the relations of the objects and background. However, ContraCAM may over-rely on the conspicuous objects and the derived data augmentation strategy by ContraCAM could potentially incur imbalanced performance across different objects. We remark that the biases in datasets and models cannot be entirely eliminated without carefully designed guidelines. While we empirically observe our proposed learning strategies mitigate contextual and background biases on certain object types, we still need a closer look at the models, interactively correcting them.
Acknowledgements
This work was partly supported by Institute of Information & Communications Technology Planning & Evaluation (IITP) grant funded by the Korea government (MSIT) (No.2019-0-00075, Artificial Intelligence Graduate School Program (KAIST); No. 2019-0-01396, Development of framework for analyzing, detecting, mitigating of bias in AI model and training data; No.2017-0-01779, A machine learning and statistical inference framework for explainable artificial intelligence), and partly by the Defense Challengeable Future Technology Program of the Agency for Defense Development, Republic of Korea. We thank Jihoon Tack, Jongjin Park, and Sihyun Yu for their valuable comments.
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A Algorithms
Algorithm 1 PyTorch-style pseudo-code for the Iterative ContraCAM.
# input: image (b, c, h, w)
masked_image = image # initial: original image
queues = []
for i in n_iters:
feature = get_features(masked_image) # spatial features
feature.requires_grad = True
output = get_projection(feature) # projection outputs
if i == 0:
key = output.detach() # original images
queues.append(output.detach()) # masked images
score = contrastive_score(output, key, queues) # See Algorithm 2
cam = compute_cam(feature, score, size=(h, w)) # See Algorithm 3
mask = max(mask, cam) if i > 0 else cam # union over iterations
masked_image = image * (1 - mask) + mask_color * mask # soft mask
return mask
Algorithm 2 PyTorch-style pseudo-code for the contrastive score.
# input: query (b,d), key (b,d), queues List[(b,d)]
pos = einsum('nc,nc->n', [query, key])
neg = cat([einsum('nc,kc->nk', [query, q]) * (1 - query.size(0))
for q in queues], dim=1)
score = (pos.exp().sum(dim=1) / neg.exp().sum(dim=1)).log()
return score
Algorithm 3 PyTorch-style pseudo-code for the Class Activation Map (CAM).
# input: feature (b,c,h,w), score (b), size=(H,W)
grad = autograd.grad(score.sum(), feature)[0]
weight = adaptive_avg_pool2d(grad, output_size=(1, 1))
weight = weight.clamp_min(0) # clamp negative weights
cam = sum(weight * feature, dim=1, keepdim=True).detach() # weighted sum
cam = interpolate(cam, size=(H,W)) # scale-up to image size
cam = normalize(relu(cam)) # normalize to [0,1]
return cam
B Implementation details
We build our code upon the PyTorch [52] and PyTorch Lightning\(^5\) library. Further implementation details and additional libraries for each experiment are stated in the remaining subsections.
B.1 Implementation details for object localization results
We train MoCov2 under the ResNet-18 architecture on CUB, Flowers, COCO, and ImageNet-9 datasets for the segmentation results. We train the models with batch size 256, COCO, and ImageNet-9 for 800 epochs and CUB and Flowers for 2,000 epochs since the latter has few samples. We follow the augmentations of He et al. [1]: color jitter with strength \((0.4,0.4,0.4,0.1)\), random grayscale with probability 0.2, and Gaussian blur with kernel size 23 and standard deviation sampled from \((0.1,2.0)\) with probability 0.5; except random crop patches with size \((0.08,1.0)\) instead of the original \((0.2,1.0)\) as it performed better for images with small objects. We use a learning rate of 0.03 with a cosine annealing schedule. These training configurations are applied for all experiments.
We apply the expansion trick [48]: doubly expand the resolution of penultimate spatial activations by decreasing the stride of the convolutional layer in the final residual block to detect small objects with CAM. Note that we only apply this trick at inference time and do not change the training; namely, the model is trained with the original \(7 \times 7\) resolution but inferred with the expanded \(14 \times 14\) of the spatial activations. We also tried training the models using the modified \(14 \times 14\) resolution but did not see much gain. We run ten iterations for the Iterative ContraCAM and apply the conditional random field following the default hyperparameters\(^6\) from the pydensecrf library [49]. We report the mask mean intersection-over-union (mIoU) between the predicted and ground-truth segmentation masks.
For the comparison of the classifier CAM and ContraCAM, we use the publicly available supervised classifier\(^7\) and MoCov2\(^8\) trained on the ImageNet dataset under the ResNet-50 architecture. Here, we do not apply the expansion trick and run a single iteration for the ContraCAM. We report the MaxBoxAccV2 [48]: averages the ratios of the bounding boxes whose mean intersection-over-unions (mIoUs) are larger than 30%, 50%, and 70% where the boxes for each mIoU percentages are generated by the CAM binarized by the optimal thresholds, on the ImageNet, CUB, Flowers, VOC, and OpenImages dataset following the official evaluation code.\(^9\) Recall that we report the transfer performance of the predicted CAMs from the ImageNet-trained models for these experiments.
B.2 Implementation details for contextual bias results
We train MoCov2 and BYOL under the ResNet-18 and ResNet-50 architectures on the COCO dataset for 800 epochs with batch size 256. We extract the bounding boxes from the binarized CAM masks using the `findContours` function in the OpenCV library [50]. We compute the boxes with MoCov2 trained on ResNet-18 and ResNet-50 architectures and use them for the debiased MoCov2 and BYOL using the same architectures. We found that giving some margin for the boxes slightly improves the performance by observing more object boundaries. Specifically, we expand the boxes with 20% of margins (width for left-and-right and height for up-and-down) found from the experiments using the ground-truth boxes and use the same margins for the CAM boxes. We also remove the small boxes, specifically smaller than 1% of the image size, to remove vague low-resolution objects.
We follow the linear evaluation scheme of Chen et al. [2]: train a \(\ell_2\)-regularized multinomial logistic regression classifier on top of the pre-computed representation using the L-BFGS [79] optimizer. We compute the representation with the center cropped images and choose the \(\ell_2\)-regularization parameter from \((10^{-6}, 10^5)\) spaced with a range of 45 logarithmically. We evaluate the transfer performance on the COCO-Crop (crop objects of the COCO dataset with 20% of margins), CIFAR-10, CIFAR-100, CUB, Flowers, Food, and Pets datasets using the linear classifier trained and tested on each dataset. For detection experiments, we follow the fine-tuning configuration of He et al. [1] evaluated on the COCO dataset. We use the Detectron\(^{10}\) library for the detection experiments.
\(^5\)https://github.com/PyTorchLightning/pytorch-lightning
\(^6\)https://github.com/lucasheyer/pydensecrf
\(^7\)https://pytorch.org/vision/stable/models.html
\(^8\)https://github.com/facebookresearch/moco
\(^9\)https://github.com/clovaai/wsolevaluation
\(^{10}\)https://github.com/facebookresearch/Detectron
B.3 Implementation details for background bias results
We provide the visual examples of the Background Challenge [23] in Figure 5 and distribution-shifted datasets of ImageNet [51]: ImageNet-Sketch [29], Stylized-ImageNet [39], ImageNet-R [40], and ImageNet-C [30] datasets in Figure 6. We train the models on the ImageNet-9 [23], i.e., the ORIGINAL dataset of the Background Challenge, which contains 9 superclass (370 class) of the full ImageNet for both background and distribution shifts experiments. Thus, we use the corresponding 9 superclass subsets of the distribution-shifted datasets, denoted by putting ‘-9’ at the suffix of the dataset names.
![Figure 5: Visual examples of the Background Challenge [23]. Image from the original paper.](image)
(a) ImageNet-Sketch [29] (b) Stylized-ImageNet [39] (c) ImageNet-R [40] (d) ImageNet-C [30]
Figure 6: Visual examples of the distribution-shifted datasets of ImageNet [51] for ‘dog’ class.
We train MoCov2 and BYOL under the ResNet-18 architecture on the ORIGINAL dataset of the Background Challenge for 800 epochs with batch size 256. We use the ContraCAM masks from MoCov2 to train debiased MoCov2 and BYOL for debiased BYOL. We threshold the CAM values with a threshold of 0.2 to find the largest contour, find the largest rectangle outside the contour to create the background patch and tile it for the background-only image. We train a linear classifier on the ORIGINAL dataset and evaluate test accuracy on the Background Challenge and distribution-shifted ImageNet 9 superclass subsets for the background and distribution shift results.
C Additional localization results
C.1 Visualization of ContraCAM without negative signal removal
Figure 7 shows the examples of ContraCAM without negative signal removal. The negative signals from similar objects in different images disturb the localization results by canceling positive signals; spread in random locations. Therefore, removing these signals improves the localization results.
  
(a) Original (b) ContraCAM w/o NSR (c) ContraCAM (ours)
Figure 7: Visualization of ContraCAM without negative signal removal (NSR).
C.2 Ablation study on the number of iterations
We present the ablation study on the number of iterations for the ContraCAM in Table 9. One needs a sufficient number of iterations (e.g., 5) since too small numbers of iterations often detect subregions or miss some objects. Also, note that the CAM shows stable results for large numbers (e.g., 20) of iterations and converges to some stationary values, though it slightly harms the best value of 10.
| Iteration | CUB | Flowers | COCO | ImageNet-9 |
|-----------|-------|---------|--------|------------|
| 1 | 0.249 | 0.374 | 0.081 | 0.090 |
| 2 | 0.402 | 0.662 | 0.182 | 0.220 |
| 3 | 0.447 | 0.738 | 0.256 | 0.328 |
| 5 | **0.461** | 0.753 | 0.308 | 0.417 |
| 10 | 0.460 | **0.776** | **0.319** | **0.427** |
| 20 | 0.458 | 0.737 | 0.318 | 0.419 |
C.3 Ablation study on the choice of negative batch
We study the effects of the negative batch for the ContraCAM. Recall that the ContraCAM finds the most discriminative regions compared to the negative batch; it assumes that images have similar backgrounds but different objects. For a sanity check, we construct a negative batch containing similar objects. Figure 8 shows an example of the ContraCAM using a giraffe-only and random batch as the negatives. ContraCAM highlights background when compared to the giraffe-only batch.
However, the pathological selection of the negative batch rarely occurs in practice; using a small number of random samples can alleviate the issue. Table 10 shows the effects of the negative batch size for the ContraCAM. Using a small batch (e.g., of size 4) almost match the performance of the larger batch (e.g., of size 64). We use the random batch of size 64 for all our experiments.
| Batch size | CUB | Flowers | COCO | ImageNet-9 |
|------------|-------|---------|--------|------------|
| 4 | 0.451 | 0.731 | 0.315 | 0.428 |
| 16 | 0.455 | 0.731 | 0.317 | **0.429** |
| 64 | **0.460** | **0.776** | **0.319** | 0.427 |
Table 10: Mask mIoU of ContraCAM with various negative batch sizes.
C.4 Comparison with the Classifier CAM
We compare the ContraCAM and classifier CAM under the publicly available supervised classifier and MoCov2 trained on the ImageNet dataset. Somewhat interestingly, the ContraCAM often outperforms the classifier CAM on the transfer setting, e.g., when transferred to the CUB dataset, as shown in Figure 9. This is because some samples of the CUB dataset are out-of-class of the ImageNet, and the classifier fails to understand the important features unrelated to the original classes.
  
Figure 9: Visualization of the Classifier CAM and ContraCAM.
To check whether the superiority of the ContraCAM comes from the score function or better backbone, we also train a linear classifier on top of the MoCov2 backbone using the ImageNet dataset and test the classifier CAM. Table 9 shows that the ContraCAM on MoCov2 even outperforms the classifier CAM on the same backbone for the ImageNet to CUB transfer scenario.
On the other hand, the table shows that the double expansion trick [48] of the resolution of penultimate spatial activations is more effective for MoCov2 while degrading the supervised classifier; MoCov2 is trained with stronger augmentations, making CAM robust to the modification of the architecture. Thus, we only apply the expansion trick for the MoCov2 results in Table 2.
Table 11: MaxBoxAccV2 of the Classifier CAM and ContraCAM using the supervised classifier and MoCov2 trained on the ImageNet dataset under the ResNet-50 architecture. Res $\times 2$ denotes the usage of the double expansion trick [48] of the resolution of penultimate spatial activations.
| Model | Method | Res $\times 2$ | ImageNet | CUB | Flowers | VOC | OpenImages |
|-----------|-----------------|----------------|----------|-------|---------|--------|------------|
| Supervised| Classifier CAM | | 55.95 | 55.52 | 76.87 | 53.88 | 48.01 |
| Supervised| Classifier CAM | ✓ | 55.01 | 43.23 | 73.31 | 52.27 | 47.23 |
| MoCov2 | Classifier CAM | | 57.79 | 63.84 | 74.29 | 59.45 | 51.99 |
| MoCov2 | Classifier CAM | ✓ | 60.04 | 62.87 | 78.01 | 61.03 | 53.06 |
| MoCov2 | ContraCAM (ours)| | 54.57 | 60.33 | 74.29 | 58.64 | 48.84 |
| MoCov2 | ContraCAM (ours)| ✓ | 55.88 | 64.07 | 75.64 | 59.40 | 49.89 |
C.5 Comparison with the gradient-based saliency methods
We compare the ContraCAM and gradient-based saliency methods using the contrastive score Eq. (1). All methods use the same score function but only differ from localization: the weighted sum of activations (i.e., CAM) or directly propagate the gradients to the input space (i.e., gradient-based saliencies). We choose two representative gradient-based saliency methods: Integrated Gradients (IntGrad) [53] and SmoothGrad [54], which ensembles multiple gradients for better saliency detection. Specifically, IntGrad ensembles the gradients of the linear interpolation of the image and the zero image, and SmoothGrad ensembles the gradients of the image added by random Gaussian noises. We average ten gradients, either interpolation or Gaussian noises, for both methods.
Figure 10 and Table 12 present the visual examples and quantitative results measured by MaxBoxAccV2, respectively. The gradient-based saliencies provide sparse points as outputs, which can be hard to aggregate as segmentation masks. In contrast, ContraCAM provides smooth maps which are more interpretable and easily used for applications, e.g., post-process to bounding boxes. Furthermore, the gradient-based saliencies detect larger regions than ContraCAM. We think it is due to the negative signals: unlike ContraCAM, it is non-trivial to remove them for the gradient-based saliencies.
(a) Original (b) IntGrad [53] (c) SmoothGrad [54] (d) ContraCAM (ours)
Figure 10: Visualization of various saliency methods using the contrastive score Eq. (1).
Table 12: MaxBoxAccV2 of various saliency methods using the contrastive score Eq. (1). We compute the saliencies from the MoCov2 trained on the ImageNet dataset under the ResNet-50 architecture.
| Method | ImageNet | CUB | Flowers | VOC | OpenImages |
|-----------------|----------|-------|---------|--------|------------|
| IntGrad [53] | 48.40 | 35.44 | 70.73 | 48.52 | 49.48 |
| SmoothGrad [54] | 51.70 | 51.50 | 72.83 | 57.26 | 48.67 |
| ContraCAM (ours)| **55.88**| **64.07**| **75.64**| **59.40**| **49.89** |
D Additional contextual bias results
D.1 Hard negative issue in MoCov2
We found that MoCov2 trained with the object-aware random crop (OA-Crop) using ground-truth (GT) bounding boxes does not perform well, often worse than the original image (Baseline). This is because the contrastive learning objective is hard to optimize and unstable during training for the OA-Crop (GT), as shown in Figure 11. In contrast, OA-Crop using the ContraCAM boxes is much stable, yet it is a little harder to optimize than the original image.
(a) Baseline
(b) OA-Crop (CAM)
(c) OA-Crop (GT)
Figure 11: Training loss curve of MoCov2 trained under the COCO dataset.
The reason behind this phenomenon is that the ground-truth boxes often contain objects that are hard to distinguish from each other, i.e., hard negatives for contrastive learning. In contrast, ContraCAM finds more discriminative objects as defined in Eq. (1). Figure 12 shows the histogram of the number of ContraCAM and ground-truth boxes, and Figure 13 shows a visual example of them. ContraCAM finds the most recognizable 1~3 objects from the full ground-truth boxes.
(a) CAM boxes
(b) GT boxes
Figure 12: Histogram of the number of ContraCAM and ground-truth boxes.
(a) CAM boxes
(b) GT boxes
Figure 13: Visualization of the ContraCAM and ground-truth boxes.
D.2 Analysis on the contextual bias
We analyze whether the object-aware random crop (OA-Crop) actually relieves the contextual bias. To verify this, we visualize the embeddings of correlated classes under the original MoCov2 and the debiased model using the OA-Crop with the ContraCAM boxes. Specifically, we choose giraffe and zebra, which frequently co-occurs in the safari scene (see Figure 1a). Figure 14 shows the t-SNE [80] visualization of the giraffe and zebra embeddings of the original and debiased models. The debiased OA-Crop (CAM) model less entangles the features of giraffe and zebra. However, even the debiased model using the ground-truth boxes, i.e., OA-Crop (GT), does not perfectly disentangle the features; since the bounding boxes often contain nearby or occluded objects.
We also quantitatively measure the contextual bias of the models in Table 13. Specifically, we compute the average minimum $\ell_2$-distance of the features, i.e.,
$$\frac{1}{|\mathcal{X}|} \sum_{x \in \mathcal{X}} \min_{y \in \mathcal{Y}} d(x, y) + \frac{1}{|\mathcal{Y}|} \sum_{y \in \mathcal{Y}} \min_{x \in \mathcal{X}} d(x, y),$$
(5)
where $\mathcal{X}, \mathcal{Y} \subset \mathbb{R}^m$ are the penultimate embeddings of each class (giraffe and zebra) and $d$ denotes a $\ell_2$-distance function, under the MoCov2 using the ResNet-50 architecture. The model trained by OA-Crop (CAM) has a larger distance between the embeddings than the original image.
 
(a) Baseline (b) OA-Crop (CAM)
Figure 14: t-SNE [80] visualization of the giraffe and zebra embeddings.
Table 13: Average minimum $\ell_2$-distance of giraffe and zebra embeddings.
| | Baseline | OA-Crop (CAM) | OA-Crop (GT) |
|----------------|----------|---------------|--------------|
| | 0.2441 | 0.2790 | 0.3824 |
To further verify that the contextual bias harms the discriminability, we report the classification error of co-occurring classes (giraffe vs. zebra) over epochs. Upon the fixed representation, we compute the 5 seed average of 1-shot binary classification error. The classification error of vanilla MoCov2 increases for later epochs while the object-aware random crop shows consistent results.
Table 14: Error rate (%) of the binary classifier of giraffe vs. zebra over epochs.
| Epoch | 100 | 200 | 300 | 400 | 500 | 600 | 700 | 800 |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|
| MoCov2| 22.5| 1.9 | 3.8 | 2.7 | 7.7 | 4.6 | 6.6 | 8.5 |
| +OA-Crop | 1.6 | 1.7 | 2.4 | 2.4 | 5.2 | 2.9 | 1.6 | 1.3 |
D.3 Comparison with supervised models
We provide the linear evaluation and detection/segmentation results of supervised models. Specifically, we consider two representative supervised learning model: Faster R-CNN [58] and Mask R-CNN [59], which are trained on bounding boxes and instance segmentations, respectively. We use the publicly available PyTorch models\footnote{\url{https://pytorch.org/vision/stable/models.html}} trained on the COCO dataset using the ResNet-50 architecture. We use the pretrained weights for detection/segmentation experiments (Table 16) and trained a linear classifier upon the pretrained weights for linear evaluation experiments (Table 15).
Table 15 and Table 16 show that the supervised Faster R-CNN and Mask R-CNN learns better representation than the self-supervised models. However, BYOL trained with ground-truth object boxes matches the supervised models’ linear evaluation performance, implying the self-supervised methods’ potentials. While ContraCAM significantly improves the vanilla MoCov2/BYOL, it would be an interesting future direction to reduce the gap between the supervised models further.
Table 15: Linear evaluation (%) of MoCov2 and BYOL under the ResNet-50 architecture, following the setting of Table 4. We compare the self-supervised and supervised models.
| Model | OA-Crop | Test dataset |
|-----------|---------|--------------|
| | | COCO-Crop | CIFAR10 | CIFAR100 | CUB | Flowers | Food | Pets |
| MoCov2 | - | 74.30 | 77.58 | 53.26 | 22.90 | 72.09 | 59.70 | 59.25 |
| BYOL | - | 73.36 | 76.62 | 51.79 | 21.95 | 73.77 | 59.49 | 60.72 |
| MoCov2 | CAM | 76.37 | 84.10 | 62.72 | 25.46 | 77.33 | 62.01 | 60.97 |
| BYOL | CAM | 74.92 | 82.79 | 61.13 | 24.34 | 77.83 | 61.83 | 61.27 |
| MoCov2 | GT | 76.44 | 84.03 | 62.81 | 22.59 | 75.09 | 57.47 | 57.67 |
| BYOL | GT | 80.69 | 85.92 | 65.06 | 28.68 | 77.95 | 64.63 | 65.69 |
| Faster R-CNN | - | 81.25 | 88.92 | 67.79 | 30.77 | 77.59 | 66.82 | 66.07 |
| Mask R-CNN | - | 81.45 | 88.59 | 67.72 | 29.05 | 77.57 | 66.27 | 64.40 |
Table 16: Mean AP (%) of MoCov2 and BYOL fine-tuned on the COCO detection and segmentation tasks, following the setting of the table above, using the ResNet-50 architecture.
| | MoCov2 | BYOL | Faster R-CNN | Mask R-CNN |
|-------------------|--------|------|--------------|------------|
| | - CAM | GT | - CAM | GT | |
| COCO Detection | 36.3 | 36.6 | 35.7 | 35.1 | 35.6 | 35.1 | 37.0 | 37.9 |
| COCO Segmentation | 32.0 | 32.4 | 31.5 | 31.1 | 31.4 | 31.1 | - | 34.6 |
D.4 Class-wise accuracy on CIFAR-10
We check if our debiased models suffer from the over-reliance on conspicuous objects as concerned in the potential negative effects section. Table 17 shows the class-wise accuracy of the original and our debiased models on CIFAR-10. OA-Crop does not degrade the performance on certain classes, implying that the concerned bias issue does not occur for our considered transfer scenario.
Table 17: Class-wise linear evaluation (%) of MoCov2 and BYOL on CIFAR-10 under the ResNet-50 architecture, following the setting of Table 4. OA-Crop is not biased to the certain classes.
| Model | OA-Crop | Airplane | Automobile | Bird | Cat | Deer | Dog | Frog | Horse | Ship | Truck |
|---------|---------|----------|------------|------|-----|------|-----|------|-------|------|-------|
| MoCov2 | - | 79.5 | 86.9 | 67.2 | 61.6| 74.0 | 68.1| 82.1 | 79.2 | 89.4 | 87.8 |
| MoCov2 | CAM | 88.9 (+9.4) | 92.8 (+5.9) | 74.8 (+7.6) | 70.0 (+8.4) | 78.6 (+4.6) | 76.6 (+8.5) | 88.6 (+6.5) | 83.1 (+5.0) | 93.8 (+4.4) | 91.8 (+4.0) |
| MoCov2 | GT | 89.1 (+9.5) | 94.0 (+7.1) | 76.5 (+9.3) | 70.9 (+9.9) | 78.2 (+4.2) | 73.9 (+5.8) | 87.0 (+4.9) | 86.1 (+7.1) | 92.5 (+4.1) | 91.8 (+4.0) |
| BYOL | - | 78.6 | 86.2 | 67.2 | 61.6| 74.0 | 68.1| 82.1 | 79.2 | 89.4 | 87.8 |
| BYOL | CAM | 86.2 (+7.6) | 93.7 (+7.4) | 73.4 (+6.3) | 69.4 (+7.8) | 78.2 (+7.4) | 74.7 (+6.5) | 87.5 (+5.7) | 83.6 (+4.9) | 92.1 (+4.9) | 91.6 (+4.4) |
| BYOL | GT | 90.2 (+11.6) | 94.6 (+8.8) | 76.7 (+12.6) | 73.0 (+10.7) | 80.1 (+11.3) | 79.8 (+11.4) | 89.4 (+9.6) | 88.6 (+9.9) | 93.6 (+4.6) | 93.2 (+4.4) |
D.5 Comparison with the ImageNet-trained models
We compare the models trained under the COCO dataset (original or with OA Crop) with the 10% subset of the ImageNet dataset (i.e., ImageNet 10%) under the ResNet-18 architecture in Table 18. We randomly choose 10% of samples to make a similar size (~100,000) with the COCO dataset. While the models trained under COCO performing better on the COCO-Crop, ImageNet significantly outperforms the other datasets, implying ImageNet has fewer distribution shifts with them.
Table 18: Linear evaluation (%) of MoCov2 and BYOL on various image classification tasks under the ResNet-18 architecture, following the setting of Table 4. We additionally compare with the models trained under the 10% subset of the ImageNet dataset (i.e., ImageNet 10%).
| Model | Dataset | OA-Crop | Test dataset |
|---------|---------|---------|--------------|
| | | COCO-Crop | CIFAR10 | CIFAR100 | CUB | Flowers | Food | Pets |
| MoCov2 | COCO | - | 67.38 | 66.83 | 41.85 | 15.36 | 58.81 | 45.88 | 45.37 |
| MoCov2 | COCO | CAM | 69.92 | 76.73 | 53.75 | 16.26 | 64.77 | 48.56 | 47.37 |
| MoCov2 | COCO | GT | 70.61 | 77.49 | 53.32 | 19.18 | 65.43 | 46.44 | 48.68 |
| MoCov2 | ImageNet 10% | - | 66.28 | 75.28 | 48.64 | 23.75 | 67.99 | 48.70 | 64.16 |
| BYOL | COCO | - | 67.74 | 67.82 | 41.96 | 17.24 | 64.79 | 49.58 | 52.90 |
| BYOL | COCO | CAM | 70.85 | 77.37 | 54.79 | 18.24 | 70.56 | 53.16 | 54.27 |
| BYOL | COCO | GT | 76.59 | 81.23 | 58.11 | 22.99 | 73.25 | 55.33 | 59.80 |
| BYOL | ImageNet 10% | - | 68.96 | 78.51 | 55.40 | 29.89 | 78.14 | 55.10 | 70.16 |
D.6 Second iteration using the CAM from the debiased models
We compare the models trained with the ContraCAM inferred from the original models (Iter. 1) and the debiased models (Iter. 2) in Table 19. Using the debiased models has no additional gain from the original models. Thus, we use the single iteration version for all experiments.
Table 19: Linear evaluation (%) of MoCov2 and BYOL on various image classification tasks under the ResNet-18 architecture, following the setting of Table 4. We compare the models trained with the ContraCAM inferred from the original models (Iter. 1) and debiased models (Iter. 2).
| Model | OA-Crop | Iter. | Test dataset |
|---------|---------|-------|--------------|
| | | | COCO-Crop | CIFAR10 | CIFAR100 | CUB | Flowers | Food | Pets |
| MoCov2 | - | 1 | 67.38 | 66.83 | 41.85 | 15.36 | 58.81 | 45.88 | 45.37 |
| MoCov2 | CAM | 1 | 69.92 (+2.54) | 76.73 (+9.90) | 53.75 (+1.90) | 16.26 (+0.90) | 64.77 (+5.96) | 48.56 (+2.68) | 47.37 (+2.00) |
| MoCov2 | CAM | 2 | 68.53 (+1.15) | 76.54 (+0.71) | 52.64 (+0.70) | 16.62 (+0.26) | 64.89 (+0.08) | 47.34 (+1.46) | 46.77 (+1.40) |
| BYOL | - | 1 | 67.74 | 67.82 | 41.96 | 17.24 | 64.79 | 49.58 | 52.90 |
| BYOL | CAM | 1 | 70.85 (+3.11) | 77.37 (+9.55) | 54.79 (+2.83) | 18.24 (+1.00) | 70.56 (+5.77) | 53.16 (+3.58) | 54.27 (+1.37) |
| BYOL | CAM | 2 | 70.96 (+0.22) | 77.66 (+0.80) | 54.78 (+0.28) | 20.14 (+1.90) | 71.31 (+0.52) | 53.38 (+0.80) | 53.50 (+0.60) |
E Additional background bias results
E.1 Comparison with the copy-and-paste augmentation
We compare the background mixup using the ContraCAM (BG-Mixup) with the copy-and-paste augmentation using the binarized CAM (BG-HardMix) in Table 20. BG-Mixup (CAM) shows better accuracy (e.g., ORIGINAL) and better generalization (e.g., MIXED-RAND) than the BG-HardMix, implying that the soft blending of foreground and background images performs better than the hard copy-and-paste method, one should consider the confidence of the predicted CAM masks as they are inaccurate. Also, the soft blending gives a further regularization effect of mixup [41].
Table 20: Test accuracy (%) on background shifts following the setting of Table 7. We compare the background mixup using the ContraCAM (BG-Mixup) and the copy-and-paste version using the binarized CAM (BG-HardMix). Bold denotes the best results among the same model.
| Dataset | MoCov2 | BYOL |
|---------------|-------------------------|-----------------------|
| | Baseline | BG-Mixup (CAM) | BG-HardMix (CAM) | Baseline | BG-Mixup (CAM) | BG-HardMix (CAM) |
| Original ↑ | 89.72 ± 0.09 | **90.73 ± 0.05 (+1.36)** | 88.95 ± 0.50 (-0.21) | 87.39 ± 0.66 | **89.30 ± 0.02 (+1.92)** | 88.71 ± 0.28 (-0.14) |
| Only-BG-B ↓ | 31.22 ± 1.46 | **29.64 ± 0.91 (+1.60)** | 31.28 ± 1.00 (+0.04) | **55.49 ± 0.40** | 25.70 ± 1.03 (-5.79) | 26.67 ± 1.01 (-4.59) |
| Only-BG-T ↓ | 44.91 ± 0.16 | **41.95 ± 0.38 (-2.96)** | 44.36 ± 1.40 (-0.55) | 42.81 ± 0.51 | **39.94 ± 0.52 (-2.89)** | 42.02 ± 0.45 (-0.81) |
| Only-FG ↑ | 63.62 ± 1.41 | **70.55 ± 1.71 (+6.93)** | 67.75 ± 0.89 (+1.13) | 61.04 ± 0.94 | **67.53 ± 0.30 (+6.49)** | 63.61 ± 1.26 (+2.57) |
| Mixed-Same ↑ | 81.43 ± 0.34 | **84.15 ± 0.33 (+1.33)** | 82.19 ± 0.61 (+1.21) | 79.02 ± 0.31 | **81.28 ± 0.51 (+1.88)** | 81.25 ± 0.48 (+1.35) |
| Mixed-Rand ↑ | 60.36 ± 0.41 | **66.30 ± 0.54 (+5.57)** | 62.01 ± 0.64 (+1.12) | 58.01 ± 0.50 | **63.35 ± 0.53 (+1.80)** | 63.01 ± 0.51 (+1.17 +0.90) |
| Mixed-Next ↓ | 55.50 ± 0.71 | **63.64 ± 0.41 (+8.11)** | 59.19 ± 0.64 (+4.60) | 53.33 ± 0.36 | **63.05 ± 0.41 (+1.60)** | 58.13 ± 1.21 (+2.83) |
| BG-Gap ↓ | 20.64 ± 0.36 | **17.24 ± 0.31 (-3.40)** | 18.73 ± 0.54 (-1.91) | 21.27 ± 0.64 | **17.45 ± 0.15 (-3.82)** | 19.32 ± 0.42 (+1.95) |
E.2 Ablation study on the mixup probability
We study the effect of the mixup probability $p_{\text{mix}}$, a probability of applying BG-Mixup augmentation. Table 21 shows the BG-Mixup results with varying $p_{\text{mix}} \in \{0.2, 0.3, 0.4, 0.5\}$ applied on MoCov2 and BYOL. We first remark that BG-Mixup gives a consistent gain regardless of $p_{\text{mix}}$. Despite of the insensitivity on the hyperparameter $p_{\text{mix}}$, we choose $p_{\text{mix}} = 0.4$ for MoCov2 and $p_{\text{mix}} = 0.3$ for BYOL since they performed best for the most datasets in Background Challenge. MoCov2 permits the higher mixup probability since finding the closest sample from the finite batch (i.e., contrastive learning) is easier than clustering infinitely many samples (i.e., positive-only methods).
Table 21: Test accuracy (%) on background shifts following the setting of Table 7. We study the effect of the mixup probability $p_{\text{mix}}$. Bold denotes the best results among the same model.
| Model | $p_{\text{mix}}$ | Test dataset | Original ↑ | Only-BG-B ↓ | Only-BG-T ↓ | Only-FG ↑ | Mixed-Same ↑ | Mixed-Rand ↑ | Mixed-Next ↑ | BG-Gap ↓ |
|-----------|------------------|--------------|------------|-------------|-------------|------------|--------------|--------------|--------------|----------|
| MoCov2 | 0.0 | 88.67 | 28.47 | 44.99 | 58.25 | 81.21 | 60.57 | 56.22 | 20.64 |
| MoCov2 | 0.2 | 90.52 (+1.85)| **26.32 (+2.10)** | 43.71 (+1.20) | 69.01 (+1.76) | 82.91 (+1.70) | 64.89 (+4.32) | 62.12 (+5.90) | 18.02 (+2.62) |
| MoCov2 | 0.3 | 91.08 (+2.41)| 25.42 (+3.04) | 42.42 (+1.31) | 70.40 (+1.39) | 83.40 (+2.19) | 65.30 (+4.15) | 62.85 (+5.11) | 17.85 (+2.11) |
| MoCov2 | 0.4 | 90.77 (+2.05)| 28.69 (+1.23) | **42.05 (+2.94)** | **72.35 (+1.10)** | **84.42 (+2.21)** | **67.51 (+6.34)** | 64.04 (+7.82) | **16.91 (+1.73)** |
| MoCov2 | 0.5 | 90.81 (+2.14)| 30.07 (+1.60) | 42.20 (+2.79) | 68.96 (+0.71) | 83.26 (+2.05) | 66.27 (+5.70) | **64.15 (+7.93)** | 16.99 (+0.65) |
| BYOL | 0.0 | 86.72 | 26.32 | 43.41 | 60.22 | 78.96 | 57.11 | 53.01 | 21.85 |
| BYOL | 0.2 | 88.47 (+1.75)| 25.61 (+0.68) | 42.05 (+1.56) | 63.11 (+2.95) | **81.53 (+2.57)** | 62.67 (+5.75) | 60.01 (+6.86) | 18.71 (+1.86) |
| BYOL | 0.3 | **89.31 (+2.59)** | **22.47 (+3.85)** | **39.68 (+1.73)** | 57.36 (+7.14) | 80.11 (+1.03) | **63.55 (+6.47)** | **61.01 (+6.08)** | **17.31 (+1.54)** |
| BYOL | 0.4 | 88.47 (+1.75)| 29.04 (+2.72) | 40.77 (+2.44) | 66.20 (+5.98) | 81.33 (+2.37) | 62.77 (+5.66) | 59.09 (+6.08) | 18.56 (+1.29) |
| BYOL | 0.5 | 88.08 (+1.30)| 29.48 (+3.16) | 40.20 (+3.21) | **69.09 (+8.87)** | **81.53 (+2.57)** | 62.40 (+5.29) | 59.04 (+6.03) | 19.13 (+2.72) |
E.3 ContraCAM vs. GT masks on the distribution shifts
We provide distribution shift results of the copy-and-paste augmentation using ground-truth masks (BG-HardMix (GT)) in Table 22. BG-HardMix also improves the performance on distribution shifts by enforcing object-centric learning, but BG-Mixup performs better due to both object-centricness and input interpolation. Recall that BG-HardMix (GT) uses ground-truth masks and thus performs better for background shifts; yet, BG-Mixup is better for the distribution shifts.
Table 22: Test accuracy (%) on distribution shifts following the setting of Table 8. We compare the copy-and-paste version using the ground-truth masks (BG-HardMix (GT)) and the background mixup using the ContraCAM masks (BG-Mixup (CAM)). Bold denotes the best results.
| Model | Augmentation | Test dataset |
|-----------|-----------------------|-------------------------------|
| | | ImageNet-Sketch-9 | Stylized-ImageNet-9 | ImageNet-R-9 | ImageNet-C-9 |
| MoCov2 | Baseline | 46.70 ± 0.67 | 25.66 ± 0.51 | 37.51 ± 0.80 | 31.82 ± 0.40 |
| MoCov2 | +BG-Mixup (CAM) | **52.15 ± 0.93 (+5.45)** | **33.36 ± 0.61 (+7.70)** | **41.50 ± 0.45 (+3.99)** | **31.39 ± 0.89 (+12.57)** |
| MoCov2.2 | +BG-HardMix (GT) | 51.60 ± 0.91 (+4.90) | 29.95 ± 2.64 (+4.09) | 40.15 ± 0.34 (+2.39) | 31.45 ± 1.20 (-0.37) |
| BYOL | Baseline | 45.15 ± 1.12 | 23.80 ± 0.45 | 36.21 ± 0.31 | 28.62 ± 0.06 |
| BYOL | +BG-Mixup (CAM) | **52.40 ± 1.70 (+7.25)** | **27.01 ± 0.74 (+3.21)** | **39.62 ± 0.21 (+3.41)** | **33.83 ± 0.28 (+5.21)** |
| BYOL | +BG-HardMix (GT) | 51.57 ± 1.68 (+6.42) | 26.72 ± 0.38 (+2.92) | **40.09 ± 0.41 (+3.88)** | 31.04 ± 0.52 (+2.42) |
E.4 Mixup and CutMix on the background shifts
We provide background shift results of Mixup and CutMix in Table 23. Since they are not designed for addressing the background bias, they are not effective on the Background Challenge benchmarks. In contrast, the background mixup is effective on both background and distribution shifts.
Table 23: Test accuracy (%) on background shifts following the setting of Table 7. We additionally compare with the Mixup and CutMix. Bold denotes the best results.
| Model | Augmentation | Test dataset |
|-----------|-----------------------|-------------------------------|
| | | Original ↑ | Only-BG-B ↑ | Only-BG-T ↓ | Only-FG ↑ | Mixed-Same ↑ | Mixed-Rand ↑ | Mixed-Next ↑ | BG-Gap ↓ |
| MoCov2 | Baseline | 89.17 | 51.29 | 44.91 | 63.62 | 80.98 | 60.34 | 55.50 | 20.64 |
| MoCov2 | +Mixup [11] | 88.51 (+0.66) | **28.54 (+2.35)** | 44.41 (+0.50) | 69.53 (+5.91) | 80.85 (+0.13) | 60.68 (+0.34) | 57.25 (+1.76) | 20.17 (+0.47) |
| MoCov2 | +CutMix [12] | 89.25 (+0.08) | 27.91 (+3.38) | 44.31 (+0.60) | 69.41 (+5.79) | 80.74 (+0.21) | 59.97 (+0.33) | 56.75 (+1.25) | 20.19 (+0.19) |
| MoCov2 | +BG-Mixup (ours) | **90.73 (+1.56)** | 29.60 (+1.31) | **41.95 (+2.04)** | **70.55 (+8.83)** | **84.13 (+3.15)** | **66.89 (+6.55)** | **63.64 (+8.16)** | **17.24 (+6.60)** |
| BYOL | Baseline | 87.30 | **35.59** | 42.83 | 61.04 | 79.3 | 58.03 | 53.35 | 21.27 |
| BYOL | +Mixup [11] | 87.30 (+0.00) | 35.16 (+0.43) | 41.81 (+1.02) | 61.87 (+0.83) | 78.90 (+0.60) | 58.16 (+0.13) | 51.75 (+1.60) | 22.04 (+0.75) |
| BYOL | +CutMix [12] | 86.52 (+0.78) | 28.52 (+7.07) | 41.88 (+0.06) | 61.30 (+0.26) | 78.74 (+0.44) | 56.46 (+1.57) | 51.11 (+2.20) | 23.28 (+2.41) |
| BYOL | +BG-Mixup (ours) | **89.30 (+2.00)** | 25.70 (+11.11) | **39.94 (+2.81)** | **67.53 (+6.49)** | **81.28 (+1.98)** | **63.83 (+5.80)** | **63.05 (+9.70)** | **17.45 (+6.22)** |
E.5 Corruption-wise results on ImageNet-C-9
We provide the corruption-wise results on the ImageNet-C-9 dataset in Table 24. Background mixup using the ContraCAM masks (BG-Mixup (CAM)) shows the overall best performance. Especially, the BG-Mixup performs well for the ‘weather’ and ‘digital’ class, e.g., improves 24.41% of the baseline to 54.30% (+29.89%), while less performs for the ‘noise’ class. Indeed, the ‘weather’ and ‘digital’ classes require more understanding of the objects (i.e., shape bias) than the ‘noise’ class.
Table 24: Corruption-wise test accuracy (%) on the ImageNet-C-9 dataset. Bold denotes the best results.
| Model | Augmentation | Test dataset | Noise | Blur | Weather | Digital |
|-----------|--------------|--------------|-------|------|---------|---------|
| | | | Gaussian | Shot | Impulse | Defocus | Glass | Motion | Zoom | Snow | Frost | Fog | Brightness | Contrast | Elastic | Pixel | JPEG |
| MoCo-v2 | Baseline | 9.24±1.06 | 9.66±1.10 | 9.11±1.06 | 19.23±1.17 | 19.63±1.15 | 29.92±1.18 | 46.42±1.10 | 41.58±1.08 | 29.94±1.03 | 24.41±1.09 | 72.43±1.00 | 16.39±1.00 | 61.58±1.00 | 25.19±1.00 | 58.37±1.00 |
| MoCo-v2 | Mixup (H) | 18.59±1.42 | 17.62±1.74 | 17.93±1.69 | 23.54±1.08 | 23.94±1.29 | 50.48±1.14 | 48.01±1.03 | 45.11±1.15 | 32.28±1.57 | 40.11±1.17 | 76.18±1.01 | 63.55±1.00 | 59.97±1.00 | 62.50±1.00 |
| MoCo-v2 | Mixup (C, AM)| 18.59±1.42 | 17.62±1.74 | 17.93±1.69 | 23.54±1.08 | 23.94±1.29 | 50.48±1.14 | 48.01±1.03 | 45.11±1.15 | 32.28±1.57 | 40.11±1.17 | 76.18±1.01 | 63.55±1.00 | 59.97±1.00 | 62.50±1.00 |
| MoCo-v2 | Mixup (C, AM) | 18.59±1.42 | 17.62±1.74 | 17.93±1.69 | 23.54±1.08 | 23.94±1.29 | 50.48±1.14 | 48.01±1.03 | 45.11±1.15 | 32.28±1.57 | 40.11±1.17 | 76.18±1.01 | 63.55±1.00 | 59.97±1.00 | 62.50±1.00 |
| MoCo-v2 | BigHamHmix (GT) | 18.59±1.42 | 17.62±1.74 | 17.93±1.69 | 23.54±1.08 | 23.94±1.29 | 50.48±1.14 | 48.01±1.03 | 45.11±1.15 | 32.28±1.57 | 40.11±1.17 | 76.18±1.01 | 63.55±1.00 | 59.97±1.00 | 62.50±1.00 |
| BYOL | Baseline | 6.39±1.06 | 7.27±1.07 | 6.53±1.05 | 12.54±1.07 | 18.32±1.05 | 27.54±1.15 | 41.57±0.95 | 26.67±1.00 | 26.89±1.07 | 24.42±0.95 | 69.59±1.00 | 14.51±0.95 | 69.45±1.00 | 20.05±1.02 | 55.82±1.02 |
| BYOL | Mixup (H) | 14.73±1.48 | 13.85±1.50 | 13.59±1.52 | 12.41±1.22 | 18.88±1.02 | 26.17±1.00 | 38.52±1.17 | 34.23±1.19 | 29.18±1.11 | 71.33±1.00 | 12.02±1.44 | 62.23±1.00 | 34.39±1.00 | 58.73±1.00 |
| BYOL | Mixup (C, AM)| 7.37±1.04 | 7.37±1.04 | 7.37±1.04 | 12.37±0.96 | 18.53±1.02 | 26.99±1.37 | 43.17±2.00 | 41.88±1.07 | 35.26±1.00 | 43.37±2.23 | 73.34±1.00 | 20.58±1.07 | 69.92±1.00 | 41.31±1.00 |
| BYOL | Mixup (C, AM) | 7.37±1.04 | 7.37±1.04 | 7.37±1.04 | 12.37±0.96 | 18.53±1.02 | 26.99±1.37 | 43.17±2.00 | 41.88±1.07 | 35.26±1.00 | 43.37±2.23 | 73.34±1.00 | 20.58±1.07 | 69.92±1.00 | 41.31±1.00 |
| BYOL | BG-Mixup (C, AM) | 8.39±1.57 | 9.20±1.67 | 7.86±1.76 | 12.37±0.96 | 18.53±1.02 | 26.99±1.37 | 43.17±2.00 | 41.88±1.07 | 35.26±1.00 | 43.37±2.23 | 73.34±1.00 | 20.58±1.07 | 69.92±1.00 | 41.31±1.00 |
| BYOL | BG-HamHmix (GT) | 8.39±1.57 | 9.43±1.69 | 7.72±1.44 | 10.14±1.08 | 22.97±1.06 | 26.06±1.37 | 42.44±1.93 | 41.88±1.07 | 32.01±1.00 | 30.99±1.01 | 76.38±1.00 | 16.17±0.98 | 62.87±1.00 | 18.34±1.00 | 59.76±1.00 |
E.6 Results on additional datasets
We additionally evaluate the generalization performance of background mixup on ObjectNet [60] and SI-Score [61], datasets for distribution shift and background shift, respectively. Following previous experiment settings, we train a linear classifier on ImageNet-9 and evaluate the 9-superclass subset of ObjectNet and SI-Score, denoted by adding ‘-9’ in suffix. Table 25 shows that background mixup outperforms the vanilla MoCov2/BYOL (and also Mixup and CutMix) for both datasets. Note that BG-Mixup (CAM) performs better than BG-HardMix (GT) for ObjectNet-9 (distribution-shifted) but less effective for SI-Score-9 (background-shifted).
Table 25: Test accuracy (%) of a linear classifier trained on ImageNet-9 and evaluated on additional distribution-shifted and background-shifted datasets, following the setting of Table 7.
| Model | Augmentation | Test dataset |
|-------------|--------------|--------------|
| | | ObjectNet-9 | SI-Score-9 |
| MoCov2 | Baseline | 24.96±2.81 | 59.04±2.33 |
| MoCov2 | +Mixup [41] | 28.53±0.52 (+3.57) | 58.60±1.70 (-0.44) |
| MoCov2 | +CutMix [42] | 26.87±5.22 (+1.91) | 56.33±1.57 (-2.71) |
| MoCov2 | +BG-Mixup (CAM) | **29.28±3.84 (+4.32)** | 63.50±0.52 (+4.46) |
| MoCov2 | +BG-HardMix (GT) | 27.48±4.30 (+2.52) | **68.70±0.48 (+9.66)** |
| BYOL | Baseline | 25.38±1.59 | 55.70±1.24 |
| BYOL | +Mixup [41] | 25.97±2.90 (+0.59) | 58.15±0.78 (+2.45) |
| BYOL | +CutMix [42] | 22.22±5.02 (-3.16) | 55.78±1.79 (+0.08) |
| BYOL | +BG-Mixup (CAM) | **31.38±0.52 (+6.00)** | 62.77±1.04 (+7.07) |
| BYOL | +BG-HardMix (GT) | 30.78±4.29 (+5.40) | **69.00±0.48 (+13.30)** | |
Performance evaluation of decision-making agents’ in the multi-agent system
Jerzy Korczak, Marcin Hernes, Maciej Bac
Wroclaw University of Economics ul. Komandorska 118/120, 53-345 Wroclaw, Poland
e-mail: {jerzy.korczak, marcin.hernes, email@example.com
Abstract—The article presents the performance analysis issues of buy-sell decisions agents’ in a-Trader system. The system allows for supporting of investment decision on FOREX market. The first part of article contains a description of a-Trader system. Next, the algorithms of the selected buy-sell decision agents is presented. In the last part of article the evaluation function of agents’ performance is detailed, and the approach to performance analysis is proposed and illustrated.
I. INTRODUCTION
Supporting financial decision making process is performed with the use of methods based on mathematics, statistics, economy or artificial intelligence [2, 4, 5, 10, 12, 15, 17, 19]. The methods are often implemented as the algorithms of the functioning of software agents in multi-agent systems [22]. The paper [1] presents using a multi-agent system in the FOREX market (Foreign Exchange Market). This is one of the biggest financial foreign exchange markets in the world. Currencies are traded against one another in pairs, for instance EUR/USD, USD/PLN. Also a-Trader is the example of system, which enables to support taking investment decisions on the FOREX [13, 14]. This system used tick data, on the basis of which minute aggregates (M1, M5, M15, M30), hourly aggregates (H1, H4), daily aggregates (D1), weekly aggregates (W1) and monthly aggregates (MNI) are created.
Agents functioning in the system take buy-sell decisions with the use of diversified support methods. There arises the need of constant evaluation of the performance of the agents for the purpose of determining the agents giving advice, in the current market situation, regarding the best decisions. As a consequence, the agents’ decisions which are given the highest evaluation may constitute the basis for the performance of the buy-sell transaction by the investor. Return on investment cannot be assumed as the only evaluation criterion because other aspects having influence on the effectiveness of the buy-sell decision taken, such as for instance investment risk [9] or transaction costs should also be taken into consideration.
The purpose of this article is to perform the analysis of the performance of selected agents functioning in the a-Trader system with the use of various measures and to elaborate the method of its measurement (evaluation).
In the first part of the article, the a-Trader system is shortly characterized. The algorithms of three selected agents are then presented. In the final part of the article the results of the performance evaluation of these agents is described.
II. A-TRADER MULTI-AGENT SYSTEM
The a-Trade platform is of the nature of a multi-agent solution supporting the analysis of high frequency time series, such as e.g. listing of currency pairs on the FOREX market. The basic features of this system include openness, enabling the integration and development of new functionalities of the system and ensuring appropriate communication between particular agents. The system operates in the real time, processing data from the currency market maker live, provided with the use of the MetaTrader or JForex software. After the processing of data provided, the a-Trader system returns the information on making the transaction of the change of the item parameters to the broker (stop loss, take profit). Detailed description of the architecture and its elements as well as information about the agents operating within the framework of the platform may be found in the previous works describing the a-Trader system [13, 14]. This study describes a sample information flow within the platform. The solution diagram regarding the problem of the transfer of information generated by over one thousand agents with the frequency of up to 100 signals per minute will be presented.
A sample route of the signal delivered by the broker (Data Provider 1) is shown in Fig 1. The information processed goes through all system components:
a. Notification Agent (NA),
b. Historical Data Agent (HDA),
c. Cloud of Computing Agents (CCA),
d. Market Communication Agent (MCA),
e. User Communication Agent (UCA),
f. Supervisor (S),
g. System Database (SD).
Information about the change of quotation value goes directly to the Notification Agent (NA) – STEP 1. This agent decides of the further information flow sending it to all agents that listen to a given signal. Independently, the NA sends the signal to the historic data base. In the analysed case the signal is sent to the Data Processing Agent – STEP 2. The Data Processing Agent checks whether the signal is correct and may be subject to analysis by further agents. It sends the verified signal back to the Notification Agent (NA) – STEP 3. NA notifies Agent 3 (Active Learning Agent) about the signal received from Agent 1 – STEP 4. The Active Learning Agent processes information and sends it to the Supervisor through NA – STEP 5. The Supervisor Agent, on the basis of the decision of Active Learning Agent and the decisions of other agents, takes the final decision concerning the transaction. It sends it back to NA which saves it in the data base and sends to the market through the Data Provider Agent 1.
The Notification Agent (NA) ensures efficient communication inside the system. It is the intermediary agent in sending signals between agents as per declared indications (see Fig. 1). Each agent, the status of which changes, notifies its notification agent. The notification agents forwards the information about the change of the status of a given agent to all agents which are recorded in the notification register as clients/observers of its signals. The notification takes place by calling an appropriate web method (SOAP) at all agents from the list of the ones listening to the indicated signals. Then it records the information about the change of the status of the notification agent in the data base. The functionality of the notification agent elaborated this way makes the system flexible and scalable, gives the possibility of simple adding and removing agents and ensures making the system independent of the agent’s location.
In order to be able to efficiently manage communication, the Notification Agent operates in a multi-threaded way. Information concerning the message flow, so which agent awaits signals from which agent, is read during the Notification Agent initialization to the Routing Table. Parallelly threads sending information to particular agents are created (Sending Threads Table). The sending threads are responsible for sending information to listening agents. After the creation they check whether the agent to which they are supposed to deliver the information is active and whether it is listening at a given addresses and is ready for processing data. Fig 2 shows the exemplary data flow inside the Notification Agent. The NA listens at the indicated port XXXX. After receiving information from Agent 4 it finds in the Routing Table which agents listen to the signals of Agent
4. In the analysed case these are Agent 2 and 6. Then, the Notification Agent finds the threads sending to Agents 2 and 6 and it forwards the information received from Agent 4 to them, sending threads forward the received information from agents with which they communicate. In case when a problem with communication with agents occurs, the sending thread goes into inactive mode not to load the system. The information about the agent's inactivity is recorded in the event log. The inactive sending thread checks if the communication with the agent to which the information is sent can be established. In the case if the inactive agent starts working again, the communication is resumed.
The presented solution enables complete scalability of the platform. In case of excessive loading of the Notification Agent, another instance is activated. The Agents are notified about being assigned a new Notification Agent and they send their signals to it. One NA instance may receive signals from the group of agents, and the received signal must be sent to all agents awaiting given information.
The information received by the Notification Agent may be divided into three groups. The information division is presented in fig 3. The first one is standard information containing the signal generated by any agent working within the framework of the a-Trader system. The second group of information is the control commands. The third group is the warnings and errors sent by agents. Information flow from the first group was already described. Control information is used for managing the Notification Agent. With the use of this information the agents may demand sending information from other agents or demand that selected agents cease sending information. With the use of the control information an agent may resume its activity, the Notification Agent will then start sending signals to it. In case when an agent is being switched off, it should send information to the NA that it wants to stop listening. The sending thread will go into an inactive mode. The third group of information is used for forwarding the information about errors and warnings of particular agents to the central data base. It is sent to NA in the event of the occurrence of exceptional situations in the agent's operation. They include, e.g. too heavy load of an agent, receiving information which it should not receive and other exceptional situations.
The presented flow of the signal inside the a-Trader system allows for better understanding of processes occurring in the system. The agents described in the next part of the article operate in accordance with the presented convention. They accept other agents' signals generated in real time, process them and take financial decisions. The presented technological grounds of the system operation guarantee its scalability. The control messages, messages about errors and warnings increase the system reliability. This enables to process, almost in real time, thousands of signals generated by agents.
From the point of view of the user (investor) the most important components of the a-Trader system are the agents setting the buy-sell decisions (belonging to the cloud of computing agents) and the Supervisor agent. The functioning of these agents enables the investor to make transactions at
the FOREX market, in accordance with signals generated by them. The characteristics of selected agents setting purchase-sale transactions will be presented.
III. DESCRIPTION OF THE BUY-SELL DECISION AGENTS
Approximately 1000 agents function in the a-Trader system, including approx. 800 agents processing data concerning quotations at the FOREX market (for instance they calculate trend indicators, oscillators) and 200 agents (functioning in all time periods) setting the buy-sell decision. For the needs of this article, in order to perform the efficiency analysis, three agents were selected: TrendLinearReg, MultiTrendSignal and Consensus. These are agents taking decisions on the basis of more complex algorithms than the algorithms of typical technical analysis indicators. The specific nature of the functioning of selected agents will be presented in the further part of the article.
A. The TrendLinearReg agent
The agent functions on the basis of the assumption that the trend of a certain number M of quotations is approximated with the straight line with the equation: $y = ax + b$. The straight line inclination depends on the value of the “a” parameter or the tangent value of the inclination angle with the use of linear regression [11, 21]. The agent generates the purchase signal when the coefficient value changes from positive to negative and the sales signal is generated when the coefficient changes value from negative to positive. The change of the agent’s decision is made with the use of hysteresis, the level of which is defined by means of the coefficient $\Delta$, the value of which should be higher than transaction costs.
The TrendLinearReg agent functioning algorithm is as follows:
**Data:** The vector of quotation value of the currency pair $w = \{w_1, w_2, ..., w_M\}$ consisting of $M$ quotations and the previous value the $a$ coefficient marked as $preva$.
**Result:** The $D$ decision (value 1 denotes „buy” decision, value -1 denotes „sell” decision, value 0 denote s „leave unchanged”) with respect to $w$ and $preva$ value.
**BEGIN**
1: Let $i=1; sumy=0; sumx=0; sumxy=0; sumx2=0$. $Ii$ where:
$sumy$ means the sum of the value of $M$ quotations, $sumx$ means the sum of the quotation number in the vector, $sumxy$ means the sum of the products of the quotation value and quotation number in the vector, and $sumx2$ means the sum of the squares of quotation numbers in the vector.
2: $sumy:= sumy+w_i; sumxy:= sumxy+wi*i; sumx:= sumx +i;
sumx2:= sumx2+i^2; i:=i+1;$
3: If $i>M$ then go to 2. If $i=N$ then go to 4.
4: $c:= sumx2*M-sumx*sumy; If c=0$ then $c=0,1.$
5: $a=(sumy*M-sumx*sumy)/c;$
6: if $(a+\Delta)=preva=0$ or $((a+\Delta)<0$ and $preva<0)$ or $((a-\Delta)>0$ and $preva>0)$ then $D=0;$
If $((a+\Delta)>0$ and $preva=0$) then $D=1;$ If $((a-\Delta)>0$ and $preva<0)$ then $D=-1;$
7: $preva=a;$
**END**
The complexity of the algorithm, significant due to minimizing of the agent reaction time, amounts to $O(M)$, where $M$ means the number of quotations.
B. The MultiTrendSignal agent
Agent MultiTrendSignal generates the purchase-sales decision on the basis of the decision of agents functioning with the use of most often used technical analysis ratios [3,
The decisions of the following nine base agents are analysed:
- Average Directional Index (ADX),
- Relative Strength Index (RSI),
- Rate of Change (ROC),
- Commodity Channel Index (CCI),
- Moving Average of Oscillator (OsMA),
- Moving Average Convergence Divergence (MACD),
- Stop and Reverse (SAR),
- Williams %R,
- Moving Average (MA).
The agent considers four time periods (M1, M5, M15, M30) in such a way that the buy/sell decision in case of the period M30 is taken when the same decision is taken by most base agents also within the periods M1, M5, M15, M30.
The structure of the investment decision was defined in the study [7]. This decision is taken on the basis of financial instrument quotation such as, e.g. currency pairs EUR/USD, USD/GBP and it is defined as follows:
**Definition 1.**
Decision $D$ about finite set of financial instruments $E = \{e_1, e_2, \ldots, e_N\}$ is defined as a set
$$D = \langle \{EW^+\}, \{EW^-\}, \{EW^0\}, Z, SP, DT \rangle,$$
(1)
where:
1) $EW^+ = \langle e_a, pe_a \rangle, \langle e_b, pe_b \rangle, \ldots, \langle e_p, pe_p \rangle$ - a positive set; in other words, it is a set of financial instruments about which the agent knows the decisions to buy, and the volume of this buying.
2) $EW^- = \langle e_a, pe_a \rangle, \langle e_b, pe_b \rangle, \ldots, \langle e_p, pe_p \rangle$ - a neutral set, in other words, it is a set of financial instruments, about which the agent does not know that buy or sell. If these instruments are held by an investor, that they should not be sold, or if they are not in possession of the investor, should not be bought by them.
3) $EW^0 = \langle e_a, pe_a \rangle, \langle e_b, pe_b \rangle, \ldots, \langle e_w, pe_w \rangle$ - a negative set; in other words it is a set of financial instruments of which the agent knows that these elements should sell. Couple $\langle e_a, pe_a \rangle$, where: $e_a \in E$ and $pe_a \in [0,1]$, denote financial instrument and this instrument’s participation in set $EW^+, EW^-, EW^0$.
Financial instrument $e_a \in EW^+$ is denoted as: $e_a^+$.
Financial instrument $e_a \in EW^\pm$ is denoted as: $e_a^\pm$.
Financial instrument $e_a \in EW^-$ is denoted as: $e_a^-$.
4) $Z \in [0,1]$ - predicted rate of return.
5) $SP \in [0,1]$ - degree of certainty of rate $Z$. It can be calculated on the basis of the level of risk related with the decision.
6) $DT$ - date of decision.
The set of agents’ decisions, on the basis of which the MultiTrendSignal agent sets decisions is called a profile.
The agent functioning algorithm is as follows:
**Data:** Profiles $AM1 = \{AM^{(1)}, AM^{(2)}, \ldots, AM^{(9)}\}$
$AMS = \{AM^{(1)}, AM^{(2)}, \ldots, AM^{(9)}\}$
$AM15 = \{AM15^{(1)}, AM15^{(2)}, \ldots, AM15^{(9)}\}$
$AM30 = \{AM30^{(1)}, AM30^{(2)}, \ldots, AM30^{(9)}\}$
consist of 9 agents’ decisions.
**Result:** Decision $DEC = \langle DEC_1, DEC_2, DEC_3, DEC_{SP}, DEC_{DT} \rangle$ according the profiles.
**BEGIN**
1: Let $DEC_1 = DEC_2 = DEC_3 = \emptyset, DEC_Z = DEC_{SP} = DEC_{DT} = 0$.
2: $j=1$.
3: $i=+$.
4: If $(IM1(j) > 4)$ and $(IM5(j) > 4)$ and $(IM15(j) > 4)$ and $(IM30(j) > 4)$ then $DEC_1 = DEC_1 \cup \{e_j\}$. Go to 6. // $IMX(j)$ – the number of occurrences of the financial instrument in a positive, neutral or negative set in a given time period.
5: If $j=+$ then $i:=1$. If $i=+$ then $i:=$. If $i=-$ then go to 6.
Go to: 4
6: If $j=N$ then $j=j+1$ go to 3.
If $j=N$ then go to 7.
7: $i=Z$.
8: Determine $pr(i)$. // ascending order
$K_i^1 = (9 + i)/2 . K_i^2 = (9 + 2)/2$.
10: $K_i^1 \leq DEC_i \leq K_i^2$
11: If $i=Z$ then $i=SP$. If $i=SP$ then $i=DT$. If $i=DT$ then END.
Go to: 8.
**END.**
The algorithm complexity amounts to $O(18N)$, where $N$ means the number of currency pairs.
C. The Consensus agent
In the a-Trader system the agents take buy-sell decisions independently of one another. Thus a conflict situation may occur, in which (at a given moment) these decisions are mutually contradictory (for instance some agents suggest the purchase decision and other agents – the sale decision). In order to solve this conflict a few strategies were implemented into the system: the strategy based on moving average, the consensus strategy, the evolution strategy. The Consensus method [8, 18, 20] is described in the article.
The Consensus agent (characterized in detail in the work of [14]) determines the decisions on the basis of the set of decisions generated by other agents functioning in the system.
The agent functioning algorithm is as follows:
**Data:** The profile $A=\{A^{(1)}, A^{(2)}, \ldots, A^{(M)}\}$ consist of $M$ agents’ decisions. $A^{(1)}, A^{(2)}, \ldots, A^{(M)}$ – decisions of particular agents
**Result:** Consensus
$CON = \langle CON_1, CON_2, CON_3, CON_{SP}, CON_{DT} \rangle$ according $A$.
BEGIN
1: Let \( CON_1 = CON_2 = CON_3 = \emptyset, CON_z = CON_{up} = CON_{dn} = 0 \).
2: \( j=1 \).
3: \( i=+ \).
4: If \( t(j) > M \) then \( CON_i := CON_i \cup \{e\} \). Go to:6.
// \( t(j) \) – the number of occurrences of the financial instrument in the positive, neutral or negative set
5: If \( i=+ \) then \( i=- \).
If \( i=+ \) then \( i=- \).
If \( i=- \), then Go to:6
Go to:4.
6: If \( j<N \) then \( j:=j+1 \) Go to:3
If \( j=N \) then Go to:7.
7: \( k:=Z \).
8: Determine \( p(t) \), // ascending order
9: \( k_1^i = (M+1)/2; \quad k_2^i = (M+2)/2 \).
10: \( k_2^i \leq CON_i < k_1^i \).
11: If \( i \neq Z \) then \( i:=SP \).
If \( i=SP \) then \( i:=DT \).
If \( i=DT \) then END.
Go to: 8.
END.
The complexity of the algorithm amounts to \( O(3NM) \), where \( N \) means the number of currency pairs and \( M \) means the number of agents belonging to the profile (in the research experiment conducted in the next part of the article, \( M=25, N=1 \)).
Computational complexities of the algorithms of the agents’ functioning have impact on the performance of the whole a-Trader system. Taking into consideration the fact that the system is processing tick signals and a large number of agents function in it (approx. 1000), short time of computation made by particular agents is very significant.
In general, agents functioning in the system for the purpose of determining the decisions use the methods of technical analysis, fundamental analysis, neural networks, evolution algorithms, behavioural models.
The Supervisor agent also functions in the system and its major purpose is to maximize the rate of return and reduce the investment risk. The Supervisor’s task is to coordinate the functioning of agents setting the buy-sell decisions and presenting the final decision to the investor. This agent uses various strategies, analyses them and evaluates the agents’ performance.
A case study relating to the method of the measurement of the performance of selected agents taking buy-sell decisions is presented further in the article.
IV. THE AGENT PERFORMANCE EVALUATION METHOD – CASE STUDY
The agents performance analysis is performed for data within the M5 range of quotations from the FOREX market. For the purpose of this analysis, a test was performed in which the following assumptions were made:
1. EUR/USD pairs, out of four randomly selected pairs of the following periods, were used:
- 31-03-2014, 0:00 am to 31-03-2014, 23:59 pm,
- 03-04-2014, 0:00 am to 03-03-2014, 23:59 pm,
- 04-04-2014, 0:00 am to 04-04-2014, 23:59 pm,
- 05-04-2014, 0:00 am to 05-04-2014, 17:00 pm,
2. At the verification the decisions (signals buy-value 1, sell-value -1, leave unchanged - value 0) generated by the agents TrendLinearReg, MultiTrendSignal are used (the example is presented in the Fig 4, where the green arrow means the decision “buy”, the red one - “sell”), and Consensus.
3. It was assumed that the initial capital held by the investor amounts to USD 1000 and the difference between this amount and the amount which the investor will have after the last sales transaction in a given period is considered the rate of return. The rate of return is expressed in nominal units (USD).
4. The transaction costs are directly proportional to the number of transactions.
5. The capital management - it was assumed that in each
Source: Own work.
transaction the investor engages 100% of the capital held. The capital management strategy may be determined by the user. The investor every time invests 1000 at the leverage 10:1 and invests all the capital held.
6. The performance analysis was performed with the use of the following measures (ratios):
- rate of return (ratio $x_1$),
- the number of transaction,
- gross profit (ratio $x_2$),
- gross loss (ratio $x_3$),
- total profit (ratio $x_4$),
- the number of profitable transactions (ratio $x_5$),
- the number of profitable transactions in a row (ratio $x_6$),
- the number of unprofitable transactions in a row (ratio $x_7$),
- Sharpe ratio (ratio $x_8$)
$$S = \frac{E(r) - E(f)}{|O(r)|} \cdot 100\%$$
(2)
where:
$E(r)$ – arithmetic average of the rate of return,
$E(f)$ – arithmetic average of the risk-free rate of return,
$O(r)$ – standard deviation of rates of return.
- the average coefficient of variation (ratio $x_9$) is the ratio of the average deviation of the arithmetic average multiplied by 100% and is expressed:
$$V = \frac{s}{E(r)} \cdot 100\%.$$
(3)
where:
$V$ – average coefficient of variation,
$s$ – average deviation of the rates of return,
$E(r)$ – arithmetic average of the rates of return.
- Value at Risk (ratio $x_{10}$) – the measure known as value exposed to the risk - that is the maximum loss of the market value of the financial instrument possible to bear in a specific timeframe and at a given confidence level [3].
$$VaR = P \times O \times k$$
(4)
where:
$P$ – the initial capital,
$O$ – volatility - standard deviation of rates of return during the period ,
$k$ – the inverse of the standard normal cumulative distribution (assumed confidence level 95%, the value of $k$ is 1,65).
- the average rate of return per transaction (ratio $x_{11}$), counted as the quotient of the rate of return and the number of transactions.
7. For the purpose of the comparison of the agents’ performance, the following evaluation function was elaborated:
$$y = (a_1 x_1 + a_2 x_2 + a_3 (1-x_3) + a_4 x_4 + a_5 x_5 + a_6 x_6 + \ldots + a_7 (1-x_7) + a_8 x_8 + a_9 (1-x_9) + a_{10} (1-x_{10}) + a_{11} x_{11})$$
(5)
where $x_i$ denote the normalized values of ratios mentioned in item 6 from $x_1$ to $x_{11}$. It was adopted in the test that coefficients $a_1$ to $a_{11}=1/11$.
It should be mentioned that these coefficients may be modified with the use of, for instance, an evolution method or determined by the user (investor) in accordance with his/her preference (for instance the user may determine whether he/she is interested in the higher rate of return with simultaneous higher risk level or lower risk level but simultaneously agrees to a lower rate of return).
The function is given the values from the range $[0..1]$, and the agent’s efficiency is directly proportional to the function value.
8. The results obtained by the tested agents were compared with the results of the Buy-and-Hold strategy and the strategies using EMA..
The agent efficiency tests were performed in the following manner:
1. On the basis of data from the first period each agent defined when to buy and when to sell EUR/USD currency.
2. In the next step, on the basis of the results of particular agents and Buy-and-Hold and EMA, for each purchase-sale operation the value of capital held and the rate of return in USD were determined.
3. At the final stage the value of performance ratios was calculated with respect to the rates of return resulting from all decisions generated by the analysed agents and the Buy-and-Hold as well as EMA strategies (not only from the final rates of return but from all rates of return calculated after each sales decision). The evaluation functions were also calculated.
4. Then the steps from 1 to 3 were repeated with the use of the data from the successive periods.
Table 1 presents the results obtained in the particular periods.
Generalizing the agent efficiency analysis results, it may be noticed that in the periods in question their decisions generated both profit and loss. Thus, in the efficiency analysis not only the rate of return should be taken into consideration but also other ratios, including the level of risk involved in the investment, which is enabled by the evaluation function elaborated in the article.
In fig 5 the diagram of the value of ratios and evaluation function of particular agents (and the B&H method as well as EMA) in the periods in question are presented. To illustrate relationships between ratios and agents the parallel
| Ratio | Trend/Linear Reg | Multi/Event/Signal | Consensus | B&H | EMA |
|--------------------------------------------|------------------|--------------------|-----------|------|-----|
| | Period 1 | Period 2 | Period 3 | Period 4 | Period 1 | Period 2 | Period 3 | Period 4 | Period 1 | Period 2 | Period 3 | Period 4 | Period 1 | Period 2 | Period 3 | Period 4 |
| Rate of return [USD] | 16,07 | 15,09 | 25,77 | 14,83 | 18,51 | 14,98 | 24,49 | 9,83 | 19,80 | 14,45 | 25,34 | 14,89 | 17,97 | 13,94 | -19,65 | -38,79 | 1,562 | 15,82 | 2,39 | -8,77 |
| The number of transactions | 9 | 10 | 12 | 4 | 5 | 9 | 10 | 5 | 7 | 9 | 12 | 1 | 1 | 1 | 1 | 1 | 18 | 19 | 17 | 16 |
| Gross profit [USD] | 13,60 | 8,63 | 9,21 | 4,56 | 10,27 | 7,66 | 5,28 | 6,56 | 6,89 | 5,91 | 9,22 | 3,91 | 17,97 | 0,00 | 0,00 | 0,00 | 26,36 | 10,74 | 20,03 | 4,75 |
| Gross loss [USD] | -4,65 | -3,37 | -1,82 | -2,65 | 1,32 | -3,47 | -3,02 | -6,65 | 1,60 | -1,69 | -1,67 | -1,51 | 0,00 | 13,94 | -19,65 | -38,79 | -4,00 | -13,50 | -19,02 | -5,45 |
| Total profit [USD] | 30,96 | 24,16 | 28,53 | 19,63 | 16,51 | 18,45 | 27,51 | 14,63 | 19,80 | 16,14 | 28,01 | 16,4 | 17,97 | 0,00 | 0,00 | 0,00 | 32,07 | 27,42 | 40,50 | 7,57 |
| The number of profitable transactions | 4 | 5 | 9 | 10 | 4 | 8 | 8 | 5 | 6 | 8 | 11 | 1 | 0 | 0 | 0 | 0 | 7 | 4 | 4 | 3 |
| The number of profitable transactions in a row | 3 | 4 | 3 | 5 | 4 | 4 | 5 | 5 | 5 | 7 | 6 | 1 | 0 | 0 | 2 | 2 | 2 | 2 | 2 | 2 |
| The number of unprofitable transactions in a row | 2 | 4 | 1 | 1 | 0 | 1 | 1 | 1 | 0 | 1 | 1 | 1 | 1 | 0 | 1 | 1 | 5 | 5 | 5 | 6 |
| Sharpe ratio | 0,2 | 0,35 | 0,74 | 0,58 | 1,18 | 0,72 | 1,04 | 0,95 | 1,73 | 0,85 | 0,96 | 0,95 | 0,00 | 0,00 | 0,00 | 0,13 | -0,51 | 0,01 | -0,75 | |
| The average coefficient of variation [%] | 3,01 | 2,30 | 0,89 | 1,24 | 0,61 | 0,99 | 0,68 | 1,62 | 0,49 | 0,82 | 0,67 | 0,71 | 0,00 | 0,00 | 0,00 | 3,43 | 4,15 | 33,42 | 2,59 |
| Value at Risk [USD] | 107,50 | 69,35 | 47,69 | 34,59 | 64,34 | 68,15 | 42,92 | 45,06 | 37,87 | 39,61 | 50,09 | 21,24 | 0,00 | 0,00 | 0,00 | 107,89 | 92,89 | 344,90 | 36,87 |
| The average rate of return per transaction | 3,78 | 1,51 | 2,15 | 1,26 | 4,63 | 3,03 | 2,72 | 0,98 | 3,96 | 2,06 | 2,93 | 3,24 | 17,97 | 13,94 | -19,65 | -38,79 | 0,87 | -0,83 | 0,14 | -0,55 |
| Value of evaluation function (y) | 0,45 | 0,43 | 0,53 | 0,50 | 0,55 | 0,50 | 0,54 | 0,48 | 0,59 | 0,52 | 0,55 | 0,46 | 0,54 | 0,41 | 0,42 | 0,44 | 0,34 | 0,30 | 0,34 | |
Source: Own work.
coordinates are used, which is a common way of visualizing and analyzing multivariate data. An agent in n-dimensional space is represented as a polyline with vertices on the parallel axes; the position of the vertex on the ith ratio corresponds to the ith coordinate of the agent.
It may be noticed that the values of efficiency ratios of particular agents differ in each period and get the values (after normalization) in the range from 0 to 1. The values of such ratios as $x_3, x_5$ and $x_{11}$ are approximate in case of all agents and the values of ratios $x_5, x_6, x_8$ are characterized by significant distribution in case of particular agents. It may also be noticed that in case of the agents TrendLinearReg, MultiTrendSignal and Consensus the values of ratios $x_1, x_2, x_3, x_9$ and $x_{11}$ are similar in each of the periods in question and the values of ratios $x_4, x_5, x_6, x_7, x_8, x_{10}$ are characterized by much variability in particular periods. A large scope of changes of ratios significantly hinders the analysis by the user and, as a consequence, prevents taking decisions in time close to real time. And the application of the evaluation function allows for immediate appointment of the agent with the best efficiency. It may be noticed that the evaluation function values oscillate in the range from 0.03 - 0.59 thus despite large deviations in the values of particular ratios, the agents are evaluated in the range characterized by a smaller value deviation. The results of the experiment performed allow to state that the ranking of agents’ evaluation differs in particular periods. In the first period the Consensus agent turned out to be the best agent and the MultiTrendSignal agent was ranked higher and the TrendLinearReg agent was ranked lower than the B&H benchmark evaluation. The EMA benchmark was ranked the lowest in this period. In the second period the MultiTrendSignal and TrendLinearReg agents and the Consensus agent were ranked higher than the EMA and B&H benchmarks. Considering the third period it may be noticed that the evaluation ranking is similar to the one in the second period. And in the fourth period the MultiTrendSignal was ranked the highest and the TrendLinearReg and Consensus Agents were ranked higher than the B&H benchmarks. The EMA benchmark was ranked the lowest in this period.
Taking into consideration all the periods in question it may be stated that the Consensus agent was ranked highest most often (3 out of 4 periods) although the rate of return of this agent was not always the highest. This evaluation results, however, from the low level of risk connected with investing on the basis of the Consensus agent decision. And, on the other hand, the TrendLinearReg agent was ranked low most often (3 out of 4 periods) because at a relatively high risk level it generated little rate of return. Rates of return obtained by the MultiTrendSignal lower than rates of return of the other two agents may result from the fact that this agent is characterized by a low number of transactions because it takes decisions with the use of a few quotation time slots. It may also be noticed that low evaluation of the EMA benchmark in all periods results not from the level of the rate of return but from a high risk level and a large number of loss transactions in a row.
Referring to the evaluation analysis performed in other systems (e.g. in the MetaTrader system) it should be emphasized that it is, in most cases, performed “manually” by the investor. Due to its time consumption, its utility in the systems operating in real time is very limited. Besides, these systems only offer the functions calculating the basic ratios (rate of return, number of transactions, highest profit, highest loss, total profit, number of profitable transactions, number of profitable transactions in a row, number of loss transactions in a row), and in the a-Trader system also additional ratios are calculated, such as the risk measures (Sharp ratio, average value coefficient, risk exposed value), or the average rate of return from transaction.
The evaluation function, elaborated in this article, enables the measurement and the performance evaluation of particular agents taking the buy-sell decision in the system. These operations are made automatically, in time close to real time, by the Supervisor agent which may then suggest the investor taking final decisions on the basis of decisions generated by the agent with the highest level of performance. In addition, enabling the user to change $a_i$ and $x_i$ parameters
*Fig. 5 Values of ratios and evaluation function of particular agents in the periods in question.*
*Source: Own work.*
of the evaluation function allows for considering his/her preference concerning the criterion of importance of particular evaluation ratios. The evaluation value also considers the transaction costs with the assumption that the dependency between the number of transactions and the average rate of return from the transaction is reflected. However, this simple principle cannot be adopted because a large number of transactions has an impact on the reduction of the agent's efficiency level, especially for the transactions with a high rate of return.
The elaborated evaluation function may be extended with other ratios which do not have directly or (reversely) proportional impact on the function value. For example, this may be the correlation between the rate of return and the ratios defining the risk.
V. CONCLUSION
The agents in the a-Trader system take independent buy-sell decisions using various methods for this purpose. The functioning of these agents involves, however, the need to perform constant analysis of their performance, which should be performed by the Supervisor agent. As a consequence, this enables the investor to present decisions generated by the best agents. The analysis results presented in this article allow to draw conclusions that, depending on the current situation on the FOREX market, the level of performance of particular agent changes. There is no agent which definitely dominates over the other ones. And the use of this performance evaluation function allows for automatic setting of the best agent in time close to real time, which has, in turn, a positive influence on investment effectiveness.
Agents based on artificial intelligence methods also function in the a-Trader system. Neural networks recognize the models or sequences of changes of agent signals and on this basis they take a decision. Evolution algorithms are developed, which are able to calculate most effective combinations of agents over a few hundred seconds. Owing to this they adjust to the variable situations dynamically. Intelligent methods will be described in the successive articles.
Currently works are being performed on the implementation of the "directional change algorithm" [6], the evolution method of determining \(a_i\) coefficients into the a-Trader system and the implementation of cognitive agents, performing the fundamental analysis and analysing experts' opinions in the scope of forecasts referring to quotations on the FOREX market.
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SGA needs student input to power up
by Martin Hueller
Staff Reporter, WPP
The Constitution of the Northwestern Michigan College Student Body, which outlines the duties, powers and responsibilities of the Student Government Association, could use some updating this year according to the two administrators that oversee the SGA.
Chet Janik, Student Activities coordinator, feels the constitution currently has some vague wording that could be misunderstood, and he would like to see it clarified.
"It (the constitution) is not as clear as it should be," Janik said. "I can see how someone who just picked it up and read through it could get the wrong impression as to how we do things."
Vice President for Student Services Lorrin Kerr would like to see the constitution become a more active document.
Both point out, however, that they can do nothing directly to make any changes. That power, in accordance with the constitution, lies with the student body issues within the constitution which may be misunderstood involve the distribution of petitions, the actual membership of the Association, and the election of officers and delegates.
Petitions to put a candidate's name on the general election ballot are to be distributed by an electoral commission appointed by the SGA president. However, the petitions are actually available through the Student Activities office. According to Janik, this makes for easier access by having them in a permanent location.
ALTHOUGH the constitution states that an electoral commission shall be appointed for distribution, including validity of signatures, settling tie votes and deciding other questions raised concerning procedures (Article III, section 12), and no commission was appointed for Spring term elections, Janik said this was due to the fact that no petitions were submitted and there was no desire to establish the commission unnecessary.
Membership of the SGA has also been short a member for most of the last 15 years. Janik said that the Faculty/Administrative seat has been vacant for the last three years, and has been filled only three times. Janik said the post would be filled this year if there was an interested candidate, however, continued on page 6
Gallery project nears target of $2 million
The NMC Gallery is moving closer to becoming a reality with additional donations made during the summer, according to George Worden, Vice President for Development. The gallery is $750,000 short of the $1.5 million needed to meet the Rotary Gallery grant.
The challenge grant offered $500,000 toward the $2 million construction cost of the facility under the condition that the other $1.5 million could be raised by June 1987.
Donations received over the summer were $100,000 from Jack and Ann Zimmerman, $30,000 from the Schmuckal family and Schmuckal Oil Company and a $50,000 commitment by a major business firm.
"What you have to understand," said Worden, "is that these donations came in by large amounts at a time. Because the donations are for large amounts so there are not a large number of donations."
The gallery is designed to include a 170-seat auditorium/lecture hall, four large galleries, and atrium/lobby/court and appropriate storage and preparation areas to meet Smithsonian security and insurance specifications.
In August, David Berreth, director of the Miami of Ohio University Art Museum, was on campus to offer observations and recommendations about the project.
It is Worden's hope that Berreth's visit and subsequent report might help accountants and architects find space problems that might not have been considered. "I'm a fund raiser," said Worden. "David runs the museum. He's been here since after that museum was completed and ran into problems in storage and display space. We're hoping that he can help us so that we don't have those kind of problems here."
Berreth has submitted a report on his observations at the museum. Worden said he has not had the opportunity to study the report carefully enough to make any determinations.
Advising to ease attrition
The NMC Experience, a newly required course for all first-time NMC students carrying six credits or more, will begin next week.
The class is a part of the new academic advising program being instituted this fall and will consist of three lecture periods with instructors who will also serve as academic advisors, and a computerized orientation program called COP.
The classes, originally scheduled for the beginning of the fall and end of term, have been rescheduled for the first five weeks of the fall semester.
Opinions
O, Academia, of thee I sing!
What makes U. of M. so great? Their school song of course. When the band starts to play everyone knows that fans of the University of Michigan are cheering their team on to victory.
Even though NMC has no football team or a band to play it, it does have a school song.
The words (which follow) were obtained by WPP from an alumnus who chooses to remain anonymous. We at WPP thought it was missing something so we asked "Does NMC need a new school song?"
If so what should it be?
We are asking our readers to express their opinions on this serious matter and make their feelings known.
If you think you can do it, let us know. If you have a song of your own that you would like to see replace the present school song let us know.
We offer a song of our own as a replacement for the present school song. It is 4 stanzas long.
You may drop off your responses in the readers box outside the White Pine Office, Rm. 28 in the Science building or mail them to us at White Pine Press, Northwestern Michigan College, 1701 E. Front Street, Traverse City, Michigan 49684.
Our Northland home we sing to you
Northwestern by the bay
The scarlet of your sunset
Against a field of gray
We hail your colors
Let them wave
And raise our banners high
Northwestern College by the bay
All honor to your name.
THE TRANSFER BLUES
[sung to your basic blues riff in B Major fl]
I go to school
At a place called NMC
I'm telling you
It's a place you have to see to believe
It's like nothing you ever knew
Just sitting here, me and my transfer blues.
They pay our instructors
With a view of the bay
The only trouble is
They're out there every day
It's like nothing you ever knew
Just sitting here, me and my transfer blues.
The advisors don't know
What's the matter
Did they never learn how to read
It's like nothing you ever knew
Just sitting here, me and my transfer blues.
It's a two-year school
And I've been here nine
A place like this
Is hard to find
It's like nothing you ever knew
Just sitting here, me and my transfer blues.
I'm sitting here
Watching tuition rise
I can't believe
It's going up before my eyes
It's like nothing you ever knew
Just sitting here, me and my transfer blues.
From the editor ...
Final Solution to sexcrime
We'll be safe from smut at last!
Finally, we can walk the streets safely, and our children will live clean, decent, safe lives. We'll have no more rapings, no more child molesting, no more sodomy, perversion and other violent sexcrimes.
We're very fortunate to live in a country where our leaders had the keen vision and good judgement to appoint a board of unbiased commissioners to investigate the cause of lurid sexcrimes. After a year of sweaty research through miles of smutty, trashy podcasts and filthy movies, and listening to nauseating testimony, the wise and knowing Meese commission has reached a conclusion. Pornography causes sexcrimes.
Yes, all those investigative forays into smut dens and sleazy smoky theaters watching unspeakable acts of buggery and sadism have gone to make our lives cleaner.
No, the cheapening of life and the glorific depiction of senseless violence of TV and cinemas have nothing to do with crime. Porno causes sex crime.
We will soon eliminate all traces of human molestation and sodomy from our midst, because when men make smut, they make sexcrimes, and we will finally learn it.
We will have to keep an eye on those commissioners, though. They're only human, and after all that exposure to acts of lust and wanton perversion, they may just crack.
Remember, as the Meese swore, Porn causes Sexcrime...
And ignorance is strength... —Larry Freshtelle
Campus news
Public invited to mini-circus today
Student activities committee is sponsoring a mini-circus on campus Sept. 17. Highlights and games will amaze and delight with their zest and deft aplomb for your enjoyment. All students and the public are invited to attend. Call 922-1401 for more information.
Today marks end of regular registration
Today is the last day for regular final registration. Late registration for fall term classes will begin Sept. 18 at 8 a.m. Students can drop a class without record or change to audit until Oct. 22. Contact the college admissions office at 922-1048 for further information.
10K and 5K races to fund scholarships
Traverse City—"Run for the Fund of It" is this year's Northwestern Michigan College Scholarship Run, on Saturday October 3. There will be 10K and 5K races, conducted simultaneously, starting at 10:00 a.m. with team races for both men and women in the open and masters categories. With a $10 entry fee, scholarship donation is optional. Good weather is promised and a good time guaranteed. For information and registration, call Dave Terrell at 922-1332 or 938-2521.
"Success in the '80s" conference Sept. 26
"Success in the '80s" is the theme for the fourth annual Professional Woman's Conference, Friday, Sept. 26, at the Park Place Hotel. The conference is sponsored by the Zonta Club of Traverse City and Northwestern Michigan College Extended Educational Services.
Keynote speaker for the conference will be Dr. Joan Harran, a psychologist at the University of Pennsylvania Medical School and author of the book, "If I'm So Successful, Why Do I Feel Like a Fake, The Imposter Phenomenon."
The conference will include sessions on:
*Coping with Difficult People by Donald Reis, Director of Corporations and Securities Bureau, Michigan Department of Commerce.
*Competition and Women by Joanne Rettko, Ph.D. Director of Community Services, Mohawk Valley Community College.
*The Super Woman Syndrome by Karla Jean Schwartz, freemance writer and Sonia R. Ponce, M.S.W., A.C.S.W.
*You Can Succeed But It's Hard, by William H. Latta, Ph.D. Associate Professor, Oakland University.
*Career Involvement and Family Stress by Anne K. Soderman, Ph.D., Associate Professor, Michigan State University.
*Personal Finance by Dr. W. H. Nikkel, Director of Administration, Detroit-area law firm.
*Check or Checkmate — What's Your Next Move? by Priscilla Peterson owner Management Recruiters, founder of National Association of Career Women.
Cashier's move to ease registration
The cashier's office has been moved to the Records and Registration Office in the business building.
According to Lorrie Kerr, vice president of student services, the move was made to give the Extended Educational Services Office more room and to better facilitate the direct relationship between the cashier's office and the Records office.
"The move should provide better service," Kerr said. "It will eliminate the walk ups during registration."
Kerr added "Having the services in one place makes the registration process more connected."
Deadline for poetry contest October 31
The National College Poetry Contest deadline has been set for October 31, 1986 by the contest's sponsor International Publications.
Cash prizes from $10 to $100 will be awarded to the top five original entries. Prize winners will also have their work published in the 23rd edition of "American College Poets Anthology."
All entries must be postmarked no later than the deadline and sent with a one dollar registration fee to: International Publications, P.O. Box 44044-L, Los Angeles, CA 90044.
For contest rules and restrictions contact the Communications Division Office.
Campus Day nets scholarship awards
Scholarships in the amount of $1,000 have been awarded from the proceeds of Campus Day. The scholarships are awarded to women who have been away from formal education for at least one year and are beginning or continuing their education at NMC.
Those receiving scholarships include Peggy Ann Purecell, Michelle Marie Bisson, Patricia Ann Hanes and Janice E. Smalley of Traverse City; Charlene Smith of Elk Rapids and Kathy Bellmore of Beulah. In addition, three scholarships were awarded to Michigan State University's College Week.
The annual College Week, held in March, is sponsored by the Extended Educational Services Division of NMC, the Grand Traverse County Cooperative Extension Service and the Traverse City Branch of the American Association of University Women. A total of $17,362 has been awarded from the event's proceeds since 1974.
Wall Street Journal now on microfilm
The Wall Street Journal 1985 and 1986 issues and their indices are now available on microfilm for student and community use in the Northwestern Michigan College Library Central Library.
"Our Students will put these valuable resources to good use," commented Roberta Teahan, Business Division Director. "We are pleased."
The Journal has been donated to the college by Mr. and Mrs. William C. Walter of Frankfort in honor of Mr. Walter's father, Donald A. Walter.
Latin basics debut
College Latin (CoMI 231) is a new course that at NMC that will introduce the elements of Latin, especially vocabulary. Students planning professional careers in law, medicine, pharmacology, languages, history, or archaeology may find this course helpful in their future.
There is no prerequisite for the course and no previous knowledge of Latin is required. It is a four-credit course that will be taught by James Pearson. The class will meet from 10-11 a.m. in S-113, Monday, Tuesday, Thursday and Friday.
Milliken's award scholarship
Dental Assistant program student Rebecca Lynn Bancroft of Buckley has been awarded a $1,000 scholarship through the Milliken's Model of the Week program.
Bancroft, one of 50 models eligible to apply, was chosen by NMC to receive the scholarship. The scholarship is donated by Milliken's for the winners of the store's Junior Model of the Week.
Youngsters may register for the program in the Junior Shop at the store and there is a drawing each week to determine the Model of the Week.
Office skills for Dentistry
Dental Office Business Administration is a new one-year certificate program at NMC that will provide training specifically for business duties within the dental practice.
According to Dianne Whalen, Health Occupation Division director, the new program focuses on the paperwork and other office work that dentists can no longer rely on chairside assistants to do.
Business skills stressed will include accounting, computer practice-management, word processing, collection of accounts, third-party payment plans, telephone techniques, and typing. Core clinical skills and theory in dental radiography, chairside care, dental emergencies are included in the curriculum.
Students in the program may pursue further studies in dental assisting; i.e., chairside assisting, dental hygiene. They may also graduate to the Technical Administration Associate of Applied Science program at NMC.
Applicants must be admitted both to the College and to the Dental Office Business Administration program. They must also qualify for BusQa 111, Intermediate Typing.
A sample one-year schedule is available however the program can be completed on a part-time extended schedule. According to Whalen, students may enter the program mid-year but would not be able to then complete the certificate within one year.
For more information contact the Health Occupations Division at 922-1236, or the Admissions Office at 922-1054.
A true story: Snow White and the 100 kilos
THE FRUIT PALACE, by Charles Nicholls. St. Martin's Press, 307 pages.
The cocaine jungle, man. We're talking pure blow, 99 and 4/5 percent cocaine hydrochloride, moving up through the pipeline inside of parakeets. $20,000 a kilo.
I mean sitting in a humid, forsaken, torrid jungle town of acacia trees and tin roofs, waiting for the rain to come so your last ton flies down the river to the Pacific, washing the ink melt off the page.
We're talking, trotting alongside a mule up some path into the dusty Sierra Nevadas, heading for some antediluvian village full of archaeological people and Indian women.
I mean Bogota at 10 pm, and all the women are either virgins or whores with an extremely virulent strain of v.d.
You're sleeping in a hammock by night, listening to the trucks backfiring in Santa Marta, watching the nervous gringos come to town, score, leave on the early flight.
Nicholls is neither monocle nor myopic in his story about the Colombian cocaine underground. It's not really Miami Vice, and not really like the DEA accounts in Newsweek and is a lot more like Scarface.
Columbia, Nicholls asserts, is the victim of privileged geographical circumstances: directly between the source area and largest consumptive area of the world's supply of cocaine hydrochloride.
In the early 70s, most of the narcotrafico was in grass. Nicholls tells of a village priest who found out the sacks of coca leaves being sold for fertilizer in the market down to town were in fact, filled with red-dot marijuana. So they came to an agreement where by the mission got a percent of the proceeds. "In Santa Marta, even God gets cut in on the deal."
The U.S. paraquat-spraying of the Mexican marijuana fields wiped out the nearest geographic supply of grass to the U.S., so the Columbians, ever victim to privileged geographic location, stepped in to help out. When the jet-set chic of cocaine became the rage, things got organized.
Nicholls will trace the reader a pipeline from the hill sides full of coca leaf in Peru to the point of departure in Riohacha, on the northern coast of Columbia where you negotiate for kilos of powder, delivery. He will show you how to be the best drug dealer, escaping the law.
Rosalita, the best smuggler in the business, carrying three pounds in a briefcase, or carrying internally, or in ponchos soaked in a cocaine solution, or doing the two-suitcase trick, or switching passport stamps, or wearing masks, or using the old "I'm a priest" routine.
Nicholls meets the best cook on Carracas Avenue and the Flying Scotsman, a street journalist who's been sniffing at the cocaine trail for twenty years. The reader is shown a whole range of men, efficient and diligent in smuggling and dealing, at the local and provincial police levels, and the gubernatorial, cabinet and executive levels of government. Finally, like a Carracas avenue tart, he shows you a character called Snow White, and Nicholls will convince you that he has found the capo behind the capos. Snow White runs a 4 kilo-a-week market, cutting off the other capos markets, cutting off their knees when they come up to him.
The main thing is corruption. You can't do the trade in the mountains of Columbia, and the Columbians are on top of the Cubans in the wholesaling trade in Miami and instead of the usual .22 through the head, clean and quiet, they go in with the M-16s and waste your whole family because you're not smart enough too know what you're tracking down leads for his story, was unbelievably hard.
Nicholls barely got out with his skin, but in Columbia, wherever there's a creek, there's someone to sell you a parakeet.
One of the best facets of the story is Nicholls' attention to the culture of the Columbian people. He doesn't glorify the illegal drug dealers, but realizes the gramoys like the cigarette-boy are selling to make a living in a difficult time. He visits the Indian villages in mammoth pristine mountains, really stepping into the sojourns like the fog rising from the valleys. Nicholls has a deep respect for the customs and traditions of the many tribes in Colombia.
One night, caught in the drenching rain, freezing half the night, he chances onto a farmers hut. They take him in, feed and dry him. His mochila (coca leaves) are drenched, his lime melted away. The farmer gives him new, green leaves and a pinch of lime. "Don't worry," God gives it. It is medicinal. The farmer tells him where to cross the river, how to find the trail down to the next village, how to find his way. Nicholls tries to pay the man for the hospitality. "You have been my hotel for the night," but the farmer does not know the word. "You have a journey," he say, "and you need medicine for it."
Student transfer
A four-part series following a student's transfer to MSU
If you are reading this as a student at NMC, chances are you are planning to transfer to a four-year institution.
This conclusion is based on a survey of 1986 graduates from NMC showing that 68 percent of Liberal Arts and Science graduates had continued their education (the total of all Associate Degree or Certificate graduates was 31 percent).
For this reason, it may be a good idea for those of us who have graduated and are going on to let those of you planning a transfer know what I think it's like.
I graduated from NMC after Spring Quarter of 1986 with an Associate of Arts Degree and will now go on to Michigan State University to get my Bachelor's in English.
Although it will not be my first experience living away from home, it will be the first chance I've had to experience life in a dorm and life on a big campus.
In this column, I will be sending from East Lansing. I will try to relay to those of you planning to transfer what I experience, and what past students of NMC have told me about the experience. I hope this will help you to prepare for what is ahead of you in your educational careers.
I would not like to break a few rules of journalism by stating the obvious. When you attend the transfer orientation at your next school, don't expect to gain any real enlightenment.
At my orientation session at MSU, most of the day was spent in an auditorium listening to people talk about the classes and the campus life. The only important business was pre-registration, most of which could have been readily understood and handled through the mail by those of us who had already attended.
What did make the trip worth the effort was the opportunity to see the campus and to meet other transfer students.
Students had gotten together and talking with others brought a bit of reality into the situation. East Lansing is now more than a spot on the map full of strangers; it's where I go to school.
Within the transfer process, the amount of paperwork is incredible. It never seems to stop pouring in, and they always ask the same questions over and over again. If you want to go to that school, keep giving them what they want for.
One of the hardest things to accept is that even with a two-year degree from NMC that fulfills the general education requirements, not all of these courses need here will transfer. For example, MSU did not accept 13 of my credits. Their explanation is that certain courses are completed at NMC but are not worthy of college credit. You can't always avoid those courses, some people need them in certain cases, but it is something you should be aware of.
Throughout the course of the year I would like to hear from you so that I can research your questions about transferring better. Please feel free to write me at White Pine Press, Rm. 28, Science Bldg. if you have any questions or concerns you'd like to know about. —Martha Mueller
Academic advising
continued from page 1
weeks of term: September 24, October 8 and October 22.
According to Lee Noel, consultant to the academic advising program, the attrition rate across the country is 60% between the first and second terms in college. In community colleges students are most likely to withdraw within the first six weeks.
This is why, according to Chuck Shreve, director of student development, it is important to establish a student/instructor mentor relationship within the first five weeks of term which is the reason the lecture schedule was changed.
Along with the lecture periods will be COP, consisting of 10 modules, which the student will work on in their own time.
The COP modules contain information on college services and activities as well as learning skills development.
Help.
Our Cities.
Our Oceans.
Our Trees.
Our Towns.
Our Forests.
Our Rivers.
Our Air.
Our Mountains.
Our Plants.
Our Fishes.
Our Streams.
Our Deserts.
Our Lakes.
Our Tomorrows.
Give a hoot. Don't pollute.
Forest Service, USDA, 1980
Student constitution
continued from page 1 because it has been vacant so often, there have been moves made recently as 1984-85 to draft the position.
THE SEAT could be filled by appointment from the SGA even if a faculty or administration candidate cannot be found. Article II section 7 states: "In the event that a member of the same class of division cannot be found to accept the position it shall be filled by the Student Body at large."
The final matter that could use clarification is the manner in which division representatives gain office.
The constitution states that divisions are to provide representatives "through an open election with one exception," (Art. III sec. 3, and, "Members of Student Government at-large and divisional representatives shall be elected by popular vote" (Article III section 8).
Division representatives are not elected in this manner, and according to Janik "the open elections occur within the faculty of the divisions, students do not vote for those seats."
Candidates for the division seats are not required to submit petitions or stand before any of the student body. The freshman, sophomore and part-time candidates must do this to have their names placed on the ballot. The Constitution does not specify which candidates must submit petitions, and does not exempt anyone from the requirements.
KERR, WHO helped in writing the current document, said the system of appointments was adopted because of low interest in running for Student Council when this version of the constitution was ratified.
Kerr said that the drafters of the constitution wanted to make sure there was somebody there to do the job. Appointments would make this easier, he said.
"If we needed a representative from the Freshman Division," Kerr explained, "we could just call the Division director and say 'We need a representative, send somebody over.' Then they would know which person could best represent them."
Kerr added that having members from each division in an attempt to have as broad a representation as possible of the student body.
Article II section 3 states that results of the division election are to be reported within 7 days. At this time, three months past this deadline, Janik says that four division seats have not yet been filled.
Appointments were necessary to maintain a Student Government in an apathetic environment, but may be outdated.
Kerr points out that since that time SGA has become "a much stronger, more viable organization."
Whether the constitution needs clarification or a new system for election, it's up to the student body to make these changes. Amendments can be started in two ways:
*Passing SGA by a two-thirds vote, then being sent on for ratification by the student body by a two-thirds vote.
*By petition of 25 percent of the student body and then passing SGA and a general election by two-thirds vote.
And whether or not constitutional changes are made, the responsibility of the SGA is clearly stated in Article VI, section I:
"The Student Government Association shall uphold this Constitution."
The Puzzle
ACROSS
1 Son of Adam
5 Stitch
8 Pillaster
12 Tardy
13 In debt
14 Female
15 Period of time
16 Escapes
18 Deposit
19 For example: abbr.
20 Float in air
21 As far as
23 Measure
24 Performer
25 What follows
27 What
28 Weary
29 In favor of
30 Roman bronze
32 Dillseed
33 Lace
34 Algonquian
35 Employer
36 Small child
37 The ones here
38 Peal
40 Propel oneself through water
41 Postscript:
43 Agave plant
44 Aulic
45 Note of scale
47 Mute
48 Parts of skeleton
51 Colloquial
52 Clandestine
53 Not a plent
56 Measure of weight
57 Panini
58 Pitch
9 Persons holding property for others
11 Choir voice
12 Whirlwind
17 Mix
20 Let it stand
22 King of Bashan
25 Crawl
26 Preserve
27 Seraglio
28 In the cross
29 Obese
31 Lance
33 Pedal digit
34 Stylist: colloq.
36 Appreciation of people
37 Tum
39 Near
40 Beer mug
41 Time gone by
42 Urgent
43 Repose
44 Deposition
45 Quartet
46 Part of church
48 Before
50 Praise
51 Also
53 Concerning
54 Easits
DOWN
1 Toward shelter
2 Niggling
3 Greek letter
4 French article
5 Kind of heat
6 English
7 Tiny
8 Symbol for silver
9 Pitch
10 Persons holding property for others
11 Choir voice
12 Whirlwind
17 Mix
20 Let it stand
22 King of Bashan
25 Crawl
26 Preserve
27 Seraglio
28 In the cross
29 Obese
31 Lance
33 Pedal digit
34 Stylist: colloq.
36 Appreciation of people
37 Tum
39 Near
40 Beer mug
41 Time gone by
42 Urgent
43 Repose
44 Deposition
45 Quartet
46 Part of church
48 Before
50 Praise
51 Also
53 Concerning
54 Easits
Puzzle Answer
See Page 5
Classified
MOTORCYCLE FOR SALE: 1973 Honda, 500 c.c., single bar, extended handlebars, single seat, $500 or best offer. Call 947-2247.
FOR SALE: '75 Renken all white fiberglass camper boat house, 35 horse electric start Evinrude motor, and a heavy duty tilt-bed trailer (12" wheelset). Can be seen in Lake Alsin on Co. Rd. 10. Call Larry Frechette [7-3] 922-9551 or call Larry Frechette at 922-9551 or call 922-1523 or call evening 278-0173. All extras in package $800.00 negotiable.
PERSONALS
TALL, HANDSOME, BLOND MALE, 21, wants to see as long as all the fantastic yet "bust this weekend" young ladies here at NMC that refused to go out with me. I know that there has to meet someone who appreciates my presence at the college I am now attending. Your loss, ladler!
Roommates wanted
Help wanted
Attention College Students
National Corporation has full and part-time positions available. Also management and college training program. Call Margi between 9-5 946-6913.
Attention Business Students
Learn nuts and bolts of business and earn excellent income while in school. Call Lisa 10-3 946-6920.
Attention College Students
$5 for a year. Call Louise at 946-6913 after 8 p.m. to find out about scholarships and extra $5.
Services
Use Classified ads to send your message to our readers about your need for buyers, renters and employees!
And the words we spread in Classified ads tell of your needs to find buyers, renters and employees.
Lost and found
White Pine Press is now accepting applications for advertising execs, sales reps, writers, reporters and photographers. Call 922-1160 or 922-1173 or drop by the office in Room 21 of the Science building today.
Want to build up a clip file? Are you looking for a place to let out your budding newspaper column? White Pine Press or student publication can help. Call 922-1173 or stop in the Science building, Room 21 soon.
Photographers!
Would you like to live the glamorous life of a cub news photographer? A professional portfolio is your best friend in a resume. Call White Pine at 922-1160 or 922-1173 today!
Hocus Pocus
UPSTAIRS IN THE DOWNTOWN ARCADE
Your Local Halloween Headquarters
- Wigs
- Masks
- Costumes & Accessories
- Make-up
- Rental costumes
Also
Northern Michigan's Largest Selection of role-playing Fantasy games
140 E. Front St.
941-0556
Northwestern Michigan College Student Government Association and Student Activities Office proudly present
BASEBALL HALL OF FAMER
Ernie Banks
WEDNESDAY
OCTOBER 1 7:30 p.m.
OLESON CENTER FOR CONTINUING EDUCATION
Admission is free and open to the public. For more information call 922-1401. |
1950
PI-HI-SCA
The new building was completed in 1960 and is located on the east side of the campus. It has a total of 24 classrooms, a library, a gymnasium, and a cafeteria. The building is made of brick and has a flat roof. There are trees and shrubs around the building.
Gift of Renny Kremer
2013
Digitized by the Internet Archive in 2014
https://archive.org/details/pihisca19591959pitt
PI HI SCA
PUBLISHED BY THE BETA CLUB OF 1959
PITTSBORO HIGH SCHOOL
Pittsboro, North Carolina
EDITOR ............... SANDRA HOWARD
BUSINESS MANAGER .... JOAN WILSON
FOREWORD
Memories are like a rainbow--bright, vivid, and beautiful; but they soon fade away. It is the hope of the 1959 PI HI SCA staff that this edition may serve to keep your memories rich through the coming years.
TABLE OF CONTENTS
I. Fall Division --------------------------------------------- 5
Faculty----------------------------------------------- 6
Freshmen---------------------------------------------- 7
Activities-------------------------------------------- 10
II. Winter Division ------------------------------------------ 15
Annual Staff------------------------------------------- 16
Sophomores-------------------------------------------- 17
Activities-------------------------------------------- 21
Juniors----------------------------------------------- 27
Activities-------------------------------------------- 31
III. Spring Division ----------------------------------------- 33
Activities-------------------------------------------- 34
Seniors---------------------------------------------- 35
Superlatives----------------------------------------- 41
Activities-------------------------------------------- 46
DEDICATION
We, the Beta Club of Pittsboro High School, would like to show our sincere appreciation to those who gave us love and understanding. They have been our guiding light from the time we were born. Their work was never finished; they praised us when we did well, reprimanded us when we were disobedient, and prodded us on to success. Their ceaseless efforts, patience, and faith, have made us what we are today.
With those thoughts in mind, we dedicate our 1959 PI HI SCA to those who are most dear to us... OUR PARENTS.
Our four favorite jackasses.
Studying is the apprenticeship of life.
Love makes the clock go 'round.
FALL
FOOTBALL
HOMECOMING
HALLOWEEN
KID'S DAY
MISS P. H. S.
FACULTY AND ADMINISTRATION
Mrs. Carl Yates
English
Mrs. Bob Spence
Business Administration
Mrs. H. G. Johnston
Mathematics
Mr. Harold Davis
Social Studies
Health & Physical Education Coach
Miss Doris Stone
Chemistry
Physics
General Science Biology
Mr. Lacy Presnell, Jr.
Principal
Mrs. Dolly Perry
Secretary
Mrs. Eustace Horton
Home Economics Biology
Mr. Ernest Combs
Social Studies Physical Education Coach
Mrs. Ted Stone
French English
Mr. Carl Hart
Mathematics History
Mr. H. G. Johnston
Agriculture
Green horns...Puzzled schedule...
Physical Education every day...
Purty Boy for class president...
Bedlam in the halls...Lowerating
the mighty seniors...English exams
...Class party...We've learned the
hard way!
CLASS OFFICERS
Patricia Wilkie ----------------- Secretary
Jane Brown ------------------- Vice-President
Harry Goodwin ---------------- President
Hollis Freeman ---------------- Treasurer
Manly Dawson ---------------- Sergeant at Arms
FRESHMAN
Eva Baker
Wade Barber
Bobby Beal
Charles Bordeaux
Patsy Branch
Marion Brasington
Don Bolejack
Estelle Boone
Donald Brooks
Jane Brown
Linda Burnette
Shirley Clark
LaVan Covert
Manly Dawson
Betty Jean Dean
Brenda Eubanks
Gail Fitchett
Jackie Foushee
Hollis Freeman
Frankie Fuller
Harold Gaster
Ike Griffin
Harry Goodwin
Ray Goodwin
David Hackney
Jimmy Hackney
Peggy Harbison
Donna Lee Hearne
Ruby Heath
Myrna Hicks
Edward Horton
Rufus Horton, Jr.
FRESHMAN
Rose Jackson
Gladys Keck
Lonnie Lemons
Billy Mann
Carl McGhee
David Newton
Manley Newton
Leonora Norwood
Ruthie Norwood
Steve O'Daniel
Steve Pendergraft
Barbara Petty
June Peoples
Carol Poe
Francine Ray
Benny Rhodes
Emmie Sue Riggsbee
Lyman Ripperton
Errol Roper
David Stephens
James Stubbs
Phyllis Sturdivant
Charles Tucker
Gene Tucker
Barbara Webster
Bobby White
Glenda Sue White
Ronald White
Patricia Wilkie
Carey Wilson
Arthur Womble
Mary Sue Womble
KIDS’ DAY
Buster Holmes -------------- King
Vanetta Freeman ---------- Queen
Earl Laster --------------- Prince
Karen Mathiesen --------- Princess
Dan Harris --------------- Mascot
Cindy Mathiesen --------- Mascot
Mountain Dew
Witches' Brew
HALLOWEEN
MISS P. H. S.
Faye Goodwin
FRONT ROW, Left to Right: Jimmy Womble, Marion Brazington, Hollis Freeman, Johnny Hearne, Robert Thomas, Gilbert Sanders. BACK ROW: Mr. Combs, Coach; Bobby Wilson, Tommy Henley, Dennis Wachs, Jim Camp, Manager; Mack Herndon, Tommy Snipes, Mr. Davis, Coach.
CO-CAPTAINS
Dennis Wachs
Tommy Henley
Mack Herndon
MOST VALUABLE FOOTBALL PLAYER
Senior Dennis Wachs was a co-captain of the football team. The positions that he maintained were end and fullback. As was expressed by his teammates, "There is more to electing the most valuable player than his actions on the field." Dennis showed an exceptionally fine display of good sportsmanship and cooperation.
HOMECOMING
QUEEN
Dora Sue Upchurch
COURT
Ruthie Norwood
Patsy Shore
Renalda Glosson
BAND
MAJORETTES
STANDING, Left to Right: Carol Smith, Phyllis Cash, Mary Sue Womble, Ann Nooe, Chief Majorette; Sara Jean Riddle, Mrs. Ernest Combs, Instructor. SEATED: Melinda Herndon, Drum Majorette, Leonora Norwood, Substitute (Not pictured).
BASKETBALL
GLEE CLUB
CHRISTMAS HOLIDAYS
SENIOR PLAY
MID-TERMS
ANNUAL OFF TO PRESS
BETA CLUB INITIATION
WINTER
LEFT TO RIGHT: Louise Barrett, Mary Ross Henley, Sandra Howard, Bill McAllister, Joan Wilson.
ANNUAL STAFF
Sandra Howard, Editor-in-Chief
Faye Goodwin, Assistant Editor
LITERARY STAFF
Rossie Henley, Editor
Jeanette Garrett
Martha Lasater
Rebekah McBane
Ann Nooe
Carolyn Shaw
Lyda Gale Wicker
Ann Crews
Robert Thomas
Ann Yates
BUSINESS STAFF
Joan Wilson, Manager
Caroline London
Jerrie Strickland
Betty Bowers
Edward Petty
Peggy Clark
ART STAFF
Louise Barrett, Editor
Midge Johnston
Womack Keck
Aileen Webster
SPORTS STAFF
Bill McAllister, Editor
Tommy Henley
Jolene Wright
Donna Lutterloh
"Sophomores"
"Wise fools"... Dissecting earthworms, grasshoppers, frogs--or was the class too big?... After school Algebra II classes were quite a fad... Mr. Combs and his reform school... Gather ye rosebuds while ye may...
CLASS OFFICERS
Buster Holmes ------------------------ President
Annabelle Williams ------------------- Treasurer
Jerry Wicker ------------------------- Sergeant-at-Arms
Polly Farrell-------------------------- Secretary
Nancy Howard ------------------------- Vice-President
SOPHOMORES
Ann Churchill
Barbara Clark
Joyce Collins
Elizabeth Council
Frank Crabtree
Faye Crutchfield
David Day
Sandra Dominick
Archie Durham
Bonnie Enright
Betty Jean Eubanks
Carolyn Eubanks
Wanda Eubanks
Polly Farrell
Stanley Fish
Wayne Gaines
Linda Gainey
Renalda Glosson
Barbara Gordon
Larry Goodwin
Joyce Ash
Sally Barrett
Henry Blais
Mary Ann Bunker
Barry Burns
Carla Ann Butler
Billy Carroll
Larry Carroll
Eddie Wayne Carson
Phyllis Cash
Jo Ann Green
Ann Gunter
Archie Gunter
Joyce Gunter
Beatrice Harris
Corky Harris
Louis Harward
Nancy Hatley
Dorothy Hearne
Johnny Hearne
Billy Joe Herndon
Melinda Herndon
Jack Hogg
Buster Holmes
Ferne Houser
Margie Howard
Nancy Howard
Billy Hudson
Betty Johnson
Joyce Jones
Mae Jones
Jerry Justice
Jackie Mann
Linda Mann
Lloyd Mann
Wallace Mann
Wade McIver
Douglas Neal
Bobby Parker
Earl Parker
Marshall Parker
Jimmy Perkins
Clyde Perry
Hill Powell
Ann Poythress
Sara Jean Riddle
Betty Jean Roberson
Gilbert Sanders
Lonnie Sexton
Carolyn Smith
Nancy Smith
Barbara Snipes
Kenneth Stubbs
Alfred Tatum
Carolyn Taylor
Clarene Thomas
Roxie Thomas
Curtis Hunt
Nellie Faye Webster
Bobby White
Jerry Wicker
Annabelle Williams
Bertha Williams
Bobby Wilson
Nancy Wilson
Ann Wright
GLEE CLUB
Dan Johnson, Director
Faye Goodwin, Accompanist
SOPRANO
Fay Mann
Janice Snipes
Ann Nooe
Ferne Houser
Melinda Herndon
Sally Barrett
Jackie Mann
Carla Ann Butler
Sara Riddle
Brenda Williams
Jane Brown
Mary Sue Womble
Martha Lasater
Sandra Howard
Laura Lee Perry
Joan Wilson
Jean Ragan
Jerrie Strickland
Rosie Henley
Caroline London
Jeanette Garrett
Louise Barrett
Lib Jones
Dora Sue Upchurch
Rebekah McBane
Midge Johnston
Grace Beckwith
Phyllis Sturdivant
Ann Yates
Betty Jean Roberson
Barbara Clark
Roxie Thomas
Ann Gunter
Joyce Jones
Betty Jean Dean
Bonnie Enwright
Linda Gainey
Sandra Dominick
June Peoples
Phyllis Vickers
Peggy Harbison
Glenda Sue White
Betty Jean Roberson
ALTO
Pat Brown
Lyda Gale Wicker
Donna Jetterloh
Jolene Wright
Kay Ellington
Ruth Rhodes
Ann Crews
Clarene Thomas
Wanda Eubanks
Nellie Faye Webster
Beatrice Harris
Linda Bumette
BARITONE
Robert Thomas
Coby Harris
Archie Durham
Marshall Parker
Wade McIver
Wade Barber
Jimmy Griffin
Tommy Henley
Dan Howard
Don Beard
Malicus Beard
Wallace Mann
Bobby Parker
Stanley Fish
Johnny Womble
Johnny Howard
Henry Blair, Jr.
Sidney Harbison
SENIOR PLAY
Someone had the great idea that it would save much confusion in the spring if the Senior Play were given in the fall; so things began to hum, and practice began around the first of November. Production was scheduled for December 13, but Old Man Winter intervened with a snow storm, and it was rescheduled for January 15. Even with blown fuses, cut heads, locked-up tux and broken props, A DATE WITH JUDY was presented, a smashing success.
LEFT TO RIGHT: Ruthie Norwood, Midge Johnston, Lib Jones, Ferne Houser, Rossie Henley, Chief; Faye Goodwin, June Peoples, Nellie Faye Webster.
CHEERLEADERS
COACHES
Mr. Combs
Mr. Davis
GIRLS’ BASKETBALL TEAM
KNEELING, Left to Right: Brenda Williams, Janice Snipes, Donna Lutterloh, Lyda Gale Wicker, Jolene Wright, Ann Crews, Joan Wilson, Faye Crutchfield. STANDING: Linda Gainey, Betty Jean Roberson, Joyce Ash, Ann Nooe, Melinda Herndon, Carol Poe, Barbara Petty, Carolyn Shaw, Manager; Leonora Norwood, Gail Fitchett, Sue White, Mae Jones, Peggy Clark, Barbara Snipes, Jackie Mann.
CO-CAPTAINS
Jolene Wright
Janice Snipes
BOYS’ BASKETBALL TEAM
KNEELING, Left to Right: Hollis Freeman, David Hackney, Lonnie Lemons, Corky Harris, Charles Bordeaux, Bobby White, Marion Brasington, Harry Goodwin. STANDING: Robert Thomas, Tommy Henley, Bobby Wilson, Gilbert Sanders, Buster Holmes, Jack Gooden, Larry Carroll, Jim Camp, Manager; Dennis Wachs, Danny Beard, Tommy Snipes, Jimmy Griffin, Jackie Sword, Mack Herndon.
CAPTAIN
Tommy Henley
FUTURE FARMERS OF AMERICA
PITTSBORO, N.C.
OFFICERS
Marlin Hearne, President; Jimmy Womble, Vice-President; Dan Howard, Secretary; Bobby Holt, Treasurer; Derward Thomas, Sergeant-at-Arms; Gerald Howard, Reporter; H. G. Johnston, Advisor; Midge Johnston, Sweetheart.
OFFICERS
Faye Crutchfield, President; Jane Brown, Vice-President; Ann Churchill, Secretary; Sara Riddle, Treasurer; Barbara Clark, Historian; Mrs. Sallie Horton, Advisor.
Lover-upper-classmen!... Magazine sales campaign,... Broke all records!...Study French, study physics, study chemistry, just study, study, study! Class hay ride... Beta Club Initiation... And how about those T. V. history tests?... Establishing a precedent--ordering class rings... Junior-Senior Banquet--"If you don't shut-up, you won't have one!" Ah ha! Fooled you!
CLASS OFFICERS
Edward Petty ----------------- President
Womack Keck --------------- Vice-President
Ann Yates ------------------- Secretary
Lyda Gale Wicker ------------ Treasurer
Wayne Bennett -------------- Sergeant at Arms
JUNIORS
Billy Ash
Danny Beard
Malcus Beard
Grace Beckwith
Emily Billings
David Brooks
Kay Bullington
Barry Burns
Peggy Ann Clark
Ann Crews
Beatrice Davis
Jerry Ellis
Billy Eubanks
Faye Goodwin
Betty Jane Goodwin
Sue Green
Jimmy Griffin
Clifton Gunter
JUNIORS
Sidney Harbison
Kay Hayes
Tommy Henley
Mack Herndon
Lynn Hilliard
Bobby Holt
Dan Howard
Gerald Howard
Jean Johnson
Midge Johnston
Womack Keck
Sara Lasater
Donna Lutterloh
Bill McAllister
Carl McCollum
Barbara McGhee
Jack Mann
Nancy Mann
JUNIORS
Ann Nooe
Edward Petty
Ruth Rhodes
Cornelia Riggsbee
Carolyn Shaw
Patsy Shore
Jimmy Strowd
Jackie Sword
Derward Thomas
Robert Thomas
Joyce Tripp
Phyllis Vickers
Aileen Webster
Lyda Gale Wicker
Faydine Williams
David Woody
Jolene Wright
Ann Yates
BETA CLUB
Joan Wilson
President
Edward Petty
Vice-President
Rossie Henley
Secretary
Tommy Henley
Treasurer
Lydia Gale Wicker
Midge Johnston
Faye Goodwin
Peggy Clark
Womack Keck
Jolene Wright
Page Thirty-One
LIBRARIANS
LEFT TO RIGHT: Fay Mann, Joyce Jones, Betty Jean Roberson, Roxie Thomas, Bea Harris, Ann Gunter, Wanda Eubanks, Brenda Williams, Dora Sue Upchurch, Jerrie Strickland, Jean Ragan, Barbara Snipes, Pat Brown, Nellie Faye Webster, Bonnie Enright, Jackie Mann.
BUS DRIVERS
Lyda Gale Wicker, Joan Wilson, Janice Snipes, Sue Green, Louise Barrett, Faye McLaurin, Betty Jean Roberson, Jimmy Griffin, Jack Mann, Fay Mann, Jean Ragan, Milton Cash, Gerald Howard, Jimmy Strowd, Billy Clark, Charlie Brooks, Gerald Smith, Jimmy Womble, Edward Petty, Dan Howard.
AFFAIRS OF THE HEART
BASEBALL
JUNIOR-SENIOR
FINALS
GRADUATION
BASEBALL TEAM
FRONT ROW: Barry Burns, Hobson Rhodes, Dennis Wachs, Tommy Henley, Robert Thomas. BACK ROW: Johnny Hearne, Tommy Snipes, Jack Gooden, Bobby Wilson.
'59 SCHEDULE
March 31 Silk Hope ----------------- Here
April 3 Central --------------------- Here
April 7 Moncure --------------------- There
April 10 Jordan-Matthews ----------- There
April 14 Silk Hope ------------------ There
April 17 Bennett --------------------- Here
April 21 Central --------------------- There
April 24 Moncure --------------------- Here
April 29 Jordan-Matthews ----------- Here
May 1 Bennett ----------------------- There
"Rank is a great beautifier."--How do we look?...Measuring for caps and gowns...Ordering invitations and calling cards...Aptitude Tests...College Entrance Exams...Senior Play--Holiday!...English projects...Ring Ceremony...Skating party--oh! my aching____...Junior-Senior...Class Day...Graduation...Yippee!!!
LOUISE BARRETT
Glee Club 1, 2, 3, 4; Beta Club 3, 4; Annual Staff 3, 4, Assistant Art Editor 3, Art Editor 4; Monogram Club 1, 2; Basketball 1, 2; Marshal 3; Bus Driver 3, 4; Librarian Assistant 3; F. H. A. 1; Superlative 4; 4-H Club 2, 3, 4, Officer 4; Recitation 3; Senior Play 4.
BETTY JEAN BOWERS
F. H. A. 1, 2; Glee Club 1, 2, 3; 4-H Club 1, 2, 3, 4; Beta Club 3, 4; Marshal 3, 4.
CHARLIE FRANKLIN BROOKS, JR.
F. F. A. 1, 2, 3, 4, Beef & Swine Judging 3, 4, Tool Judging 2, Seed Judging 4, Officer 4; Basketball 1; Bus Driver 3, 4, Superlative 4; Safe Driving Award 3.
JAYE PATRICIA BROWN
F. H. A. 1, 2; Glee Club 1, 2, 3, 4; Library Assistant 1, 2, 3, 4; Senior Play 4; Recitation 4.
MONA RUTH CARPENTER
4-H 1, 2, 3; Library Assistant 1, 2; Glee Club 1, 2, 3; F. H. A. 1, 2.
WILLIAM THOMAS CLARK
4-H Club 1, 2, 3, 4; Glee Club 3; Bus Driver 3, 4; Superlative 4; Senior Play 4; F. F. A. 1, 2, 3, 4; Class Officer 1, 2, Dairy Team 2, Beef & Swine Team 2, Winner State College.
CLIFTON EUGENE COTTEN
F. F. A. 1, 2, 3; Superlative 4.
JUDITH ALLENE ELLIS
Basketball 1; Monogram Club 1; 4-H 1, 2; F. H. A. 1, 2.
VANETTA SUE FREEMAN
4-H 1, 2, 3, 4; Basketball 1; F.H.A. 1, 2; Library Assistant 2, 3; Softball 1, 2; Monogram Club 1; Kiwanis Queen 4.
LOIS JEANETTE GARRETT
Glee Club 1, 2, 3, 4; Monogram Club 1; Basketball 1; Beta Club 3, 4; Library Assistant 1; Superlative 4; Marshal 3, 4; Annual Staff 3, 4.
DONALD JACKSON GOODEN
Class Officer 2, 4; Superlative 4; Boys' State 3; Student Council 4; Monogram Club 2, 3, 4; Basketball 2, 3, 4; Baseball 2, 3, 4.
BOBBY THOMPSON GUNTER
4-H Club 1, 2; F.F.A. 1, 2, 3, 4; Officer 2; Dairy Team 4; Beef and Swine Team 2; Winner State College.
WILFRED MARLIN HEARNE
F.F.A. 1, 2, 3, 4; Senior Play 4; Superlative 4; 4-H Club 1, 2.
MARY ROSS HENLEY
F.H.A. 1, 2; Officer 1, 2; Scribblers' Club 1, 2, 3; Co-Editor 3; 4-H Club 1, 2, 3, 4; Officer 1, 2, 4; Dress Revue Winner 1, 3; Top Ten State 1, 3; Recitation Contest 1, 2, 3; School Winner 3, County Winner 3; Cheerleader 1, 2, 3, 4; Head Cheerleader 4; Monogram Club 1, 2, 3, 4; Officer 4; Glee Club 1, 2, 3, 4; Piano 1, 2, 3, 4; Beta Club 3, 4; Officer 4; Annual Staff 3, 4; Assistant Literary Editor 3; Literary Editor 4; Chief Marshal 3; Winner French Contest 3; Senior Play 4; Homecoming Court 3; Girls' State 3.
SANDRA LEE HOWARD
Class Officer 1, 2; Glee Club 1, 2, 3, 4; Piano 1, 2, 3, 4; Winner American Legion Essay Contest 2; Scribblers' Club 2, 3; Co-Editor 3; Recitation Contest 3, Girls' State 3; Marshal 3; Annual Staff 3, 4; Assistant Editor 3; Editor-in-Chief 4; Senior Play 4.
KATIE JO JOHNSON
F.H.A. 2; Library Assistant 1; Homecoming Court 2; Christmas Marshal 1, 2; Basketball 1.
ELIZABETH ARDEN JONES
F.H.A. 1, 2; 4-H Club 1, 2, 3; Glee Club 1, 2, 3; Library Assistant 2, 3; Cheerleader 1, 2, 3, 4; Monogram Club 1, 2, 3, 4; Assistant Director Senior Play 4.
MARTHA LASATER
Basketball 1; Monogram Club 1; F.H.A. 1, 2, Officer 2; Piano 1, 2, 3; Glee Club 1, 2, 3, 4; Recitation 2; Class Officer 3; Library Assistant 3; Marshal 3, 4; Beta Club 3, 4; Annual Staff 3, 4; Superlative 4.
VIOLET MARIE LASHLEY
Basketball 1; Monogram Club 1; F.H.A. 1, 2; Glee Club 1, 2, 3; 4-H Club 1, 2, 3.
CAROLINE LONDON
F.H.A. 1; Glee Club 1, 2, 3, 4; Class Officer 1, 4; Recitation Contest 2, 3, Library Assistant 3; Annual Staff 3, 4; Beta Club 3, 4; Homecoming Court 3; Student Council Officer 4; Superlative 4; 4-H Club 1; Senior Play 4.
GLENDA FAY MANN
Glee Club 1, 2, 3, 4; Soloist 1, 2, 3, 4; Voice 4; Bus Driver 3, 4; Safe Driver's Award 3; F.H.A. 1, 2; 4-H Club 1, 2, 3, 4, County 4-H Talent Winner 2, County 4-H Demonstration Winner 1; Recitation 1, 2, 3, 4; Basketball 1, 2; Monogram Club 1, 2; Library Assistant 1, 2, 4.
REEBEKAH GRAY McBANE
F.H.A. 2, Officer 2; Basketball 1, 2; Monogram Club 1, 2; Glee Club 1, 2, 4; Hamilton Academy, Scotland 3; Reporter "Acta" 3; Opera 3; Fellowship Prize 3; Rotary Club Senior Essay Prize 3; Class Officer 4; Superlative 4; Scribblers' Club 2; Student Council 4, Officer 4; Piano 1; Honorable Mention American Legion Auxiliary Essay Contest 2; Beta Club 4; Senior Play 4; Annual Staff 4.
VERNEITA FAYE McLaurin
F.H.A. 1, 2; Glee Club 1, 2, 3; 4-H Club 1, 2, 3, 4; Bus Driver 4.
LAURA L. PERRY
F.H.A. 1, 2; Basketball 1; Monogram Club 1; Library Assistant 3.
JEAN CAROL RACAN
F. H. A. 1, 2; 4-H Club 1, 2, 3, 4; Library Assistant 4; Bus Driver 4; Kiwanis Queen 3; Glee Club 1, 2, 3, 4; Senior Play 4; Class Officer 3; Homecoming Court 2; Superlative 4; Piano 3.
ROY HOBSON RHODES
Bus Driver 3; 4-H Club 1, 2; Baseball 3, 4; Monogram Club 3, 4.
BETTY JEAN ROBERSON
F. H. A. 1, 2; 4-H Club 1, 2, 3, 4; Glee Club 1, 2, 3; Library Assistant 4; Bus Driver 3, 4; Basketball 1, 2; Piano 1, 2, 3, 4; Monogram Club 1, 2; Softball 1, 2; Assistant Director Senior Play 4.
GERALD RAY SMITH
F. F. A. 1, 2, 3, 4; Beef and Swine Judging 3, 4; F. F. A. Officer 2; Football 1, 2; Basketball 1, 2, 3; Bus Driver 3, 4; Monogram Club 2, 3; Superlative 4; Senior Play 4; Safe Drivers' Award 3.
JANICE ANN SNIPES
Glee Club 1, 2, 3, 4; Monogram Club 1, 2, 3, 4; Basketball 1, 2, 3, 4; Co-Captain 4; Bus Driver 3, 4; Safe Drivers' Award 3; F. H. A. 1, 2; 4-H Club 1, 2, 3, 4; County 4-H Demonstration Winner 1; District 4-H Demonstration 2nd place winner 2; Superlative 4.
LORA LYNCH SNIPES
Glee Club 1, 2; Basketball 1, 2; Monogram Club 1, 2; F. H. A. 1, 2; 4-H Club 1, 2, 3; Senior Play 4; Library Assistant 1.
TOMMY WESLEY SNIPES
Senior Play 4; Baseball 2, 3, 4; Football 4; Basketball 1, 2, 3, 4; Monogram Club 1, 2, 3, 4; Superlative 4; F. F. A. 1.
GERALDINE STRICKLAND
Class Officer 1, 3; 4-H Club 1, Officer 1, State 4-H Club Week 1, District 4-H Club Talent Winner 1; Basketball 1; Monogram Club 1; Recitation 1, 2, 3; Recitation Winner 2; Glee Club 1, 2, 3, 4; Senior Play 4; Annual Staff 4; Beta Club 4; Superlative 4; Library Assistant 4; Christmas Pageant 2.
DORA SUSAN UPCURCH
Piano 1; Basketball 1; F.H.A. 1, 2; 4-H Club 1; Glee Club 1, 2, 3, 4; Softball 1; Superlative 4; Library Assistant 4; Senior Play 4; Homecoming Queen 4.
MARVIN DENNIS WACHS
Glee Club 1, 2, 3; Senior Play 4; Class Officer 1, 3; Football 1, 2, 3, 4, Co-Captain 4, Most Valuable Player 4; Basketball 1, 2, 3, 4; Baseball 1, 2, 3, 4; Superlative 4; Boys' State 3; Monogram Club 1, 2, 3, 4, Officer 4.
ALICE FAYE WHITAKER
F.H.A. 1, 2; Library Assistant 1, 2, 3.
PETTY JOAN WILSON
Basketball 1, 2, 3; Monogram Club 1, 2, 3; Glee Club 1, 2, 3, 4; Piano 1, 2, 3; F.H.A. 1, 2, Officer 1, 2; 4-H Club 1, 2; Class Officer 2, 4; F.F.A. Sweetheart 3; Beta Club 3, 4, Officer 3, 4, Annual Staff 3, 4, Assistant Business Manager 3, Business Manager 4; Marshal 3, 4; Superlative 4; Student Council 4; Bus Driver 4.
JAMES WALTER WOMBLE
F.F.A. 1, 2, 3, 4, Tool Judging 4, Beef and Swine Judging 4; 4-H Club 1, 2, 3; Glee Club 1, 2, 3; Bus Driver 3, 4; Senior Play 4; Football Team 1, 2, 3, 4; Baseball 1, 2; Monogram Club 1, 2, 3, 4.
CHARLES ROBERT BURNS
F.F.A. 1, 2, 3; F.F.A. Officer 2, 3; Glee Club 3; 4-H Club 2, 3, Officer 3; Bus Driver 3; Baseball 2, 3, 4; Parliamentary Procedure Contest 3; Six months training in U.S. Army.
JOHN THOMAS RAY, JR.
F.F.A. 1, 2, 4; Class Officer 3, 4; Football 3; Superlative 4; Kiwanis King 3; Monogram Club 3.
CHARLES LEE WRIGHT
F.F.A. 1, 2, 3, 4, Officer 2; 4-H Club 1, 2; Basketball 1; Baseball 4; Six months training in U.S. Army.
SUPERLATIVES
BEST ALL AROUND
Joan Wilson
Jack Gooden
MOST INTELLECTUAL
Jeanette Garrett
Tommy Ray
MOST POPULAR
Caroline London
Dennis Wachs
FRIENDLIEST
Dora Sue Upchurch
Marlin Hearne
MOST ATHLETIC
Janice Snipes
Tommy Snipes
BEST SPORTS
Martha Lasater
Jimmy Womble
WITTIEST
Jerrie Strickland
Gerald Smith
MOST ORIGINAL
Louise Barrett
Billy Clark
MOST DEPENDABLE
Jean Ragan
Clifton Cotten
MOST LIKELY TO SUCCEED
Rebekah McBane
Charlie Brooks
"Rain, rain, go away,"
Why must it rain every day?
A would-be orator gets some coaching from Mrs. Yates.
In the spring, Robert's fancy lightly turns to thoughts of...
Learning is a process of shedding the leaves of doubt and ignorance and accepting upon these barren branches of our minds the raiment of truth which alone can battle the storms of life.
EIGHTH GRADE
SEVENTH GRADE
SIXTH GRADE
FIFTH GRADE
FOURTH GRADE
THIRD GRADE
SECOND GRADE
FIRST GRADE
Compliments of
LOCAL UNION 1931
UNITED TEXTILE WORKERS
UNION
MADE
OF AMERICA
Pittsboro, North Carolina
The
BANK OF PITTSBORO
Is Interested in Your Future
Save with Our Help
Deposits Insured by The
Federal Deposit Insurance Corporation
Greetings from
MATHIESEN CLINIC
K. M. Mathiesen, M. D. R. S. Jacques, M. D.
Pittsboro, North Carolina
Compliments
of
BELK-YATES-BECK CO.
Home of Better Values
Pittsboro, North Carolina
GRiffin Funeral Home
Pittsboro
North Carolina
LONG MEADOW DAIRY
JIMMIE WRENN, INC.
Your Friendly Ford Dealer
Interested in the promotion and the progressive realization of all the ideals of each of these students.
Pittsboro, North Carolina
SANFORD PRODUCE CO.
Owned and Operated by Foushee Bros.
Institutional Foods
Frozen and Fresh
Fruits and Vegetables
Sanford, North Carolina
Chatham Fresh Feeds
Chatham Dog Feed
Purity-Chatham Lily Flour
SILER CITY MILLS, INC.
PITTSBORO CASH GROCERY
"Where Your Dollar Has More Cents"
Phone KI 2-4675
Pittsboro, North Carolina
Compliments of Buttercup Ice Cream Co.
Sanford North Carolina
Compliments of Bo-Peep Grill Ellis Shell Service
Compliments of
CHATHAM MILLS
Pittsboro North Carolina
Compliments of
ECONOMY FURNITURE
G. E. Appliances
Perfection Oil Heaters
Pittsboro North Carolina
SCHOOL EQUIPMENT, INCORPORATED
Distributor of Quality School and Institutional Furniture
Telephone SH 2-3752
P. O. Box 586
Siler City North Carolina
Compliments of
ROBERTS’ JEWELRY and SODA SHOP
Pittsboro North Carolina
CHATHAM MASTER
TIRE SERVICE
"Recapping with A Guarantee"
Homer Atkins, Manager
Pittsboro, North Carolina
Compliments
of
WILSON'S BARBER SHOP
Roscoe Wilson - Eugene Barker
Barbers
Pittsboro, North Carolina
Compliments
of
C. E. DURHAM & SON
McCRIMMON
DRUG COMPANY
"Pilco" T. V. and Appliances
Bynum, North Carolina
Pittsboro, North Carolina
HENRY'S RESTAURANT
"Your business will be appreciated."
Pittsboro, North Carolina
Apex Funeral Directors
Phone EL 4-3531
W. Ralph Butler
M. Dwight Johnson
Apex North Carolina
Mills Service Station
Gas
Groceries
Cold Drinks
Smokes
R. F. D. 2
U. S. 64
Phone EL 4-9111
West of Apex, North Carolina
Compliments of
Walden's Funeral Home
Moncure, North Carolina
Modern Appliance Center
Frigidaire Appliances
G. E. Television
Sales and Service
Phone KI 2-5511
Pittsboro, North Carolina
W. H. Scott Store
Fearrington Road
Phone EL 4-8321
Apex, North Carolina
Clay Scott's
GROCERY AND SERVICE
Fearrington Road
Apex, North Carolina
A. B. Servicenter
Tires
Batteries
Accessories
Washing
Polishing
Lubrication
Phone KI 2-9321
Lewis Body Shop
Body and Fender Repairs
Pittsboro, North Carolina
Pittsboro Dry Cleaners
and
Laundry Service
Phone KI 2-3821
Pittsboro, North Carolina
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The following is a list of the most important and frequently used terms in the field of computer science. It is intended to provide a quick reference for those who need to understand these concepts quickly.
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data in a computer so that it can be accessed efficiently.
3. Database: A collection of data organized in a way that allows for easy retrieval and manipulation.
4. Database Management System (DBMS): A software system that provides services for creating, maintaining, and using databases.
5. Encryption: The process of converting information into a code so that it cannot be read by unauthorized users.
6. Hashing: A technique for converting data into a fixed-size string of characters.
7. Interface: A way of communicating between two systems or programs.
8. Object-Oriented Programming (OOP): A programming paradigm that emphasizes the use of objects to represent real-world entities.
9. Protocol: A set of rules that govern how data is transmitted between two systems.
10. Query: A request for information from a database.
11. Security: The protection of data and systems from unauthorized access or modification.
12. Software: A set of instructions that tell a computer what to do.
13. System: A collection of hardware and software components that work together to perform a specific task.
14. User Interface: The way a user interacts with a computer program or system.
15. Virtual Machine: A software implementation of a computer system that allows multiple operating systems to run on a single physical machine.
16. Web Application: A software application that runs on a web server and is accessed through a web browser.
17. XML: eXtensible Markup Language, a markup language used to structure and organize data in a way that can be easily parsed and manipulated by computers.
The new building for the school is shown in this picture. It was built by the school board and is located on the east side of the old building.
CHATHAM COMM. LIB.
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Home Theater:
What You Need To Know
PRESENTED BY:
777 St. Clair St | Chatham, ON | 1-800-SHOP-APW | www.apwelectronics.com
Welcome to the Movies . . .
Home Theater isn’t new. It began back in the 1920s and 1930s when Hollywood’s elite built screening rooms in their homes so they could view the films they had just produced, directed, or starred in.
Even though they were luxurious, early “home theaters” were complex and intimidating. The moguls who enjoyed them kept technicians on staff to run the noisy and cantankerous projectors of the day.
Technology has come a long way. Today, home theater systems are far more convenient, far more accessible, and far more reliable. And, thanks to the efforts of literally thousands of engineers, designers, and installers, they’re far more capable, too.
A good home theater system will provide hours of enjoyment for you and your family as it literally immerses you in sights and sounds once available only at the very finest first-run movie houses. A home theater system can also help create just the right environment to enjoy your favorite movies by adjusting lighting, closing drapes, even turning on the popcorn machine! For the music lover, a home theater system will also reproduce your favorite recordings with startling fidelity.
How Do I Get There?
This brochure is your first step towards enjoying a home theater system. In it, you’ll find questions to ask yourself before ever going into a store. We’ll explain those often-obscure acronyms and the technology they represent so you’ll be comfortable when looking for specific answers to your needs.
Before we begin, however, we do have a suggestion. At some point, you’ll need to consult with a sales specialist at a store or showroom that sells home theater equipment. In our experience, independent dealers or custom installation specialists usually have more knowledgeable, more experienced people than do large mega-stores that sell everything from iPods to refrigerators.
Whatever your budget, the independent dealer will be more apt to listen and respond to your needs. And that’s critically important as you make the decisions that will lead to enjoying a system in your home.
With that in mind, let’s get started . . .
Some Basic Questions
The Component Advantage
Sit down for a moment and think about what kind of a home theater system you really want.
Is it a full-scale dedicated theater room with custom seating, lights that dim automatically when you press “Play”, curtains that sweep into place to block distracting sunlight, an extensive loudspeaker array, and the latest “front projector”?
Or is it a generic “home theater in a box” system that you can hook up in an hour or so. After all, that’s better than a DVD player connected to a TV, isn’t it?
If you’re like most of us, you’re probably aiming at something between these extremes. After all, a dedicated room is a luxury few of us have. And the compromised performance typical of most all-in-one systems simply isn’t that involving.
That leaves a component system – one composed of carefully chosen separate yet complementary pieces like a DVD player, surround processor, amplifier, etc. – as your best choice. With a component system, you can find the performance typical of the finest custom-installed theaters. And the operating convenience that is supposed to be – but often isn’t – the hallmark of the all-in-one approach. In addition, separate components offer significant advantages in flexibility as well as an easier upgrade path when the time comes (as it eventually will) to improve your system even more.
ROTEL
FM 8750M
Some Basic Questions
The Room It Goes In
Once you’ve reached this point, you need to think about where your new home theater is going to go. You have three things to consider.
- What you’ll use the room for when you’re not enjoying your new system.
- The acoustics of that room or how it will influence sound quality
- The sightlines from those preferred seats to the screen you’re going to watch.
People Live Here, Too, Don’t They?
Where do you want your home theater system? In the family room? In the living room or den? How is it going to affect other family members when the volume’s up? That’s one reason why putting your new system in the room next to the baby’s bedroom may not be such a good idea.
How will you use that chosen room when the home theater system isn’t on? Will it be a reading area? A study? What kind of furniture will you have in the room? Will there be enough comfortable chairs or sofas so everyone can enjoy your new system when you put it on?
Of course, many of these questions may not apply if you’re fortunate enough to have a “home theater only” space. But even here, you need to consider construction issues and acoustic isolation. After all, you don’t want that subterranean explosion to flatten the soufflé in the oven, do you?
Once you’ve decided on the best room, you can begin to figure out what you’re going to need to complete the home theater system of your dreams and just where you’ll place everything.
The Video Side of Home Theater
What You’ll See
You’ll probably begin by thinking about the TV. That’s natural. But you need to think about the speakers and electronics, too. After all, a great picture and mediocre sound isn’t what you really want, is it?
First, decide which type of TV will best answer your needs.
There are several choices:
1) A “direct view” TV: This is the conventional CRT (for cathode ray tube) television most of us are used to. Bluntly speaking, they’re passé, particularly for today’s home theater systems. That’s a shame in a way because direct view sets usually produce a great picture. They’re also relatively immune to other light sources and will give you the same picture quality in a dim or brightly lighted room. But, as they say, size does matter, and direct view sets – even when you can find a good one – are simply too small to deliver the sheer visual impact you want.
2) “Rear projector” sets: These one-piece, large screen sets used to offer the best compromise between affordability and screen size. And for some people, they were attractive even though they gobbled an enormous amount of floor space. Today, they’ve all but disappeared under the onslaught of affordable flat screen TVs.
3) “Front projector” sets: Many people consider these two-piece sets (projector and separate screen) the ultimate in dramatic picture quality. Their main advantage? They can project a BIG image – in some cases, more than 100” measured diagonally. Disadvantages? For best picture quality, use them in rooms with very dim ambient lighting. Fan noise may be intrusive although the best of today’s offerings are far quieter than older models. Just remember to pay attention to the screen you choose as it will have a major impact on picture quality.
4) “Flat screen” sets: Here’s the “hot ticket” for home theater enjoyment. With sizes now exceeding 60” (and some sets more than 80”!), most flat screens can be hung on a wall. That’s a major cosmetic advantage as well as a space saver. Picture quality is much better today than it was even a few years ago. Two technologies dominate flat screen displays today – LCD and plasma. Plasma used to have a decided edge in picture quality because it was able to reproduce much darker blacks so the rest of the picture “popped” more convincingly. However, today’s LCD models are very good indeed. Our suggestion? Visit your dealer’s showroom and look closely. You’ll find several choices that will fit your room and your budget.
Picture - courtesy of Cimax USA
The Video Side of Home Theater
While you’re looking at flat screen sets, you’ll notice that virtually none of them have screens shaped like older CRT models. (Computer monitors excepted.) Those older sets have screens that are nearly square. We say they have an “aspect ratio” (width compared to height) of 4:3 or “4 units wide by 3 units high”.
Today’s flat screen sets, in contrast, are much wider than they are high. Their aspect ratio is 16:9 and they resemble small movie screens – no accident there!
In addition to aspect ratio, you should understand something about resolution, or the display’s ability to reveal fine details. The old (and, as of February 17, 2009, obsolete) NTSC (National Television Systems Committee) analog standard mandated that TV pictures contain 480 visible scan lines, each consisting of approximately 330 individual pixels or picture elements.
The new ATSC (Advanced Television Systems Committee) standards are very different. Once analog terrestrial broadcasts cease on 2/17/09, all over-the-air TV signals will be digital in nature. Of course, all “small dish” satellite broadcasts are digital already and even cable distribution systems have a digital option today.
Regardless of how you receive it, DTV (digital television) will come in three flavors – SDTV, EDTV, and HDTV.
SDTV, or standard definition television, won’t convey any more detail than NTSC signals. However, SDTV signals will be modestly better due primarily to the fact that its digital format is less prone to signal degradation and consequent corruption than NTSC’s analog-based format. SDTV is best suited for smaller screen sizes.
EDTV (enhanced definition TV) will deliver visibly better pictures than NTSC: 480 visible scanning lines, each containing 640 pixels. The additional detail will look impressive on a larger screen. (This is, incidentally, even better than DVD’s potential. And we all know how good that is!)
HDTV (high definition TV) will deliver a truly stunning picture with up to 1080 scanning lines, each with a potential of up to 1920 pixels! That’s far better resolution than you’ll find with lower-resolution digital TV sources or even DVD. When displayed properly, HDTV signals come close to the quality of movie film.
When Is “Big” Really “Big Enough”?
There are no hard and fast rules governing the relationship between room size and screen size. Surprisingly, bigger (screen size, that is) is not always better.
The old NTSC guideline was that you should sit at a distance 10 times greater than the screen’s height. For persons with “normal” eyesight, this was far enough away so that the scan lines were not visible.
However, “hi def” (high definition) video sources changed this. Hi def sources have more – and usually far narrower – scan lines than NTSC sources. This means you can sit closer to the screen and not see them. In addition, hi def’s aspect ratio (16:9 as opposed to 4:3) makes screen width more important than height. With most hi def sources, you can sit just 3 times the screen height away and enjoy a fine picture.
For these reasons, we suggest that you consult your dealer or installer before making an arbitrary decision on the screen size you “should” have. As you can see, your best choice may be very different from what a quick measurement of available wall space might indicate.
In addition to resolution, you should be aware of other considerations. Your dealer can walk you through the details but here are a few quick comments:
Interlaced and progressive scanning: There are two different ways a TV “draws” an image on a screen. In the first, called “interlaced”, the TV draws two halves of a complete picture separately. The first half (called a “field”) consists of the odd numbered scanning lines. The second field consists of the even-numbered lines. Each field is drawn so quickly that our brain integrates these two fields into a single picture or “frame”. We call this an “interlaced” image because we create it by interlacing odd and even lines to form one complete likeness. All NTSC-format and many DTV signals are interlaced.
A “progressive” image, on the other hand, is drawn all at once. There are no odd- and even-numbered “fields” to integrate, just a series of whole images continuously followed by other whole images. All computer monitors use progressive scanning. Some DTV signals are progressive also. Progressive scanning usually produces clearer pictures of fast moving events (a basketball game, for example, or the chase scene from an action movie) than interlaced scanning can. Many people prefer it for that reason.
Audiophile’s Dream Home Theater
The home theater is a dream come true for any audiophile. The room is equipped with a state-of-the-art sound system, featuring a custom rack of high-end audio equipment, including amplifiers, speakers, and subwoofers. The room also features a large screen displaying a stunning 3D movie, complete with surround sound effects that make the audience feel like they are right in the middle of the action.
The room is designed to provide an immersive experience, with comfortable seating arranged in a semi-circular pattern around the screen. The walls are covered in acoustic panels to minimize echo and improve sound quality, while the ceiling is fitted with a starry sky effect to create a sense of depth and space.
Overall, this home theater is a perfect blend of technology and aesthetics, providing a truly unforgettable entertainment experience.
Photo Courtesy Sound Room, St. Louis, MO.
Composite, S-, and Component video signals
These are simply different ways of getting an analog video signal from one component to another. Before outlining some of the differences between them, you should know that video information falls into two main categories – luminance (brightness) and chrominance (color).
A composite video signal combines both luminance and chrominance for transmission through a single coaxial cable. Unfortunately, this reduces the signal’s ability to convey fine detail. Although convenient, composite video signals are the least desirable in a high quality home theater system. Almost every video component has composite signal connections.
An S-Video signal separates the luminance and chrominance portions of the signal. The result is improved detail and resolution. However, S-Video signals lose some of this advantage over longer distances. Many video components have S-Video connections.
Component video signals are similar to the RGB (red, green, blue) format used by video professionals. That’s why component video connections are the best way to go if your video sources AND your TV are equipped with the three-connector terminations needed to send component video signals from one piece of equipment to another.
HDMI: The New Digital Signal Highway
Composite, S-, and component video signal transmission share two limitations. First, they’re good for analog video signals only and, second, they make no provision to get audio signals from one component to another.
Enter HDMI (or High Definition Multimedia Interface), an outgrowth of an earlier video-only connection scheme called DVI. HDMI can carry the best high definition video signals available today and up to eight (8) channels of high definition audio over a single cable! That’s impressive and makes component-to-component connections potentially simpler. HDMI’s connectors are much smaller, a theoretical advantage when snaking cables through narrow openings.
Since its introduction in December of 2002, HDMI has, unfortunately, generated a lot of confusion even though it promised to end that rat’s nest of cables behind an A/V system.
Some cynics opine that HDMI was introduced before it was “ready for prime time” and that it has evolved almost too rapidly for the industry to explain and promote properly.
Indeed, today’s confusion about HDMI “versions” indicates that there’s some merit to that view. As of this writing, the current version is 1.3. However, be assured that every version from 1.0 onwards can transmit what’s commonly called “1080p” video signals (1080 progressively scanned lines of vertical resolution) and all the audio formats available of today’s video broadcasts and DVDs.
Some customers may prefer HDMI’s 1.3 version but even they should be aware that there’s likely to be no discernable performance improvement until sources begin to incorporate new audio formats like Dolby’s TrueHD or dts’s Master Audio, both available only on Blu-ray discs. (For more information, please consult our technical guide to HDMI. You can find it at www.rotel.com)
What You’ll Hear
3-1: A composite video cable looks just like an audio cable. However, both the cable itself and the connector are optimized for video.
3-2: A single S-Video cable is actually several cables in one. That’s because the S-Video format separates brightness and color information before sending it through a multi-conductor cable.
3-3: You’ll need three separate signal paths to get one component video signal from your DVD player, for example, to your monitor.
3-4: A single HDMI cable can replace up to eleven separate conventional cables!
If your display screen is the visual center of your home theater system, your favorite chair or sofa is the focus for what you’ll hear. That’s very important because it dictates how you need to place your loudspeakers so you can hear movie soundtracks as the directors and sound engineers intended you to. Fortunately, the same principals also apply to music so you can enjoy both films and an audio recording through the same speakers.
Home theater system usually begin with a “5.1” speaker array. This simply means five full range speakers (Left, Center, and Right in front with Left Surround and Right Surround in back) and one limited-range subwoofer for bass reproduction only.
Notice that we said “…begin with a ‘5.1’ speaker array.” That’s important. Some new surround sound formats like Dolby Digital EX sound best with two more full range speakers in the rear of your theater space. We’ll get to them shortly. For now, let’s stick with 5.1.
**What You’ll Need**
Your dealer can show you a number of options from large floor-standing speakers through smaller stand-or shelf-mounted models to in-wall or on-wall speakers. Today, you can even choose a single “sound bar” loudspeaker that attempts to create a surround experience all by itself!
Although larger freestanding speakers have sonic advantages when compared with small in-wall or on-wall designs, they are more aesthetically intrusive. But, once again, the decision is yours to make.
Regardless of which type you choose, however, listen carefully to several models before you decide. Speakers are very democratic and treat all audio signals exactly the same way, be they Sibelius quartets or Spielberg sci-fi flicks. You want a speaker that is as neutral and faithful to the original sound as possible simply because you want to hear the source, not the speaker.
If you opt for separate speakers for your surround system, they should all come from the same manufacturer if possible. That’s your best assurance that each one will have approximately the same tonal balance (sometimes called timbre – but pronounced tam’-bor) as the others. The benefit here is that you’ll hear the same quality of sound regardless of which speaker is generating it.
**Where To Put Them**
Although placing six speakers in one room may seem difficult at first, it is surprisingly easy if you follow a few simple guidelines.
First, your main Left and Right speakers (we’ll call them L and R from now on) should flank whatever TV you’ve chosen. If you plan to use your system primarily to watch movies, place them along the same wall as the display so that they’ll form a 45° angle when viewed from your viewing/listening position. (Angles up to 60° may be necessary depending on room size, screen size, and distance from screen to listening/viewing position. In fact, we recommend a 60° spread if you’re going to be listening to a lot of music through your system.) Ideally, both speakers will be at equal distances from each side of the screen to assure good integration of image and sound.
The Center Channel speaker (C from now on) should be as close to your TV screen as possible – either directly under or directly over it – and at the same distance from your favorite chair as the main speakers.
Placing Surround speakers (LS and RS for Left Surround
Surrounded By Speakers
and Right Surround respectively) is often surprisingly easy. Surround speakers come in two general types: dipoles which create a very diffused and non-directional surround effect, and direct radiating speakers (sometimes called monopoles) that produce a far more specific sense of where surround information comes from.
Some movie aficionados still prefer dipoles but most experts now recommend direct radiating speakers. To be fair, dipoles were more popular in home theater’s early days when Dolby Surround’s single surround channel was all that was available. Now that Dolby and dts offer more advanced audio formats with up to four surround channels, dipoles no longer present the advantage they once did. There’s no argument that direct radiators are far preferred by recording engineers and knowledgeable audiophiles for multi-channel music reproduction in the home. A final consideration is that placement requirements – often a point of concern for decor-conscious people – are not as restrictive for direct radiators as they are for dipoles.
The best place for direct radiating surround speakers is dependent on the shape of your room, the location of the prime seating area, and the type of enjoyment – movies or music – you consider most important.
For movie watching, side wall placement works well in some rooms, rear wall placement in others. In all cases, you should avoid aiming the surround speakers directly at your listening/viewing position. Ideally, you’ll mount your surround speakers above ear level.
If you’re going to listen to a lot of multi-channel music, you might consider placing the surround speakers on the rear wall closer to the room’s corners. In general, mount surround-for-music speakers lower on the wall than you would mount them for movie-only use.
Dipoles work best when placed well above ear level against the side walls of your home theater room. As you can see (Diagram 4-6) they produce more sound to the front and rear of the room but not much to their sides. That’s why you can’t easily locate the origin of the sounds they produce.
The Subwoofer
A subwoofer (usually called a “sub”) is a loudspeaker specifically designed to reproduce only low bass sounds. One of the characteristics of bass information is that it is difficult to identify just where it comes from. That’s why some people describe bass as “non-directional”. Although this isn’t true in the strict sense, it’s close enough to give us some choice when we’re trying to place a sub in a home theater room.
Getting the most out of a sub demands a decent working knowledge of room acoustics (how rooms influence the sound you hear). If you’re like most of us, you have neither the time nor the inclination to master this rather arcane topic. The good news is that you don’t have to! Your dealer already has . . . and will be delighted to impress you with a few “magic tricks” – one of which is finding exactly the right spot for your sub so you can just settle back and enjoy the results.
But Wait, There’s More!
Although you now know the basics of speaker placement for the typical “5.1” home theater system, there is a bit more to cover before we move on to the electronics.
You may have noticed that some home theaters are advertised as “6.1” and “7.1” systems. Unfortunately, there is no small amount of confusion about what constitutes each. The same system, in fact, can often be termed either “6.1” or “7.1”! So don’t worry about the details just yet. Just remember that these systems require more speakers than we’ve introduced you to already.
But don’t panic!
Although some of these “6.1/7.1” systems use cutting-edge technology to provoke “o-o-o-hs” and “a-a-a-ahs” from enthusiasts, we can say for certain that a well-executed “5.1” system is so impressive that many don’t need – or simply don’t have room for – any more speakers. However, if you’ve decided to put the very best home theater system in a particularly large room, you will want to consider a “6.1/7.1” system.
That being said, here’s what you need to know. Most “6.1/7.1” systems add speakers to the rear of the room (and slightly more complex electronics, of course) to provide a “Center Surround” channel that places some surround information directly behind us in addition to that already coming from the regular surround channels of a normal “5.1” system. This can improve the sense of envelopment we normally experience from just two surround channels. In addition, the Center Surround channel gives movie directors and sound engineers a better way to add very specific spatial information to the soundtrack when they need to do so.
Separates Are Better!
As we mentioned previously, you can buy a generic all-in-one home theater system. Ultimately, however,
4-4: If you’ll be listening primarily to movie soundtracks, place your surround speakers on the side walls just behind your main listening/viewing position.
4-5: Directional Surround speakers let you pinpoint the apparent origin of sounds. This particular set-up is optimized for music enjoyment.
4-6: Dipole speakers create a very spacious but non-specific feeling of ambience.
4-7: A “6.1/7.1” system adds speakers at the rear of your home theater room to reproduce “Center Surround” information contained in whatever source you are playing.
The Electronics
most people tire of the less than stellar performance – particularly that of the speakers – sooner than they thought they would. And when you want to upgrade or add capabilities, these “home theater in a box” systems are severely disadvantaged.
That’s why we suggest separate components as a more intelligent way to go. In addition to substantially better performance, individual components allow you to upgrade or add to your system on a systematic basis to better protect your investment and to keep you at the forefront of enjoyment.
All component systems include sources – a satellite converter, disc player, cable box, etc. – that let you access a program, a movie, or a music recording of some sort.
For many people, the next component is a receiver, a single unit that includes:
- Connections for all your sources
- Switching capability so you can watch and listen to the source you want
- A built-in AM and FM tuner so you can hear your favorite radio broadcasts
- Sophisticated digital signal processing (often abbreviated DSP), to decode the various surround sound formats (more about them in a page or two)
- Finally, a multi-channel power amplifier to provide the power you need to get all of your speakers into the act when you need them.
If that sounds like a lot of “stuff” going on in one box, you’re right! In fact, a receiver is probably the single most complex piece of equipment in any home theater system. But receivers are very convenient space-savers and a number of people choose one for just this reason. The good news here is that receivers can provide excellent performance. The not-quite-so-good news is that, once again, your upgrade or add-on potential is limited simply because a receiver includes everything so changing anything means a new receiver!
There is an answer to this dilemma – the “full separates” approach. This replaces a receiver with a surround processor/preamplifier, a power amplifier, and, if you want one, a tuner.
Not only do these individual components provide even better performance than a receiver can – particularly in the power amplifier department – but they allow you to tailor a system precisely to your needs. As for future upgrades, separate components provide the easiest way by far to improve your system.
What You’ll Need
The Surround Processor
The nerve-center of your home theater, the surround processor/preamplifier (commonly called a “pre/pro”) connects everything in your system.
Sources plug into the pre/pro to deliver both audio and video information, some of it analog in nature but more and more of it today digital. Most of the time, the digital signals are encoded in some way. Although you have the option of telling the processor what to do with each signal, some more advanced models figure things out on their own and decode signals automatically. Once your pre/pro decodes the signal you’ve selected, it routes images to your TV, and sends the audio portion on to your amplifier and, once there, to your speakers.
Some pre/pros let you select different sources to be sent to different areas of your home. Some also give you ways to modify or enhance the audio portion of the signal in some way to make it more pleasing or more enjoyable to you.
You should know that many pre/pros even analog audio signals to digital before they send them through the active circuitry. (Digital signals are left as digital.) After the processor performs all necessary decoding, a digital-to-analog conversion stage then transitions the signal back to analog so an amplifier can use it.
Video signals often undergo substantial processing too. One of the most common is called “scaling” and it involves enhancing the apparent definition of a signal so that it best compliments your display device’s ability to present the best image.
What To Look For:
1. **Inputs and outputs:**
Make a list of everything you’re going to watch and listen to through your new home theater system. Remember to include familiar sources like AM and FM broadcasts, legacy sources like cassettes, etc. Then think of the newest digital sources you’ll want to enjoy. Maybe you have two or more DVD and CD players, a satellite or cable TV “set-top” box. Some of you will add a Blu-ray player or are considering satellite radio. Then there’s that video game, a computer link or Internet connection. Remember that most newer sources have HDMI connections so you’ll need HDMI inputs.
Once you’ve listed everything you can think of, add a few more as a “fudge factor”. Then look for a pre/pro with enough inputs to handle the sources you’ll be enjoying.
Outputs are next. Will you be routing audio and video to more than one room? What kind of TV will you be using and will it have connections for the best picture? Will conventional “RCA-style” outputs do or will you need HDMI capability here, too?
You’ll need to know just a bit about the different connectors some source components use to get signals to your processor. And your processor, in turn, will send different kinds of signals to other components. All this is simple when your dealer or installer helps you sort things out. In the meantime, here are the most common types of connectors you’ll see.
Video: We’ve already shown you the various types of video connectors.
Relax. If this seems a bit intimidating, don’t worry. Again, your dealer or installer will take care of these details for you. But it doesn’t hurt to begin doing a little homework here to help the process along.
**Analog Audio:** Almost everything connects with RCA-style connectors. You’ll see 3-pin XLR-style connectors on occasion but these are rare.
**Digital Audio:** Many components use a fiber optic connector called a TOSlink. Some digital audio connections use special coaxial cables (with RCA jacks) that are optimized for digital.
**Remote Control:** Consider how you’re going to “talk” to the processor. Will you use a hand-held remote controller?
**Hand held keypad**
**12v out jacks**
Will your pre/pro need to send “wake up” signals to amplifiers that might be located some distance away? If so, a number of processors can do that, too.
2. Surround Sound Formats:
This is probably the most confusing thing about home theater systems. That’s because there are many different formats, each claiming different advantages. A partial list includes Dolby Pro Logic, Dolby Pro Logic IIx, Dolby Digital, Dolby Digital EX, dts, dts ES, dts ES Discrete, dts Neo:6, Dolby True HD, dts HD Master Audio, and others. Confused yet? Don’t worry, you’re not alone. Here’s brief description of the major players to ease you along.
Dolby Pro Logic
- This “4.0” format was the 800 pound gorilla of the analog surround world and provided (with the properly encoded sources, of course) Left, Center, and Right front channels and a single surround channel.
- Pro Logic is still used to decode the audio portions of many videotapes (remember them?) and NTSC television broadcasts.
Dolby Pro Logic II and Pro Logic IIx
- Are sophisticated updates of Pro Logic’s matrix approach to surround sound.
- Both adds stereo surround capability so you can rightly call it a “5.0” format
- Both feature greater channel separation than Pro Logic.
- Both Pro Logic II and IIx include two modes (Movie and Music) that make them suitable for a number of surround applications that can’t use Dolby Digital or a similar “discrete” technology.
- PL II provides a “5.1” experience. PL IIx adds “7.1” capability.
- Their primary purpose is to provide surround effects from older two-channel analog sources.
Dolby Digital
- This is the original “5.1” format.
- It is “discrete” in that channel-to-channel separation is total, an important consideration when trying to locate the origin of specific portions of a movie soundtrack.
- Dolby Digital accounts for the vast majority of all multi-channel software available today
- Is the industry’s de facto standard for digital surround sound.
- Is the principal surround format for DVD
- Supports up to 6 channels (5.1 format).
- Mandatory for DVD and HDTV
Dolby Digital EX
- A Dolby Digital variant, EX adds a third surround channel to Dolby Digital’s two.
- The extra channel (called Center Back or Surround Rear) is not discrete but matrixed onto the stereo surround information.
- Technically, Dolby Digital EX is a “5.1+” format but is commonly – though erroneously – known as “6.1”. EX gives the sound engineer a more complete audio palette from which to construct a convincing sense of directionality for surround information.
- You need Dolby Digital EX encoded software, an EX decoder, and an extra rear speaker (or speaker pair) to enjoy the sonic benefits.
Dolby Digital Plus
- Will eventually replace Dolby Digital
- Advanced algorithm provides higher quality sound than Dolby Digital.
- Includes “dialog normalization” for better intelligibility.
- Can support up to 14 channels in 13.1 format although currently limited to 8 on Blu-ray discs.
- Now used in European satellite video delivery
- Expected use in streaming applications (at lower end of data rate).
Dolby TrueHD
- Has higher bit rate than Dolby Digital Plus
- Data rate is more than 40 times the maximum rate of Dolby Digital.
- Supports up to 14 channels although current content formats (Blu-ray) limit number of channels to 8.
- Future applications may include height information or other configurations beyond today’s 7.1 formats.
dts and dts ES
- dts is functionally equivalent to Dolby Digital with 5.1 channel capability
- dts ES is functionally equivalent to Dolby Digital EX with 6.1/7.1 channel capability
- dts initially promised superior sound because it used less digital compression to convey sound from the dubbing stage (where movie soundtracks are made) to your home. Comparisons have proven these claims difficult to defend, especially with DVD, which uses a more compressed version of the original dts format.
- Both dts and dts ES soon to be known as dts Encore.
- dts Encore will also include dts 96/24 formats
- Newer dts formats (HD-High Resolution and HD-Master Audio) add extension data to core data to encode more information.
dts-HD High Resolution Audio
- Falls between DTS Encore and DTS-HD Master Audio
- Will eventually replace Encore
- Optional audio format for Blu-ray discs
- Supports 8 channels at 24-bit/96 kHz resolution.
- Will be used primarily when source capacity does not allow dts-HD Master Audio.
dts-HD Master Audio
- Mandatory audio format for Blu-ray discs
- Supports 8 channels at 24-bit/192 kHz resolution
A Note on THX: Strictly speaking, this isn’t a surround sound format at all even though it is often confused with one. THX is a set of standards and technologies designed to make a home theater sound more like a movie theater. As such, it deals with audio signals only after they’ve already been decoded. While generally accepted as legitimate for movie soundtrack reproduction, THX has inspired some controversy in audiophile circles where it is said to compromise music reproduction.
The Electronics
What’s Important
There’s a lot of discussion (putting it mildly) about the sound quality of various surround sound formats. We think you’ll be very happy with what you’re going to hear from any of them providing your system is properly set up and calibrated. That’s something your dealer or installer will be glad to help with.
The Power Amplifier
If the processor is the nerve center of your home theater system, the power amplifier is its taskmaster. It controls the single most important component of your system – the loudspeaker.
Speakers do not just passively accept an amplifier’s signal. In fact, they resist it. To complicate things further, speakers exhibit other characteristics that make them difficult to control. They even generate a signal that returns to the amplifier!
So how does an amplifier function properly under these conditions? Well, the simple answer is that some don’t. Some amplifiers are actually unstable when pushed and severely distort the signal. In extreme cases, an amplifier can literally destroy itself attempting to deliver a signal to a particularly difficult speaker.
The answer to these problems lie in the balance between an amplifier’s output stage and its power supply. If the power supply is the beginning of an amplifier’s ultimate capability, it is the output stage that delivers this potential to “real world” loudspeakers.
Good power supplies, however, are expensive to build. They ensure that an amplifier can deliver adequate power as each channel – or all of them at once – ask for it. An inadequate supply simply results in distortion, sometimes very severe distortion.
Note that most of the comments immediately above refer to what we traditionally call “linear” amplifiers. These “Class A” or “Class AB” designs are very different from the newer “Class D” switching amplifiers. (And, no, “Class D” does not mean “digital”!) Linear amps and Class D amps have very different operating characteristics. Class D designs are generally smaller and much cooler-running. You can find a detailed explanation of switching amplifiers at www.rotel.com.
Regardless of its type, any amplifier must have the ability to drive all of your speakers to levels you are comfortable with. In other words, does an amplifier have enough power and can it deliver its claimed output into many speakers at once? For some, especially those who live in apartments, power output requirements are comparatively modest. For others, those who insist on experiencing the full power of an earthquake in a large room, power needs will be far more substantial.
Unfortunately, you’re in a particularly difficult position to judge what’s enough. That’s because most manufacturers rate amplifier power output capabilities differently and “spec comparison” is almost impossible.
Here are some things to look for:
1. “Continuous” rather than “peak” power: What you need to look for is average, long-term power rather than some specious short-term specification
2. Number of channels driven: Some manufacturers rate their multi-channel amps with only two of the channels working! This makes it easier to claim more power per channel. If you’re paying for a multi-channel amplifier, it should develop its rated power into all channels at once!
3. The range of frequencies (called “bandwidth”) over which an amp will produce its rated power: Some manufacturers tell you only that an amp will produce, say, 100 watts per channel at 1 kHz, a midrange tone that almost all amplifiers handle well. The real test is how much power an amplifier will develop at the so-called “frequency extremes”. Ideally, an amplifier’s bandwidth will extend from 20 Hz (low bass) to 20 kHz (very high treble.) This 20 Hz – 20 kHz specification is commonly accepted as being within our normal hearing range.
4. Distortion: A good amplifier should not add or detract from the signal it receives from a processor. Any deviation is called distortion and is measured as a percentage of the overall signal. Although lower distortion figures are generally better, anything under 1% is probably inaudible. Today’s technology, however, allows substantially better performance. Distortion figures of 0.03% are not uncommon. Again, these distortion measurements should be made with all channels driven.
5. Impedance: Measured in ohms, impedance simply measures a speaker’s resistance to the amplifier’s signal. It’s important only in that different impedance ratings allow a manufacturer to rate a power amplifier differently and some do take advantage of this. For example, an amplifier that develops 75 watts per channel at 8 ohms could be advertised as a “100 watts per channel” model simply by lowering the impedance rating to 6 ohms!
The point here, obviously, is that you need to be careful when comparing amplifier specifications. Here’s something to remember: A manufacturer who gives you all the information you need to make an informed decision is probably the manufacturer that spends the time designing good products in the first place.
Your Specialty Audio / Video Dealer
We’ve covered most home theater basics in this booklet. We’ve intentionally left out as much jargon as we could. We’ve also left out a lot of detail that, while fascinating to some, is largely unnecessary as you begin to look for your ideal system. Our hope is that this book answered just enough questions so that you feel comfortable asking more.
Once again, however, we’ll stress the importance of visiting a specialty audio/video dealer or custom installer. These businesses receive thorough training from many manufacturers and trade organizations. They know their craft and can help you avoid frustrating and potentially expensive mistakes.
With their help, you’ll soon have a home theater system that will fulfill your needs and delight your family and friends.
Enjoy the show!
The best home theater speakers for your movie room
SPONSORED BY:
B&W
Bowers & Wilkins
www.bowers-wilkins.com
CLASSE
www.classeaudio.com
ROTEL
www.rotel.com
Copyright © 2009
Designed by
Digital Arts & Sciences, Inc. |
1996 Curriculum Resource
Y.O.U. Conference Workshop Family Material
come home
written by:
Linda Michael
Association of Unity Churches
Youth of Unity
COME HOME
Y.O.U. 1996 Conference
Introduction
Guidelines for Family Workshop Leaders
SESSION ONE
I welcome the call to COME HOME to my divinity.
SESSION TWO
I joyfully return to love by expressing the highest love in and through me, and by choosing loving, nurturing people to be my friends.
SESSION THREE
I joyously celebrate the wonderful divinity in my vibrant life.
SESSION FOUR
I AM a child of love, and in forgiveness, I release all negative thoughts and actions unlike love. I choose constructive thoughts, words, and actions.
SESSION FIVE
I come home to the love and acceptance waiting for me, and I give love and acceptance from my heart.
SESSION SIX
My divinity is the light of the world. By COMING HOME to my true Self, God flows freely through me.
SESSION SEVEN
Wherever I AM God is, and as I remember this, I help create a lavish, peaceful and loving world.
SESSION EIGHT
There is nothing left to say. I have been prepared, empowered and loved. I choose to live my divinity RIGHT NOW!
Handouts
| Date | Time | Event | Scripture |
|--------------------|---------------|--------------------------------------------|---------------------------------------------------------------------------|
| Monday, July 29 | 8:20 pm - 9:30 pm | WELCOME HOME | "...where your (home) treasure is, there your heart is also."--Matt. 6:21 |
| Tuesday, July 30 | 10:30 am - 12:30 pm | RETURN TO LOVE | "He arose and came (home) to his father."--Luke 15:20 |
| Wednesday, July 31 | 10:15 am - 12:30 pm | CELEBRATE (THE GOD STUFF) | COME HOME..."to the knowing that Christ within (each other) is greater than he that is in the world.--1John 4:4 |
| Thursday, August 1 | 1:45 pm - 3:15 pm | CLEANING HOUSE | "I am the Light of the world; s/he who 'COMES HOME' to me will not walk in darkness; but will have the light of life." --John 8:12 |
| Thursday, August 1 | 6:30 pm - 8:30 pm | CLEANING HOUSE (Continued) | --HEART TALK |
| | | | "If any man would COME HOME to me, let him deny himself...What good is it for us to gain the whold world and lose or forfeit our very self." --Luke 9:23 & Mt. 16:26 |
| Friday, August 2 | 10:15 am - 12:30 pm | THERE'S NO PLACE LIKE HOME | "I COME HOME unto me, all ye that labor and are heavy laden, and I will give you rest...learn from me...for my yoke is easy, and my burden is light" --Mt. 11:28-30 |
| Saturday, August 3 | 1:45 pm - 3:00 pm | OH, THE PLACES YOU'LL GO | "I press toward the mark of the high calling of god...to those things, which you have both learned, and received, and heard, and seen...,do: and the God of peace shall be with you."--Phil. 3:14 & 4:9 |
| Sunday, August 4 | 8:30 am - 9:15 am | "To you has been given the secret of 'COME HOME'" --to the Kingdom of God."--Mark 4:11 |
Introduction
1996 Youth of Unity Conference Family Materials
Theme: COME HOME
Dear Leaders of the Family Workshops!
"...I urge you to live a life worthy of the calling you have received." --Ephesians 4:1. (Here at '96 Conference, if not before, now you may hear it with ears that hear.) Your commitment to be a Family Workshop Leader is a divine calling to COME HOME through a commitment involving prayer and preparation before conference. Being a Family leader offers the fringe benefit of great fulfillment in facilitating an environment for a group of 10-13 YOUers to experience belonging, bonding and unfolding. Many YOUers who have attended conferences before have stated the workshop family time is usually a highly transforming experience for them. THANK YOU FAMILY WORKSHOP LEADER.
CONCEPT:
The experience that the International Team tied with THE INTERNATIONAL YOUTH OF UNITY '96 CONFERENCE theme is so simple and still very beautiful. COME HOME teaches that we as co-creators with God have the ability to carry our support, love, and peace with us in our hearts. COME HOME is about taking all the facts, truths and wonderful lessons we know and bringing them to our center where they can work for us. It's about simple everyday miracles that we only need to see, and it teaches us to remember that there is someplace safe and special for all of us. COME HOME is about practical Christianity. As we come home to the God within us, we learn of our innate divinity to be the best we can be. We share our love with the world and we are blessed in every aspect of our lives. YOUTH OF UNITY, Sponsors, Children of Light, your home is heaven...HOME--is within everyone of us; a place, a conscious sphere of mind, having all the attractions described or imagined as belonging to heaven."--Charles Fillmore KTL pg. 176
PURPOSE:
YOUTH OF UNITY 1996 CONFERENCE will provide: 1) a safe, gentle, loving environment in which participants will unveil the idea of COME HOME to the indwelling divinity through the tools of prayer, Scripture, practicing the Presence, remembering who they are, acknowledging their child-like innocence, listening, loving, and understanding that spiritual growth is an ongoing process; 2) a small group environment in which participants can share, play, experience and practice Truth principles in an atmosphere of commitment, respect, acceptance, empowerment, openness, and fun.
WORKING WITH THE YOUers:
In keeping with the daily themes and purposes of the week, it is asked that you closely follow the materials and activities contained in this workbook. Your adherence to the materials is important to build the spiritual consciousness of your family. Several activities are included for each lesson and are timed for each workshop. It is asked that you remind your family that we have COME HOME to Conference '96 to grow spiritually in our family times, and that there will be plenty of time for social and free time activities throughout the Conference week. THANK YOU, family leader, for remembering the purpose of the workshop family.
“Volunteering answers” from teens is too threatening at times, especially to the ones you’d like to have share more. For best results in getting all teens to share, go around the circle (starting on your left representing the heart) always allowing a person the right to pass. State: “I will start first then we’ll go around the circle. The above action on your part as leader respects each YOUer and involves everyone, not just the willing talkers.”
PREPARATION:
Please practice leading and giving CLEAR directions to ALL activities before leading them with the group. Thank you for your sincere and prayerful preparation for Conference and for thinking through these materials to unfold your own clarity, and conscious realization. These will give depth and life to the Principle you will be presenting. It is important for you to know that you may put the Principle and what is being said in your own words and understanding, but adhere to the materials, and be completely familiar with it so that you can facilitate an interactive sharing that involves everyone. “I, if I be lifted up, will draw all [people] unto to me.”--John 12:32. Your leadership IS important.
The handouts and materials will be provided for your workshop. Listed below are any extras you are to bring. It is important that you arrive ahead of each family workshop session to prepare your materials and welcome your group. Please plan to arrive early for the 5:00 PM Adult Meeting/Dinner in the Garden Room Unity Inn to find your workshop space and check that your supplies are complete.
Workshop family support meetings for leaders will be scheduled throughout the week to process and evaluate the material and the family sessions.
You will need to bring: 15 small treasures representing “home” to you (they will be returned to you)
- A cassette player (with extra batteries)
- Lively and mellow music of your choice (no voice)
- Camera for family photo
- Your prepared, open, empowering, flexible, fun-loving self
Workshop family times:
SESSION 1 Mon. 8:20 PM - 9:30 PM
SESSION 2 Tues. 10:30 AM - 12:30 PM
SESSION 3 Wed. 10:15 AM - 12:30 PM
SESSION 4 Thur. 1:45 PM - 3:15 PM
SESSION 5 Thurs. 6:30 PM - 8:30 PM
SESSION 6 Fri. 10:30 AM - 12:30 PM
SESSION 7 Sat. 1:45 PM - 3:00 PM
SESSION 8 Sun. 8:15 AM - 9:00 AM
FAMILY WORKSHOP LEADERS MEETING:
MONDAY 4:00 - 5:00 PM • AC2
Thank you for being at this meeting.
See you soon, Grace and Peace,
Linda Michael (615) 355-6766
firstname.lastname@example.org
(please call or e-mail if you have questions)
GUIDELINES for FAMILY WORKSHOP LEADERS
A Family Leader--
• facilitates an environment of sincerity, fun sharing, appropriate touch, prayer and self-exploration.
• encourages the TOTAL acceptance and belonging of EACH individual.
• takes time to prepare the environment: seating arrangement, visual aids, music, and rapport.
• practices giving directions to all activities prior to conference.
• learns names of the group members.
• remembers that the group interaction is important.
• allows more time for an activity in which the group is greatly involved.
• remembers that each person has the “right to pass” if they do not wish to share.
• remembers that the leader is also the learner and is careful to share honestly, but not to monopolize.
• is comfortable with “think time” and silence after asking the group questions...(allows time for reflection after asking a discussion question.)
• encourages everyone’s participation and gently but firmly guides “monopolizers or ramblers” to share at a later time (e.g. “I would like to hear more about that …can we get together at free time?”)
• is aware of the time allotted for each workshop ending each session in time to attend the other activities.
• is non-judgmental, respectful and accepting of ALL group members and their responses…there are NO wrong or right answers.
• processes individual discoveries following an activity or exercise. Processing is: thinking back on a learning experience to glean all the available value, learning and insights from the activity. The leader poses such questions as, “How was this for you?...I wonder who felt...What are some things you noticed out...What did you notice going on...etc.) Questions are provided under the DISCUSSION section for certain activities to help stimulate discussion toward the purpose of the activity.
• has fun, with a sense of HUMOR…and enthusiasm!
'96 Y.O.U. Conference Workshop Family Material
Theme: COME HOME
Monday Evening - July 29
Family Workshop 1
8:20-9:30 p.m.
FOLLOWING: The Opening in Activities Center (Workshop leaders will be introduced at that time)
CONCEPT: WELCOME HOME
SCRIPTURE: "...where your home/treasure is, there your heart is also."--Matthew 6:21
and "...behold, I make all things new"--Rev. 21:5
AFFIRMATION: "I welcome the call to come home to my indwelling divinity."
ACTIVITIES:
1. Treasures from home Get acquainted 3 min.
2. Ball web Get acquainted/belongingness 10 min.
3. Opening prayer Affirmation/scripture 10 min.
4. Home covenant agreements Leader introduction, family agreements 10 min.
5. Treasure sharing Group introductions/self-sharing 20 min.
6. Electric hand squeeze Individual commitment to Conference 10 min.
7. Closing Closing prayer and affirmation 5 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
1. Bag of treasures brought from leader's home
2. Ball of yarn
3. Poster board
4. Mellow music
5. Masking tape
6. Affirmation banners
ROOM PREPARATION:
Family leader, arrive ahead of time for each session to prepare a welcoming environment.
Treasures From Home
To get acquainted
Materials: One bag of treasures from family workshop leader’s home, cassette and soft music
Preparation: Lay out leader’s treasures from home in a small circle on floor.
Directions:
1. Leader: As group enters workshop area soft music is playing. Invite each to survey the “treasures” that are spread on the floor. Ask each to select the “treasure” that most reminds them of themselves or of home. If they have something from home, let that “treasure” be sufficient.
2. Have group temporarily place the treasure in a special place in the room until later so they will have their hands empty for the next activity.
3. After selecting and storing their objects, have group form a standing circle. Proceed to next activity with the yarn.
Activity # 2
Ball/Yarn Web
To get acquainted/Prayer/Belongingness
Materials: 1 ball of yarn (large enough to go around circle two times)
Preparation: Music playing softly in background (optional), everyone remains standing in circle.
Leader has a ball of yarn in hand. Explain directions.
Directions: (Objective: Family will form a connected circle of string resembling a spider web.)
Leader: as in all activities, practice leading this before conference.
1. Leader: After everyone has selected a “treasure” (Activity #1), have everyone stand in a circle. Leader will hold the ball of yarn, and unwind enough string to reach across the circle.
2. When each person receives the yarn ball, they will choose someone (not a person that is standing next to them on either side) they do not know, and ask that person’s name. Person with the ball says their own name, then calls new person’s name saying “MY NAME IS_____. I AM TOSSING THE BALL TO_____. WELCOME HOME.” After unwinding enough string to allow the ball to be tossed, toss the ball of yarn to the new person. When the ball is tossed, each new person holds on to the string at the point where they received it. A beautifully shaped web pattern will form. (Repeat around circle)
3. Model by beginning...ask the name of someone he (for easier reading from this point we will use he) doesn’t know, and toss the yarn ball to them, saying as ball is being tossed, “Hi, my name is_____, (holding the string at the end point). I am tossing the ball to_____ WELCOME HOME!” (The more said the sillier it gets. Laughter and joy are being created. This also relieves any tension upon meeting for the first time.)
4. After the yarn has been thrown to every person, PROCESS the activity with the group. Stay standing with the web pattern.
Suggestions: This group has created a special pattern as we do in each of our homes...the pattern depends on each person within it as a vital point. If just one of us were not here tonight, or in our families at home, the pattern itself would be quite different. Each one of us is important to the unique energy of our family at home and you are just as important to the unique energy of the family group we will form this week.
5. What else do they notice about this web that is like their connection to home? Keep asking until everyone has had a chance to share what they notice. (Just listen, there are no right or wrong answers.)
6. Keep the web just as it is. Now we will do the same thing--toss the ball and hold onto both ends, but this time we will be sure to toss it to someone new, and NOT one next to us. (Leader, this is mainly for fun) This time say, "Hi (other person’s name), I AM home and my name is ___. (Have each share something exciting about themselves.) I am tossing the ball to (give name of person the ball is being tossed to).
7. Ask for more input—this time keep it light.
Suggestions: A. What did they notice this time that was not noticed before?
B. Do you know each other a little better from this activity?
Move right into the next activity...
Activity # 3
Opening Prayer
Affirmation/Scripture
10 min.
Materials: Affirmation banner
Preparation: Invite the group to sit in circle. Place affirmation banner on wall yourself. Leader, after this evening ask for a volunteer to do it each day. Perhaps at the end of each workshop put up a new affirmation for the next day.
Directions:
1. Leader: The first evening read and share the affirmation and scripture. After tonight ask for a volunteer. Make the affirmation/prayer and scripture time one of the most important activities as it is in the Word that we build consciousness.
2. OPENING PRAYER & AFFIRMATION: Holding hands in circle, Leader leads a prayer and includes the affirmation, I WELCOME THE CALL TO COME HOME TO MY INDWELLING DIVINITY. Affirm the Truth that there are no accidents and that each of us in this family is here by Divine appointment and a vital part of this group and this week’s experience.
3. Read the scripture: "...where your home/treasure is, there your heart is also." (Matthew 6:21)
and "...behold, I make all things new" (Rev. 21:5)
4. Discussion: This could mean if our hearts or feeling nature are in one place and our body or thinking is somewhere else, we are not with our bodies. We are where our heart is. If tonight we miss being home in our own places, we are not being here right now.
5. Be sure you have the group stay with the idea of being here now.
A. Is everyone here right now? -- in both head, AND heart.
B. If someone isn’t here right now, share where they are.
6. Read the scripture and ask for explanation by the group.
7. If no response (after silently counting to 15 and not looking at anyone in particular to answer the question), explain: Come Home is your theme for the '96 Conference. The scripture was picked because to the International Team the meaning is: Wherever our comfortable, safe, loving place is, there will our thoughts be also. Sometimes you want to stay in a class at school you really like. It is comfortable, something you have grown to enjoy, and you know all the kids, but must move on as you have graduated from there. Or you need to move out of your home, where you grew up and know all the neighbors, have great friends close by; or maybe a job that you have really enjoyed, but Mom or Dad gets transferred (or divorced) so you have to move on. Or perhaps you are one of the outgoing officers in your Y.O.U. chapter or region, and you must move on. It's hard to leave a comfortable place to go out into the unknown. If your "home or treasure" or thoughts are in the past, so will your heart be also. You cannot move forward if you are looking back, and not willing to let go of the past, people, places, and things. Our home/treasure must be in God so God can lead a willing mind and heart to its higher good. You trust God that all things that appear to be "changed" will be "made new," for the better, for your individual growth, and all that your life touches.
7. Before going on, check for understanding, ask if there are any further comments or questions. If not, move to next activity.
Activity #4
Home Covenant Agreements
Leader Introduction/Family Agreements 10 min.
Materials: Home covenant poster, markers, masking tape.
Preparation: Volunteer to write on poster. Tape chart paper to wall.
Directions:
1. Leader: Tell a little about yourself (Y.O.U. history, hobbies, chapter, and how you feel about leading the conference family workshop). Give the workshop family agenda/housekeeping messages (number of times group will be meeting, changes in locations, what comes next, etc.).
2. "What would an ideal home or community be like if it were based on turning within and acting from our home (Christ) center?" (count to 15 silently, before answering yourself, giving Y.O.Uers time to think) If no one volunteers, share your brief thoughts and ask again, "What would your ideal... then repeat the question letting each have a chance to answer.
For Leader only: Volunteering answers from teens is too threatening at times, especially the ones who seem not share much. For best results in getting all teens to share, go around the circle (starting on your left representing the heart) always allowing the right to pass. Stating: I will start first, then we'll go around the circle. The above action on your part as leader respects each YOUer and involves everyone, not just the willing talkers.
3. State the importance of having the "home covenant agreements" is to insure that each family member can feel heard, accepted, respected, and loved in our family workshop.
4. Ask for a volunteer to write on the poster as together the new family creates a home covenant agreement for their new home for the week. Ask them to list what they would need or want from family members of their home to help create a safe environment. (It is understood that some teens do not get the safe environment they need or want, this will help them feel safe by creating it in the Conference family).
Be sure to include:
a. Be on time --if one person is late, it affects whole family workshop
b. No put downs/criticism/sarcasm/interrupting.
c. Giving loving attention to each person sharing, eye contact, and support.
d. No right or wrong answers.
e. Right to pass.
f. Confidentiality; what is said here stays in the group.
5. After each agreement is written on the poster,
a. Ask if the group feels they can accept what has been written, or if there are changes or additions they would like to make.
b. Ask the family to vote, by show of hands, if they accept the agreements.
6. Ask everyone to affirm support of the covenants with their personal signature or symbol on the sheet. Ask a group member to hang it on the wall. Great work/fun! Moving right along...
Activity # 5
Treasure Sharing
Group Introductions/Self-sharing 20 min
Materials: Treasures picked in the beginning
Preparation: Sit together in a circle, have group pick up their “treasures.”
Directions:
1. Leader: Tonight we explore the idea of spiritually coming home. This is a call or invitation to come home to that spiritual place within us where we are comforted, where we have a sense of freedom, feel renewed and restored. It is a call to return unto the True Self--the Christ. It is the Christ that draws us. The spiritual way of life has to be desired or sought before it becomes a part of our conscious life. We must be willing to COME HOME to our Christ/indwelling divinity.
2. Share with your family that Jesus is our teacher and Way-Shower for our COME HOME journey. He is the hero of one of the most classic journey stories ever told. He not only taught the Truth, He also demonstrated the truth in His life. This week we will explore the idea of COME HOME to our divinity through the daily themes, affirmations, prayer, scripture, remembering, celebrating, forgiving, cleansing, being, expressing and taking home the realizations we have experienced. It is important to understand that COMING HOME is an ongoing process of changes in our lives. It is not an ending, but a new beginning, every moment.
3. Have them hold their treasure in their hands reminding them that they selected the one that most reminds them of themselves or of home.
4. Start with the person on your left, go around the circle having each person tell:
A. Name
B. Where you are from (chapter & state)
C. How long in Y.O.U.
D. What one or two words describe COME HOME to you in relation to their spiritual unfoldment?
E. How the treasure they picked represents them.
5. Thank each participant for sharing and risking about themselves. Return treasures to leader.
Electric Hand Squeeze
Closing/Sharing/Prayer/Hugs 10 min.
Materials: None
Preparation: Stand in circle holding hands move quickly & silently.
Directions:
Leader: While standing holding hands, ask group to close their eyes. We will all briefly share our commitment words to finish these next two statements.
This activity is to be done fairly rapidly, yet with deep thought and sincerity. Leader say one statement first. (Possibly repeat the sentences a couple of times for individuals to consider them.) I will start with my own word of commitment to complete the sentence. We will go to my left. We’ll go around the circle and share each one’s word. I will say the next statement and share as before.
1. I wanted to COME HOME to Conference because I was looking for__________________.
Answer may be love, forgiveness, or friends. Ask that it be a sincere answer after any “funny” answers.
2. I will give ___________to receive what I am looking for.
Answer may be love, forgiveness, myself, or my friendship. All answers are lovingly accepted.
When each person is done with their commitment words, squeeze the person’s hand on your left to let them know you are finished so the next one can begin. Commitment prayers are completed when the squeeze reaches the leader again.
Activity #7
Closing
Closing prayer and affirmation 5 min.
Leader: When circle is completed, say a thank you prayer. Perhaps: “Thank You, Father/Mother God for answered prayer. In the name and through the power of Jesus Christ, all together we say YEA GOD!”
Great job, Leader! The Christ IS with you! BE SURE THAT EVERYONE LEAVES EACH FAMILY TIME GIVING/RECEIVING A HUG.
Group Movement: Return to Activities Center • 9:45-10:15 = Meet the candidates and vespers
Tuesday, July 30
Family Workshop 2
10:30 a.m.-12:30 p.m.
FOLLOWING: Conference photo.
CONCEPT: RETURN TO LOVE
SCRIPTURE: “...He arose and came (home) to the father...” --Luke 15:20
AFFIRMATION: “I joyfully return to love by expressing the highest love in and through me, and by choosing loving, nurturing people to be my friends.”
ACTIVITIES:
1. Repeating name game
2. Opening/affirmation/prayer
3. Prodigal Son skit
4. Option I or Option II
5. I AM WORTHY
6. Closing comfort station
Reconnect and relearn group names
Spiritually prepare us for the day
“Remodel the Prodigal”
Discussion (choice between Options I or II)
Identify individual beliefs of personal worthiness
Closing prayer/practice receiving and experience nurturing.
(Note: Some activities may take longer.)
MATERIALS: (Cassette recorder/taped music for all sessions)
1. One hand mirror
2. Paper
3. Pens
4. Mellow music
5. Color markers
6. Affirmation banner
7. Eight copies of HANDOUT # 1 Skit
ROOM PREPARATION:
Affirmation banner on the wall, a welcoming environment with music playing.
Repeating Name Game
Reconnect and relearn group names
Materials: None
Preparation: Group seated in circle. Group may be supportive in helping remember names. Leader could have sentence to be completed written on cut out sheets and hand to everyone. (Optional)
Directions:
1. Ask group members to think of where home is to them (according to what has been shared so far). Have them use one word to describe home.
2. The group members will complete this sentence: “I’m ____, from __________, and my favorite room or place in my home is _____.”
3. The leader will begin, the person to the left of the leader will repeat what the leader said, adding their own name, moving around the circle with each person repeating the name and favorite room or place of the persons who have already spoken before adding their own. The last person will end giving the name and favorite room of every one in the circle before adding their own. Give them a special cheer! And one for leader for figuring this out!
4. This activity is to reconnect and relearn group names for fun. Processing is not necessary. Move right to next activity.
Activity # 2
Today’s Affirmation
Opening: Prayer/Affirmation
Materials: Soft mellow music for prayer.
Preparation: Put affirmation on wall.
Directions:
1. Sit in circle.
2. Invite volunteer to open.
Suggested prayer:
“Father Mother God, when we come together in Your Presence, we remember that we are more than good enough. We are “a rich king’s kid” inheriting the joy of health, loving relationships, abundance, and fulfillment. We are grateful that we are automatic heirs to Your Kingdom, by turning to and accepting that Truth. I accept, receive and am worthy of love, joy and all good in my life. I RETURN TO LOVE BY EXPRESSING THE HIGHEST LOVE IN AND THROUGH ME, AND BY CHOOSING LOVING, NURTURING PEOPLE TO BE MY FRIENDS. In the name and through the power of Jesus Christ. Amen.
Move directly to next activity.
Prodigal Son Skit
“Remodel the Prodigal” 30 min.
Materials: HANDOUT #1, paper and pens.
Preparation: None.
Directions:
1. Leader: Read Luke 15:11-32, the Prodigal Son story.
2. Handout #1 (Prodigal Son skit). Present a simple dramatization of the Prodigal Son story. A narrator can describe most of the action and the actors only have a few lines each. Students should be to do their parts naturally and with feeling. Some thought should be given to presenting a contemporary version of the story with “surfer, Valley Girl, new waver,” or whatever is “in”.
Handout #1 A sample skit script is provided in the handouts following the Family Workshop materials.
3. Alternative: Another alternative is to have one of the students tell the story in the form of a folk tale. (E.g. Once upon a time, a long time ago there was a very wealthy man who lived on a vast estate with his two sons. They lived in the country of Judea...)
An African retelling of the Prodigal Son story can be found in *Hungry Catch the Foolish Boy* by Lorenz B. Graham, Crowell, 1993 (found in library). Because it is a picture book, it will be located in the children’s book section but the story itself is suitable for adult and teenage listeners.
Leader: Below are Options I and II for discussing and exploring the Prodigal Son story. You are free to pick the way in which you would like to present this lesson.
Activity #4
Option I
Discussion 20 min.
Materials: Pens and paper
Preparation: Divide into pairs
Directions:
Leader: After the skit or story, divide the group into pairs and give each pair the five questions in Handout #2. If you have more than five pairs, assign more than one group the same question.
1. Invite each pair to select a reporter who will take notes and report to the whole group. Allow each pair about 10 minutes to discuss their questions.
A. What does the story Jesus is teaching tell us?
B. In the story, the lost son involves himself in “loose living.” What do you think or feel this story says about “loose living” as a source of fulfillment?
C. Each of us has been both of the sons in this story. Which son do you presently relate to more? How? What was happening in the story that you felt like the other son?
D. What does this story tell us about God’s love for us?
E. In the story it says the son “came to himself” and then returned home. When was a time you “came to yourself” and returned home to a more spiritual way of life after being in a negative or destructive pattern?
2. After the pairs have had a chance to consider responses to their statements, return to whole group and have the reporters share a synopsis of how his or her group dealt with their question. Repeat this process with all the groups.
3. Is there anyone who would like a chance to share something more about the story and how it relates to your life? (Silently and slowly count to 15 to give group think time) If no one speaks, (or when done) go on to next activity.
Leader: The above questions may also be utilized individually instead of in pairs.
To bring out more of the individual’s feelings and thoughts as we are preparing for transformation this week. (See Option II)
Activity #4
Option II
Discussion 20 min.
Materials: Pens, markers, and paper
Preparation: Have markers, pens, paper in circle.
Directions:
1. After hearing the story, invite participants to stand, close their eyes and BE the Prodigal Son as you go over what the son did in your own words. Encourage each to move in the body language of the character. Do the same with the father and the son who stayed home. Have Y.O.Uers turn in place three times between each character to move from one to the next. Allow at least two full minutes on each character for the group to get deeply into the feeling. Ask them to turn three times and be themselves again. Gently draw the group back to this room. Have them sit in a circle to process the experience.
2. Discussion:
A. Ask group to think/feel about what the prodigal son did that you related with. Then the father and the second son.
B. Who did they relate with most?
Leader: Let the group answer individually each question—going around the group one question at a time and letting them feel and express their experiences.
In place of above
1. Invite group to take paper, markers, and pens.
A. Ask group to silently write/journal a poem, or a song, or draw—to in some way express how they related to the characters.
B. What came up for them?
C. Remind them that they do not have to share their expressions, but invite them to if there is time and they want.
2. Ask the group:
A. How did moving like the characters affect you? What did you experience about the different characters in your movement?
B. How was expressing the characters as art, music or poem for you? What more do you know of the story and the characters after these experiences?
3. If time permits, ask:
A. How is the Prodigal Son happening in the world around us?
(i.e. as seen on evening news, or in schools, or newspapers)
B. Or how do you see the story happening in the lives of people like us? (Leave the “like us” to their imaginations.)
Below are extra considerations to ask, if time permits.
A. How is this story an event in your personal life? (Give time to ponder in silence. Count to 15 slowly.) If they’d rather journal this answer, let them do so. Others may answer audibly.
B. What was your experience like being ____ (character they chose) in you?
C. How are all the characters getting along with one another?
D. What do you hear yourself saying or see yourself doing that tells you that (character’s name) is alive and well in you today?
Activity #5
I Am Worthy
Identify individual beliefs of personal worthiness
Materials: Mirror, paper, pen, watch with second hand
Preparation: Hand out above materials or put in circle.
Leader Note: As the Prodigal Son was not aware of his worthiness, sometimes we, too, do not see our worthiness. We want to grab, struggle or take what has not yet been given to us by Spirit. We really do not know how to utilize and wait for lasting good, as the Prodigal Son shows us in this story. Allow this exercise to draw out the group’s/individual’s understanding of their worthiness.
Directions:
1. Leader: Give a piece of paper and pen to each person. Tell them to imagine they’ve just received notice that they have won their state’s lotto in the amount of thirty million dollars. Ask them to write in one minute the first seven things they would do after receiving this notification. Remind them to think of what they had just learned from the story.
2. Anticipations and worthiness—Ask how many have seven items on their list. Since they are teenagers, it is known that they haven’t played the lotto, but do they know any adults who have?
3. It has been said that not having a clear plan is a good indication that on an unconscious level there is the unconscious (or conscious) belief that the desire, or wished for situation, will never happen. This belief usually is an indicator that, on some level, we don’t expect our good to happen, or believe (like our Prodigal Son story) we are not worthy of higher grades, that special girl or boyfriend relationship, health, or wealth. These beliefs are reflected in thoughts or sometimes called silent self-talk, such as, “I’m not smart enough, I’m not cute/pretty/handsome/strong/old enough, I’m hard to get to know, or, I’m not worthy enough.
4. “What is some of your self-talk?” Give time to think—remember to silently count to 15
Leader: The lottery activity of not having an itemized list or plan for what we would do with wealth if it came our way, is an example on that some level we don’t expect it anytime soon, if at all. The same is true concerning what we attract in the way of spiritual qualities—love, understanding, wisdom, happiness, as well as material qualities.
5. Group Sharing- Ask everyone to take a moment to think of something they desire in the way of love, strength, intelligence, a relationship, a sport, hobby, school grades, family situations, career, friends or money.
6. Leader: Beginning with yourself, ask everyone to take the hand mirror as it is passed to them, and look into it to practice saying aloud the affirmation for their desire.
"I first go to God, remembering that God loves me and loves through me. In God, I ____________, am worthy of ________________ to make more money; to be the dancer/singer/lawyer/actress; apart from God, I can do nothing lasting."
After each person shares this affirmation, the group supports them by affirming, "You, ______, are worthy to be or have _______ (or, all good). God expresses ____________ Love (or other spiritual quality that represents the outer “thing” the person asks for) as you, ____________.
*Strength is the spiritual quality when asking for courage, to be strong physically; and Love is the spiritual quality when asking for family, friends, or love relationships, etc. (Keep it light)
7. Ask what they felt when they were affirmed by themselves and the group. Allow (think/feeling) time for responses.
8. Group Sharing: Just for fun, have anyone having six or seven items on their list, share them. Give them a support cheer! Invite others to write down those thoughts that come to them even now.
Activity #6
Closing Comfort Station
Closing prayer/practice receiving and experience nurturing 30 min.
Time may vary, don’t rush
Materials: Cassette recorder/soothing tape; two or three towels
Preparation: Be sure you have enough time for everyone to receive the nurturing.
Directions:
1. Leader: By numbers (1 & 2’s) divide group into 2 - 3 groups. Number 1 group go to one side of the room, number 2 group the opposite side of the room, etc.
2. Give each group a towel to rest head on. Ask a volunteer from each group to lie face down, with other group members positioned around this person. Explain that each volunteer is now in a comfort station of nurturers, and is invited to fully experience and receive nurturing from their group members. Sometimes we find ourselves not receiving the love or other things we truly desire because of deep-seated beliefs of unworthiness.
3. Begin music for massage. Give affirmations—Before each group begins, ask the family members to place their hands about an inch from but not on the volunteer’s body, and repeat after you: “We see you as a loved and worthy heir to God’s Kingdom.” (Group repeats.) “We see you as worthy of all good. (Group repeats) We see you allowing yourself to receive this good.” (Group repeats.) “We see you welcoming this good in your life.” (Group repeats.)
3. Only one person is to begin a gentle massage of their head, hands, or feet only. Other group members join in, one at a time, until the entire family group is gently and appropriately massaging the volunteer. Check for understanding of directions.
4. During the massages, invite the volunteers to relax and enjoy. After about two minutes, ask the families to bring their nurturing to a gentle close and send this worthy person a silent blessing. Ask another family member to become a volunteer, and repeat the above affirmations, directions and process. Continue leading this process until all family members have the opportunity to be nurtured.
**NOTE:** Encourage everyone to open themselves to this activity, but honor the option to pass.
5. Lead closing affirmation - After the last group member has been nurtured, invite everyone to find a comfortable space for closing meditation. Begin low, soft, meditative music. Invite everyone to spend a few moments flexing and relaxing body parts that feel tight. Get in touch with their own breathing. Allow some silent time for this centering process, then read the following, pausing for reflection times:
“In silence, I remember that I am God’s beloved child, wrapped closely in unconditional love. God fills every cell of my body with power and love. I am worthy. I am worthy of all good. Not some, not a little bit, but all good. I now move past all negative, restricting thoughts. I release and let go of all limitations. I am worthy of Love. I now receive and accept the love I desire. I am worthy of perfect health. I now receive and accept the health I desire. I am worthy of fulfilling work. I now receive and accept fulfilling work. I am worthy to live comfortably and to prosper. I now receive and accept prosperity from my unlimited Source, GOD. As I feel worthy, I see the universe is more than willing to manifest my new beliefs. I accept, for I am worthy. I am worthy. I am worthy.”
Allow silent time; conclude with “Thank You, God”. Or a “YEA, GOD!”
6. HUGS to everyone upon leaving—be sure to leave no one out! GREAT job, leaders!
**Group Movement:** 12:45-1:30 Lunch
Wednesday, July 31 Family Workshop 3 10:15 a.m.-12:30 p.m.
HAPPY 60TH BIRTHDAY YOUTH OF UNITY!
FOLLOWING: Workshop with Cherie Larkin
CONCEPT: CELEBRATE (The God Stuff)
SCRIPTURE: Come home celebrating that Christ . . . to the knowing that Christ within
(each other) is greater than he (personality) that is in the world.”--1 John 4:4
AFFIRMATION: “I joyously celebrate the wonderful divinity in my vibrant life.”
ACTIVITIES:
1. Opening Affirmation/scripture 5 min.
2. Jesus A personal experience of Jesus 10 min.
3. Celebrate knot friends Bringing friends together 25 min.
4. Processing Focusing 15 min.
5. Meditation Dialogue with Jesus Christ 10 min.
6. Creative expression Expressing meditation 10 min.
7. Peace in adversity True justice is in God 15 min.
8. Self talk Develop Awareness of self-talk 25 min.
9. Closing Grateful prayer/affirmation 5 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
1. Writing paper
2. Pens
3. Markers
4. Mellow music
5. Lionel Ritchie singing That’s What Friends Are For
6. Affirmation banners
7. Masking tape
8. Pictures of Jesus
9. One tube of bright red Lipstick
10. Handout # H-2, H-3, H-4
ROOM PREPARATION:
Family leader, Lionel Ritchie tape or mellow music playing, handouts & materials, Jesus pictures and affirmation banners on the wall.
Prayer/Affirmation/Scripture
Opening 5 min.
Materials: Wide variety of pictures of Jesus taped on wall, today’s affirmation.
Preparation: Let group walk around studying the pictures. Sit in circle after welcome hugs.
Directions:
1. Leader: Let group look at pictures of Jesus, but invite them to sit in a circle letting them know that you will do something with the pictures after the opening prayer.
2. Ask for a volunteer to lead the prayer and scripture, or lead the opening prayer including today’s theme, affirmation, and scripture yourself.
Theme: CELEBRATE (The GOD Stuff)
Affirmation: “I joyously celebrate the wonderful divinity in my vibrant life.”
Scripture: Come home celebrating that Christ (individuality) “…to the knowing that Christ within (each other) is greater than he (personality) that is in the world.”—1 John 4:4
3. Discuss the scripture
A. What is this scripture (as presented here) saying to you?
(Give think time by counting silently to 15 and not looking at anyone in particular. Remember there are no right or wrong answers. If after 15 seconds there is no response, share your understanding of the scripture as it is written.)
4. What is the difference between “my” personality that is out in the world and the Christ within me? Do you see a difference?
(If after 15 seconds there is no response, share your understanding of the principle of personality and individuality without getting too heavy. For your reference, Emilie Cady’s understanding is listed below.)
The words personality and individuality present distinct meanings to the trained mind, but by the untrained mind they are often used interchangeably and apart from their real meanings. Personality applies to the human part of you—the person, the external. It belongs to the region governed by the intellect. Your personality may be agreeable to disagreeable to others. When you say that you dislike anyone, you mean that you dislike his personality—that exterior something that presents itself from the outside. It is the outer, changeable man, in contradistinction to the inner or real, man. Individuality is the term used to denote the real man. The more God comes into visibility through a person the more individualized he becomes. By this I do not mean that one’s individuality is greater when one is more religious. Remember, God is wisdom, intelligence, love, power. The more pronounced the manner in which any one of these qualities—or all of them—comes forth into visibility through a man, the greater his individuality.
--Emilie Cady, *A Lessons in Truth*
A personal experience of Jesus
Materials: Wide variety of pictures of Jesus taped on wall (or if no walls on floor in circle to be seen by group) writing paper, pens
Preparation: Group walk around studying the pictures.
Directions:
1. Leader: Invite group to study each of the pictures of Jesus, being particularly aware of their own internal responses to each picture, asking themselves, what do I feel as I look at this picture of Jesus?
2. Ask each person in the group to choose the one picture that he feels best represents Jesus to them.
3. Invite the group to write a letter to that Jesus telling Him how they feel. Ask questions if they come to mind.
4. After the letters are written, ask each person to choose the picture that most disturbed them about Jesus or perhaps left them feeling sad, uncomfortable, curious, or uninterested.
5. Invite each person to write a letter to this version of Jesus, telling Him how they feel. Again asking questions if they come to mind.
6. Give only two minutes per writing activity. If some are finished before the others they may want to imagine that they are Jesus responding to both of their letters, expressing the truth about Himself, and perhaps answering some of their questions.
7. Invite sharing of above activity. They may share as much as they are comfortable.
Activity #3
Celebrate Knot Friends
Bringing friends together
Materials: None
Preparation: Group stand in circle
Directions:
1. Leader: KNOT FRIENDS is presented here in the form of a story. Group members actually become characters in the story, determining how the story unfolds.
2. The directions are offered within the script of the story, as you read it to them you will understand. Leader may choose to stay out of the experience in order to read the script.
3. Invite the group to join in the circle and connect by holding hands. Say: The story you are about to experience, even if you have never experienced it before, you already know. If it is familiar, the hope is that you will discover that you know more about it than you think.
Chapter One: This is the beginning of our story. Observe the picture, the other characters in the story, and where you stand in the picture.
Let go of each other's hands. Put both your arms shoulder high into the center of the circle. Listen carefully, take the hands of two different people, but not the hands of either of the people standing next to you. (Repeat and check for understanding.)
Observe the picture, the other characters around you, and where you are in the picture.
Chapter Two: Without letting go of hands, but allowing them to untwist to remain comfortable, unravel the knot that has been created. Be sure to remain connected. Now watch as our story unfolds.
Leader, watch and allow the tangle to unfold for awhile.
Then, at your discretion, invite the group to FREEZE!
Chapter Three: Observe the picture, the other characters around you, and where you are in the picture. Begin to watch for key events or turning points as you continue to watch the story unfold.
Leader, watch and allow the tangle to unfold for awhile.
Again, at your discretion, invite the group to FREEZE!
Chapter Four: Observe the picture, the other characters around you, and where you are in the picture. Continue to watch for key events or turning points as you continue unfolding the story.
Leader, allow the tangle to continue to unfold. You may want to freeze the action a couple more times, or you may decide to "conclude the story," either because the group has untangled the knot or because it looks like the process of untangling could take longer than you have time. The purpose of this experience is NOT to become untangled, but to offer an experience of processing with friends. Some feelings that might come up for participants include frustration, doubt, anticipation, being in control, being an observer, a sense of cooperation or resistance, joy, acceptance, connectedness, or oneness. There is no right or wrong way for the story to unfold or conclude.
At the point you decide to allow the process to end, invite the group to FREEZE! for the last time.
The Final Chapter: Observe the picture, the other characters around you, and where you are in the picture. This is the end of our story...or is it?
Activity # 4
Processing Celebrate Knot Friends
Focusing
Materials: None
Preparation: Group sit in circle
Directions:
1. Leader: Explore the experience of the Knot Friends story by asking the following questions:
A. What was happening in your group’s story? (Encourage the group to stick to the actual details of what happened in the now, guiding them away from how they felt or what they thought until later.)
B. What happened in the beginning of the story?
C. Who were some of the key characters from your viewpoint in the story?
D. What do you know about those characters?
E. What do you know about yourself in the story?
F. What were some of the key events in the story? The turning points?
G. What happened at the end of the story? Or was there an end?
2. Invite the group to continue exploring the experience by discussing the following questions:
A. How is the story happening in the world? In our community? In this group?
B. How is this story happening in your own life? (You may want to invite participants to journal about this last question for a few minutes before sharing. Reassure them that no one is required to share their writing.)
3. If the group has been sitting for some time, invite them to stand and stretch. Move to next activity.
Activity # 5
Meditation
Dialogue with Jesus Christ
10 min.
Materials: None
Preparation: Group be in comfortable meditative, yet alert position
Directions:
1. Leader: Do not rush this meditation. After inviting the group to become still and relaxed, invite them to move inward to the secret place of the most high, where they can rest and reflect upon the qualities of a good friend. Pause every so often to give a time for silence. Silence is their time to be with God.
“As I name some of the qualities of a good friend, I invite you to feel each quality being reflected within you, as if a friend were standing before you, giving you that quality. For instance, a good friend is loving. Feel that experience of loving inside you. Feel the loving kindness of friendship growing inside you. . . . A good friend is fun to be with. Feel a sense of fun and joy inside. . . . . Feel laughter welling up within you. . . . . A good friend accepts you, even when you aren’t so much fun to be around. Feel that acceptance within you, like loving arms around you. . . . . Hear an understanding voice say that is’s OK to feel whatever you are feeling. . . . . . . A good friend is supportive, holding in mind your greatest good. Feel the support, the desire, the excitement of knowing that you will succeed.
“Holding these qualities of a good friend in mind and heart, invite Jesus Christ to appear before you as you rest in this place of the most high. . . . . Notice what Christ looks like and how He makes you feel. . . . . Christ as your friend, gives you a very special gift. . . . . What is it and what do you do with it?. . . . . . . You spend a few more moments with your special friend, Jesus Christ. Perhaps you talk or perhaps you do something else in silence. . . . . . When it’s time, say good-bye to Jesus and thank Him for being with you.
“Embrace all of the feelings of friendship within you. . . . . Know that they are real. Know that they exist in the spirit of the Christ within you—always there, always active, always available for the love and support you need. . . . . . This is the true source of friendship, here in the Christ. . . . . . It is the source of your own self-acceptance, as well as the source of your own ability to be the best friend you can be.
“Thank You, God, for my eternal friend in Christ. When you are ready, you may open your eyes.”
2. Go directly to next activity below for creative expression of their experience.
Creative Expression
Expressing Meditation
Materials: Paper, pen & markers, soft mellow music or Lionel Ritchie singing “That’s What Friends Are For.”
Preparation: In drawing or writing position.
Directions:
1. Leader: Invite the group to draw pictures of their experience with Jesus Christ or some other aspect of the experience. They may also want to dialogue on paper with Jesus Christ, perhaps about the gift or some guidance that they may be needing. Invite them to write the dialogue like a script where they talk or ask a question and Jesus Christ responds. They may want to use their dominant and non-dominant hand (the one not normally used) for this writing experience.
2. Invite the group to share their experiences, assuring them that they are not required to do so.
Activity #7
Peace in Adversity
True justice is in God
Materials: Lipstick
Preparation: Get partners by length of hair, sit in circle as whole group.
Directions:
LEADER: Ask if anyone has ever heard the phrase “two wrongs don’t make a right”? Discuss what it might mean. Ask them to give examples of times when “two wrongs” did indeed add up to greater difficulty. Ask if anyone has ever responded to the “wrong” done to them by another with a positive response instead. Point out that this isn’t just something our parents tell us to make us behave in ways that are acceptable to them. There is a real spiritual law behind this advice, and that is what we are going to explore now.
1. Get in partners by same length of hair. (Constructively cheat)
2. Pass around a red lipstick and have each mark an X on their neighbor’s right cheek. Discuss what it feels like to have someone “hit” you. Pass the lipstick around again and have them mark the other cheek.
3. Discussion Questions:
A. How much did you appreciate your partner “X”-ing your face?
B. What things in life do you hate “having done to you? How do you deal with these kinds of issues in your life? How do you feel when something wrong is being done to you?
C. Obviously, you had an impact on your partner’s face when you X’d it. Was there time when you “turned the other cheek”? Share it with us. What are some other ways that your actions impact people in real life? How aware of the consequences of your actions on others are you?
Self Talk (being your own friend)
To develop awareness of our self talk
Materials: Handouts #3, #4, #5; pens
Preparation: None
Look at meaning of Jesus’ words: “Love God, love one another” as also meaning to love our divine self (or individuality) and our human self (our personality).
Directions:
1. Leader: Ask what is self talk. (Continuous chatter in my mind about myself)
2. Eighty-four percent of self talk is NEGATIVE self talk.
3. Leader: Ask everyone to close their eyes for a moment and think about how they talk to themselves?
A. Do you think about how smart or how dumb you are?
B. Do you tell yourself how beautiful/handsome, or ugly you are?
C. When you stand in front of a mirror, do you like what you see?
D. What other self-talk do you have going on?...(pause)...Ask yourself, Would I talk that way to a good friend?
E. Do I really believe those negative things about myself?
4. Most of us have habits of judgment and criticism that are hard to break—especially self-judgment and self-criticism. Criticism breaks down the inner spirit and never changes a thing. We are going to do some activities to help us change how we think about ourselves.
Pass out handouts #3, #4, #5 and pens. Read handouts out loud. Allow brief time to write for each handout then continue to next one. (Below are the handouts.) Whenever we use should we are making ourselves wrong. Either we are wrong, we were wrong, or we are going to be wrong. Write five things that you should do.
I should: 1...2...3...4...5
(Pause while they write, then continue reading:)
Replace each should above with could. Could gives us a choice and we are never wrong.
I could: 1...2...3...4...5
Ask yourself: Why haven’t I? Perhaps you don’t really want to; it’s not your idea; etc…Can you drop any “shoulds” from your list? Whenever you find yourself saying, should, mentally change it to could and give yourself a choice.
NEXT, list five things you criticize yourself for (Handout #4):
1...2...3...4...5
Leader: Isn’t it amazing how long you have been picking on yourself for the same thing? And it hasn’t changed anything. Criticism doesn’t work! In order to grow and blossom, we need love, acceptance, and acknowledgment. We can find better ways of doing things without making the way we do it wrong. If you make a definite decision to release criticism and are consistent, you can work miracles. Give yourself one month of talking to yourself in positive ways, using affirmations. When you notice yourself becoming judgmental, repeat your favorite affirmation several times in front of a mirror. Who do you belittle? Who do you criticize?
List five names and what bugs you about them: What do you criticize them for?
1...2...3...4...5
Now take the same people and find one thing to praise about them.
When you release the need to pick on yourself, you will notice that you no longer criticize others so much. When you make it OK to be yourself, then you automatically allow others to be themselves.
List 15 positive things about yourself:
1.....15.
Leader: Was it hard to think of 15 positive things? When someone gives you a compliment, do you hear yourself saying, “Oh, no, not me. If he really knew me, he wouldn’t say that.” or “No, he’s just saying that. It’s not really true.”
Activity #9
Closing
Grateful prayer/affirmation
Materials: None
Preparation: Stand together in a circle holding hands.
Directions:
Remind everyone to have a fun and happy celebration of Youth of Unity’s 60th Anniversary. Suggest they try out all of the fun activities—picnic, pool party, dance, and carnival.
Call attention to today’s affirmation by repeating it once yourself audibly, then again to have the group hear it and the third time together:
“I joyously celebrate the wonderful divinity in my vibrant life.”
Close with:
Father/Mother God, we are grateful to learn of our friend in Jesus Christ, our friend in Self, and our friends around us. Help me to remember to be as great a friend as I would like in an outer friend. Today we close by going around the circle saying, I am grateful for__________. In the name and through the power of Jesus Christ. Amen.
Give everyone a hug.
Group Movement: Lunch 12:30-1:30 p.m. • Group Prayer Time 1:45-2:00 p.m.
Thursday, August 1
Family Workshop 4
1:45-3:15 p.m.
FOLLOWING: Group Bowl Burning Workshop, "Garbage man" and Spiritual Dance/Forgiveness
CONCEPT: CLEANING HOUSE
SCRIPTURE: Christ...Surely you have heard of Him and were taught in him in accordance with the truth that is in Jesus...You were taught (this morning) with regard to your former way of life, to put off your old self, ...to be made new in the attitude of your minds; and to put on the new self, created to be like God in true righteousness and holiness...for we are all members of one body...Get rid of all bitterness, rage and anger, brawling and slander, along with every form of malice. Be kind and compassionate to one another, forgiving each other, just as in Christ God forgave you.” --Ephesians 4:20-24 &31,32
AFFIRMATION: “I AM a child of love, and in forgiveness, I release all negative thoughts and actions unlike love. I choose constructive thoughts, words, and actions.
ACTIVITIES:
1. Prayer/scripture Opening 5 min.
2. New beginnings letter Start new 25 min.
3. Trust cradle Trust in God 25 min.
4. Belly laugh Release and let go 10 min.
5. Closing circle: giving thanks Closing 5 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
1. Soft, lively music (no words)
2. Envelopes
3. New beginnings handout
4. Writing paper
5. Pens
6. Markers
ROOM PREPARATION:
Family leader arrive early to prepare welcoming environment. Have music playing, concept and affirmation banners on the wall.
Activity #1
Prayer/Scripture
Opening 5 min.
Materials: Handout #6, paper, pens, markers and envelopes.
Preparation: Place supplies in the middle of circle. Sit in circle holding hands.
1. Leader: DO NOT PROCESS Burning Bowl Activity at this time. Explain to the group that the processing of the ceremony will come during and after the letter writing. Let the processing/pondering be between God and each of them for awhile. Tell the group that tonight is the HEART TALK. If there is more to talk about after today's activities in this workshop, it can be taken up this evening, during the Heart Talk. Thank them for their cooperation.
2. Leader (or volunteer): Ask the group to sit in a circle holding hands for an ALERT meditation. Invite the group to close their eyes (sitting up) as they listen, open with the Bible verse: "... Christ... Surely you have heard of Him and were taught in him in accordance with the truth that is in Jesus... You were taught with regard to your former way of life, to put off your old self, ...to be made new in the attitude of your minds; and to put on the new self, created to be like God in true righteousness and holiness...for we are all members of one body... Get rid of all bitterness, rage and anger, brawling and slander, along with every form of malice. Be kind and compassionate to one another, forgiving each other, just as in Christ God forgave you." -- Ephesians 4:20-24 &31,32,
3. Leader (or volunteer): Continue with prayer and holding hands. Include in your prayer gratitude for speaker, singers, and the morning’s experience (as it affected you) and include today’s affirmation: I AM A CHILD OF LOVE AND IN FORGIVENESS, I RELEASE ALL NEGATIVE THOUGHTS AND ACTIONS UNLIKE LOVE. I CHOOSE CONSTRUCTIVE THOUGHTS, WORDS AND ACTIONS INSTEAD. Amen.
Activity #2
New Beginnings Letter
New beginnings
Materials: Envelopes, Handout #6, writing paper, pens and markers in middle of circle.
Preparation: Ask each member to pick up one each of handout, paper, and pen.
1. Leader: Ask each member to pick up one each of Handout #6, paper, and pen, (*more paper if needed). The markers will be used to create a border. Ask the group to draw or create a border around Handout #6, making the drawings small enough to write inside the sheet, yet making it their own. Have them put their name after the “Dear.” Give them three minutes for addressing envelope AND the drawing activity
2. Explain, as they are drawing, in this morning’s family group, they will be writing a letter to themselves—that you (as the leader) will gather them when everyone is finished, returning the self-addressed envelope to International Consultants, who will mail them to everyone in six months. This letter is a commitment action on their part to themselves and God.
3. Have them address the envelope to their home or wherever they will be in six months. (Perhaps give each family member your address to keep in contact with you.)
4. Silently thinking about what has been said, experienced, and heard this morning, in the Burning Bowl, Garbage Man, and the Spiritual Dance workshops, what new beginnings would you like to make in your life? Do not have them verbalize this at this time but continue: In the letter, you will be writing down your new beginnings. On the handout there are some suggestions, but be free to write your new beginnings your own way. Beginnings can be new attitudes, choices of actions, new friends, new ideas of career, all new ways of being.
5. Read the letter with the group. Explaining any questions that may come up.
6. Give them 15 minutes of SILENCE while they work, ponder, and write with very gentle music in the background. Please NO TALKING; this is a personal activity, and one that could be transforming.
Dear,
Today I have learned to forgive not only myself, but others with whom I have held a grudge, or unforgiveness. I have learned to be a better friend, and I know that any unforgiveness in my heart only hurts me.
Today I have discovered the following negative emotions: (i.e. jealousy, anger, fear...)
My negative behaviors have been: (i.e. I told my best friend to get lost and I cut him/her down.)
I choose to (my goal/new beginning in the future): (To feel loved & respected by my best friend.)
What I will do: (i.e. Tell her/him what I need. Accept the outcome.)
Date: (when I will do this--do for each new beginning) (own name:) ___________, I discovered . . .
I feel . . . I am . . . I will . . .
What I am makes a difference
If there is light in the soul, there will be beauty in the person. If there is beauty in the person, there will be harmony in the house. If there is harmony in the house, there will be order in the nation. If there is order in the nation, there will be peace in the world. --Chinese proverb
I am a living soul, come forth from God for the purpose—my true and only purpose on earth-- of expressing Him in His fullness. I am created in His image. I am fashioned after His likeness. All that the Creator is, that potentially I AM also. To me is given the power to express the Christ perfection. The choice of using this gift in its highest form is my own ...
I am a living soul, a co-worker with Jesus Christ in creating His kingdom, sincerely,
(Name)
Activity #3
Trust Cradle
Trust in God 25 min.
Materials: Tape player with meditation music.
Preparation: Lower lights, set up loving, safe atmosphere.
Directions:
1. Leader: This is a quiet, loving exercise and each person needs the others’ support.
2. Have group remove all sharp jewelry, belts or eyeglasses and form two lines facing each other.
3. Decide who will go first.
4. Each person will grasp forearms with the person directly across from them to form a line of crossed arms.
5. The group will kneel and a volunteer will lie down (not fall) upon the forearms.
6. The volunteer lays down on his back and closes his eyes and folds his arms over his chest.
7. Be sure to have someone hold the head of the volunteer being cradled so as to lovingly support it.
8. The volunteer is gently cradled and lifted from the floor with a slight rocking and cradling motion, and then lowered gently to the floor in a swinging motion.
7. Give each person an opportunity to be lifted and feel supported by the indwelling Christ present in each person.
8. Process how it was to trust (i.e. did they feel totally relaxed, etc.).
9. With each person (whether they choose to be cradled or not) lead a closing prayer affirming the strength and wisdom of each person through their indwelling Christ. Together say: “The Spirit of the Indwelling Christ guides (Name) to right choices and new beginnings. You know what to do, and you do it.”
Note to Leader: Y.O.Uers have the right to pass if they do not feel comfortable participating as the cradled volunteer.
Activity #4
Belly Laugh
Release and let go 10 min.
Materials: None
Preparation: Group lay as directed below.
Directions:
1. Leader: Lay on floor so that each person’s head is on someone else’s belly. The first person goes, “HA” then each person adds a “Ha” each time it comes to them. If you have 11 people in your group (counting you) they should have at least 11 “Ha’s” at the end of the first round. If they are not laughing fairly naturally by then, have them go around again—and again if necessary until everyone is joyfully laughing.
2. End with the song “Kum By Ya” and 2 verses, “Someone’s laughing Lord…and calm down with the verse “Someone’s praying Lord…” going right into the next activity which is closing prayer.
Closing Circle: Giving Thanks
To close with group 5 min.
Materials: None
Preparation: Group stand in circle
Directions:
1. Leader: Be sure you have an addressed new beginnings letter from each person.
2. Remind the group that you will all be together tonight for A Heart Talk. Have them think of what they would like to share.
3. Go around the circle and ask each person to say one thing they are thankful for. Close with a prayer of thanksgiving for the opportunity to awaken to our true nature and be free. Together affirm:
I AM A CHILD OF LOVE. IN FORGIVENESS, I RELEASE ALL NEGATIVE THOUGHTS AND ACTIONS UNLIKE LOVE. I CHOOSE CONSTRUCTIVE THOUGHTS, WORDS AND ACTIONS INSTEAD. (Hugs!!! TO EVERYONE)
Group Movement: Have your group move directly to Free Time.
Thursday, August 1
Family Workshop 5
6:30-8:30 p.m.
FOLLOWING: Dinner
CONCEPT: CLEANING HOUSE THROUGH A HEART TALK
OBJECTIVE: To connect at a deeper level.
SCRIPTURE: "If any man would COME HOME to me, let him deny himself... What good is it for us to gain the whole world and lose or forfeit our very self"
--Luke 9:23 & Mt. 16:26
AFFIRMATION: "I come home to the love and acceptance waiting for me, and I give love and acceptance from my heart."
ACTIVITIES:
1. Affirmation Opening 10 min.
2. Connecting in love Centering 10 min.
3. Heart Talk Heart sharing 1 hr. & 35 min.
4. Closing circle Closing 5 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
1. Soft, gentle music (no words)
2. Heart
3. Heart Talk Agreements
ROOM PREP: Family leader, Heart, music playing, affirmation banner on the wall.
Activity #1
Prayer/Affirmation/Scripture
Opening 10 min.
Materials: None
Preparation: Sit in circle
Directions:
1. Leader/volunteer: Lead the prayer/affirmation and share the scripture.
2. Open with a prayer that includes tonight’s affirmation: “I COME HOME to the love and acceptance waiting for me, and I give love and acceptance from my heart.” Repeat two times; the third time invite the group to say it with you.
3. Read and discuss what the Bible scripture says to the group: “If any man would COME HOME to me, let him deny himself... What good is it for us to gain the whole world and lose or forfeit our very self”
--Luke 9:23 & Mt. 16:26
4. Leader/volunteer: Ask the group what comes to mind when they hear the scripture? (You may want to repeat it and wait silently counting to 15) If no response, explain in your own words what the scripture means to you relating to tonight’s concept.
5. When discussion is over (let it not go over 10 minutes) move to activity two.
Connecting in Love
Centering/Star 10 min.
Materials: None
Preparation: At meditation have group lie in star position with feet touching in the middle of circle.
Directions:
1. Leader: Before lying in circle explain to the group that because they will be sitting for a long time in the Heart Talk, during the connection for the Heart Talk they will be laying in a star position in a little while.
Be sure that every one of the agreements are mentioned. Share the one(s) not mentioned.
To create a healthy heart talk, it is suggested that there be NO RESPONSE while the one with the Heart is talking.
Conference has counselors on grounds especially for those wanting and needing guidance.
Heart Talks are for listening.
2. First we will go over following heart talk agreements to see if everyone understands them. (These are unchanging.) Ask if anyone knows the agreements to the Heart Talk. (Count to 15) then start with A. below if no response.
A. Only the person with the Heart talks; everyone else listens, giving complete attention and support.
B. The Heart is passed only to the left—never thrown
C. You may choose not to say anything and just pass the Heart to the next person.
D. You only talk about how you feel, not about what someone said.
E. Listen without advice, criticism, judgments.
F. Keep what is shared in confidence with this group.
G. Be considerate about how long you talk.
H. Remain for the whole talk.
I. Heart continues until it goes completely around the circle with no one sharing (unless it is necessary to set a time limit.) Be sure that EVERYONE has a chance to speak.
3. CONNECTING IN LOVE (DO NOT OMIT)
A. Now lie in circle with feet touching as in a star with their eyes closed--BUT FULLY AWAKE AND AWARE.
B. Leader: Guide the following meditation: Do this centering before beginning the heart talk or create your own way to connect each other in love:
"Take a deep breath and slowly let it out...do that again...and take another deep breath and let that out...now just listen to the silence around you...now listen to the sounds you hear in the room...Imagine something that makes you feel a lot of love...Bring your awareness to your heart center...It is here that you experience your oneness with God...Your heart is one with God’s heart...As your heart beats, it is the rhythm of God’s love singing to you of oneness...(pause)...Now, as you breathe feel your breath moving in and out of your heart...watch your breathing...Imagine your breath coming in and out of your heart...Recognizing your heart to heart connection with God, begin to be aware that you are also connected with each person in the circle...know that this is a safe place to be...you are surrounded in a soft pink light...so safe...so loved...the pink light wraps you in love...the perfect love that God has for you...Imagine feeling that light radiate from your heart area...flowing up your right foot and leg...out your left and into the foot and leg of the person on your left...picture this love flowing around and around the circle and when you feel peace in the room take a deep breath...open your eyes when you are ready sit up."
Heart Talk
Sharing self
Materials: Heart, soft, gentle background music (no words)—OPTIONAL
Preparation: Sit in circle. Give everyone at least 5 minutes each their first time.
Directions:
1. LEADER: Below are some suggested Heart topics which can be used as “thought prompters.”
1) Now that I have had four days of Conference, COME HOME means_____ to me compared to when I first arrived.
2) The experiences that I have had in my life that relates to COME HOME ________________.
3) So far this week I have learned _____________and will take it home with me and live it.
4) I have forgiven (no names) a person, for _______________ (can be a silent time-- no need to share just a time to be with others as one silently shares with God.) No longer than 1 minute.
5) I want to be forgiven for__________.
6) I love Youth of Unity for/because ________________.
7) What I would like to talk about now that I have the heart is______________.
8) A prayer, affirmation, spiritual song that means so much to me is_______. Because.
9) Something in my life that is affecting me right now is________.
Activity #4
Closing Circle
Closing
Materials: None
Preparation: Stand and stretch! Get in a circle and give each other hugs and acknowledge each other and end in a prayer of gratitude.
Directions
1. Leader: Invite someone to close with prayer.
2. End in a “Texas Hug.” Standing in a circle. Arms around waist or shoulders, making sure that hips are touching (or whatever can touch on the side because of different heights), put right leg in circle and lean forward gently.
3. End with a YEA GOD!*
(*Bend knees, and lower right hands to the floor.
Slowly bring hands up really high along with saying “Yeceeaaaaaaa GOD!)
Group Movement: Be at Leroy’s meditation by 8:45 p.m.
FOLLOWING: LEROY's Workshop & God Walk
CONCEPT: THERE'S NO PLACE LIKE HOME
SCRIPTURE: Come Home unto me, all ye that labor and are heavy laden, and I will give you rest... learn from me... for my yoke is easy, and my burden is light.
--Matthew 11:28-30
AFFIRMATION: "My divinity is the light of the world, by COMING HOME to my true Self, God flows freely through me."
ACTIVITIES:
1. Creative expression To express walk with God / sharing 15 Min
2. Prayer/affirmation/scripture Reconnect 10 min.
3. I Am Someone Who... Self-appreciation 25 min.
4. My Best Friend Self-awareness 25 min.
5. Partner mirrors To affirm myself 30 min.
6. Treasure Come Home book For keep sakes 10 min.
7. Closing 5 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
1. Affirmation banners
2. Innerview Handout #6
3. Soft background music
4. Treasure Come Home book
5. Pens
6. Markers
7. Music of your choice
ROOM PREPARATION:
Family leader, music playing, affirmation banner on the wall, handout #6, and Treasure From Home books. Have pens, and markers set up in middle of circle.
Activity # 1
Creative Expression
To express walk with God in silence 15 min.
Materials: Pens and paper for each person in a circle.
Preparation: Have group begin immediately as they come in from Leroy's Workshop and God Walk.
Directions:
1. Leader: This may be the only time the family group has to creatively express what they have experienced in the Silence. Invite the group to continue in Silence as they creatively express their experience of Leroy's workshop and the God Walk.
2. Invite group to write a poem, letter, story, draw, or meditate. Allow some time for those who want to share their experience and/or creative expression, after the above silence—in this 15 minutes only.
Prayer/Affirmation/Scripture
Reconnect 10 min.
Materials: None
Preparation: Open with prayer/affirmation/scripture. Sit in circle and at time called start back rub.
Directions:
1. Leader/volunteer: Open with prayer including the affirmation and scripture. “My divinity is the light of the world, by COMING HOME to my true self, God flows freely through me.”
*Come Home unto me, all ye that labor and are heavy laden, and I will give you rest...learn from me...for my yoke is easy and my burden is light.* Matthew 11:28-30
2. Invite group to begin a sitting back rub circle as you explain below and they listen:
Leader: Today’s theme is “There’s No Place Like Home.” There is no place like “where and who I am.” The scripture is an example of discovering who we are by COMING HOME—turning to the indwelling Christ, our (work) yoke is easy—the yoke of being true to ourselves—not being anyone else or doing things because others do. Learn from me could mean to listen to the Christ/or still small voice within about how to find It and our real identity. As we learn to know who we are God does flow through us freely.
3. Ask the group to switch directions (turn and rub the back of the person behind).
4. When we arrived Monday evening we were Welcomed Home allowing others to be new with us. Tuesday, we Returned To Love taking that newness further to a level of love. Wednesday, we Celebrated the God Stuff, which was a celebration of the love we share and an outward expression of joy and laughter. Thursday, we Cleaned House. We forgave ourself and others, and took the joy and used that to look through our life. We saw where God was with us (Home), and where we abandoned our God. We’ve cleaned house, now we look at it (us) and see how beautiful we are. We are loved as we are—perfect and special!
5. Ask the group if they have any questions or comments about the above or perhaps they’d like to share experiences about their silent time. Wait for participation. (If none, go directly into next activity.)
Activity #3
I Am Someone Who...
Explore self-appreciation 25 min.
Materials: Handout #7, pens.
Preparation: None
Directions:
1. Leader: Form partners by finding someone with different sized eyelashes, and be seated facing each other.
2. Give each pair Handout #7.
3. Have each person in the pair take five minutes to ask their partner any (or all) of the questions from the sheet. After five minutes per partner, ask if everyone is done, call time. Invite everyone back into the circle.
4. Discussion: Suggested questions for the entire group, following the sharing.
A. What would happen if you did all those things on the list? Do you feel you would be self-centered? Explain.
B. What did you notice about yourselves from answering these questions?
C. In what way did you learn that you can respect yourselves?
D. In what way did you learn to respect others?
E. Do you see now that if you don’t respect yourself, it is hard to respect others? Explain
F. Explain your attitude about yourself and how that affects the way you behave toward others.
5. Thank the group for sharing, and share ways you (as leader) learned from them this activity. Move quickly on to Activity #4.
Activity #4
My Best Friend
Self-awareness 25 min.
Materials: None
Preparation: Ask for one volunteer to sit in the circle.
Directions:
1. Leader: Have group stand and stretch and touch their toes, turn around couple times. Sit in a circle with one volunteer in the middle.
2. Explain the volunteer is everyone’s best friend back home (or if they are here at conference with you that is great). Ask them to really pretend that the person in the middle is their best friend. You are invited to imagine that (name of person in the middle) is your best friend, and she or he does not feel really good about him/herself.
3. You have ten minutes to help your best friend feel good about himself. Think/feel a moment of how you would treat him.—to help your best friend feel good about himself. What would you say? What would you do?”
4. Go around circle, starting on left. Count to 15 silently, slowly give time for each person to think. Ask each person (one at a time) to go to the friend and help their best friend feel good about himself. How would you treat him? What would you say? What would you do? Be sure to give everyone a chance, with the right to pass, but do not hurry anyone.
5. Discussion: Go around circle starting on right. Count to 15 silently, slowly giving time to think before responding.
A. What was hard or easy to share with person in the middle as your best friend?
B. Once you really believed this person was your best friend, what was hard for you to help your friend feel good about himself? What was easy for you?
C. If your best friend does something you think is stupid, what are your reactions?
D. If you do something stupid, what way do you treat yourself?
E. Person in the middle, what were you experiencing as you received all this help?
F. Whether I feel a lack in myself or feel secure in who I am, what effect do I express to myself? My relationships?
G. Were you being genuine with your friend?
6. Leader: Thank the group for sharing, share ways you (as leader) have learned from them.
To affirm myself
Materials: Soft background music.
Preparation: Everyone will be standing/walking in this activity
Directions:
1. Leader: Ask everyone to choose someone they have not been with before as their beginning partner.
2. Looking into your partner’s soul/eyes is done IN THE SACRED SILENCE. Please honor each other with your silence. (Ask if they understand this.)
3. Have everyone close their eyes and think of accepting themselves. Choose something from the last activity—My Best Friend—that you want, can and will do for yourself this next week. (Pause) Will you really do this for yourself? Are you worth it?
Ask everyone to share with the group one thing they are willing to do—use I statements. (I.e., I will take time every morning to smile in the mirror and affirm: “I like myself the way I am.”)
4. Leader: Lead a short centering prayer before starting mirrors and have them move into their heart space. Now invite them to stand with their partner, holding hands and looking deeply into their partner’s eyes to see who they truly are. (Pause)
5. “Look into your partner’s eyes (pause) and know that these eyes are your mirror as I read each affirmation. After each affirmation, we will repeat it out loud together while continuing to look into your ‘mirror’ partner’s eyes. We will speak the affirmation two times—one for yourself and once for your partner. At the end of each affirmation, we will hold the silence for a moment, then we will change partners.”
6. Notice what feelings come up for you with each affirmation. What affirmations are hardest for you to believe about yourself or to say in front of your “mirror?”
Have everyone change partners with each new affirmation.
Leader: Speak the following affirmations.
A. I AM WILLING TO RELEASE OLD NEGATIVE MESSAGES AND BELIEFS THAT NO LONGER NOURISH ME. Take a deep breath...repeat...breathe...repeat (have everyone repeat the affirmation once for themselves and once for their partner before going on). Change partners.
B. I LOVE ME AND I KNOW THAT I AM DOING THE BEST I CAN. (Twice—once for each partner.) Change partners.
C. I AM PERFECT JUST AS I AM. (Twice—once for each partner. Change partners.
D. I BECOME MORE WONDERFUL EVERY DAY. (Twice—once for each partner.) Change partners.
E. I LOVE MY EYES, MY MOUTH, MY NOSE, MY WHOLE FACE. (Twice—once for each partner.) Change partners.
F. I LOVE AND APPROVE OF MYSELF. (Twice—once for each partner.) Change partners.
G. I AM SAFE TO BE ME IN ALL SITUATIONS. (Twice—once for each partner.) Change partners.
H. I AM LOVABLE AND WORTH KNOWING. (Twice—once for each partner.) Change partners.
I. LOVING MYSELF AND OTHERS GETS EASIER EVERY DAY. (Twice—once for each partner. Change partners.
J. I DESERVE INNER PEACE AND I ACCEPT IT NOW. (Twice—once for each partner. Change partners.
K. I RELEASE THE PATTERN IN MY CONSCIOUSNESS THAT IS CREATING RESISTANCE TO MY GOOD. I DESERVE TO FEEL GOOD. (Twice—once for each partner.) This one may need to be said in parts. (Do NOT change partners here.)
Next: Ask them to continue to look in the “mirror partner’s” eyes in the silence. Listen to and receive these words as leader reads them:
“I AM God’s beloved child; God is well pleased with who I am right now. There is nothing I have ever done or can do that makes me unlovable... I am lovable, I am worthy... I am enough... I am more than I see... I am Spirit.”
Smile at yourself in this beautiful mirror. Take a few moments in silence with eyes closed to accept this Truth. Leader: After a moment, repeat the last affirmation slowly to the group while eyes are closed.
While eyes are closed repeat all the affirmations (more rapidly this time) so they can listen again. After a few moments of ending silence, ask them to open their eyes.
If time permits, ask if a song came to anyone. If so, invite them to sing with the rest joining in.
Perhaps a poem, a picture or an answer came to them. Ask if they want to write or draw something to be shared in the next group meeting tomorrow, song too if time is short--always encourage creativity.
Leader: Thank the group for sharing.
Activity # 6
Treasures From Home
For keepsakes
Materials: Treasure COME HOME books, pens, markers, music of your choice playing softly so all can hear leader.
Preparation: Group sit in circle.
Directions:
1. Leader: Remind the group that we have made a HOME this week. We will want to send some treasure for our new family members to remember us by.
2. Put Treasure Come Home books in middle of the floor and ask each Y.O.Uer to choose their own.
3. Have each family member write their name, address, phone number and decorate their own books.
4. Invite them to write their personal prayer or affirmation in their books.
5. Starting this morning, they will use these books to write appreciation notes to each other the rest of the week. Please keep the books in your workshop space until Sunday, when they can each take their own “treasures” home. Please ask them to save one full page totally blank for a closing activity on Sunday. If time permits, they can begin passing books around today for others to write notes. Use whatever time is left, saving time for closing circle and hugs.
Closing
To experience holiness of NOW 5 min.
Materials: Soft background music.
Preparation: Standing in circle holding hands.
Directions:
1. Leader: Have group stand and hold hands. Ask them to look around at each other. Feel the love that you now have for each other—more today than yesterday and less than tomorrow—but feel the love right now.
Explain the theme is COME HOME. It is NOT Coming Home, or Going Home it is COME HOME. It means NOW. In this sacred and holy moment as we love one another, we are HOME NOW.
2. Leader:
A. Invite them to close their eyes remembering that we are in this moment feeling this love for each other now.
B. FEEL the love energy that goes from hand to hand and heart to heart. Be so aware in this activity that you can literally FEEL the love from each other as it travels from hand to hand and heart to heart.
C. Feel this energy. Pay attention to how this energy feels in your body right now. Experience fully the feeling of touching both hands and being touched by both hands and both hearts on each side of you. This is experiencing the moment. If you realize your mind has wandered, congratulate yourself for being aware of it, and come back to experiencing the sense of touch and energy. Also, be aware that all the other families are having this same NOW experience with each other, tune into that and be ONE with the whole Conference body. . . .
D. This family and conference has built a consciousness of love, support, and safety. Bask in that realization for a moment. Focus on the most important thing right now—GOD, each other, and self. Send through your heart loving, warm energy (while the leader says): “You are created in the image of love and you radiate strength, confidence, and peace both inside and out. Know that you are loved, for I AM (GOD) your source. As you live from the highest good in you, you can call yourselves holy beings. The energy of love and warmth that you are allowing to flow through you is GOD.”
E. Leader: For the rest of today, practice living fully in this moment. Pay attention! Remember, you and the person in front of you are the most important person right NOW. Pay attention to everything you do. Right NOW feel your feet on the floor. As you walk to lunch, be aware of your feet touching the ground. You may want to coordinate your breath with your steps. As you stand in line, watch your breath. Be conscious of the person you are talking to, the words you use, and the food you eat.
In this way we bring meditation and holiness into everyday events. Pay attention to everything you do today. Our tool today will be “Where am I?”(here). What time is it? (Now). When we live fully in the now, we can practice the presence of God in everything we touch.
I COME HOME in this moment. REPEAT together: YEA GOD! AND HUGS ALL AROUND!!!
GREAT LEADING!
Group Movement: Unity Village Inn for lunch • 12:30-1:30 p.m.
Saturday, August 3
Family Workshop 7
1:45-3:00 p.m.
FOLLOWING: Lunch
CONCEPT: OH, THE PLACES YOU’LL GO
SCRIPTURE: *I am the vine; you are the branches.* (And the point is:) If a man remains in me and I in him, he will bear much fruit; apart from me you are nothing. ...If you remain in me and my words remain in you,”—Oh, The Places You’ll Go—because you can “ask whatever you wish, and it will be given you. This is to my Father’s glory, that you bear much fruit (that you [Y.O.U.] each have gifts/talents and prosperity) showing yourselves to be my disciples.
As the Father has loved me, so I have loved you. Now remain in my love, just as I have obeyed my Father’s commands and remain in his love. I have told you this so that my joy may be in you and that your joy may be complete.”
-- John 15:5-11
AFFIRMATION: “Wherever I am God is, and as I remember this, I help create a lavish, peaceful, and loving world.
ACTIVITIES:
1. Prayer/affirmation/scripture Opening 5 min.
2. Rite of Passage Come home to expressing HOME 35 min.
3. Treasures from home For keepsakes (if time)
4. Closing For closure 5 min.
5. Rite of passage Alternative for rain (35 min.)
6. Clean up 15 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
1. Affirmation banners
2. Affirmations bricks (HANDOUT #7)
3. Soft background music
4. Treasure Come Home book
5. Masking tape
6. Large sheets of print paper per person
7. Scissors
ROOM PREPARATION:
Affirmation banner on wall. Music. After meditation, group will be going out to the Bridge of Faith, Affirmation bricks for each person. Mark Welsh provides music outside.
RAIN ACTIVITY:
Prepare: affirmation bricks, print paper, scissors, masking tape in middle of circle, and music playing softly.
Prayer/Affirmation/Scripture
Opening 5 min.
Materials: None
Preparation: Stand in circle for group hug to begin with. Then sit in circle for affirmation, prayers, scripture time.
Directions:
1. Leader/volunteer: Invite group to sit in a circle holding hands. Open with prayer including, the theme for the day, affirmation, and scripture.
2. Leader: After reading the scripture, discuss what it means to group. Start on left or with someone who rarely starts first. BIBLE Scripture:
*I am the vine; you are the branches. (And the point is:) If a man remains in me and I in him, he will bear much fruit; apart from me you are nothing. ...If you remain in me and my words remain in you,”*—Oh, The Places You’ll Go--because you can “ask whatever you wish, and it will be given you. This is to my Father’s glory, that you bear much fruit (that you [Y.O.U.] each have gifts/talents and prosperity) showing yourselves to be my disciples.”
*As the Father has loved me, so I have loved you. Now remain in my love, just as I have obeyed my Father’s commands and remain in his love. I have told you this so that my joy may be in you and that your joy may be complete.* -- John 15:5-11
AFFIRMATION: “Wherever I am God is, and as I remember this, I help create a lavish, peaceful, and loving world.”
3. Thank everyone for sharing and risking. Move right into Activity #2.
Activity #2
Rites of Passage
Come home to expressing “home” 35 min.
Materials: Affirmation bricks, scissors. (See Activity 5 if it’s raining.)
Preparation: Share below before going to Bridge of Faith.
Directions:
1. Leader: Today the group will be going out to the Bridge of Faith.
2. Leader: The Bridge is symbolic of being here at Conference this week and bridging the experiences you’ll take home to your world.
Once we have been touched by Truth, even a tiny bit, we never go back to our old ways of thinking, feeling and expressing. Nothing is ever the same, because we are different. We are new beings in Christ. We have learned that we can be loved and accepted. We are worthy of our Son/Daughtership. So the bridge is symbolic of bridging conference with returning to our world. And “Oh, The Places You’ll Go!” because of your experiences this week.
3. Leader: For some of us this may be our first, one of our middle, or our last Conference. The bridge is also symbolic of changes being made at school, home or moving from high school to college. It could mean moving on from Chapter Officer to Regional Officer or from Regional Officer to International Officer, or out of Y.O.U. all together. Whatever change you may be going through, each change is a part of your spiritual growth.
4. Leade: Is any one in this group making any of the mentioned changes? Or perhaps a different experience that has not been mentioned? What, if any, changes are you experiencing or plan to in the near future?
LEADER: slowly count to 15 silently to self, waiting for responses. Let each share as guided. (Allow a few minutes for sharing.)
5. Leader: THANK YOU FOR SHARING. There are those changing experiences that none of us will have any clue that we will be making, but what we can know is that the change is for GOOD. Changes do not always feel good. Sometimes they do not even appear good, but they are, and that will be shown to be true at some point during or after the change. Our part is accepting the change. We make change miserable or happy as we fight or accept it. Sometimes it seems as if we are asked to give up our good, comfortable—home/place/friends, etc.—for a greater good. One thing is for certain, we do not know just HOW good God’s GOOD is for us. Are you willing to take that risk toward God’s Greater GOOD!? Leader: Expect a big YES! Thus the bridge and the affirmations.
6. Leader: The bridge represents the Faith, Strength, Courage and Order of Spirit, among other things, as It (God) carries us through the changes to make our lives fulfilled and full of joy. The changes are not traumatic when we know that God is with us every step of the way, and is guiding us as we ASK and “remain in God”.
7. Leader: The bridge—what it represents to you—is your very own, and will also be symbolic of the Truth that you heard, lived and comprehended this week. You will be taking that NEW YOU home to your state, your house, your family, your friends, your school mates, and all that your life touches.
8. Leader: Preparation for group to go to bridge, AS THEY LISTEN group could be gently massaging in a circle.
In the scripture it was shared, ...if a man remains in God and I in him, he will bear much fruit. Meaning: God is the Source of your joy and supply. Although, people, ideas and opportunities are all channels of your supply, God is the Source, because God creates those ideas and opportunities. *The Law of Mind Action* states: “Thoughts held in mind produce after their kind” (Charles Fillmore). These thoughts held in mind can, by our choice, either be constructive to us and others or destructive. The important point is, for God to help attract the appropriate people and circumstances to us to help expedite those constructive and lasting ideas and opportunities through which your good can come into existence, we need to remember ...if a man remains in God. If we do not remain in God and God’s Words, our seeming good will not last. Like the Prodigal son’s inheritance. (Leader: Be open for input, but do not ask for any at this time.)
9. Leader: Give Y.O.U’ers Handout #7 with affirmations. Read them together. Answer any questions or concerns the group may have. There are blank “bricks” to create your own affirmations.
Affirmation #1: “I open my mind to receive by going to God with the intention to want to KNOW GOD.”
A statement you will want to use often to help you identify with the source of your good is this one:
Affirmation #2: “I do not depend upon persons or conditions for my good. God is the Source of my supply and God provides His own amazing channels of Good to me now.”
10. Leader say the above affirmation: THEN GIVE, There are three kinds of giving. The first kind of giving is Give to God, financially. Wherever you receive your spiritual upliftment. Giving is the first quality to be unfolded in your character on the road to enlightenment. It would appear that most of life is based on getting,
but to succeed in GIVING is the key. Give first to God. "Honor the Lord with thy substance, and with the first fruits of all thine increase. So shall your barns (homes) be filled with plenty, and your vats (cups) shall overflow with new wine." (New life). --Proverbs 3:9,10
By first sharing with God, you prove that you believe God is the Source of your supply. This keeps you in touch with universal source of abundance.
11. Leader: Second kind of giving: Give to yourself. All progress begins with self improvement. You must first give your attention to improvement and development of yourself before you can possibly give help to others. You have to have something to give. The something you give to yourself might be big or small, tangible or intangible. But give to yourself right away. (Something you want and now have the resources to give yourself—love, peace, education, etc.)
12. Leader: After giving to God and to yourself, the third kind of giving is to give something to someone else, and BLESS whatever you give. Bless the person, or persons to whom you gave it. Then release both the gift and the receiver. When you are not sure what to give others, affirm:
Affirmation #3: I give UNDER divine direction. Then watch as the hunches and ideas flow to you from the Holy Spirit. You'll be shown what, to whom, and where to give.
Affirmation #4: Christ is the vine and God is the gardener. God cuts off every branch in me (every negative thought/feeling/unused talent) that bears no fruit, while every branch (talent, high Truth thought in me) that does bear fruit, God prunes (makes even better) so that it will be even more fruitful.
Affirmation #5: "Because of my experiences of Truth, love, joy, and spiritual friendships this week, I am made new. I shall remember this always, and turn Godward (within)."
Affirmation #6: "I will remember always: no branch (person) can bear fruit by itself; it must remain in the vine (Christ). Neither can I bear fruit (successful life) unless I remain in Christ—the awareness of my divinity."
Affirmation #7: "As I remain in Christ and abide in Truth, I can ask for whatever I want, and it will be given to me and mine. This is to my Father's glory, that I bear much fruit."
Affirmation #8: "I have not chosen Christ, but Christ has chosen me and appointed me to go and bear fruit—fruit that will last."
Affirmation #9: "Being at Conference this week, I have learned to love and to accept love. Now I go live Christ love."
Affirmation #10: "No longer do I denigrate my body, mind, and soul for I am God's holy child. I live my holiness."
Affirmation #11: "I can no longer pretend that I do not know who I am. I am responsible for my every action as a child of God."
14. Leader: In a moment, I will lead you in a meditation regarding our passage over the bridge.
Ask group to bring their affirmations outside to the Bridge of Faith. As we walk SILENTLY toward the bridge, read to yourself the affirmations you have chosen one at a time. When we get to the bridge, 4 people at a time will walk over the bridge behind 4 other people, silently reading again the affirmations you have chosen. There will be one affirmation that is suggested to read at beginning of bridge, again at the top of the bridge and at the end of the bridge. This affirmation is called the "MAIN AFFIRMATION." Mark will be singing the main affirmation as a chant when you get by the bridge.
15. Leader read the “main affirmation” now with the group. Invite them to think about the affirmation, and any others before just saying them. Ask the group to really think and feel what they are saying. This affirmation will change their lives for the better, even better than the good they now have.
“Christ in me now frees me from all resentment or attachment toward or from people, places, or things of the past or present. I manifest my true place with the true people and with the true prosperity now.”
Now invite the group to say the above affirmation with you. (Break the affirmation up into small phrases.)
16. Leader: Ask if there are any questions.
17. Leader: (You may want to have group stand and stretch before the below meditation/instruction experience.) Share: we are going to do a meditaton/instruction preparing us for our walk over the bridge and change in living/consciousness. Invite them to relax, in a comfortable but awake and alert state honoring and opening up to that Indwelling Christ Presence. Invite them to center on God as you lead them.
MEDITATION: (Leader explain that this is as much an instruction as a meditation, but still lead it with their eyes closed as the instruction will be remembered on an inner level) (Have soft gentle music going in the background--make sure they can hear you as you lead) Each . . . is a pause, please give the group time in between to listen within.
“In this alert yet, relaxed position, turn all your attention and energy toward the word GOD. See the Word GOD in large gold letters right in front of you. (Leader gently say, GOD). Then silence... then again gently say, GOD. Silence... Many of the blessing you want most are within your reach... no matter what our ages or income... By your acts of giving, you open the way to attract the blessings you desire... These blessings have probably been waiting to reach you, but they were blocked by your own lack of giving... There was no free channel through which they could pass. Remember GOD can only give to us what God can give through us. First give to God, then self then give to humankind as God directs.
“As we walk up the first half of the (through imagination) (or if going outside --the real) bridge today we will think on this truth of giving and Its 3 kinds of giving...
“At the top of the bridge (either literally or imagination) and as we descend the bridge we will ponder receiving. After you give to God, yourself, and others, then get ready to receive... You get ready to receive by preparing to receive... The universal Law is giving and receiving... You can give up any false ideas you may have had about receiving... Your receiving does not stop anyone else’s receiving... We live in a lavish universe, and there is plenty for all... After preparing to receive, you are then ready to speak the word of receiving. I will say it once then invite you to SILENTLY say it with me from within. I AM RECEIVING. I AM RECEIVING NOW. I AM RECEIVING ALL THE WEALTH, HEALTH AND JOY THAT THE UNIVERSE HAS FOR ME NOW. I will repeat that and silently repeat it with me.
“I AM RECEIVING. I AM RECEIVING NOW. I AM RECEIVING ALL THE WEALTH, HEALTH AND JOY THAT THE UNIVERSE HAS FOR ME NOW. (Leader adds, not repeat:
“ALL THAT IS MINE BY DIVINE RIGHT NOW COMES TO ME SPEEDILY, RICHLY, FREELY. I AM RECEIVING NOW.
“Releasing is the final step... Students of prosperity need to know when to release the inner work they have done, then relax, so that outer results can come... After speaking the word of receiving for a period, such as we will do today, then declare that you have received, and release it... Assume that greater good is already yours, since you have claimed it on the inner plane as visible results in right appropriate form under divine timing... When you have reached this point of release, declare: ‘It is finished. It is done. I give thanks that I have received, and that my good appears in rich appropriate form under divine timing... As you then relax and let go, move on to the next thing in your life you need to do i.e. home work, clean your room, etc. This process can open the way for unlimited results...
"You may have many gifts which you may not have received because you were unaware you had them. One of the greatest gift is that of release. The act of release is one of the most effective ways to open your mind to receive. The act of release frees you from tightness, tension, or grasping... The reason that release (one of the 12 powers--elimination) is such a priceless gift is this: The function of release is two (2) fold: 1st it eliminates error from our life. 2nd it expands your good. Elimination from your life is always an indication that something better is on the way... You need never be fearful of letting go. Or seeming failure... That which still belongs to you is never lost through the act of release... Instead, your expanded good is much freer to move into your life... THE CHRIST MIND ALWAYS KNOWS WHAT TO RELEASE IN MY LIFE... So often we try to force new good into our lives when we have not yet made room to receive it. Release helps us to turn loose the old to make way for the new... The MAIN AFFIRMATION that you will say as you descend the bridge (as you descend the imaginary bridge) is: CHRIST IN ME NOW FREES ME FROM ALL RESENTMENT OR ATTACHMENT TOWARD OR FROM PEOPLE, PLACES OR THINGS OF THE PAST OR PRESENT. I MANIFEST MY TRUE PLACE WITH THE TRUE PEOPLE AND WITH THE TRUE PROSPERITY NOW.
"In the Name and through the power of Jesus Christ--and so it is--AMEN."
19. Leader: Invite the group to slowly return to this room, and open their eyes. If the group gave you their affirmation (they created themselves) return the affirmations they had given to you for the meditation. Invite the group to go by fours and remind them that this is a silent activity. Remind them to take their affirmations to silently read and ponder on, as they walk., and the main one to read as suggested earlier. Have them return to you as a family group upon going over the bridge. Everyone is to go over the bridge.
20. Check time: If group would like to write in the Treasure books invite the group to return to the room for remaining time. Make time for closure. If choice is to stay outside ASK:
A. What did you experience (feel/think) reading the affirmations and going over the bridge?
B. What was experienced, what was hard, what was easy.
C. What do I really want to change in my life?
D. What steps am I willing to take in order to bring that change about? (Remind them we are not here to change others, only ourself.)
Activity #3
Treasures From Home
Keepsakes
Materials: "Treasure Come Home" books, pens
Preparation: Handout the "Treasures from Home" books,
Directions:
1. Leader: Give out "Treasure Come Home" books. Invite everyone to share each others book to write in. If group would like, journal about the bridge experience in their own book.
2. Check time, excluding five minutes for closing, the remaining time is for writing in the books.
3. Call time for closing. Remind Y.O.Uers their Treasure Come Home books will be used for closing on Sunday morning. Please save one page totally blank for this activities.
Closing
For closure
Materials: None
Preparation: Stand in circle for closing prayer and group hug
Directions:
1. Leader/volunteer: Do a prayer in a circle giving thanks for what was learned and experienced (give specific things learned) today and using the conference affirmation: WHEREVER I AM GOD IS, AND AS I REMEMBER THIS, I HELP CREATE A LAVISH, PEACEFUL AND LOVING WORLD. And so it is!
AMEN
And all God’s children say, “AMEN!” Give hugs to everyone!!!
Note to Leader: Please clean up and pick up everything in your family meeting space at the close of today’s session (we have to clear the area for the Village Chapel Sunday school classes). Leave all materials in your bag at your meeting space as you will need pens, markers, and Treasure Come Home books for Sunday’s closing activity.
RAIN ACTIVITY ONLY
Activity # 5
Rites of Passage
Come Home to expressing “home”
Materials: Print paper for everyone, masking tape, affirmation bricks--either pre-cut or have group cut ones they choose, scissors.
Preparation: Have materials ready in middle of the circle.
Directions:
1. Leader: With paper and tape, group creates their own bridge. Group will tape the affirmations bricks to their bridge—symbolic of the new life the group wants to build when re-entering their “world.” Extra “bricks” are for creating their own affirmations.
2. Leader: The Bridge of Faith is symbolic of bridging being here at Conference this week and taking your experiences home to your world. Whether we build our bridge or walk over the Bridge of Faith the meaning for our souls will be the same.
Once we have been touched by truth, even a tiny bit, we never go back to our old ways of thinking, feeling and expressing. Nothing is ever the same. Because we are different. We are new beings in Christ. We have learned that we can be loved and accepted. We are worthy of our Son/Daughtership. So the bridge is symbolic of bridging conference with returning to our outer world. And “Oh, The Places You’ll Go!” because of your experiences this week.
3. Leader continue: For some of us this may be our first, one of our middle, or our last Conference. The bridge is also symbolic of these and other changes being made at school, home or moving from high school to college. It could mean moving on from Chapter Officer to Regional Officer or from Regional Officer to International Officer, or out of Y.O.U. all together. Whatever change you may be going through, each change is a part of your spiritual growth.
4. Leader ask: Is any one in this group making any of the mentioned changes? Or perhaps a different experience that has not been mentioned? What, if any, changes are you experiencing or plan to in the near future? LEADER: slowly count to 15 silently to self, waiting for responses. Let each share as guided.
5. Leader: THANK YOU FOR SHARING.
Leader: There are those changing experiences that none of us will have “any clue” that we will be making. But what we can know is that the change is for GOOD. Changes do not always “feel” good. Sometimes they do not even appear good, but they are, and will be shown that to be true at some point during or after the change. Our part is accepting the change. We make change miserable or happy as we fight or accept. Sometimes it seems as if we are asked to give up our good, comfortable home/place/friends, etc., for a greater good. One thing is for certain, we do not know just HOW good God’s GOOD is for us. Are you willing to take that risk toward God’s Greater GOOD!? Leader: Expect a big YES! Thus the bridge and the affirmations.
6. Leader continue: The bridge represents the Faith, Strength, Courage and Order of Spirit, among other things, as It (God) carries us through the changes to make our lives fulfilled and full of joy. The changes are not traumatic when we know that God is with us every step of the way, and is guiding us as we ASK and “remain in God”.
7. Leader continue: The bridge—what it represents to you—is your very own, and will also be symbolic of the truth that you heard, lived and comprehended this week. You will be taking that NEW YOU home to your state, your house, your family, your friends, your co-workers, and all life that your life touches.
8. LEADER: you may want to build your bridge with them or have one made as a model, but certainly not the only way to build it. SHARE: There is absolutely no right or wrong way of building your bridge. It is not going to be judged. It is suggested that you spend little time being concerned with building the outer bridge and more energy spent pondering (reflecting on) ways you will live what you have learned as you build your bridge. Have fun building inwardly and outwardly. You will notice the Affirmation Bricks that are to be taped along your bridge. There are some already made up for you and blank ones for your own creative Affirmation.
9. LEADER: Below is to be shared in preparation for building bridges, invite the group, AS THEY LISTEN, (LEADER TALK ONLY) to start on their bridges. Waiting to pick any of the Affirmations until after you have read them, and group are clear on their meanings. Give group about 15 minutes total for choosing affirmations and building their bridges.
In the Scripture it was shared, “…if a man remains in God and I in him, he will bear much fruit.” Meaning: God is the Source of your joy therefore supply. Although, people, ideas and opportunities are all channels of your supply, God is the Source, because God creates those ideas and opportunities. Through the Law of Mind action—” Thoughts held (pondered) in mind (not just repeated) produce after their kind.” (Charles Fillmore) These thoughts held in mind, by our choice, can either be constructive to self and others or destructive. The important point is—for God to help attract the appropriate people and circumstances to you to help expedite those constructive and lasting ideas and opportunities through which your good can come into existence, we need to remember “…if a man remains in God.” If we do not remain in God and God’s Words, our seeming good will not last. Like the Prodigal sons inheritance. (Leader: Be open for input, but do not ask for any at this time.)
10. Leader: (Read from Activity 2 above starting with Affirmation #1)
Handout to the group Handout #9 with affirmations. Read them together. Answer any questions or concerns the group may have. There are blank “bricks” to create your own affirmations.
11. Leader: When you get to Affirmation #14, Have the whole group share their chosen affirmations. There
will be one affirmation that is suggested to read (during Meditation) at beginning of “imagination” bridge, again at the top of the bridge and at the end of the bridge. This affirmation is called the “MAIN AFFIRMATION”.
Leader: When you get to #15 (below)
12 through 14 are in Handout #7
15. Leader read the “main affirmation” now with the group. Invite them to think about the affirmation, and any others before just saying them. Ask that the group really think and feel what they are saying. This affirmation will change their lives for the better even better than the good they now have.
“CHRIST IN ME NOW FREES ME FROM ALL RESENTMENT OR ATTACHMENT TOWARD OR FROM PEOPLE, PLACES OR THINGS OF THE PAST OR PRESENT. I MANIFEST MY TRUE PLACE WITH THE TRUE PEOPLE AND WITH THE TRUE PROSPERITY NOW.”
Now invite the group (that choose to) to say the above affirmation with you.
16. Leader: Ask if there are any questions.
17. LEADER: (You may want to have group stand and stretch before the meditation/instruction experience.)
18. LEADER: As each show & share their bridge, invite individuals to hold the bridges in front of them, and give you any personally written affirmations that you may read during the meditation. (Thank the individual for sharing their affirmation.)
Share: that we are going to do a meditation/instruction preparing us for our “imagination” walk over the bridge and change in living/consciousness. Invite them to relax, in a comfortable but awake and alert state honoring and opening up to that Indwelling Christ Presence. Invite them to center on God as you lead them.
GO TO: (See and read Meditation/instruction in Activity #2)
19. Leader: When meditation is over, give the group back the affirmations they had given to you for the meditation. Tell group they can now tape the “bricks” to their Bridge.
20. Discuss:
A. What did you experience (feel/think) reading the affirmations and going over the “imaginary” bridge?
B. What was experienced, what was hard, what was easy.
C. What would you really want to change in your life?
D. What steps are you willing to take in order to bring that change about? (Reminding that we are not here to change others, only self.)
21. Leader: Go to Activity.
Affirmation #1
“I OPEN MY MIND TO RECEIVE BY GOING TO GOD WITH THE INTENTION TO WANT TO KNOW GOD.”
Sunday, August 4
Family Workshop 8
8:15-9:00 p.m.
FOLLOWING: Breakfast
CONCEPT: THERE'S NOTHING LEFT TO SAY, IT'S ALL UP TO YOU, JUST DO IT!
Youth of Unity, Children of Light, your HOME is heaven...here and now...take it to your world. "The Kingdom of God is within you...Heaven is everywhere present...It is the orderly, lawful adjustment of God's kingdom in (the sense) man's mind...it is the Christ Consciousness, the realm of divine ideas, a state of consciousness in harmony with thoughts of God. Heaven is within everyone of us; a place, a conscious sphere of mind, having all the attractions described or imagined as belonging to heaven." Charles Fillmore KTL p 176
I realize that faith in Spirit and the ultimate dominance of the good in me will restore me to the heavenly consciousness from which I descended.
I affirm: Heaven within is one perfect harmonious life, substance and intelligence, and I rejoice --Charles Fillmore KTL pp 176-177
SCRIPTURE: "Jesus Christ says to us My prayer is...that all of them may be one, Father, just as you are in me and I am in you. May they also be in us...I have given them the glory that you gave me, that they may be one as we are one: I in them and you in me. May they be brought to complete unity to let the world know that you sent me and have loved them even as you have loved me...Father, I want those you have given me to be with me where I am, and to see my glory, the glory you have given me because you loved me...I have made you known to them,...in order that the love you have for me may be in them and that I myself may be in them." --John 17: 20-26.
AFFIRMATION: "There is nothing left to say. I have been prepared, empowered and loved. I choose to live my divinity, right now!"
ACTIVITIES:
1. Prayer/affirmations/scripture *group photos (see directions)
Opening 10 min.
2. Fuzzy hand empowerment circle To recognize blessings 15 min.
3. Treasures from home For keepsakes 10 min.
4. Connection of love Family closure 5 min.
MATERIALS: (Cassette recorder/taped music for all sessions)
Camera, affirmation banners, masking tape, Treasure Come Home book.
ROOM PREPARATION:
Have soft music playing in background, hang affirmation banner, everyone's Treasure Come Home book close by, but not out until time for them.
Prayer/Affirmation/Scripture
Opening 10 min.
Materials: Cameras, affirmation, scripture and volunteer
Preparation: None.
Directions:
1. Leader/volunteer: Invite group to hold hands while sitting in circle. Open with prayer including the theme for the day, affirmation, and scripture.
Theme: There’s nothing left to say, it’s all up to you, just do it!
Affirmation: “There is nothing left to say. I have been prepared, empowered, and loved. I choose to live my divinity, right now!”
2. Bible scripture: Jesus Christ says to us My prayer is . . . that all of them may be one, Father, just as you are in me and I am in you. May they also be in us. . .I have given them the glory that you gave me, that they may be one as we are one: I in them and you in me. May they be brought to complete unity to let the world know that you sent me and have loved them even as you have loved me. . .Father, I want those you have given me to be with me where I am, and to see my glory, the glory you have given me because you loved me. . .I have made you known to them, . . .in order that the love you have for me may be in them and that I myself may be in them. --John 17: 20-26
3. After reading, discuss what the Scripture means to the group.
A. What does this say to each one personally?
B. What does this mean as a whole?
C. In what ways will you take conference home with you?
4. Have one person take family pictures with everyone’s cameras. Move quickly into Activity #2.
Activity #2
Fuzzy Handprint Empowerment Circle
To recognize blessings 15 min.
Materials: Treasure Come Home books, marker, and pens.
Preparation: None.
Directions:
1. Leader: Give each person their Treasure Come Home book. Ask Y.O.Uers to open to a blank page.
2. Find a partner and ask them to trace the outline of their own hand onto the blank page in their own Treasure Come Home book.
3. Print their name above the outline of their hand.
4. Form a sitting circle.
5. Place the Treasure Come Home book open on the floor in front of them.
6. Leaving their book behind, move one space to the right. They are now seated in front of someone else's book/handprint.
7. On the other's handprint write and finish the following statement: "One gift I see you bringing to this planet is . . ."
8. When they have finished the statement, move one space to the right and answer the statement on the next person's handprint page.
9. Continue around the circle, until they have written on each person's handprint page.
10. When everyone has moved back in front of their own handprint again, ask them to sit quietly in the circle for a moment as they read their blessing statements.
11. Leader: Lead the group in today's affirmation: "There is nothing left to say. I have been prepared, empowered, and love. I choose to live my divinity, right now!"
Activity #3
Treasures From Home
For keepsakes 10 min.
Materials: Treasure Come Home books, pens.
Preparation: Sit in circle.
Directions:
1. LEADER: Give the Y.O.Uers ten minutes to write any remaining blessings in their "Treasure Come Home books.
Activity #4
Connection of Love
Family Closing 5 min.
Materials: None
Preparation: Standing circle
Directions:
1. Leader: Call group into a standing closing circle.
2. Have them stand hip to hip. Have each person stick their right hand into the circle, one at a time; one palm up, next person's palm down, so that a stack of alternating hands is formed in the center.
3. Have each person take a moment to think of one quality they have added to the connection of love to the group. (Example: inspiration, creativity, honesty, willingness, etc.)
4. Lead a closing prayer to affirm that each person was a vital link to this family of love, and has brought a special blessing by being here. See each person having a love-filled, healthy, prosperous fall.
Affirm together:
"I am rich when I can see my blessings and share them with my world. There is nothing left to say. I have been prepared, empowered, and loved. I choose to live my divinity, right now!"
5. Wish everyone a wonderful trip home.
**Group Movement:** Go directly to the Activities Center for Morning Celebration • 9:15 a.m.
Narrator: A long time ago there lived a very wealthy farmer who had two sons. Their farm was large and they had many servants and much live stock.
Father: (speaking to his eldest son) We have a fine life here. We are blessed with all that we need and more.
Narrator: But the younger son was not happy living with his father. He did not see or appreciate all that he had.
Prodigal Son: Father, I want my share of the inheritance now, so I may go and make my own way in the world.
Father: I’m sorry to see you leave, but I can see this is what you believe you must do. You may have your share of my property.
Narrator: Not long after that, the younger son gathered together all he had and journeyed to a far country where he squandered his money. He surrounded himself with friends who cared only about his status and his wealth. He lived beyond his means, buying expensive clothes and throwing lavish parties.
(Scene: Prodigal Son and friends having a party)
Citizens (1): (To Prodigal son) What a wonderful party.
Citizens (2): Yeah, it’s really good to be your friend and enjoy the best things in life with you. You’re the finest host in the whole city.
Prodigal Son: I just do it because I want my good friends to enjoy the best.
Narrator: In time the young man’s wealth was gone and so were his friends. It just so happened that a famine arose in that land. The young man couldn’t find work and he had to go hungry.
(Scene: Prodigal Son begging for a hand out from his former friends.)
Prodigal Son: I’m a little short on money right now, could you help me out?
Citizens (1): I wish I could help you out but I don’t have any to spare right now.
Prodigal Son: How about you?
Citizens (2): I’m sorry, I’ve got an appointment right now and I’m late. Let’s talk about this another time.
Whenever we use “should” we are making ourselves “wrong.” Either we are wrong, we were wrong, or we are going to be wrong. Write five things that you “should” do.
I SHOULD...
1.
2.
3.
4.
5.
Replace each “should” above with “could.” “Could” gives us a choice and we’re never wrong.
I COULD...
1.
2.
3.
4.
5.
Next, ask yourself: “Why haven’t I?” --perhaps you don’t really want to; it’s not your idea; etc...Can you drop any “shoulds” from your list? Whenever you find yourself saying, “should” mentally change it to “could” and give yourself a choice.
Self-Talk: Criticism
List five things you criticize yourself for:
1.
2.
3.
4.
5.
Who do you belittle? Who do you criticize?
List five names and what “bugs” you about them: What do you criticize them for?
1.
2.
3.
4.
5.
Now take the same people and find one thing to praise about them.
1.
2.
3.
4.
5.
List 15 positive things about yourself:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
I AM A CHILD OF LOVE, AND IN FORGIVENESS, I RELEASE ALL NEGATIVE THOUGHTS AND ACTIONS UNLIKE LOVE, AND I CHOOSE CONSTRUCTIVE THOUGHTS, WORDS AND ACTIONS INSTEAD.
Dear,
Today I have learned to forgive not only myself, but others with whom I have held a grudge, or unforgiveness. I have learned to be a better friend, and I know that any unforgiveness in my heart only hurts me. Today I have discovered the following negative emotions: (i.e. jealousy, etc.,) (write several if you have several)
My negative behavior has been: (i.e. I told my best friend to get lost and I put him/her down.)
I choose to (my goal/new beginning in the future): (To feel loved & respected by myself, my best friend, parents, siblings.)
What I will do: (i.e. Tell her/him what I need. Accept the outcome.) Date: (when I will do this--do for each new beginning)
(own name:) __________, I discovered . . .
I feel . . .
I am . . .
I will . . .
What I am makes a difference,
‘If there is light in (my) soul, there will be beauty in (me). If there is beauty in (me), there will be harmony in the house. If there is harmony in (my) house, there will be order in the nation. If there is order in the nation, there will be peace in the world. --Chinese proverb
I am a living soul, come forth from God for the purpose--my true and only purpose on earth-- of expressing Him in His fullness. I am created in His image. I am fashioned after His likeness. All that the Creator is, that potentially I AM also. To me is given the power to express the Christ perfection. The choice of using this gift in its highest form is my own …
I am a living soul, a co-worker with Jesus Christ creating His kingdom, sincerely,
Signed: ________________________
ARE YOU SOMEONE WHO.........
Would send back an order of bad food or eat it anyway?
Would confront an employer who treated you poorly, or just quit the job?
Believes you are deserving of respectful treatment from anyone?
Believes you deserve to buy and wear new clothes?
When looking at a menu, looks at what you want first, rather than what it costs?
Takes time to play on a regular basis.
Would participate in sex if you really didn’t want to, to please someone else?
Would have 4 children if your husband/wife wanted them, even if you didn’t?
Would allow someone to verbally abuse you?
Would allow someone to physically abuse you?
Sometimes puts yourself down verbally?
Feel that you owe it to others to do things they want you to?
Says 10 positive and good things to yourself each day?
Can speak up in a classroom or on a committee when you feel strongly about something?
Would speak up if someone you loaned money to did not mention it in a long while?
Eats a balanced diet most of the time.
Participates in a physical activity or exercise on a daily basis?
Has a dream and believes you can achieve it?
Has clear values about many issues? |
باقة 24 ساعة الجديدة
البنك المركزي اليمني
ريال واحد بس
صوت عوبي
عن البنك المركزي اليمني
عمرو نصر
بالفايسبوك
بریال وبس
الباقة تحتوي على 150 دقيقة و 150 رسالة ضمن الشبكة
تستخدم الدقائق والرسائل ضمن شبكة سبافون خلال 24 ساعة
للاشتراك في الباقة أرسل رقم 1 الى 3111 ب 30 وحدة
العرض خاص بمشتركي نظام الدفع المسبق ولمرة محدودة
للمزيد من التفاصيل أرسل ريال الى 211 مجاناً
المُشفَّل الأول والأكبر للهاتف النقال في اليمن
www.sabafon.com
Eid Mubarak
Sabafon the first & largest operator in Yemen is wishing all Yemenies & the Islamic Nation a blessed EID
Eid Mubarak
Sweet dreams: Um Ajmad hopes to one day open a rehabilitation center for female inmates. To raise the funds for this project and to help support her family, she has discovered an unexpected passion along the way—making sweets. With loyal customers and a supportive husband, Um Ajmad is well on her way to making a difference. Full story on page 5
Sana’a responds to terror threat
Embassies evacuate, international organizations scale back staff, Yemeni security releases names of 25 alleged terrorists
Mohammed Al-Hassani
SANA'A, Aug. 6 — An unspecified terror threat has Yemen all over international headlines as the U.S. Embassy in Sana’a announced the evacuation of its non-essential staff on Monday, coupled with Yemen’s release of a list of 25 people allegedly planning to carry out attacks in various governorates.
Yemeni authorities announced a YR5 million reward (about $23,000) for information leading to the capture of any of the named individuals.
The move comes after the closure of nearly two-dozen American embassies and consulates across the Middle East and North Africa on Saturday and Sunday. Sixteen missions will remain closed through the week, including four African nations that were not originally put on the list.
The British, French, German and Dutch embassies in Sana’a all also announced their closures.
“The [Supreme] Security Committee has information that some Al-Qaeda affiliates are planning terrorist attacks targeting public and private institutions in various governorates during the end of Ramadan and the Eid holiday,” a security official is quoted as saying in Yemeni state-run 26 September news website.
The Interior Ministry’s public relations director, Dr. Mohammed Al-Qeidi, told the Yemen Times the alleged terrorists are extremely dangerous and have participated in a number of terror operations and assassinations that targeted military and security forces as well as civilians.
Al-Qeidi said the militants may be targeting embassies and other foreign institutions in the coming days.
The U.S. Embassy has ordered the evacuation of non-essential staff from the country “due to the continued potential for terrorist attacks,” the U.S. State Department said in a statement and re-emphasized its warning to Americans to avoid travel to the country. It urged citizens already in Yemen to leave immediately.
Several U.N. and international organizations have scaled back their staff. Although no agencies would go so far as to confirm the evacuations, staff have reported being ordered to leave the country for an unspecified length of time.
Security official Saleh Sobishi told the Yemen Times that security officials announced the names of the alleged terror operatives in response to the terror warnings from the U.S. and other Western countries.
“Yemen knows it has to respond to the U.S. warnings by doing something, even if it means releasing the names of militants we’ve been wanted for a long time,” Al-Sobishi said.
A statement by the Yemeni Embassy in Washington criticizes Western governments’ recent moves to evacuate.
“While the government of Yemen appreciates the Western governments’ concern for the safety of their citizens, the evacuation of embassy staff serves the interests of the extremists and undermines the exceptional cooperation between Yemen and the international alliance against terrorism,” the statement reads.
The embassy closings followed interception of communication between high-level Al-Qaeda operatives, according to U.S. government officials, as reported by several international media outlets. Many are assuming the intelligence was gathered by the National Security Agency (NSA), which has come under criticism for its recently revealed mass-spying program. However, the U.S. has not confirmed whether the intelligence it is operating on came from.
Critics say the powerful reaction to the intercepted message is an effort to justify the broad powers granted to the NSA.
U.S. Senator Saxby Chambliss told NBC’s Meet the Press on Sunday that the NSA’s program was vital for national security and implied that this particular threat—which the NSA described as the most significant threat since the 9/11 attacks—would not have been detected if it weren’t for the program.
“If we did not have these programs, then we simply would not be able to listen in on the bad guys,” Chambliss said.
As reported by the U.K.’s publication, the Guardian, critics of the program have stated the NSA was not compliant with the mass phone data collection. Because the communication was between two high-level Al-Qaeda leaders, the information would have been exempted from the Foreign Intelligence Surveillance Act, making Senator Chambliss’ justification for the mass data collection void.
Facebook photo of allegedly abused child leads to parents’ arrest
Story and photo by Amal Al-Yarisi
SANA’A — On July 22, a photo of a small, female child with severe burns and bruising on her buttocks and back circulated on Facebook.
The photo was taken inside the wife of Jameel Al-Khwali, a local law advisor, and quickly went viral after he posted it on his Facebook account. This led to the arrest of the child’s parents, and now await prosecution.
Police investigating the case and officials at the Interior Ministry believe the four-year-old sustained severe bruising and third party inflicted burns, at the hands of her mother, Fatihia Al-Juhshi and her father Salim Mohammed Al-Jubahli.
The girl is currently in the custody of Brigadier Suad Al-Qatabi, manager of the Child Protection Department at the Interior Ministry, following an order from the general attorney’s office.
“It is an open case for [now] until investigations with her parents are done,” Al-Qatabi said.
Al-Khwali’s wife, Najat Al-Murisi, eventually obtained the photo posted on Facebook when she was approached in the Shumaila neighborhood by the child’s grandmother and invited into the girl’s uncle’s house where the child and her family are believed to have been staying. Al-Murisi said the grandmother had asked her if she knew of anyone who performed virginity tests. The grandmother said that her granddaughter had been burned and was afraid that it might affect her virginity.
Al-Murisi explained that she was trying to be discreet and had brought a woman to perform a check on the girl, says she was not prepared for what she saw.
When confronted with questions on the girl’s burns and bruises, Al-Murisi says the grandmother revealed that she had been allegedly abused by her stepmother.
There are no hospital records of the girl ever being treated for injuries, and Al-Murisi says the grandmother said they were too afraid to report anything or ever bring the girl to authorities.
Al-Murisi asked to take a photo of the young victim with the grandmother’s permission, who obliged.
After returning home and at the insistence of her husband, Al-Murisi posted the photo on Facebook and informed local law enforcement at the Alaya Police Station of what she saw. The photo was quickly reposted prompting a stream of re-tweets and causing the graphic images of the black and blue scars and burned flesh on the little girl’s backside.
Police arrived the next day at the uncle’s house. Officers say they were denied entrance, and the owner of the house said no one had seen the child or her mother or father within there. No female officers accompanied the male police officers. In accordance with Yemeni social and cultural norms, it is more common for people to enter as women were living in the house.
After pressing the uncle, Officer Fathi Jaber, the deputy at the Alaya Police Station, said the girl’s father turned himself into the station three days after the photo went viral on July 25.
However, Jaber has denied having abused his daughter. He told the Yemen Times that the girl was playing with the curtains of the state and Fatihia was interrogated and detained in the women’s section of Central Prison. Salim is also being held at central prison while the couple await charges on child abuse.
Under Yemen’s Crime and Penalties Law, which includes children, the parents will be prosecuted and could face three years in prison.
According to the deputy of prosecution, Khalid Haza, the couple’s first court hearing has not been scheduled yet.
The Yemen Times met with the child, who will remain with Al-Qatabi through her parents. Although young, she is quite able to articulate express herself, she said she had been beaten by both her parents in the past.
The step-mother denied the accusations against her.
“I did not burn [her] bottom. [She] burned herself with the iron,” she said in an interview from where she was being held at Central Prison.
Jaber said a forensic doctor was sent to determine whether the burns were caused by the burns. According to Jaber, the prosecution is building a strong case against the parents as they have changed their stories several times.
During initial questioning, the stepmother said that the girl had burned herself with hot tea, Jaber said.
When the Yemen Times asked about the inconsistencies in her story, the woman replied, “I lied during the initial investigation because I was afraid as I have never been prosecuted before.”
The accused couple said they have not found a lawyer to represent them. They will remain in jail until their trial begins.
In the meantime, Al-Qatabi is focusing on helping the child “[She] is in need of good care and a follow-up,” she said.
“U.S. citizens currently in Yemen should depart.”
— U.S. State Department, in a statement issued August 6, a alleged terror threats made by Al-Qaeda in the Arabian Peninsula.
“I lied during the initial investigation.”
— Fatihia Al-Juhshi, step-mother of an allegedly abused four-year-old child, explaining why her story changed during the course of police inquiries into the case.
“Yemen knows it has to respond to the U.S. warnings by doing something.”
— Security analyst Saleh Al-Solhi, on why Yemeni officials refused the names of over 20 alleged terror suspects and beefed up security in Sana’a.
Drones kill 4 terror suspects in Marib
Story Ali Ibrahim AL-Moshki
SANA’A, August 6 — A suspected drone strike left four alleged militants dead in Marib governorate on Tuesday. The raid targeted two vehicles driving through a Shabwan district. Five missiles hit the first vehicle, killing all four men inside, Marib security deputy manager Ahmed Al-Salehi said.
According to Al-Salehi, the strike killed Saifah Al-Jamati, a leading terror suspect.
Missiles missed the second vehicle. The suspected militants soon abandoned the vehicle and the missiles landed near a home. The house was damaged but no casualties were reported, Al-Salehi said.
Marib resident Abdulrahman Duhaifli told the Yemen Times that aircrafts have been heavily present in Marib skies. This, he said, has left residents panicked.
Security expert Mohammed Al-Khalidi told the Yemen Times that the strike was the fourth of its kind in two weeks.
An unidentified aircraft was also heard and spotted above the capital city on Tuesday. The U.S. Embassy, which has evacuated all non-essential staff, has called on American citizens to leave the country immediately.
Invitation for Bids (IFB)
REPUBLIC OF YEMEN
Secondary Education Development and Girls Access Project (SEGDAP)
(Credit No. 4401 -YEM, Trust Fund No. TF 94223, kfs Grant No. 2017-05-404 and GoY Contribution)
Supply and Delivery of Labs for 58 schools (Biology, Chemistry Equipment and Materials), Physics, Audiovisual Equipment, Educational Posters (Maps and Drawings) GSEGDAP (03-43)
1. This Invitation for Bids follows the General Procurement Notice for this Project that appeared in the UND Resources and DSG website dated April 15, 2013.
2. The Government of Yemen has announced in the UND, MoU & Grant No. 1499, MoU & Grant No. 1499, AIDW 2009 55-041 issued the award of Secondary Education Development and Girls Access Project, and it extends its expiry period of the procurement of this credit to procures under the contract for Supply and Delivery of Labs for Schools (Biology, Chemistry Equipment and Materials), Physics, Audiovisual Equipment, Educational Posters (Maps and Drawings) GSEGDAP (03-43).
3. The Project Administration Unit now invites sealed bids from eligible bidders and qualified bidders for Supply and Delivery of Labs for Schools (Biology, Chemistry Equipment and Materials), Physics, Audiovisual Equipment, Educational Posters (Maps and Drawings) as follows:
| Lot No. | Description | Bid Security |
|--------|--------------------------------------------------|--------------|
| 1 | Biology Labs | US$ 8,500 |
| 2 | Chemistry Labs (Equipment) | US$ 8,500 |
| 3 | Chemistry Labs (Materials) | US$ 54,000 |
| 4 | Physics Labs | US$ 16,000 |
| 5 | Audiovisual Equipment | US$ 12,000 |
| 6 | Educational Posters (Maps and Drawing) | US$ 14,500 |
4. Bidding will be conducted through the International Competitive Bidding (ICB) parameters specified in the World Bank’s Guidelines: Procurement of Goods, Credit No. 4401, Year 2004 and revised October 2004, and is open to all bidders who Fulfill Essence Criteria as defined in the Guidelines.
5. Interested eligible bidders may obtain further information from Education Development Project Administration Unit (EDPU) and request the bidding documents at the address given below from 08:30 till 15:00 hours (Saturday-Monday)
6. Qualification of Bidders: Specifics in inviting bidders to submit qualifications for lots (1, 2, 3 and 4), educational equipment for lot 5 and audiovisual equipment for lot 6 shall be provided in the bidding documents. A copy of the qualification requirements is available in Yemen’s Catalogue for bidders in lots (1, 2, 3, 4, and 5), reflecting the results of, or access to, a previous tender for bidders offered. A sample of preference for certain goods recommended elsewhere should not be applied. Additional details are provided in the Bidding Documents.
7. A complete set of Bidding Documents in English may be purchased by interested bidders on the submission of a written application to the address below and upon payment of a non-refundable fee of US$ 100 or equivalent. The amount of payment will be for cash, cheque or bank transfer in Yemen at: The Education Development Project Administration Unit, bank Account No. 801-1925-80-91053 at Yemen Central Bank.
8. Bids must be delivered to the address below at or before 11:00 am on September 23, 2013. Electronic bidding is not permitted and all parallel Lots must be opened. Bids will be opened in the presence of the bidders’ representatives who choose to attend per Lot. All bids must be accompanied by a bid security valid for 30 (Thirty) days beyond the validity of the bid or amount of research fee in the above table, or an equivalent amount in freely convertible currency. Late bids will be rejected. Bids will be opened in the presence of the bidders’ representatives who choose to attend at the same time house at 11:30 am of September 23, 2013.
Secondary Education Development and Girls Access Project
The Education Development Project Administration Unit
GEO 6th Boulevard Rd. -East Minaqat, Ramada, KSA.
Telephone: +966-1-811-0100, Fax: +966-1-811-0179
E-mail: email@example.com or: firstname.lastname@example.org
شكر وتقدير
نتقدم بالشكر والتقدير والعرفان للسيد
حاتم نسيبة
مدير عام شركة توتال يمن للإستكشاف والإنتاج
وذلك للأعمال التي قام بها أثناء فترة عمله في اليمن
ونتقدم إليه بالتهنئة بمناسبة عيد الفطر المبارك
من طاقم موظفي شركة جريفن سكيورتي
العاملين في توتال يمن للإستكشاف والإنتاج
Letter of Appreciation
We present our thanks, gratitude and appreciation to
Mr. Hatem Nuseibeh
General Manager of Total Yemen E&P
For the benevolent acts he conducted during his work in Yemen
We also wish him a happy Eid Al-Fitr Al-Mubarak
Staff of Griffin Security working at Total Yemen E&P
How will you spend Eid?
Ali Abulohoom
And so, the holy month of Ramadan has come to a close. Where will you be going for Eid Al-Fitr? Many Yemenis spend the holiday with friends or family, sometimes making the trek back to their home villages if they live in one of the country’s cities. The Yemen Times surveyed a handful of locals in the days leading up to the holiday.
Mohand Esam, a 19-year-old studies at the Engineering College in Sana’a University. He said he will travel to Aden with his family for Eid vacation. Eid is the only time they all spend time together in the year, he said. Most of the time, they’re just too busy.
Mohammed Kamal is a 20-year-old Aden native who studies at the University of Aden. He came to Sana’a from his home town for the holy month of Ramadan. “I’m going back to Aden for Eid vacation,” he said.
“I won’t go anywhere, I’ll stay in Sana’a with my family,” said Ehab Rahal, a 19-year-old student at Sana’a University. Politics and security tensions have made many Sana’a-nis hesitant to travel for the holiday, Ehab said.
“We used to travel in previous holidays,” Fatima Obad, a 22-year-old pharmacist said. “But because of the security situation, we’ve decided to stay in Sana’a.”
“I have my job to do during Eid,” Yahia Al-Hashedi, a police officer said. “I won’t go anywhere.”
“My parents haven’t decided yet whether to travel or not,” Hesham Fathi, a 10-year-old student said. “We’ll probably spend Eid vacation here in Sana’a.” Fathi said that he’d like to visit local parks during the holiday.
From incense seller to incense maker, a success story
Amal Al-Yarisi
When thirty-year-old Khaira Jamal started selling perfumes and incense, she found herself walking all day from shop to shop and home to home with a heavy bag of goods that was worth much more at the end of the day. She had few options after her husband died and left her widowed with two young children to support.
You can spot women like Khaira and others from a distance; you can smell them too. Dalalas, as they’re known, walk around the city carrying their goods with a fragrant halo engulfing them.
When her husband died seven years ago after suffering from complications of a tonsil infection, she was left alone to raise her two children, both under age at the time.
“Neither” my family nor my husband’s family supported us. My situation became worse.”
Her husband made YR 30,000 a month, which was a State accountant in the public sector. Because he was a public sector employee, his family will continue to receive his salary even though he has passed. The money was insufficient for all her family’s expenses, including rent, water, electricity and school bills.
“I wanted my own business that could provide for me and my sons. I wanted to give them everything they wanted.”
After setting aside a small amount of money from her husband’s salary, she headed to a shopping center and purchased cosmetics and per-
Khaira’s kitchen became her lab, a place for experimenting and creating products that would support her and her family.
“Every day I continued with the business and carried my bag full of essentials from one parts, moving from one place to another.”
Neither the heavy bag, nor the scorching sun and disparaging looks could stop her from providing for her children.
“I learned the basics of the industry and soon become a talent in the field,” Khaira said.
Her situation quickly changed and everything she made was in demand. The receptive reaction encouraged her to work harder and invest even more in her business. She now returns home with her bag lighter and her purse fatter.
Her products are so popular that she sells them door-to-door to women around particular neighborhoods, but is welcomed by shops around the city.
Her reputation has reached the perfume shops.
She now earns at least YR 10,000 a month and often more.
“I can give my children a good life now. I am both their mother and their father,” Khaira said.
Woman treats Sana’a to new sweets shop
Hopes to one day finance rehabilitation center for female inmates
Once her business really starts to thrive, Um Ajmad wants to open branches all over Sana’a.
Story and photos by Samar Qued
Um Ajmad dreams of opening a rehabilitation center for female inmates one day. Until then, she is pursuing a passion she discovered along the way—making sweets.
She opened her own sweets shop two months ago in Hadda Medina, selling fresh juice, bread and sweets. Every morning she and her four-member team start their day preparing goodies that make difficult economic and political times tolerable in Yemen’s capital, Sana’a.
In her shop, Um Ajmad quickly moves from one table to another, checking the progress of each order while monitoring employees.
Um Ajmad’s path in life has diverged from where it began. After receiving her secondary school degree, she took a six-month training course in nursing and worked as nurse for the next four years. In 2002, the Ministry of Public Health and Population began requiring college degrees for the profession, ending Um Ajmad’s career as a nurse.
To help support her family, she began embroidering clothing and sold incense and perfumes for the next 10 years. After a decade of selling perfume, she developed allergies, forcing her to find a new line of work.
Her current trajectory was set when she landed a job as a sweets seller at a small shop in 2012. She was the only female employee at the time. She worked there for one year before starting her own shop.
“I would watch the men prepare the sweets and then try to recreate the dishes at home. I learned how to make everything,” she said.
Admiring the skills with which she worked, Um Ajmad’s customers encouraged her to open her own shop.
“I discussed the matter with my husband. He welcomed the idea and started raising the necessary money.”
She didn’t leave her old work empty-handed. She brought two of her previous customers on as employees at her new sweets shop. They had worked under her, and she wanted them on her team.
Ali Al-Eryani was one of them. He prepares the shop’s barely juice every day. Barley juice is a popular juice for Yemenis, as evidenced by the 40 bags of juice Al-Eryani prepares daily for the shop’s loyal customers.
Um Ajmad’s shop is known around the city for its kunafa—a sweet cheese pastry soaked in syrup.
Like all sweets, the demand for kunafa soars during Ramadan. The shop has special Ramadan hours, opening at 2 p.m. daily and working into the early morning hours.
A Ramadan-favorite throughout the Middle East is the sambosa, a flat pastry filled with meat, cheese, lentils or vegetables.
Um Ajmad’s only female employee, Bushra Alrini, prepares over 200 sambosas a day, while Um Ajmad focuses her efforts on making kunafa, preparing over 100 pieces daily.
“Many Hadda residents prefer to buy their bread instead of preparing it at home,” Um Ajmad said.
She hopes to open more branches of her shop. When she has amassed enough money, she wants to open a shop in the Bab Shaoub District of Sana’a.
“I like this place because it is bustling with people. It will be very profitable,” Um Ajmad said.
All the shop’s dishes and the shop are brought to the store’s front windows for display.
Though Um Ajmad is happy in this new world, she hasn’t forgotten what it is all for.
The mother of two understands she needs to increase her income to support her family and to plan for her larger dream of opening a rehabilitation center for female inmates.
“I’m working so that I can one day finance this center and help female inmates with services that they aren’t provided with,” she said.
مسابقات راديو «يمن تايمز» الرمضانية
بيت يومياً عدا الجمعة الساعة 4.30 مساءً
مع دارس البغدادي وسمير قبلي
برنامج مسابقات يومي عيد
الجمعة يتضمن العديد من الفقرات والاسلامية التلفزيونية
حيث يتم استقبال المشاركات عبر الهاتف والSMS
الفائزون في مسابقة «أنت وشطارتك»
| اليوم | اسم الفائز | الجائزة | ملاحظات |
|-------|-----------|---------|---------|
| الاثنين - 12 رمضان | أحلام محمد | موبايل LG | |
| | عبد الله خميس | قسيمة شراكة من بلو لاين | |
| | يوسف الغنيمي | تذكروني سفر من راحة | |
| الثلاثاء - 13 رمضان | أحمد المسويري | جهازة كاترينا | |
| | أم فداء | قسيمة شراكة من هاي لاند | |
| | سلطان فارع | جهازة كاترينا | |
| الأربعاء - 14 رمضان | سليم عوضة | قسيمة شراكة من بلو لاين | |
| | عبدالله الشامي | تذكروني سفر من راحة | |
| | محمد حمدي | قسيمة شراكة من هاي لاند | |
| الخميس - 15 رمضان | أحمد السباعي | جهازة كاترينا | |
| | علي الحفار | تذكروني سفر من راحة | |
| | يحيى الوالي | قسيمة شراكة من هاي لاند | |
| الجمعة - 16 رمضان | ماجد المفرندي | جهازة كاترينا | |
أسماء الفائزين بـ 10000 ريال نقداً
مقدمة من أمانة العاصمة
الفائزون بالجوائز المذكورة أعلاه عليهم الحضور إلى مقر مؤسسة يمن تايمز الواقع عند تقاطع شارع حدة وشارع الستين (جولة المصباحي)
88.80 راديو يمن تايمز
كلامك يوصل
www.radioyementimes.com
Tel: 01 244 226 - 07 244 227, Fax: 01 268276
Yemenis to Watch
Change-makers under 25
Sadeq Al-Wesabi
On an isolated Island off the Yemeni coast, 24-year-old Socotra native Mohammed Khalifa enjoys his break from university and soaks up his homeland before heading back for classes in Sana’a. Khalifa always has his people on his mind—his studies and efforts are all in hopes of making things better for his beloved island.
The island, which draws tourists from around the world, lacks adequate infrastructure and health care structure, including computer and English language institutes. The lack of formal hands held back Khalifa or his ambition.
Khalifa’s journey, far from over, has been long. At 16, at age 18, he pulled together some English and began working as a tourist guide. Financial barriers and a lack of English language resources meant he would have to wait to formally study the language.
Tourism wasn’t only a means to support Khalifa, it offered relief for others in Socotra. Khalifa used his relations with tourists to help Socotrans in need.
“There were kind-hearted tourists willing to help other people here,” Khalifa said. “I took them to the most impoverished areas of the island, where a little help goes a long way.”
Khalifa said that many folks in Socotra broke down in tears when foreigners offered them help.
“It brings me comfort to see the joy in people’s faces [when they come aid],” he said. “I get depressed when I think that foreigners are helping our people while Yemeni officials never lift a single finger [for us].”
Some politicians tried to relocate on the island, especially for the poor. Khalifa sometimes asks tourists to bring medicine with them.
Despite few resources or opportunities, Khalifa managed to leave his little island and head to his home base in Sana’a to study at a prestigious English-language institute.
While studying in Sana’a, Socotra was always on his mind and he promoted tourism during his time in the capital city. He explained his island, which has been visited by more foreigners than Yemenis, to his countrymen.
Hardworking and industrious, Khalifa earned a scholarship to study international relations in Algeria. It has been a dream of his to be the first person from the island to study the subject.
“I didn’t receive any money from the government my first year. I couldn’t even afford a pen or a book. I went to bed hungry,” he said. At the time, he had two choices: to push through, despite the harsh conditions, or go back to my country. I didn’t want to do that.”
He added French to his list of languages and is more determined than ever to accomplish his dreams as he studied in Algeria.
“My ambition is to be a parliamentarian and to serve my island seriously and sincerely,” Khalifa said.
One serious blockade to a better future for Socotra, he believes, is the growing popularity of qat on the island.
The recent spread of qat has frustrated Khalifa, who says there used to be a social stigma attached to the narcotic.
“Unfortunately, youth these days chew and smoke openly on the streets,” he said sadly. “Qat will make them lazy and it will consume their time and leave them unmotivated.”
Unsurprisingly, Khalifa isn’t content to sit back and watch. He tries to convince his peers to give up the habit and spend their time and resources studying a language or computer skills instead.
“Socotra activities and volunteer opportunities are important on Socotra,” he said. He criticized the local council for their lack of support for youth and economic development. He adds this to the list of things that need to be tackled once he makes his permanent return to his home.
“I’ll be back to my island and I’ll bring my passion to change what needs changing,” Khalifa said.
Mohammed Khalifa
Socotri, activist
“My ambition is to be a parliamentarian and to serve my island”
Total E&P Yemen provides medical devices for people with hearing impairments
In coordination with Yemeni Forum for People with Disabilities, TOTAL E&P Yemen organized an Iftar for several people with hearing impairments and their families on Sunday, July 28, 2013.
Ali Saleh Abdulla, deputy of Social Development Sector at the Social Affairs and Labor Ministry, Noor Ba’bad, deputy assistant of Social Welfare, Mohammed Ageena, Business Development and Operated J.V Manager in TOTAL E&P Yemen, Abdulla Al-Hamdani, director of the Fund of People with Disabilities and Hassan Ismael, head of the Yemeni Forum for People with Disabilities, attended the event.
During Iftar, TOTAL E&P Yemen announced the provision of hearing aids for 50 children and youth with hearing impairments.” Mr. Mohammed Ageena asserted that TOTAL E&P Yemen has participated in the implementation of social developmental projects since its establishment in Yemen and adhered to fundamental principals in dealing with the host countries based on the human values that governs its work.
He pointed out that the company pays more attention to human initiatives pertinent to people with disabilities because it believes that taking care of human resources is an essential factor of social and economic development of the country, adding that Yemen and TOTAL E&P Yemen have established a strategic partnership that is based on transparency and mutual benefits and common interest.
1. Goodbye till next Ramadan — sambosas for sale in Tahrir. (Photo by Sara Al-Zawgari)
2. One man repairs the soles of old, worn shoes. (Photo by Amal Al-Yarisi)
3. Lipstick, eyeliner and makeup kits for sale. (Photo by Samar Qaed)
BY THE NUMBERS
30 days of Ramadan this year;
50,655,244 kg of dates annually imported to Yemen;
99 percent of Yemen’s population that is Muslim;
35,000 kg of food collected this Ramadan for Sana’a’s poor by Half a Kilo of What You Love;
30,000 number of people fed each day by The Charitable Society for Social Welfare;
4 average number of people hospitalized for over-eating daily.
SOURCES: Fiqh Committee of N. America; Foreign Trade Statistics; Islam Awareness; Half a Kilo of What You Love, Abdulmajeed Farhan, The Saudi German Hospital |
IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF DELAWARE
NICOLE L. HANTZ, f/k/a NICOLE OLDHAM,
v.
DIVISION OF STATE POLICE,
DEPARTMENT OF SAFETY & HOMELAND SECURITY, STATE OF DELAWARE,
Plaintiff;
Defendant.
Civil Action No. 21-801-RGA
MEMORANDUM OPINION
John M. LaRosa, LaROSA & ASSOCIATES LLC, Wilmington, DE;
Attorney for Plaintiff.
Kenneth L. Wan, STATE OF DELAWARE DEPARTMENT OF JUSTICE, Wilmington, DE;
Attorney for Defendant.
May 13, 2022
ANDREWS, U.S. DISTRICT JUDGE:
Before me is Defendant’s motion to dismiss. (D.I. 7). I have considered the parties’ briefing. (D.I. 8, 9, 10). For the following reasons, Defendant’s motion is DENIED.
I. BACKGROUND
Plaintiff Nicole Hantz worked for Defendant Delaware State Police (“DSP”) from 2002 to 2018. (D.I. 5 ¶¶ 12, 184). In the First Amended Complaint (“FAC”), Hantz alleges incidents of bullying, disparate treatment, denial of benefits, and sexual advances and harassment. I focus here on some relevant allegations, all of which accept as true for purposes of this decision, leading up to Hantz’s transfer and termination. “When Plaintiff was selected for the [Executive Protection Unit “EPU”], male troopers placed a photo and a message in her mailbox falsely claiming that Plaintiff performed oral sex on Delaware’s Speaker of the House to gain the prestigious EPU job.” (Id. ¶ 83). During her service in the EPU, Hantz attended a governors’ convention in the Midwest with Corporal Rossi. “While driving to the convention in the Midwest, Rossi pretended to brake hard, pretended to merely hold Plaintiff back in the seat, reached his arm across the front seat of the car, and put his open hand on Plaintiff’s breast numerous times.” (Id. ¶ 93). At the convention, Rossi got a key to Hantz’s hotel room from the front desk, let himself in, and “declared that he was going to stay in Plaintiff’s room with her for the night.” (Id. ¶ 101). Uncomfortable with the situation, Hantz locked herself in the bathroom and called for help. (Id. ¶¶ 103–105).
Hantz requested a transfer out of the EPU in 2016 and was transferred to Troop 4. (Id. ¶¶ 119–21). During her time on Troop 4, “on a nearly daily basis, Lieutenant John McColgan, a male, harassed and belittled Plaintiff in writing.” (Id. ¶ 122). During a heated meeting, “McColgan put both of his hands on both of [Plaintiff’s] breasts and forcefully pushed Plaintiff
out of his office.” (Id. ¶134). In another meeting, “McColgan leaned back in his chair, grabbed his crotch, obscenely gestured toward Plaintiff, and told Plaintiff, ‘Don’t flatter yourself.’” (¶ 145). Hantz “told [Captain] Layfield that she . . . wanted McColgan brought up on the . . . charge of Conduct Unbecoming an Officer for pushing her in the breasts.” (Id. ¶139). In response, “Layfield said that he was not going to stand for Plaintiff throwing around the ‘female card’” and had Hantz sit in a conference room for her next two shifts. (Id. ¶¶ 140–41).
“Layfield told detectives that he was not going to stop until he got Plaintiff out of Troop 4.” (Id. ¶ 152). “[O]n January 29, 2018, Layfield violated policy by calling Plaintiff on vacation and prematurely told Plaintiff that she was being transferred to Troop 5.” (Id. ¶¶ 153, 155). “Troop 5 was the Troop farthest from Plaintiff’s home” and “the same jurisdiction where Plaintiff’s brother was found dead on the roadside.” (Id. ¶¶ 156–57). On February 7, 2018, Hantz’s “doctor ordered [her] on medical leave indefinitely for Stress and Depression.” (Id. ¶ 162). When Hantz emailed her doctor’s note to DSP and Layfield, Layfield shared the note with individuals unauthorized to receive it, stating that the doctor was a “diet doctor” and that Hantz was “nuts” and out for “10-81,” the “police code for a possible mentally handicapped subject.” (Id. ¶¶ 162-75).
DSP “forced Plaintiff out on medical leave on February 9, 2018.” (Id. ¶176). On October 23, 2018, Hantz filed a charge of discrimination with the Equal Employment Opportunity Commission (EEOC). (D.I. 8–2). The next week, Colonel McQueen notified Hantz that DSP “was separating her from employment effective December 31, 2018.” (Id. ¶181). The EEOC issued a Notice of Right to Sue on March 2, 2021. (Id. ¶ 5). Hantz filed this lawsuit on June 1, 2021. (D.I. 1). The operative complaint is the FAC. (D.I. 5). Hantz alleges a hostile work environment (Count I), involuntary transfer (Count II), involuntary termination (Count III),
and involuntary transfer and termination in retaliation (Counts IV and V). All counts allege violations of Title VII and the Delaware Discrimination in Employment Act (“DDEA”).
II. LEGAL STANDARD
A. Motion to Dismiss
When reviewing a motion to dismiss pursuant to Federal Rule of Civil Procedure 12(b)(6), the Court must accept the complaint’s factual allegations as true. *Bell Atl. Corp. v. Twombly*, 550 U.S. 544, 555–56 (2007). The factual allegations do not have to be detailed, but they must provide more than labels, conclusions, or a “formulaic recitation” of the claim elements. *Id.* (“Factual allegations must be enough to raise a right to relief above the speculative level . . . on the assumption that all the allegations in the complaint are true (even if doubtful in fact).”). There must be sufficient factual matter to state a facially plausible claim to relief. *Ashcrofti v. Iqbal*, 556 U.S. 662, 678 (2009). The facial plausibility standard is satisfied when the complaint’s factual content “allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged.” *Id.* at 665.
B. Hostile Work Environment
To allege a prima facie hostile work environment claim under Title VII and the DDEA, a plaintiff must “show (1) the employee suffered intentional discrimination because of their sex; (2) the discrimination was pervasive and regular; (3) the discrimination detrimentally affected the plaintiff; (4) the discrimination would detrimentally affect a reasonable person of the same sex in that position; and (5) the existence of *respondeat superior* liability.” *Burgess v. Dollar Tree Stores, Inc.*, 642 F. App’x 152, 154–55 (3d Cir. 2016) (citation and quotation marks omitted); *Hyland v. Smyrna Sch. Dist.*, 608 F. App’x 79, 82 (3d Cir. 2015) (“[T]he evidence
needed to prevail under the DDEA is generally the same as that needed to prevail under Title VII.”).
C. Involuntary Transfer and Termination
To state a prima facie case of non-pay related gender discrimination under Title VII and the DDEA, a plaintiff must allege that (1) she is a member of a protected class, (2) an adverse employment action was taken against her, and (3) the circumstances of the adverse action give rise to an inference of discrimination. *Goosby v. Johnson & Johnson Med., Inc.*, 228 F.3d 313, 319 (3d Cir. 2000).
D. Retaliation
To state a claim for retaliation, a plaintiff must allege “(1) protected employee activity; (2) adverse action by the employer either after or contemporaneous with the employee’s protected activity; and (3) a causal connection between the protected activity and her employer’s adverse action.” *Hazen v. Mod. Food Servs., Inc.*, 113 F. App’x 442, 443 (3d Cir. 2004). “Retaliation claims under the DDEA . . . should also be analyzed using the same framework.” *Lehmann v. Aramark Healthcare Support Servs., LLC*, 630 F. Supp. 2d 388, 391 (D. Del. 2009).
III. DISCUSSION
Defendant raises a litany of arguments for why I should dismiss Plaintiff’s complaint. Generally, I find that Plaintiff has plausibly stated a claim for each Count. I address Defendant’s less conclusory arguments below.
A. Count I Alleges a Continuing Violation
Hantz sues under laws that have a 300-day statute of limitations. I can “consider[] the entire scope of a hostile work environment claim, including behavior alleged outside the statutory time period . . . so long as an act contributing to that hostile environment takes place
Hantz has alleged dozens of incidents spanning sixteen years of employment. Defendant asks me to knock out some of these incidents under the theory that they are “discrete acts” and “cannot be aggregated under a continuing violations theory.” (D.I. 10 at 1 (citing *O’Connor v. City of Newark*, 440 F.3d 125, 127 (3d Cir. 2006))). Upon removal of the discrete acts, according to Defendant, there are “temporal interruptions that break the continuing violation chain.” (D.I. 10 at 2–3). Even if Defendant is right that discrete acts cannot be aggregated under a continuing violation claim,\(^1\) Hantz has alleged many incidents that are not discrete acts. Construing the complaint in the light most favorable to Hantz, these non-discrete acts form a pattern that extends into the statute of limitations period. The effect of any temporal interruptions on the pattern of hostility ought to be decided on a more complete record, not on a motion to dismiss.
**B. Exhaustion of Administrative Remedies**
Title VII claimants must exhaust their administrative remedies by filing a charge with the EEOC prior to filing a lawsuit. *Twillie v. Erie Sch. Dist.*, 575 F. App’x 28, 31 (3d Cir. 2014). Acts alleged in the lawsuit are properly exhausted when they “are fairly within the scope of [1] the prior EEOC complaint, or [2] the investigation arising therefrom.” *Simko v. United States Steel Corp.*, 992 F.3d 198, 207 (3d Cir. 2021) (citation omitted). Regarding the second prong,
\(^1\) I do not think there is consensus on this. *See Deering v. Hackensack Bd. of Educ.*, 2021 WL 508608, at *5 n.5 (D.N.J. Feb. 11, 2021) (harmonizing *O’Connor* with *Green v. Brennan*, 578 U.S. 547, 557 (2016), which described *Morgan* as “holding that a hostile-work-environment claim is a single ‘unlawful employment practice’ that includes every act composing that claim, whether those acts are independently actionable or not”).
“the Court must only look at the scope of the EEOC investigation that would reasonably grow out of, or arise from, the initial charge filed with the EEOC, irrespective of the actual content of the Commission’s investigation.” *Id.* at 208–09 (cleaned up).
Most factual allegations in the FAC were included in the EEOC charge. The FAC’s newly alleged incidents are “sufficiently related” to the claims in the EEOC charge because Hantz detailed many of the same incidents over the same timeline, discussed many of the same actors, and alleged that she reported sex-based harassment multiple times during her employment at DSP. *(D.I. 8-2 at 3 of 3); see Simko*, 992 F.3d at 210–11 (“In comparing the two sets of allegations, we look for factual similarities or connections between the events described in the claims, the actors involved, and the nature of the employer conduct at issue.”).
The fact that the EEOC charge did not include Hantz’s termination is not dispositive. “[T]he parameters of the civil action in the district court are defined by the scope of the EEOC investigation which can reasonably be expected to grow out of the charge of discrimination, including new acts which occurred during the pendency of proceedings before the Commission.” *Robinson v. Dalton*, 107 F.3d 1018, 1025–26 (3d Cir. 1997) (quotation omitted).
Hantz filed her EEOC charge on October 23, 2018. She was fired one week later. *(FAC ¶ 181).* She received a Notice of Right to sue on March 2, 2021. *(FAC ¶ 5).* “[A] reasonable EEOC investigation would have inquired into the fact of Plaintiff’s termination.” *Tourtellotte v. Eli Lilly & Co.*, 2013 WL 1628603, at *6 (E.D. Pa. Apr. 16, 2013), *aff’d*, 636 F. App’x 831 (3d Cir. 2016) (finding that the plaintiff had properly exhausted post-charge conduct, including plaintiff’s termination several months after filing the EEOC charge); *see also Howze v. Jones & Laughlin Steel Corp.*, 750 F.2d 1208, 1212 (3d Cir. 1984) (allowing plaintiff to amend her
complaint to include “a claim of retaliation which was never presented to or investigated by the EEOC”).
Defendant asks me to preclude Hantz from relying on facts not alleged in the charge. (D.I. 8 at 10). Under Third Circuit law, Hantz may rely on incidents that would have been within the scope of the EEOC’s investigation. Thus, I will not issue such a blanket preclusion at the beginning of the case.
**C. Transfer from Troop 4 to Troop 5 is Plausibly an Adverse Action**
Defendant argues that I should dismiss Hantz’s involuntary transfer in retaliation claim (Count IV) in part because Hantz fails to allege an “adverse action”—in particular, “Hantz fails to allege how the transfer from Troop 4 to Troop 5 altered her compensation, privileges, status, or opportunities.” (D.I. 8 at 11). Defendant briefly makes the same argument for Hantz’s involuntary transfer claim (Count II). (D.I. 12–13).
Count II alleges gender discrimination while Count IV alleges retaliation. Each offense has the element “adverse action,” though only the discrimination claim requires that the adverse action affect a plaintiff’s employment status. *See Burlington N. & Santa Fe Ry. Co. v. White*, 548 U.S. 53, 62–64 (2006) (“[T]he antiretaliation provision, unlike the [antidiscrimination] provision, is not limited to discriminatory actions that affect the terms and conditions of employment.”). Retaliation simply requires that a “reasonable employee would have found the challenged action materially adverse. . . . mean[ing] it well might have dissuaded a reasonable worker from making or supporting a charge of discrimination[.]” *Id.* at 68 (internal citations omitted).
I think that Hantz has alleged a claim for both counts. The Third Circuit has “held that employment decisions such as transfers and demotions may suffice to establish the third element
of a plaintiff’s prima facie case [of discrimination].” *Jones v. Sch. Dist. of Philadelphia*, 198 F.3d 403, 411–12 (3d Cir. 1999). In *Jones*, the Third Circuit held that a teacher had suffered an adverse employment action when he was transferred schools and was required “to teach what he regarded as less desirable science classes.” *Id.* at 412. Here, Hantz has similarly alleged a transfer that she regards as less desirable due to both the distance from her home and because “Troop 5 is the same jurisdiction where Plaintiff’s brother was found dead on the roadside[.]” (FAC ¶ 157). Hantz also alleges that this transfer was against Defendant’s “custom not to transfer senior officers unless they requested it.” (*Id.* ¶ 153).
Defendant cites *Remp v. Alcon Lab’ys, Inc.*, 701 F. App’x 103 (3d Cir. 2017) in support of its position. (D.I. 10 at 6–7). In the context of a retaliation claim, the Third Circuit held, “transferring a state trooper from one station to another and making his daily commute four and a half miles longer would not have dissuaded a reasonable worker from making or from supporting a charge of discrimination because the trooper failed to show that the transfer ‘was more than a trivial inconvenience.’” *Id.* at 108 (describing *Est. of Oliva ex rel. McHugh v. New Jersey*, 604 F.3d 788, 799 (3d Cir. 2010)). Despite this analogous case, I do not find Defendant’s argument persuasive at the motion to dismiss stage. Both *Remp* and *Estate of Oliva* were decided on summary judgment, not motions to dismiss. *See* 701 F. App’x at 104; 604 F.3d at 790. Furthermore, in *Estate of Oliva*, “Oliva’s transfers . . . were consistent with State Police practice at the time to assign a newly appointed trooper to his or her first two duty stations for approximately six months at each station and then to reassign the new trooper to a third station
---
2 Exactly how analogous the case is cannot be determined on a motion to dismiss. While I can take judicial notice of the approximate distances between the two Troops, and I can see the address Plaintiff used when pursuing administrative remedies, I cannot take judicial notice (and Defendant does not say that I should, *see* D.I. 8 at 11 n. 2) that that address is the relevant address for calculation of how much added commute the transfer would add.
for an indefinite period determined by administrative needs and the trooper’s preference.” 604 F.3d at 792. Hantz has alleged the opposite—her transfer was inconsistent with DSP’s practice of not reassigning senior officers. (FAC ¶ 153; see also id. ¶ 159 (“Defendant has not involuntarily transferred any other Sergeant from patrol without disciplinary action.”)).
Thus, I find that Hantz has plausibly pled a prima facie case of involuntary transfer and involuntary transfer in retaliation.
IV. CONCLUSION
An appropriate order will issue. |
Review of Voltage and Reactive Power Control Algorithms in Electrical Distribution Networks
Daiva Stanelyte * and Virginijus Radziukynas
Laboratory of Systems Control and Automation, Lithuanian Energy Institute (LEI), LT-44403 Kaunas, Lithuania; email@example.com
* Correspondence: firstname.lastname@example.org; Tel.: +370-60535435
Received: 29 November 2019; Accepted: 18 December 2019; Published: 20 December 2019
Abstract: The traditional unidirectional, passive distribution power grids are rapidly developing into bidirectional, interactive, multi-coordinated smart grids that cover distributed power generation along with advanced information communications and electronic power technologies. To better integrate the use of renewable energy resources into the grid, to improve the voltage stability of distribution grids, to improve the grid protection and to reduce harmonics, one needs to select and control devices with adjustable reactive power (capacitor batteries, transformers, and reactors) and provide certain solutions so that the photovoltaic (PV) converters maintain due to voltage. Conventional compensation methods are no longer appropriate, thus developing measures are necessary that would ensure local reactive and harmonic compensation in case an energy quality problem happens in the low voltage distribution grid. Compared to the centralized methods, artificial intelligence (heuristic) methods are able to distribute computing and communication tasks among control devices.
Keywords: distribution power grids; smart grids; distributed power generation; renewable energy resources; voltage stability; reactive power; capacitor batteries; transformers; photovoltaic converters; artificial intelligence (heuristic) methods
1. Introduction
Electricity distribution networks (DN) encounter constantly changing generation demands and/or high load fluctuations from low to high, and vice versa. These problems are common for electricity distribution networks [1]. Voltage drop is among the most important energy quality issues and concerns users connected to low voltage distribution grids [2]. Voltage stability is closely linked with changes in load dynamics, and lately, constant changes in system loads have been giving rise to a greater number of voltage instability cases. Voltage stability analysis is a field of study that targets the monitoring of the response by the electrical system depending on the changing dynamics of the generator and the load to achieve stable and reliable operation of the power system [3]. In order to maintain the stability and reliability of the entire system in respect to these changes, the rearrangement of traditional control and actions, as well as the merge of various layers/time scales, becomes increasingly more necessary [4]. Practical experience of distribution system operators shows that it might be complicated to compensate the decrease in load in primary substations with multiple power lines with unmatched load profiles [5]. The use of load distribution methodologies and specified observation data allows the creation of rather realistic load profiles [6].
Thus, reconsidering this optimization technique is necessary, both for distributed system operators (DSOs) and for users, to manage the public or private system load profile and power consumption [7,8]. The distribution and decentralized control systems are necessary not only in solving the extent of the problem, but also in decreasing the communication demand that may affect the system control and optimization in real time [4]. Current passive distribution systems are modernized by installing...
distributed generation (DG) into active electricity networks. It may occur with the increased short circuit currents in the components of the electricity network. DG affects the condition of the electric system and the network losses [9]. The sources of DG are built near the electric load center. Their respective layouts may contribute to decreasing power losses [10]. The use of distribution generation invalidates the presumption that the current always flows from a power supply to the end of feeders and the voltage value gradually decreases. The devices of DG change the energy flow of the supply lines and it results in the changes of the voltage profiles [11]. The installation of voltage controllers is as important for the control of voltage profile, in cases such as:
- high-bandwidth lines
- end of heavily loaded supply (with significant voltage drops) [12].
The modernization of the DN may be treated as an optimization task. In order to improve the network efficiency, several objectives were set and approved (e.g., decreasing loss and increasing reliability), defining which configuration would guarantee the best reliability results without breaking a secure network operation [13]. Due to inductive and non-linear loads in electricity distribution systems, precautionary and corrective measures must be taken to not only ensure the right power factors, but also reduce harmonic distortions [14]. Harmonics cause a reduced power factor, which causes reduced active power delivered to consumers. The active power supplied to the users is lowered by the harmonics that reduce the power factor. This problem may be solved by using type C passive filters, but appropriate parameters need to be set [15].
Reactive power affects the power quality parameters and, by properly adjusted control devices, reduces system losses, increases power transmission, and reduces grid voltage drops [16,17]. Passive solutions are frequently based on capacitor batteries [17]. The installation of capacitors in distribution networks is important not only for the compensation of reactive power, but also for the power factor adjustment, improvement of voltage profile, and loss reduction [12,18,19].
This solution requires accurate positioning and measurement of capacitor battery values. This passive solution faces the main issue of resonance, which can occur when a capacitor battery is connected to induction cells [17]. Reactive power compensation is a useful method for voltage control in distributed systems. Distribution systems have capacitor batteries to keep the power factor close to one and to compensate for voltage drops in high-load situations [20]. Reactive power compensation can have a more efficient solution by using dynamic VAR compensators, such as static VAR generators (S VGs). A dynamic and wide range of reactive power compensation is among the advantages of this solution, in addition to an accurate and reliable displacement power factor (DPF) [17].
Some countries apply the requirements for use of photovoltaic energy converters that are necessary to control reactive power by supplying the active power [21]. The value of power flow belongs on the voltage square and on flow components at the end of the line. The equation set of the balance between the bus power and the reactive power, along with the line voltage equations, compose the equation system of static power. Upon solving the task of loss reduction, the reduction of all electric power generated is an objective agent and a valid way of minimizing load losses [22,23]. Even though, during the equipment installation, the load is distributed among the three phases equally, the load gain and the changing demand throughout the day cause the occurrence of the phase load imbalance. For a certain period of time, the phase load in a three-phase network is distributed evenly, however, after a while, the load imbalance occurs [1]. A power-load curve changing in time is the basis of the load distribution and the programming of the electricity distribution system. The loads of the system power are related with various types of electricity consumers that have different demands of energy consumption. This means that the place and time of new loads cannot be anticipated. Therefore, power loads of electricity distribution system are random variables dependent on time [16]. The need to balance load and reduce power losses to the highest extent possible encouraged the study load balancing and planning problems [1].
In general, energy planning and decision-making requires a lot of resources, which significantly impacts all economic agents. Planning of power systems mainly aims to define the appropriate
generation and transmission strategies to ensure efficient use of the system. The general energy efficiency system must be optimized in terms of the efficient use of energy resources [24].
Thus, this work aims to address the problem of the optimal reactive power control by considering the multifunctionality that simultaneously covers power loss, voltage deviation, and reactive power generation costs. The article offers a comprehensive bibliographic overview of mathematical methods used for optimal choice and positioning of reactive power compensation elements. Soon, DN will be self-sustaining and contain renewable and non-polluting sources; therefore, it is important to focus this analysis on DN with distributed resources [18, 19].
This type of grid topology that can be isolated requires some reactive power compensation analysis due to bidirectional power flows existing in such grids [18].
2. Voltage and Reactive Power Control in Electrical Networks
Traditionally, voltage control is carried out by applying the reactive power control using a synchronous generator, capacitor batteries, and devices of the latest FACTS (Flexible AC transmission systems) [22, 25]. To set up the reactive power control for each generator, only local measurement and information exchange with neighboring buses are required [26].
Voltage optimization in the bus is a serious task for DN operators that seek to ensure a maximum load capacity and operation security [27]. By using the frequency control, the aim is to supply a sufficient and load-meeting active power via electric power systems, and by using the voltage control with sufficient and load-meeting reactive power. Reactive power and voltage quality indicators are crucially important for the operation of the distribution system [16]. Due to the type of these networks, a right integrated control of the reactive power flows and voltage in the DN has become a particularly serious problem requiring a complex solution [28].
Currently, the voltage is controlled in the bus of the average voltage by operating the switch of the branches of an overloaded transformer of high and average voltage. When power is supplied from distribution generators, this method does not ensure proper voltage values in network nodes because voltage significantly rises [29]. In the networks of high voltage, this phenomenon occurs when the reactive power is supplied because the line resistance is insignificant, compared to the line inductive reactance. However, in the DN of a medium voltage the resistance is not insignificant, therefore, the supplied reactive power increases voltage. However, when the distribution voltage is controlled automatically, it can be controlled in one generator, hence, the voltage profile can be better [29].
In some cases, photovoltaic systems may affect the quality of voltage in the distribution networks that is defined by Standard EN 50160. Photovoltaic systems influence the voltage profile curve and harmonic distortion of current and voltage [30]. Due to high voltage drops, it is important to ensure a proper voltage profile curve of radial networks.
2.1. Compensation Equipment and Transformer Branch Control
In power systems, voltage is usually controlled using OLTC (on-load tap changer) transformers and reactive power units [31]. The purpose of power transformers is to supply a linear load at rated frequency. The disadvantage of non-linear loads is that they raise the temperature of transformers and reduce their service life [15]. However, the control of this device highly depends on the connections used within. On the other hand, this method becomes ineffective in the presence of integrated generators [29]. The control of reactive power compensation devices and transformer branch outputs changes discreetly (unevenly). Therefore, it is very complicated to control the reactive power changes gradually. The reactive powers of generator bus/lines are changing, which makes the ORPD (optimal reactive power distribution) problem mixed integer non-linear programming problem (MINPP) [28]. The main reasons are as follows: the monitoring does not cover all network buses, the requirements for separate loads are not known in advance, and it is difficult to accurately forecast the operational readiness of small generators (that often correlates with operational readiness of renewable sources). It should be noted that network parameters and sometimes even topology are only partially known.
Also, generation is expected to be switched on and off, and in such cases, an automatic reconfiguration of network control infrastructure is necessary (the so-called plug and play method) [32].
Generalization: Research articles have focused on service quality, reliability of the transformer branch switch, and how to maintain a high level throughout the life cycle of a regulating transformer. So far, no other alternative regulation of transformers is expected. In the near future, properly functioning and controlled converters will continue to play an important role in power grids and industrial processes.
2.2. Reactive Power Capacitors and Their Control
Passive VAR generators (e.g., capacitor batteries) or active VAR generators (e.g., static VAR generators) may be singled out as the key compensation devices for reactive power. Without the use of VAR generators, reactive energy may be supplied via renewable energy systems or a load connected to the grid via grid connected converters (GcC) [17]. Capacitor batteries are widely used to minimize the breaches of the lower voltage threshold. Literature suggests the following measures aiming to mitigate breaches of the upper voltage threshold: the development of the traditional grid, var control of induction devices, var and watt control of PV-inverters, and response to demand and storage management [31]. In recent decades, compensation for reactive power with capacitors has become a real challenge due to a significant increase in non-linear load and deviations of substation voltage. It is known that the flow of harmonic currents in distorted distribution systems is more harmful than the reactive currents of the main frequency. The undesirable effects of harmonic currents are even more pronounced in shunt capacitors, primarily due to increased harmonics in the distribution systems caused by capacitors [8].
Capacitor battery configurations (with low response rates of 10 seconds to minutes) are commonly used for control of reactive power in distribution and industrial networks. These configurations are made by changing a certain number of capacitor sections in the connection diagram according to reactive load requirements. In such cases, mechanically switched capacitor batteries are the most economically efficient compensation sources [26,33].
In the application of later solutions, the reactive power in capacitor batteries is converted to an evened output voltage or output voltage in very small blocks. Such solutions are compiled from a low number of switches and they are very rational [14,33].
Static compensators (STATCOM) are a solution for voltage regulation by controlling and supplying the reactive power at the load connection point. This method is effective in transmission or distribution systems. When used in distribution lines, they are called DSTATCOMs. However, in the case of weak grid, voltage control with DSTATCOM requests high reactive power due to high R/X line grid ratio, making reactive power control less powerful in low voltage grids. This factor gives rise to two major issues: the need for a converter with especially high rated power to ensure control and the excessive reactive power circulation in the distribution transformer, which can damage equipment [2]. Static compensator with thyristor switched capacitors and thyristor control reactors are more advanced configurations with a continuous control, basically no transition voltage, minor generation of harmonics, and control and operation flexibility [26,33].
Capacitor distribution tasks are solved by applying various methodologies, including constructive heuristic algorithms, metaheuristic instances, such as genetic algorithms, tabu search, plant growth simulation, and particle swarm, as well as classical methods, for example, branch and bound algorithms, in which the capacitor distribution is simulated as a task of mixed integer linear programming (MILP) by applying injection flow equations and considering loads of a constant current [12,22]. One of the main tasks related to the planning of distribution and industrial networks is selecting capacitor batteries with optimal capacity and finding the best fitting location for them [33].
Scientific sources contain many works on the challenges related to capacitor distribution. Similarly, as in the case of voltage controller distribution tasks, capacitor distribution can also be simulated as a task of mixed integer non-linear programming (MINLP), where the objective function is reducing
the costs of DN investments and power losses [12]. The main problem—the optimization of a real network—conditions a rather high number of network configurations due to the number of connecting devices [13,22]. Hence, a proper selection of capacitor power and place of installation may help to reduce losses and improve the voltage quality [16,34].
It is hardly feasible to test all potential combinations and make the required calculations of the most efficient power flows, for each of them.
Generalization: The distribution grid voltage and reactive power are typically controlled by a load branch switch and capacitor units with low response rates (10 seconds to minutes). Power flow studies may determine the best capacitor size and best operating location, both to improve the power factor and to raise the voltage of power mains.
2.3. Participation of Power Plants in Voltage and Reactive Power Control
Traditional power sources are no longer sufficient to meet modern electricity demands, which raises questions related to energy reliability and security, as well as an enormous carbon footprint [35]. Due to global energy reliability and environmental concerns, governments promote power generation from renewable energy sources (RES) [36]. Over the past two decades, renewable and distributed power sources have emerged as an addition to conventional power sources and are now considered by municipal service engineers as an effective solution that meets the power demand and helps to successfully overcome power challenges [35,37].
An especially significant spread of RES has been observed in Northern Europe, in such countries as Sweden and Norway, where the increase exceeded 30% in 2012. In the United States, the installed generation capacity exceeded 10 GW for photovoltaic (PV) generating systems in 2013 [38]. In the following five years, PV and wind generation systems are expected to account for over 80% of RES growth [37]. In recent years, PV generation systems have become very popular in power systems. RES are usually connected to the grid system through connected converters of DC/AC grid [17].
The main purpose of distributed generators is to supply active power to the power grid depending on the parameters of the primary power source.
However, the increase in DG poses many technical issues for distribution systems, as well as amplifying challenges to maintain a stable, reliable, yet affordable power supply, while conventional voltage control devices that have regular control capabilities encounter difficulties with voltage control [37,39,40]. Usually, these issues are related to the drop in voltage amplitude, frequency deviations, and higher harmonic components. This explains network requirements and standards intended for alignment of the interaction between photovoltaic generators (PVGs) and the grid, as well as troubleshooting during malfunction [41]. European DSOs must ensure that their grid voltage is within EN50160 bounds of ±10% of the rated voltage of [31].
The RES energy output is unpredictable and often differs from the estimated value, and therefore can seriously affect voltage control in distribution systems [38,39,42].
Electricity production from PV systems is highly variable as it depends on meteorological conditions. Consequently, methodologies are required to forecast the PV generation from a predictor variable, such as irradiation, and to develop a simulation model for such generation [36]. Voltage deviations that arise due to fluctuations in RES output power become especially problematic in real-time. This can be explained by power of RES being forecasted based on certain time intervals (from dozens of minutes to an hour). The RES power is assumed to be constant over time, while the actual RES power fluctuates in real-time [38].
The main objective function in voltage control strategies aimed at the reduction of voltage deviation is as follows:
\[
f(v) = \sum_{k=1}^{N} (v_k - v_{k*})^2 \geq 0,
\] (1)
where
\[ f(v_R) = 0 \]
where \( v \) represents a voltage deviation vector at \( N \) monitoring nodes, and \( v_R \) is a reference voltage.
Based on load flow equations, the voltages in DNs with DGs is the function of the following parameters.
\[
v = h(P_L, Q_L, n, P_{DG}, Q_{DG})
\]
(2)
where \( P_L \) and \( Q_L \)—load parameters (active and reactive power), \( n \)—voltage regulator tap positions, \( P_{DG} \) and \( Q_{DG} \)—DGs active and reactive power [37].
Reactive power devices react fast compared to conventional step voltage regulators (SVRs) or on-load tap changers (OLTCs) [37,43].
Several reactive power control strategies exist for low voltage grids that have many consumers; their assessment can be made based on sociotechnical criteria. Two types of control devices can be used, which substantially differ by their control structure: prosumer-owned photovoltaic (PV) inverters and inductive devices owned by distribution system operators [31]. Currently, most distributed generators that use photovoltaic power are connected to power grids using converters, which convert the power generated by photovoltaic modules into standard power that corresponds to electric grid parameters. The control of local \( \cos \varphi \) (\( P \))—and \( Q \) (\( U \))—PV converters, as well as the local control of \( L \) (\( U \))—induction devices, are modelled separately in various low voltage networks, using radial structure and can differ with different overhead lines and cables [31].
On the other hand, due to lower costs and improved reliability of power electronic converters, rectifiers connected in the AC/DC network are increasingly used as an interface between some loads and the network. Network-connected rectifiers use a power circuit, which is similar to systems of converters connected in a network but with a different power flow direction, i.e., from the network to DC [17].
Aiming to resolve the issue relevant to power grids, which is related to current and voltage harmonic compensation, arising from nonlinear loads, it is appropriate for the power grid to use the energy supplied by photovoltaic modules, i.e., not to use the usual photovoltaic converters, but to design special converters having a property of active power grid harmonic compensation.
The results demonstrate that use of consumer-owned PV converters to eliminate voltage breaches in the feeder gives rise to social and technical shortfalls, such as consumer discrimination, threats to their data privacy, significant reactive power exchange between low and medium voltage networks, heavy loading of the distribution transformer, and large network losses. The use of induction devices for voltage control is unrelated to social challenges and facilitates satisfactory control of low voltage networks [31].
The most popular measures for reduction of voltage limits are \( \cos \varphi \) (\( P \))—and \( Q \) (\( U \))—local converter control, where voltage control uses consumer-owned devices. Both control strategies mitigate voltage damage by absorbing reactive power. PV controlled by \( \cos \varphi \) (\( P \)) is a converter that absorbs reactive power starting from the pre-set active power injection. This control strategy provides strong voltage regulation potential; however, it fails to consider the actual grid voltage. Thus, it causes excessive high \( Q \) flows and losses, especially at high loads [31,44]. This shortfall can be remedied using \( Q \) (\( U \))—control, which reduces \( Q \)—traffic and additional network losses; however, it unevenly distributes reactive power compensation fee among participating consumers. This issue may give rise to a new social challenge, namely, the discrimination of clients in the provision of ancillary services.
Normally, uncoordinated local \( Q \) controllers provoke uncontrolled flows of reactive power in superordinate networks [31,45]. This shortfall is widely known; thus, in many cases, utility companies use conventional Volt/var control technologies for step-setting of the distribution transformer (DTR) and coordinate reactive power devices [31,46]. The implementation of such coordination at low voltage levels requires large-scale data exchange among consumers and DSOs, ensuring stringent data privacy requirements [31].
Modern DG systems are connected to AC networks via active-front-end (AFE) power converters. With the increase in their share, power systems with AFE power converters must be provided with additional system services and support measures in the power grid [40,47]. Irrespective of their factual application, they must be engaged in grid voltage and frequency control in line with the national network codes, e.g., regulating wind turbine systems [40]. First, at the level of DN, power converters will play an increasingly important role aimed at fast and balanced control of voltage and reactive power [47].
Contingent on the implemented control strategy or operating method, AFE power converters can be grouped into networking and grid-feeding converters. In AC micro-networks, networking AFE power converters are used as AC voltage sources with low output impedance to determine the value and frequency of the grid voltage locally. They can ensure uninterruptible power supply (UPS) and good quality high output voltage; however, they must have an appropriate power storage system. In contrast, grid-feeding AFE power converters are used to deliver active and reactive power to the already energized grid, whereas active power flow control can be limited to real adjustment [40].
In recent years, increase in the DG in DN stimulated the use of multi-agent systems (MAS) to control the operation of systems and solve issues faced by DN. MAS is a management system consisting of a large number of controlled agents. An agent is an autonomously operating system that uses the data collected by sensors to perform control actions and affect the environment.
Based on management architecture, MAS can be classified into three different categories: (a) centralized management, (b) decentralized management, and (c) distributed management. In a centralized management system, the control center collects information from all DN agents and uses the collected data to calculate the optimal control action for each agent. The operation of the centralized control method depends on the reliability and speed of the used communication system. This means that to eliminate communication failure and increase the overall system efficiency, a high-performance operation will be expensive and complex [39].
Hybrid renewable energy systems (HRES), which are based on DG, have become the latest trend among renewable energy systems due to demonstrated results in the improvement of overall performance and reliability [35].
Generalization: With the development of an active distribution grid and the increasing number of various distributed resources, loads, energy storage systems, as well as changes in the structure of the power grid, the traditional distribution grid faces a voltage change caused by the integration of the photovoltaic energy generation. In order to maintain the voltage level, the operating mode of photovoltaic converters and capacitor batteries must be properly coordinated and controlled.
In the real world, the evaluation of objective function can be difficult, discontinuous, and/or dynamic, while constraints applicable to the real world may demand an approximate response under the condition of limited time or resources, promoting a heuristic approach.
2.4. Energy Storage Systems in Distribution Networks
Aiming to move from conventional power systems to smart grids, energy storage becomes a relevant issue. Energy storage in DN is an excellent way to increase the efficiency, quality, and reliability of such systems, providing a significant advantage over fluctuations and allowing frequency and voltage control in distribution systems [18,48].
Rapid development and increasing penetration of renewable generation, such as wind and solar power, new loads, such as electric vehicles, are just two trends that can stress the current grid by causing voltage variations larger than it is prepared for. Therefore, it is vital to find and implement economically efficient and sustainable energy storage and conversion systems [49–51].
Flexibly combining the generated electricity with the demand is of utmost importance. This flexibility may be achieved through two possible mechanisms: the demand-side response (DSR) or the energy storage systems (ESS) [52]. The demand-side response enables the end-users to
actively participate in power markets by offering to reduce their loads in response to signals from local distribution companies (operators) requiring load management [53].
Energy storage plays various roles in various scenarios. Electricity users are interested in using the ESS to reduce electricity costs or increase profits. ESS can flexibly adapt at different time scales and may be considered as a variable energy source or variable load [54]. ESS may be operational at specific times or in critical situations [2,55]. These multifunctional optimizations enhance the reliability of power grid, considering the issues faced by transmission and distribution networks [56].
ESS devices can be used to address general power quality issues, such as voltage and frequency fluctuations, or use strategies to increase battery life, etc. [2,55].
Efficient and effective power system operation means the balance between sustainability, reliability, and cost-effectiveness. A large-scale energy storage technology may offer the potential to overcome some challenges faced by modern power supply systems in relation to transmission and distribution levels. Numerous research efforts have targeted access to the installation and use of large-scale battery storage systems [3].
EES may be divided into five main groups:
1. Mechanical systems, e.g., hydropower plants, compressed air energy storage;
2. Chemical systems, e.g., hydrogen storage with fuel cells/electrolysers, synthetic natural gas, and reversible chemical reactions;
3. Electrochemical systems, especially various types of batteries;
4. Electric systems, including condensers, super-condensers, and superconducting magnetic energy storage;
5. Thermal systems, e.g., intelligent use of heat, latent heat storage and heat absorption, and absorption systems [51].
In relation to the mentioned difficulties of the operation of the electricity networks and in pursuance of the control of electricity flows between generation and consumption, battery energy storage systems (BESS) are viewed as a viable option in evening out the fluctuations of the net load curve and in conditioning the renewable energy penetration [57]. Inclusion of BESS into the distribution/underground transmission level of the power supply system is mainly focused on the improvement of the flexibility of the power system by controlling the VER limitation, preventing reverse power flow, maintaining frequency stability, and ensuring the quality of power supply [3,58].
Lately, the newest electrochemical energy storage devices, e.g., Li-ion batteries, Li-S batteries, and supercapacitors, have been recognized as having high potential in energy storage [58–60].
Out of various types of batteries, part of which are available on the BES (battery energy storage) market, Li-ion batteries occupy 55% of the market; however, the power supplied by the batteries can only satisfy demand on a low scale, suitable only for a local user or a microgrid [51].
Connection to an electric grid is the key component of fixed battery energy storage systems. Efficiency scale systems are comprised of power electronics. Different grid-connection topologies, load distribution between power electronics and grid level, to which the system is connected, are possible considering conversion stages of each device. Depending on the battery power and voltage and different types of power electronic, DC-to-DC converters and inverters/rectifiers are required. Different technical solutions for topologies are possible for grid interconnection, which may vary depending on the efficiency of energy consumption [60].
Energy storage systems must meet various criteria, such as: capacity reserve, short-term and long-term energy storage, fast reaction time, geographic independence (mobility or stationary application), energy density assessment, conversion factor, storage expenses, end use (e.g., network connected or separate), environmental impact, and storage terms [51,61].
Energy efficiency is the main indicator of the storage systems of battery energy operation, and it is compared among various scenarios. Since connection to networks require different conversions, high energy losses occur [60]. The battery is able to store and extract energy in high frequencies, therefore
ensuring stability of frequency and voltage, and it is able to do that for a long time, that way ensuring the efficient optimization of energy control of renewable energy systems [61].
Scientific publications discuss sizes of photovoltaic and storage systems. One of the main problems is optimal battery size determination [51, 62]. The placement of battery storage systems based on their sizes may be determined using various methods, with each method having its strengths and weaknesses. The complexity of the methods used also varies to a high extent, applying the methods that range from simple probabilistic methods to mathematical optimization strategies and nature-inspired methods [62]:
- Probabilistic methods are the most intuitively appealing and have the most simplistic view of the battery sizing. The main concept is to use the stochastic approach to renewable sources, usually solar or wind while optimizing the size of batteries based on selected criteria [61].
- Analytical methods, which are sometimes referred to as deterministic methods, are among the most widely used approaches for sizing battery energy storage systems. These methods are based on the analysis of a series of configurations of the power system, and the elements of the system differ, which must be optimized following efficiency criteria [61].
Generalization: With rapid growth of electricity generation and demand, and with rapid development of electricity markets, the attention of researchers has shifted to the question of how to increase efficiency of the use of energy storage systems in distribution grids. Distribution of energy storage systems reduces fluctuations caused by renewable energy resources. These multi-functional optimizations increase the reliability of the power grid, taking into account the problems of transmission and distribution grids.
2.5. Load Control in the Power Grid
A reorganization of distribution systems is a nonlinear and multi-objective optimization problem. A multipurpose DN has many different purposes, including loss minimization, balancing transformer load, balancing supply load, maximizing supply load, and improving profile [63]. It was believed for many years that a sufficient amount of capacity margin ensuring the security of electricity generation is about 20 percent. Given the average demand across the year, the use of average generation capacity is below 55 percent. This relatively low utilization of the average unit enables to apply load control solutions that would allow moving loads from peak periods to non-peak periods. This would reduce the demand of additional generation capacities and improve the utilization of existing capacities, as well as increase the effectiveness of generation investments [64].
The electricity sector is also a key factor in the transition to more sustainable energy production/consumption that guarantees the largest share of RES. As production must always match the consumption, the interrupted use of RES must be compensated in terms of consumption. Solutions are available to optimize the use of RES (i.e., storage, demand management); however, they all rely on accurate information regarding the modes of generation and demand [48].
The evaluation of a typical load curve of a day (also called load profile, load form, or load model) of a common client (industrial, residential, and commercial building) or a distribution transformer/substation is called load simulation [65].
It can be noted that energy saving highly depends on the type of load, especially on lighting loads. In fact, in cases of residential buildings and commercial companies, the major part of loads is lighting loads, whereas in industry it is motor loads [7].
Load control techniques:
- Indirect load control is used in smart networks when reacting to demand by using various programs that can change tariffs, surcharges, etc.
- Load shift: this method transfers loads to off-peak hours from peak hours. This allows avoiding the additional generation needed for peak demand.
Valley filling is the process used to fill non-peak periods.
Peak load is the program for the reduction of the peak load of a power system.
Energy use efficiency is the reduction of used energy without compromising consumer’s comfort.
Changes in consumer load in response to changes in energy purchasing price are called price-based programs:
- Time-dependent pricing is the use of different prices for different day times, e.g., several tariffs.
- Real-time pricing is when the price for electricity is usually set for one hour or shorter periods.
- Critical peak price is used when system security is at stake or energy prices are too high.
- Direct load control is the direct load control when it uses various switching devices and systems [66].
Contemporary load profiling methods use clustering algorithms in combination with dimensional reduction based on historical data, creating static typical load profiles that could repeat during a year, considering seasonality and other data periodicity [48]. Load forecasting is crucial for prediction of inputs critical for other algorithms intended for distributed control systems, e.g., assessment of the condition, optimization procedures, voltage maintenance, optimal configuration, maintenance schedules, etc. Normally, a reliable load forecasting function is crucial for coordination of variable renewable generation with real demand, also considering active demand management and load strategies [65].
Generalization: A highly accurate load forecasting methodology may be beneficial for the economy and the environment by promoting renewable sources. Additionally, load forecasting is beneficial for network security by providing important information useful for determining imbalance and vulnerable scenarios in advance.
2.6. Reactive Power Reactors in the Power Grid
Power quality issues, such as a deviation in voltage, current, or frequency, result in malfunctions or interferences of the equipment possessed by end-users. However, energy quality challenges are not limited to harmonic distortion [67]. The standard IEEE 1159 classifies various electromagnetic phenomena of electrical system voltage (related to power quality issues): pulses, oscillations, deviations, surges, static deviations of the direct current, harmonics, noises, flicker and frequency variations, etc. Increasingly, more attention is given to dynamic reactive power compensation and harmonic elimination techniques (or power quality controller). Many ways have been suggested to solve this problem [68].
Conventional rotating synchronous condensers and mechanically switched capacitors or inductors were used for reactive power compensation. However, in recent years, a static var compensator (SVC) based on a thyristor and a static synchronous compensator based on self-commutating converters have been widely used for dynamic reactive power compensation [67].
Although reactors connected in series may be used to limit fault currents, shunt reactors are used to control var. Shunt reactors are used to offset the line capacitance effects, especially aiming to limit voltage rise in an open circuit or low load. The magnetically controlled reactor (MCR) is a device in which the DC pulse transmitted through special winding controls the inductance [69]. An MCR is based on the following principle: the control of magnetic saturation indirectly changes magnetic permeability of ferromagnetic materials or the magnetic resistance of corresponding magnetic circuit, ensuring less than 2–3% of basic harmonic distortion without the use of special filters [69,70]. Controlled reactor characteristics are stable, reliable, and flexibly controlled [70]. MCR improves power quality by automatic voltage control, reduction in fluctuations, and smoothing of reactive power surges. The damping of voltage fluctuations results in the increase of power stability thresholds, allowing it to
transmit higher voltages [69]. Reactors can be grouped into two classes: those containing an iron core and those that do not contain any magnetic materials in the windings.
A magnetically controlled shunt reactor (MCSR) is among the key elements used in EHV/UHV transmission systems for reactive power compensation and surge damping [71]. Compared to stationary reactors and TCRs, they have many advantages listed below:
- to control voltage support or any other operating parameter without the use of circuit breakers in an automatic switching system;
- to reduce active power losses in networks and improve their operational reliability by reducing on-load tap changing of transformer;
- to increase small margin of signal stability;
- to improve damping of electrical system;
- to reduce the use of synchronous generators as controlled source of reactive power;
- to have flexibility [67].
In the literature, a MCSR is used as an energy quality device. MCSRs are commonly used to suppress surges, reduce secondary current, achieve voltage stabilization and reactive power compensation, and reduce voltage/current harmonics in EHV/UHV transmission lines. MCSRs seem to be multifunctional devices designed to improve power quality.
MCSRs operate together with a group of capacitors for reactive power compensation. A MCSR and a group of capacitors are connected in parallel. These capacitors increase the system voltage by generating reactive power while the voltage of power system increases. When this increase exceeds the upper threshold of systemic operation, a surge phenomenon occurs. Prolonged overvoltage causes system failure. An MCSR can be used to neutralize surges caused by capacitive effects of transmission—especially long-distance—lines. When aiming to compensate reactive power, the MCSR response rate is important. In a substation, MCSR can be used with its usual topology to increase the power factor and constant value. Under such circumstances, the power factor without MCSR is 0.8, but when the MCSR is installed into the system, the power factor improves by approximately 25%. The purpose of multiple compensations is to improve several system factors at once, for instance harmonics. Although these systems have a complex structure, they ensure a more efficient and greater compensation. Reactive power control can be facilitated by optimizing harmonics. This can be achieved using heuristic methods [67].
The use of an MCSR allows to:
- control the support of voltage or any other operating parameter without use of automatic switches in automatic switching systems;
- reduce active power losses in grids and improve their operational reliability by reducing the switching number of connecting load shifting transformers;
- increase the low signal stability threshold;
- improve the damping of electrical system;
- reduce the use of synchronous generators as controlled reactive power sources [72].
MCSR classification:
- power classification and applications.
The classification based on the power criterion is given in Figure 1. The power factor of a compensated system plays an important role in determining the control philosophy for the implementation of required MCSRs [67].
Application in the case of low power
This application mainly concerns systems that have power output of less than 100 kVA. This is mainly associated with residential areas, commercial buildings, hospitals, and various small and medium production systems for cargos and drives.
- **Single-Phase System**
Electricity is usually produced as a three-phase alternating voltage in power plants and is transmitted as a three-phase alternating voltage across long-distance transmission lines. Even though single-phase systems are commonly used in residential power systems, some single-phase systems exist in industrial and commercial settings.
- **Three-Phase Systems**
Because high loads for industrial and commercial applications require alternating voltages, three-phase power systems are commonly used. Therefore, three-phase MCSR applications are mainly applicable to single-phase MCSRs, as are all three-phase applications.
Application in the case of medium power
The second type is medium power applications with power from 100 KVA to 10 MVA. In the case of medium power MCR applications, the literature reports reactive power compensation, power quality compensation, the soft start of the induction motor, and damping of the electrical system.
Application in the case of high power
High power applications are defined as those with power rating exceeding 10MVA. MCSRs are used almost entirely on EHV/UHV transmission lines [67].
Generalization: Having analyzed literature sources, one may state that the current research focuses on the evaluation of power supply capacities of distribution grid based on a single objective or a multi-functional objective. The single objective function mainly takes into account the maximum power supply, with certain voltage, current, and other safety constraints. The multi-functional objective takes into account such factors as voltage balance, load balance, and other factors based on the peak power supply.
3. Optimization Methods, Designed for Optimal Voltage and Reactive Power Control
The optimization tools used for power systems are becoming increasingly important in ensuring an efficient supply of power to the grid. Areas of the energy system, in which these optimization tools are required, include the analysis of the energy system’s performance, planning, and power control. To address issues in these areas, a different analysis of the objective function and limitations is required [24].
The objective function is the dependence of the optimization criteria on the parameters that influence its value. An optimization criterion or objective function is expressed by a specific optimization task. This way, an optimization task boils down to finding the extreme point of the objective function.
Optimization methods can be divided into three main groups:
1. Numerical (classical) methods
2. Artificial Intelligence (heuristic) methods
3. Deterministic methods [73]
Numerical methods (classical) include linear programming, hybrid number programming, decomposition methods, and lagrangian relaxation methods. However, many inherited mathematical methods have some drawbacks, such as being stuck in the local optimum, or each of them individually being only suitable to solve a particular function of the OPF problem [74,75]. Stochasticity or uncertainty occurs in all power system problems described above. However, to date, it has not been possible to solve large-scale system optimization problems considering the stochasticity. Stochastic methods include Monte Carlo simulations, probabilistic programming, Pareto curves, and risk management techniques [24,73].
Artificial intelligence (heuristic)—among the artificial intelligence techniques, the main algorithms applied in power systems are genetic algorithm, particle swarm optimization, colony optimization, simulated annealing, and evolutionary computing. Some of the distinctive properties of artificial intelligence methods are the ability to remember past findings, the methods learn and adapt in their subsequent performances, and so on [73].
Deterministic methods include mixed-integer programming, linear programming, and so on.
The summary of these methods is provided in Figure 2. Although there are other methods available, examples to define problem complexity are predominantly used.
Classical optimization methods for the optimal control and optimization of the reactive power are as follows [28]:
• Linear programming is a solution to optimization problems with linear objective function and permissible area defined by linear equations and inequalities. The main advantage of linear programming method is the guaranteed and well-formulated solution of a problem [25,28,67,75–78],
• Gradient method [25,28,67,76–78],
• Interior-point method [25,28,75–78],
• Sequential quadratic programming algorithm [25,28,67,77,79],
• Newton’s method [75,76,78].
Classical methods have various drawbacks common to them, including sensitivity to initial conditions and mathematical restrictions applicable to objective functions, such as convexity [25].
• Convergence to the nearest local optimum.
• The mentioned methods do not apply to cases of discontinuous function and tasks with several minimum points.
• However, the use of all these algorithms is impossible without complex communication networks that would be used to gather all necessary information [25].
Classical optimization algorithms are no longer suitable for optimizing reactive power in large-scale power systems [79]. However, in search of solutions to optimization problems, optimization algorithms copied from nature have been introduced that contain multiple variables, including both discrete and continuous ones, while also having global (local) optimum points [79].
In solving the reactive power problem, the variables are the voltage at the generator terminals, the position of the loaded transformer branch switch, and they are adjusted in the limited possible space of the parameter space [80]. Having evaluated such variables, a power grid system with the lowest active and reactive power losses is created. The transformer branch setting parameters are attributed to the discrete variables, and the reactive power output of generators without synchronous compensators are attributed to continuous parameters [79].
The optimal power flow (OPF) in power transmission networks poses major challenges to nonlinear optimization problems, which include many quadratic equations and constraints of quadratic uncertainties. Finding active uncertainty constraints is the most difficult part of OPF problem-solving. There is no direct solution to OPF problems without use of an intermediate optimization method to determine current active sets [81].
However, it is still not easy to get reliable OPF solutions that would be fully practicable in engineering of power systems. The search for better methods and software continues [82]. The principal objective of OPF is to determine optimal adjustments for control variables to minimize the selected objective function while meeting various physical and operational constraints dependent on equipment and the network. As the level of real energy generation and voltage value are continuous variables, and the transformer turns ratio and shunt capacitors are individual variables, the OPF problem is considered a nonlinear multimodal optimization problem consisting of a combination of discrete and continuous variables [75,83]. Due to the insensitivity of the OPF problem, several global (local) optima may exist [84]. These constraints that are difficult to solve by computation are often expressed in terms of linear constraints and matrix additional first-order constraints on the outer products of voltage vectors [85].
It is important to apply certain OPF problems in order to obtain global optimum [84].
Mathematically, the OPF problem is highly nonlinear and nonconvex due to multiple quadratic equations and constraints of quadratic uncertainties in relation to buses, hardware capacity, and the balance between power demand and supply [85]. These nonlinear constraints are mathematically unmanageable; therefore, the most modern nonlinear optimization solutions can concentrate on fixed points, which are not necessarily possible [85].
To handle these nonlinear constraints, it is common to reformulate them as linear constraints on the outer product $W = VV^H$, of the voltage vector $V = \langle V_1, V_2, ..., V_n \rangle^T \in C^n$ [85].
General OPF problem is given as the reduction of general objective function $F(x, u)$ while satisfying the constraints $g(x, u) = 0$ and $h(x, u) \leq 0$, where $g(x, u)$ denotes the nonlinear equality constraints (power flow equations) and $h(x, u)$, with nonlinear inequalities for the vectors $x$ and $u$ [78]. $x$ is the vector of state variables consisting of load bus voltage VL, slack bus power PG1, generator reactive powers QG, and transmission line loading SL. $x$ can be demonstrated in Equation 3 [78,86].
$$x^T = [V_{L1}...V_{LNG}, P_{G1}, Q_{G1}...Q_{GNG}, S_{L1}...S_{LNG}]$$
(3)
The vector $u$ consists of control variables, such as active and reactive power generation, DC transmission line flows, controlled voltage parameters, phase shift angles, load MW, and MVar (load reduction) [77,78].
$$u^T = [V_{G1}...V_{GNG}, P_{G2}...P_{GNG}, T_1...T_{NT}]$$
(4)
Specific solution techniques are required when dealing with numerous constraints and problematic solutions:
- Limits on power system apparatus and system operation can cause models and their sensitivities to undergo sharp state-dependent discontinuities.
- Practical decision process searches for a useful result following the priorities and rules pertaining to the objective, control, and constraining.
- Solution convergence is a relevant problem, where constraints at any decision point indicate a physically unstable or malfunctioning power system, particularly in the case of post-emergency mode [82].
Several general comments can be made about this calculation process and nature of the solution:
- Realistic modelling of OPF system, constrains of power devices, network operation, etc. as well as objectives and priorities are complex, confusing, and non-smooth.
- Every efficient optimizer is designed to solve problems related to specific mathematical structures (such as programming linear, quadratic, nonlinear, or hybrid numbers); thus, the OPF problem must be re-applied in an appropriate form, which is outside the bounds of optimization measure.
- Each OPF iteration, the sensitivity between the objective, control, and constraint functions can also change unexpectedly. In a power system, some of these changes are difficult or impossible to be analytically formulated, even using complex hybrid numbers.
- Since realistic problem of OPF is not smooth, convergence is usually asymptomatic, and final solution usually depends on the sequence (route). At best, the solution to OPF problem can only be regarded as accurate considering its recent approximation.
- The number of OPF constraints can be large (up to hundreds of millions). A critical aspect of the overall OPF solution is one or more “external loop” processes intended for identification of those several constraints and emergencies that may link a possible solution. This is a particularly important heuristic and specific part of the power system’s OPF decision process.
- Managing nonlinear constraints can be an advantage related to a network model as far as the pre-contingency. However, much of this advantage is lost with the introduction of constraints that arise following the situation, since for small systems, the only practical application is to adjust them in turn [82].
Optimal control of the reactive power system can cause minimal loss of active power and improve the voltage profile. At the same time, the reduction in the cost of reactive power generation is yet another important factor that cannot be ignored. Therefore, the objective function is formulated as a combination of three sub-functions [25].
$$f = W_1 P_{loss} + W_2 D_V + W_3 C_Q$$
(5)
where $W_1$, $W_2$, and $W_3$ are the weight coefficients, which describe the preference of reactive power suppliers. $P_{loss}$, $D_V$, and $C_Q$ are the power loss, voltage deviation, and cost of reactive power generation, respectively.
The objective function (1) consists of three expressions. The first expression relates to the loss of active power, which can be calculated using energy flow equation:
$$P_{G,i} - P_{L,i} - V_i Y_{ij} \cos(\theta_{ij} + \delta_j - \delta_i) = 0$$
(6)
where $P_{G,i}$ and $P_{L,i}$ are the generation and the load at bus $i$, respectively, and remaining is the power flow from bus $i$. $Y_{ij}$ and $\theta_{ij}$ are the magnitude and angle of element of the $Y$ bus matrix between bus $i$ and $j$, $V_i$, $V_j$, and $\delta_i$, $\delta_j$ are bus voltages and angles of $i$ and $j$, respectively.
The total amount of power loss in the electrical system can be obtained by calculating the difference between total generation and total load [25]:
$$P_{loss} = \sum_{i=1}^{n} P_{G,i} - \sum_{j=1}^{n} P_{L,i}$$
(7)
Total power loss can be obtained by taking the summation of Eq (6) for $i=1, \ldots, n$.
$$P_{loss} = \sum_{i=1}^{n} P_{G,i} - \sum_{i=1}^{n} P_{L,i} = \sum_{i=1}^{n} \sum_{j=1}^{n} V_i V_j Y_{ij} \cos(\theta_{ij} + \delta_j + \delta_i)$$
(8)
Using $\delta_{ji} = \delta_j - \delta_i$
$$P_{loss} = \sum_{i=1}^{n} \sum_{j=1}^{n} V_i V_j Y_{ij} \cos(\theta_{ij} + \delta_{ji})$$
(9)
The second condition of objective function is the deviation between the magnitude of the bus voltage and its reference.
$$D_V = \sum_{i=1}^{n} \left(V_i - V_i^*\right)^2$$
(10)
where $V_i^*$ is the reference voltage for bus $i$.
The consumption of reactive power generation, which is covered by generator, is calculated
$$C_{QG} = \sum_{i \in N_G} a_{Q_i} Q_{G_i}^2 + b_{Q_i} Q_{G_i} + c_{Q_i}$$
(11)
where $N_G$ is the generator index group, $Q_{G_i}$ is the reactive energy generated from the generator $i$. $a_{Q_i}$, $b_{Q_i}$, and $c_{Q_i}$ are the reactive power cost coefficients of generator $i$, determined respectively from active power cost coefficients $a_{P_i}$, $b_{P_i}$, and $c_{P_i}$ by using a modified triangle method.
$$C_Q = \sum_{i \in N_G} a_{p_i} \sin^2 \sigma_i Q_i^2 + b_{p_i} \sin \sigma_i Q_i + c_{p_i}$$
(12)
where $\sigma_i$ is the angle difference between voltage and current [25].
Generalization: Most authors who looked into reactive power flow optimization have focused their analyses on optimization problems that have a single objective function. However, modern technology revealed this to be a much more complex problem, which requires analyzing the prevalence of all variables and considering the current realistic scenarios with active generation points.
The purpose of a typical OPF solution is to meet physical and operational constraints of the power system and map control variables aiming to minimize (or maximize) the scalar target function.
Normally, satisfaction of constraints and arrangement of controls in practically realistic conditions is more important than the absolute top-level optimum. Practical difficulties of optimization are related to solving multiple, incompatible objectives at the same time.
Artificial intelligence (heuristic) methods differ from traditional methods by their ability to find the optimum point without the use of the objective function gradient, therefore, as a result, the calculation costs decrease (by assigning time for sources). However, their local minimization is not as effective as the global optimization. In other words, it demands more time than the function minimization [76].
To solve the problem of optimal selection of power compensator in the DN, its place and parameters, many models based on artificial intelligence (heuristics and metaheuristics) were designed. These models work as search algorithms performing an overview of knots and lines of the system studied. Heuristic methods are based on the way computer systems can imitate smart processes, such as learning, reasoning, and comprehension of specific information [22,34].
Metaheuristic optimization algorithms are the processes that find the best answer to problems. The optimization process aims to find the value of variable by reducing or increasing the objective function with constraints [87–91].
The most common methods are as follows:
- Improved genetic algorithm [1,25],
- Genetic algorithm [18,28,67,76,78,79,87,88],
- Genetic algorithm with real parameter [28],
- Evolutionary programming (EP) [28,76,79,88],
- Adaptive genetic algorithm (GA) [28],
- Particle swarm optimization (PSO) [18,25,28,67,76,78,79,88],
- Bacterial foraging optimization (BFO) [28,87,89],
- Differential evolution algorithm (DE) [25,28,67,88],
- Gravitational search algorithm (GSA) [25,28],
- Seeker optimization algorithm (SOA) [25,88],
- Artificial bee colony [30,67,78,88],
- Hybrid particle swarm optimization (hybrid PSO) [28],
- Simulated annealing [18,76],
- Tabu search [18],
- Ant colony optimization [18,67,87,88].
These methods present extreme superiority in obtaining the near-global optimum and in handling non-convex and discontinuous objectives, and they are effective in overcoming the disadvantages of classical algorithms. Loss reduction, voltage deviation reduction, and stability improvement are the main objective functions that are assessed in solving the task of optimal distribution of reactive power [28]. They are suitable for using internet applications with frequent updates of control settings [25]. Specificity of artificial intelligence (heuristic) methods are in Table 1.
Table 1. Specificity of artificial intelligence (heuristic) methods.
| Method | Method Specifics |
|-------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Genetic algorithm (GA) | GA are adaptive heuristic search algorithms that are based on the ideas of natural selection and genetics [90]. These methods are well-known and often applied at the very beginning, when solving the tasks of optimal power flow based on heuristic search methods [76]. The optimal power flow problem is solved until optimal solutions to the OPF problem are obtained [78]. Power distribution planning is performed using the genetic algorithm along with the Quasi-Newton Method, OFE, and branch exchange. A balanced GA with data envelopment analysis can solve multi-level power distribution planning problems with uncertainty [22,91]. There are several approaches to applying the task of voltage and reactive power. For instance, the use of preventive calculation for planning and optimal layout of the reactive power sources and voltage security improvement [92]. A genetic algorithm shows the optimization of a function. It is not an inherent optimizer as the function optimization is only a demonstration of the learning ability of this complex adaptive system [92]. Method advantages—possibility to find quite good solutions for the tasks with the unknown algorithms of an optimization solving process. Shortfalls of the method—limited areas of use, calculating time, exponentially increasing with the number of independent variables. Care is needed in situations where the domain was selected exclusively for demonstration purposes [92]. |
| Search with prohibitions | TS is an heuristic algorithm that commands the search engine to find the best fitting solution for a combinatorial problem [73]. TS is a method for finding an optimal solution for the DN operation [22]. The advantage of TS is that it reduces the need of data for the initial processing because TS automatically eliminates variables to a certain degree. These variables do not increase the classification for various problems analyzed as is the case with the variables with missing data or incorrect coding [93]. Effective execution to achieve optimal or suboptimal solution is the ability to avoid the local minimum [94]. Shortfalls of the method—relatively harder to encode due to the adjustment of multiple parameters, low accuracy factor. |
| Particle swarm optimization | PSO algorithm is an iterative algorithm, in which the particles fly (move stochastically) in a multidimensional search-space [95]. Each swarm particle corresponds to a specific solution to the problem [78]. Moving, each particle adjusts its position according to its experience (referred to as local best experience) and the experience of particles near it (referred to as global best experience) and selects the best position [95]. Method advantages—PSO is the closest to the accurate solution, speeds up the optimization procedure by searching for the best point [93]. Similarly, if the calculations are limited for time, the algorithm for particle swarm tracking may become useful. Easy to encode with several equations, easy to find examples in academic literature [93]. Shortfalls of the method—relatively poor quality in searching for a global optimum, few examples in scientific publications [22]. It was found that the results of particle swarm optimization convergence are better than those of the genetic algorithms [76]. |
| Evolutionary algorithm | EA emulates natural selection processes [53]. EA is a metaheuristic population-based optimization process that converges to a global optimal solution with great probability to a finite number of evolution steps based on finitely many solutions [22]. EA is not applied in searching for the solutions of energy control problems [96]. Method advantages—efficiently used in searching for a global optimum, easy to find examples in scientific publications [34]. Shortfalls of the method—although standard values usually ensure a reasonably good efficiency, different configurations might bring better results. Also, premature convergence to the global (local) extremal point may result from an unfavorable configuration and fail to produce (a point next to) the global (local) extremal point. |
| Ant colony optimization | ACO algorithm is a new and evolutionary method for solving optimization tasks [76]. Lately, the ACO algorithm has been applied in solving various optimization problems, e.g., short-term scheduling generation, planning of hydroelectric power plants, etc. The use of ACO algorithm allows reaching almost optimal network rearrangement [97]. Method advantages—easy to understand and encode. The solutions are improved one step at a time by estimating probabilities [22]. Shortfalls of the method—probability distribution deviations from iterations, unclear time for convergence, little examples in scientific publications [22]. |
| Bacteria foraging (BF) | This technique solves the problem of computing an optimal feeder route [98]. This algorithm is inspired by the chemotaxis foraging behavior of bacteria that will perceive chemical gradients in the environment and move toward or away from them [74,88]. There are three steps in the bacterial foraging algorithm following the search strategies, such as chemotaxis, reproduction, removal, and distribution [97]. The algorithm is suitable for a combinatorial optimization problem. Method advantages—ability to find new solutions based on elimination or dispersion, short calculation periods, search-space dimension. Shortfalls of the method—a very specific constraint handling mechanism, which is difficult to generalize, and also a large number of parameter values that must be defined by the user. |
Table 1. Cont.
| Method | Method Specific |
|--------|-----------------|
| Simulated annealing (SA) | SA is a popular heuristic search algorithm. It is empirically illustrated in searching for global optimizations for combinatorial tasks [86]. SA is a computational simulation, during which the optimization problem is simulated during the annealing process [99]. The model helps in finding an optimal place and size of DG in order to reduce the power losses (PL), transmission (Ept), and voltages with respect to a severity index (SI). SA can provide balance cost and emission limit using SA as an optimization measure [23]. SA is a computational simulation, as a physical process, during which the optimization problem is simulated during the annealing process [100,101]. It is capable of escaping from the local minimum by including the probability function to approve or reject new solutions [34]. In a physical context, the premise is that metals can often reach a higher final energy state if they are periodically re-heated through their cooling process [99].
Method advantages—easy to implement, ability to provide quite good solutions for multiple combinatorial problems [23].
Shortfalls of the method—relatively poor quality in searching for a global optimum, long calculation period [22]. |
| Artificial immune system (AIS) | AIS is connected to the network local search engine in order to solve the problems of power distribution planning under load redetermination [91].
Method advantages—easily adapts and evolves depending on the tasks performed. Drawbacks—little examples in academic literature.
Shortfalls of the method—few examples in scientific publications. |
| Artificial bee colony (ABC) | ABCA is a relatively new optimization technique that mimics the intelligent feeding behavior of a bee swarm [75]. ABC algorithms have only three control settings (population size, highest number of cycles, and restriction rules) are pre-determined by the user. The ABC algorithm is simple, flexible, and stable [79]. Even though the ABC algorithm may be applied for optimization problems, its solution may fall in the local minimum. Finding an optimal solution for a complex objective function then becomes difficult (e.g., multi-modal functions with multiple local minima) [102].
Method advantages—capable of processing complex optimization problems, easy to encode.
Shortfalls of the method—few examples in scientific publications. |
| Differential evolution (DE) | DE is used to solve the problem of optimization by selecting a target function at several randomly selected starting points. Predefined parameter constraints describe the area from which the M vectors are selected in this initial population [22,34]. SE accepts the mutation as a weighted sum of the difference between the base vector and the vectors.
Method advantages—random search, less parameter setting, high throughput, and complex optimization problems.
Shortfalls of the method—unstable convergence, possibility of pitfalls in favorable conditions, lower accuracy rate. |
Generalization: For the last 20 years, evolutionary algorithms has been the most popular method to solve the OPF problem. On the other hand, a tendency was found in the last decade to approach the OPF through swarm intelligence algorithms.
4. Discussion
- The effect on the quality of power changes as DN continue to provide services to new customers and producers, including electric vehicles and various distributed generators. This causes voltage fluctuations in the feeder lines, malfunctions of voltage control devices, overloading of feeder cables, variations in reactive power flow due to malfunctioning capacitor batteries and overcurrent, and failure of overvoltage protection devices. Therefore, it is important to choose the right optimization method for optimal regulation of voltage and reactive power.
- Energy storage systems in a distribution grid allows system operators to solve load problems caused by decentralized renewable energy generation. Appropriately integrated and controlled batteries can reduce power losses, contribute to voltage control, and provide the optimum compensation for active and reactive power in a continuously powered electrical system. A battery can store and emit energy at high frequencies, ensuring frequency and voltage stability, as well as for long periods of time, while ensuring efficient energy management optimization for renewable energy system. However, DG includes renewables, and in terms of optimization, these are additional uncertainties, as it is usually difficult to forecast any accuracy, short term or real-time wind speed, and battery loading over the coming days.
- Most current optimization methods only use DC network models, depending on the efficiency and size. Also, there is a growing need to incorporate variables and constraints related to reactive power into the problem, which accelerates the incorporation of AC network models, as
approximate DC network models for reactive power planning may yield incorrect results due to their inherent inaccuracy.
- In the electrical system, condition variables include bus voltage values, relative bus voltage angle difference with respect to reference angle, while system variables are active and reactive power, generator voltage values, transformer tap, and phase switches. Therefore, it is necessary to find computational methods that can manage many control variables.
- Classical methods allow finding the global optimum of objective function, and when the objective function consists of discrete variables, the application of such methods becomes problematic. Besides, classical, purely mathematical methods require derivatives of objective function, which gives rise to many difficulties during the optimization procedure, e.g., the complexity characteristic to some function derivatives.
- Heuristic methods, during optimization procedure, use the objective function itself rather than its derivatives. Furthermore, they may be used to find the optimum point. Heuristic methods have overcome many drawbacks of traditional algorithms and they have been proven to be useful in optimization. The main advantage of each metaheuristic technique is its versatility in solving multifunctional problems and constraints as well as the need to find high-quality optimal solutions. Due to the development of smart grids and increasing number of distributed energy resources, future solution methods must be able to model and find optimal solutions to the problems of various types of constraints related to storage resources, renewable energy resources, etc.
5. Conclusions
The optimization tools used in power systems are becoming increasingly important in the complex task of efficient power supply to the grid. Power system areas where these optimization tools are required include performance analysis, planning of the power system, and power management.
Abundant control and optimization techniques have been developed for optimal reactive power control, such as deterministic and artificial intelligence (heuristics). There are several new objectives and constraints involved in applying new optimization techniques to the traditional problem of optimal power flow.
The primary goal of power system planning is to define appropriate generation and transmission strategy for efficient system use.
Selecting efficient logic for battery charging and discharging that can extend their service life is important, as well as selecting the right optimization method in order to get the optimum size of the battery storage system.
On the contrary to previous reviews of size optimization for battery energy storage systems, this review was conducted by the type of energy application—renewable energy systems. As we shift towards power generation for the renewable energy system, more sophisticated optimization tools will further be developed.
Most of the reviewed pieces of research examine the impact of high solar PV penetration in low-voltage DN in terms of voltage, loading of lines, cables and transformers, focusing less on other phenomena particular to networks.
The analyzed algorithms not only include modern and popular, but also historical, methods. This review presents heuristic methods that are used in solving the problem of reactive power control. Besides, it offers objective function and mathematical formulation to the problem. These methods are classified based on their objective functions; besides, they are grouped into evolutionary algorithms, physical algorithms, immune algorithms, and swarm algorithms. The discussion covers the use of methods, their strengths and weaknesses.
Aiming for optimum operation of power grids and high quality of power, all available data must be used. Extraction and analysis of such data allow assessing reliability and identifying relevant problematic areas (locations). This knowledge facilitates the ability of energy companies to focus on inspection and preventive repair efforts on the most vulnerable components and devices.
When recommending that a particular method outperforms others, you need to have all the required method input data and quantitatively compare the results to obtain the best method.
As data volumes will increase significantly in the future, integrating intelligent big data analysis tools is necessary. Selecting or developing new, more sophisticated methods is required to operate with large-scale data acquisition, and take automated real-time decision making into account.
Authors of many publications using these kinds of optimization strategies have failed to include grid constraints (voltage in buses, power flows through distribution lines and transformers) and assumed that the grid infrastructure had unlimited capacity.
**Author Contributions:** In this research activity, all authors were involved in the data collection and pre-processing phase, model constructing, results analysis and discussion, and manuscript preparation. All authors have read and agreed to the published version of the manuscript.
**Funding:** This article has been elaborated in the project EnergyKeeper. This project has received funding from the European Union’s Horizon 2020 research and innovation program under Grant Agreement No. 731239.
**Conflicts of Interest:** The authors declare no conflict of interest.
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FURTHER INFORMATION ON THE FUNEREAL COCKATOOS OF EYRE PENINSULA
RAYMOND C. NIAS
INTRODUCTION
Funereal Cockatoos *Calyptorhynchus funereus* on Eyre Peninsula are isolated from the nearest populations on Kangaroo Island and the Mount Lofty Ranges (Blakers *et al.* 1984). In a study begun in 1983, Possingham (1984, 1986) found the population to consist of only 38 birds (32 adults and six immatures or fledglings). Breeding was confined to tree hollows in a small patch of Sugar Gum *Eucalyptus cladocalyx* woodland in the Koppio Hills, near Wanilla (34° 30'S, 135° 45'E). Four nests, and one further probable nest were found in hollows at least five metres above the ground with entrances facing south or southwest. Fifty-six hollows within the breeding area appeared to be suitable nest sites for cockatoos although about 16% were occupied by feral Honey Bees *Apis mellifera* or Galahs *Cacatua roseicapilla*.
Although small, the population appears to have been stable in numbers during the 1970s and early 1980s (Possingham 1984, M. Yancic pers. comm.). In 1984 however, part of the breeding area was cleared for agricultural use. A second study of the population was made in 1986-87 to assess the effect of this clearance on cockatoo numbers and recent breeding efforts. Full details of this study are given in a report prepared for the South Australian Ornithological Association (Nias 1987). The present paper briefly summarizes the study and outlines several recommendations for management of this species on Eyre Peninsula.
METHODS
From November 1986 to March 1987, ten weeks of field work were undertaken in the Koppio Hills, north of Port Lincoln. The number, sex, and activity of cockatoos was recorded and their locations mapped. Particular attention was given to the breeding site and important feeding areas identified by Possingham (1984).
Remnant patches of native vegetation in the Koppio Hills were visited and their suitability as breeding sites for cockatoos was assessed.
When nests were located observations were made on the type and aspect of the hollow used, breeding behaviour, and the progress of each nesting attempt.
RESULTS
Funereal Cockatoos were seen most frequently in the Wanilla area at the breeding site or feeding in pines *Pinus halepensis* at Wanilla State Forest. Occasional sightings at other sites, and evidence of feeding, showed that the birds may range widely over the Koppio Hills, south of Koppio itself. Birds were observed feeding on the seeds of Dwarf Hakea *Hakea rugosa* and pines, and tearing open the flower–spikes of Yacca *Xanthorrhoea tateana* in search of wood-boring insect larvae.
In November 1986, a total of 24 birds (22 adults and two immatures) were observed at Wanilla S.F. There appeared to be equal numbers of male and female birds present. In mid-November the population split into two distinct groups; a group of 18 birds (including both immatures) moved to the breeding site 8 km ENE of Wanilla while the remaining six birds (three males and three females) continued to reside in the State Forest.
Sixteen of the 56 potential nesting hollows originally present at the breeding site, including two used for nesting in 1983-84, had been removed as a result of vegetation clearance. The remaining woodland was subjected to grazing by cattle and showed signs of recent burning and invasion by weeds.
Four nests were found in the same small patch of Sugar Gum woodland used for breeding in 1983-84. By using data collected on *C. funereus latirostris* in Western Australia (Saunders 1982), I estimated that eggs were laid in early December.
and nestlings hatched about 28 days later in early January. By 10 March, one nestling had fledged and two others were close to fledging. One nest failed during the incubation phase for unknown reasons.
DISCUSSION
It appears that in mid-October each year, Funereal Cockatoos return to the Koppio Hills after spending much of the year ranging widely over the Eyre Peninsula (see Possingham 1986). However, the number of birds that return each year has declined markedly in historical times. Although flocks of 100 or more birds may have been present in the 1920s and 1930s, there have been less than 40 birds in total during the past few decades (Possingham *loc. cit.*, R. Scott pers. comm., M. Yancic pers. comm.). In 1985, for example, 33 cockatoos were observed at Wanilla S.F. (M. Yancic pers. comm.) and in 1986 only 24 birds were observed (this study).
In addition to low numbers, few of the birds returning each year actually bred. In 1983-84 only five pairs nested and in 1986-87 only four pairs made any nesting attempt. Therefore, about two-thirds of the adult population did not breed in these years. The most likely explanation for such a low breeding effort is the lack of suitable nest sites in areas other than the main breeding area. Although there was an apparent surplus of hollows within the breeding area, the behaviour of breeding birds may limit the number of pairs able to use the site for nesting. In Western Australia, for example, female *C. f. latirostris* behaved agonistically toward each other when selecting and preparing nest hollows (Saunders 1982). Similarly at Wanilla, the spacing of nests within the breeding area suggested that each pair excludes others from nesting too close. In 1986-87 all nests were at least 150m from their nearest neighbour (Nias 1987) and in 1983-84 were between 50m and 150m apart (Possingham 1984).
There appeared to be few areas of woodland remaining on Eyre Peninsula that could support breeding cockatoos. Taller stands of Sugar Gum were probably among the first to be cleared and remaining patches, including Wanilla Conservation Park, contain few trees large enough to provide suitable nesting hollows. In addition, several sites, which had formerly supported breeding cockatoos, seem to have been abandoned since the introduction of stock for grazing and subsequent loss of understorey vegetation. Clearance of native vegetation has also resulted in the loss of important food plants. Those plants remaining after clearance, or along roadsides, may be subject to intense utilization by cockatoos in search of food. In 1986-87, for example, virtually all *Hakea* and *Xanthorrhoea* within four kilometres of the breeding area showed signs of extensive use by cockatoos. The decline of *Xanthorrhoea* is of particular concern as insect larvae present in the flower-spikes may be an essential source of protein for growing nestlings.
In summary, the continued existence of Funereal Cockatoos on Eyre Peninsula is in doubt. A decline in numbers between 1983-84 and 1986-87 suggests that there has been insufficient breeding to replace natural losses over this period. Furthermore, the population may also be at risk from catastrophic events such as drought or fire, and the potential loss of genetic diversity due to inbreeding. Some direct intervention may be necessary if the species is to survive on Eyre Peninsula and I suggest the following points need to be considered in any management of the population:
1. Nest-boxes (artificial or transplanted hollows) should be provided in areas that lack suitable hollows. The most promising site for the erection of nest-boxes is Wanilla State Forest where there are large trees and good food supplies. If possible, several different sites should be selected so as to minimize the potential impact arising from fire or other disasters, and to reduce competition for scarce and/or scattered food resources.
2. Specific areas of native vegetation, particularly the few remaining patches of taller Sugar Gum woodland, should be protected from further clearing or grazing. Rehabilitation of native vegetation, or plantings of Aleppo Pines, might provide extra food for cockatoos near the breeding area and allow numbers to increase.
3. The feasibility of establishing a captive-bred population should be investigated.
4. Remaining birds should be protected as far as possible from human interference, particularly at the breeding site.
ACKNOWLEDGEMENTS
This project was undertaken while I was a Project Officer with the South Australian Ornithological Association. I am grateful to the Association for this opportunity and, in particular, to Dr Andrew Black and Messrs Bill Lade, Leo Joseph and Roger Burford for their assistance. I would like to thank Mr Colin Gill, Mrs Hazel O'Connor, Mr Mario Yancic and my father Mr R. V. Nias for their help in the field. Mr D. Hollness, Mr D. Luckraft and Mr T. Gameau gave permission for work to be carried out on their properties. I would like to acknowledge the assistance of the Senior Ranger and staff, National Parks and Wildlife Service (Port Lincoln). Funding for this project was provided by the Reserves Advisory Committee, Wildlife Conservation Fund, Department of Environment & Planning, South Australia. Mr Leo Joseph and Dr D. Saunders provided helpful comments on the manuscript.
REFERENCES
Blakers, M., Davies, S. J. J. F., and P. N. Reilly. 1984. The Atlas of Australian Birds. Royal Australasian Ornithologists Union: Melbourne.
Nias, R. C. 1987. A survey of the Funereal Cockatoos *Calyptorhynchus funereus* on Eyre Peninsula, South Australia, in the 1986/87 breeding season. Report for the Reserves Advisory Committee, Department of Environment & Planning, Adelaide.
Possingham, H. P. 1984. The Funereal Cockatoo on Eyre Peninsula, South Australia. Report of the Reserves Advisory Committee, Department of Environment & Planning, Adelaide.
Possingham, H. P. 1986. The Funereal Cockatoo on Eyre Peninsula. *S. Aust. Orn* 30: 1-4.
Saunders, D. A. 1982. The breeding biology and behaviour of the short-billed form of the White-tailed Black Cockatoo *Calyptorhynchus funereus*. *Ibis* 124: 422-455.
8 Sherley Drive, Para Hills, S.A. 5096; present address: World Wildlife Fund Australia, Box 528, Sydney, N.S.W. 2001
Received 10 July 1987; accepted 18 November 1987. |
The Houghton Star
'What's Up, Doc?'
The Houghton Star
Pre-Law Wins Case
by Bryan A. Vosseler
Dr. Kay Lindley, head of the History and Social Science Department as well as the Pre-Law program, answered questions in a short interview. "Almost 100% of the students from Houghton who apply to law schools have been accepted. During the time I have led the program, I only know of one student who has not been accepted, and I think she will surely make it this year." As to major program goals Dr. Lindley stated, "The program helps students find strengths and correct weaknesses. We make sure the students have critical thinking skills, good research and writing skills, and some of that milieu of law, including ethics and law."
Angie Gilmore, a senior pre-law student, stated in an interview, "I would like to work for custody, juvenile delinquency, and child abuse cases. My motivation is not for a high salary, but to help people. I think being a lawyer is one of the best ways...I wouldn't be able to help people, for example, in cases where I would be just letting them off the streets for a little while. But I can't do everything."
"Houghton did help me prepare for this career. In being a Social Sciences major and Philosophy minor, I learned how to better support my positions. Also on the Washington Studies program I interacted with a lawyer thereby learning more exactly what I wanted to do."
Pertaining to a possible contradiction between being a Christian and defending someone in a child abuse case Angie said, "I don't see how a Christian could defend someone who is guilty, especially when they admit it to me in person. I know how the system works; you are innocent until proven guilty. Therefore they should and deserve to be represented, but not by me. That is just by personal opinion."
Trustees Increase in Size
by Jonathan Robords Lightfoot
The major topic of discussion at the January 17 and 18 meetings of the "expanded" Board of Trustees was the cost of Houghton College for next year's students.
As President Daniel R. Chamberlain explained when interviewed, the term "expanded" is somewhat misleading as the size of the board has only increased by two. Legislated by the last General Conference of the Wesleyan Church, which met during June in Columbus, Ohio, the change to the General Board to make changes in the composition of college boards as they saw the need arise. With this power, the General Board changed the composition of the Houghton College Board, but not by much.
Another change that has greatly affected the Houghton College Board of Trustees is the decision that a trustee will be allowed to serve on the board of only one college. Several members of Houghton College who served on another chose to quit Houghton's board, necessitating new members to replace them. The board nominated only three of the four new seats made available, making an increase of two with the loss of one nominated by the General Board, but there are more new faces than the size increase would suggest.
One of the new board members who might interest Houghton College students is Dr. Clarence Bence, last semester's CLEW speaker. Chamberlain on the board liked having a man with a faculty point of view, and since he is from another college, he does not have the bias he would if he were from Houghton. Previously his father served on the board for 12 years. At one meeting his father was there, and at the next meeting his son was.
Chamberlain had a few comments to clarify the cost increases for Houghton College students. From 1983 to the present the rate of inflation has been considerably greater than the cost increase for Houghton students, while Houghton has also been increasing its services to students. The only thing covering this spread in prices has been a greater emphasis on gifts to the college. The 9.8% increase is a slight effort to close this gap and bring the student-supplied part of the budget into a more reasonable percentage.
Covering All Corners
by Jon "Snake" Merrill
Washington, DC—Seeking to capitalize on his election mandate, President Ronald Reagan submitted his $972.3 billion budget to Congress Monday. He proposed a large defense increase and a number of heavy cuts in social programs. A $32 billion increase in military spending is expected, while an estimated $39 billion dollars would be saved by cutting or eliminating domestic benefits. Those programs being reduced were: aid for students and veterans, Medicare, farm and business subsidies, and grants to states. After the House and Senate have looked at and to leave the Social Security program untouched, Reagan holds true in his proposals. Regarding the much-debated federal budget deficits, the President projected deficits to fall from $222.2 billion dollars to $180 billion dollars in fiscal 1986.
Reagan told Congress that if peace and prosperity are to be attained, "federal domestic spending must be brought firmly under control." The President spoke to a group of religious broadcasters, urging them to join him in presenting Congress from slashing his defense budget. He said, "I don't think the Lord that blessed this country as no other country has ever been blessed intends for us to have to somehow negotiate [with the Soviet Union] because of our weakness." Reagan justified the defense increase as a response "to the unprecedented military build-up of the Soviet Union—the largest military build-up in world history."
In Congress, Democrats rejected the budget as "unacceptable," and plan to use Reagan's proposed cuts, especially with middle-class benefits, against his popularity. Republican leaders avoided any criticism, but considered the defense budget "negotiable," assuming that Reagan will agree to lower his defense spending. Senator Edward Kennedy claimed that Reagan's defense cuts in student aid and loans will create unrest on the nation's campuses, and will be a "great risk" taken by the country. The Soviet government attacked Reagan's 1986 budget by proclaiming the military spending proposals are evidence of US determination to have military superiority.
Moscow—Having been absent from public view since December 27, Soviet leader Mikhail Chernenko may, according to British newspaper reports, relinquish power for health reasons. Chernenko, 74, has been ill, and has relinquished leadership in the Soviet government by succeeding the late Yuri Andropov last February 13. If Chernenko resigns, he will become the first Soviet leader to voluntarily leave his post. While some Kremlinologists predict that Chernenko's inevitable departure will initiate a reshuffling process within the Communist Party, others contend that a transition of power is already in progress. Mikhail Gorbachev, who is 53 years old and the youngest member of the ruling Communist Party Politburo, has been mentioned frequently as the likely successor to Chernenko. A Gorbachev accession to the Party's General Secretary position will magnify the emergence of young, flexible officials over the more traditional "Old Guard." Grigory Romanov is considered to be the Kremlin's conservative choice for Chernenko's office.
Whether Chernenko resigns or remains in power, the Soviet Union will face important issues abroad (arms talks with the US) and at home (the sagging economy and military presence in Afghanistan). The survival of either the traditionalists or the younger generation may decide how the Soviet Union will approach its future problems.
Lima, Peru—While taking a twelve-day tour through Latin America, Pope John Paul II arrived in the Peruvian capital of Lima during a near blackout. The Moche Shining Path guerrillas used the blackout in responding to the Pope's plea that they end the violence that has claimed over 5,000 casualties in five years of civil war.
Guarded by Peruvian army troops wearing bulletproof vests, the Pope spoke in the Andean mountain city of Ayacucho Sunday, where guerilla fighting has been its heaviest. He called the Maoist men who have put their trust in armed struggle and are guided by false ideologies. The Pope also declared that "violence leads nowhere," and "no good is obtained by contributing to its growth. If your objective is a more just and fraternal Peru, seek the roads of dialogue and not those of violence." Immediately, a crowd of 15,000 peasants broke out in a cheer, "Ayacucho wants peace! Ayacucho wants peace!"
Buffalo Link Gets Good Ratings
by Faith Haines
The communications link between the Houghton and Buffalo campuses receives enthusiastic support from administrators, faculty and students. The system, inaugurated in last September, is nearly complete. Classes in Buffalo use the system for distance learning. The telephone link, allowing Buffalo to be just another extension number, is fully operational. According to Dr. Willis Beardsey, Registrar, the computer cards are in place for the Buffalo classes, but the wiring is yet to be installed.
Beardsey said of the system, "I think it is fascinating that you can have people 65 miles apart in the same class inter-acting with each other." He also claimed the project was "a real plum for us." Dr. Dan Moore, cameraman, and Dr. Charles Massey, Dean of the Buffalo Campus, were also very influential in the program.
Dan Moore, audio-visual specialist who works with the link, said, "We are thrilled with the system so far." There are problems getting the signal from the receiving dish on Shawano Down to the underground line leading to the classrooms, but Moore hopes to see that settled soon.
Moore would like to encourage anyone to "stop by S2C10 and take a look at the set-up there." Two classes using the link originate in Buffalo: Dynamics of Interviewing with Prof. Larry Ortiz and Preschool Methods with Prof. Claity Massey. The other three, Prof. Conklin's Spanish class, Prof. Deane's Foundations of Education and Dr. Perkins's Sociology of Religion originate from the Houghton campus. Dr. Perkins claimed the communications link is "a chance to come closer together." He sees it as a benefit to the system. A slight drawback is the difficulty in coordinating tests because two monitors have to be set up and the tests sent a week ahead of time. "A few little glitches need working out" but it's "very promising" he said.
A Preschool Method student, Betty Hartman, said of the system, "I like it. If they didn't have it, I would have to go to Buffalo and get stuck in a snowstorm." Speaking of the technical equipment she said, "It's an inconvenience, but you have to live with it."
Editors' Note: The cost of attending Houghton College next year will rise to $7,860 and not $7,000 as reported in last week's Senate article. The Star regrets this error. ("Students for Idol" could care less.)
Urbana Urges Missions Commitment
by Glenn Rutland
Every three years, thousands of people gather on the campus of the University of Illinois at Urbana to attend the Urbana Convention. The convention is a Christian project aimed at broadening the international missionary perspective of all who attend, most of whom are students.
Over 10,000 people attended and built to hold only 17,000 accommodated more than 19,000 each afternoon for four days. Together, through multi-media presentations, internationally renowned evangelists, and worship, 19,000 people learned about what serving God could mean.
Senior Dan Freed is one of 35 Houghton students who attended the conference. Dan believes ignorance is a vice and the duty to learn about world missions. Before Urbana, Dan’s spiritual struggles with missions resulted in his own reluctance to obey God. Although he always asked God to guide him into missions, if that was God’s reasonable will, Dan was afraid that God would take him up on it. Now Dan feels at peace with God and himself because he no longer fears the missions ministry.
“Too many people are looking for God’s will but not for God. If we wrapped ourselves in prayer, faithfulness, and obedience, God’s will would be clear. Don’t worry about it.”
The ‘front line’ of missions is not done on the mission field; it’s done by God’s people on their knees.”
Urbana emphasized that the Christian population is one family in Christ through small group meetings, individual quiet times, seminars, and Bible studies. In addition, over 140 missionary organizations set up booths in the gymnasium and 5-7,000 people visited them on behalf of the four affluences. Although overseas missions was emphasized, Urbana equally stressed that overseas missions is not an absolute. For about half an hour each day, the spiritual needs of a people group (Hindus, Buddhists, Muslims) were conveyed in a mass media presentation. Many people agreed that the underlying message of Urbana was our faithfulness to Christ Jesus.
Craig Ostehaus, a sophomore, “found that the theme of Urbana ‘84, ‘Faithfulness in Christ Jesus,’ was both a challenge and an encouragement. The challenge was to maintain my own commitment to Jesus; it must stand above and be in harmony with all other commitments I make. The encouragement came as I heard testimonies from people who were blessed by God for their faithfulness to Him. I will not say I leave Urbana, but I was sobered by the thought of living in a continual willingness to obey my Lord.”
Jeanne Pollini is one who attended Urbana already having made a commitment to work in missions after graduation. Jeanne sought direction, and during Urbana she realized she had to give more attention to her prayer life. “In Ephesians,” Jeanne says, “God tells us to pray always and about everything.” Jeanne liked the traditional worship service (11,000 people singing together) and the small group meetings (half a dozen people praying with one another).
“Urbana emphasized Ephesians 4, 5, and 6. Ephesians 5:11 tells us that as Christians, we should live in darkness, but in the light. Separation is denoted. We are called to be faithful to Christ Jesus in every aspect of our lives, and this faithfulness should be evident to all.”
Before Urbana, junior Tom Bookhout never considered missions. He traveled to Urbana with an open mind and concluded that, “A missionary isn’t necessarily a person who has been called by a calling from God. Rather one can be a nurturing Christian who, while looking for a way to serve God, sees a need elsewhere and goes.”
“Neither a Borrower Nor a Lender Be”
HESC—The notion that the typical student loan defaulter is a high earning graduate with a large debt from educational borrowing is refuted by the findings of a recently published study by the New York State Higher Education Services Corporation (HESC). Instead, the findings reported in “Student Loan Debt and Default” indicate that unemployment or other extenuating circumstances are the primary reasons why student borrowers fail to repay their educational loans. The study suggests that defaulters are willing and able to repay debts accrued through educational borrowing. Borrowers who repaid their loans were three times as likely as defaulters to have been employed when the loan came due.
The study further found that the longer students stayed in school, the less likely they were to default. Seniors and graduate students had the lowest rate of default, 2.6%. A related finding was that repayees borrowed more money and incurred greater debt levels than defaulters. The average repayer owed a total of $4,626, while defaulters, on the average, owed $3,106.
People who withdrew from school were almost as likely to repay as people who graduated (85% vs. 90%). Graduates of one-year programs were more likely to default than graduates of longer programs because they were unable to find jobs.
Fine Arts
Concerto Masterpiece Performed Tonight
by Gerry Szymanski
This evening, February 8, 1985, the Rochester Philharmonic Orchestra will perform its concert as a part of the 1984-85 Houghton Concert Artist Series. Joining RPO Music Director David Zinman will be pianist Radu Lupu to perform Piano Concerto No. 1 in D major, Opus 15, by Johannes Brahms, included on the album Time Line. Beethoven's Coriolanus Overture, Opus 62 and Bela Bartok's Music for Strings, Percussion and Celesta. This is the RPO's 14th appearance on the Houghton stage and will be its last before David Zinman takes over the Buffalo Philharmonic next season.
Born in Russia in 1945, Radu Lupu began studying the piano at age six and won a scholarship to the Moscow Conservatory in 1961. While still a student there, he won first prize in the Van Cliburn, the Enescu International, and the Leeds competitions. He has performed many times with the Berlin Philharmonic and Herbert von Karajan as well as appearing with the major orchestras of New York, Boston, Philadelphia and Chicago. Lupu has performed with the RPO on several occasions, including the Orchestra's 1982 appearance at Carnegie Hall.
At age 25 Johannes Brahms completed his Piano Concerto No. 1 in D minor during the four years of painstaking revisions, omissions and restructuring which led the work from a symphony, to a sonata for two pianos, to its present concerto form. The concerto was not well received at first; critics complained that it seemed too much like a long symphony with keyboard obbligato, not a piece for piano solo with orchestral accompaniment. Later however, the Piano Concerto No. 1 took its rightful place in the repertoire as a highly complex, yet passionate masterpiece.
Finished in 1858, the concerto is divided up into three movements: Andante tranquillo, Adagio and Rondo: allegro non troppo.
The dynamic and exploratory Coriolanus Overture by Beethoven was probably never written to grace the stage at a playhouse. Taken from a tragedy by the same name by the Viennese playwright Heinrich Joseph von Collin, Coriolanus is instead a descriptive narrative of the ill-fated Roman general and his strivings. The sharp contrasts of pride and mercy are expressed in the passionate depths which come from Beethoven.
Bela Bartok's Music for Strings, Percussion, and Celesta will also be performed. Written in 1936 at a time when Bartok pondered the nature of man and the universe, the music expresses itself according to a mathematically ordered universe. The piece provides an astonishing wealth of musical genres, types and characters in addition to its logical development. Its four movements are: Andante tranquillo (a masterly fugue), Allegro, Adagio, and Allegro Molto.
Over the past decade, David Zinman has re-established the RPO as a major ensemble. In addition to a continuing schedule as a guest conductor of the Rotterdam Philharmonic.
The native New Yorker graduated from Oberlin Conservatory and studied composition at the University of Minnesota where he was chosen director and assistant to Pierre Monteux. In Europe, he achieved international attention 20 years ago conducting concerts of the Netherlands Chamber Orchestra.
The RPO presently has a 46-week schedule, which includes a symphonic series at the Eastman School, cabaret-style Pops concerts at the Dome Arena, area summer and educational concerts.
Album: Time Line
Artist: AD—Kerry Livgren
Label: CBS
The Bottom Line
by Rich Rese
Anyone who has a taste for 80's rock will enjoy AD. Kerry Livgren and Dave Hope, both former members of Kansas, combine the talents of rock vets. Vocally, Michael Gleason and Warren Ham are, at times, not as powerful as they could be.
The message is obviously to Christians, but others may have trouble understanding a few songs as we tend to be somewhat vague.
All seven songs were co-written by Livgren, which means that the music is superb, to say the least. Each cut has an innovative sound, using various keyboards, guitars, and drum rhythms.
The bottom line is: Time Line is an upbeat rock album, with the positive message of Jesus Christ. By the way, AD will be appearing this semester at school, so you may hear and judge for yourself!!
Senate Debates CID
by Hilary Hanhagen
What purpose does Current Issues Day serve at Houghton College? Do we really need it? Do we want it? What are our alternatives? These questions were raised as part of the discussion of the February 5 meeting of the Student Senate.
The topic, introduced by President Kevin Simms, elicited many responses, both in favor of CID and otherwise. Senior Linda Yazzall felt that "Current Issues Day gives us an opportunity to think about issues that we may eventually have to deal with." Hearing differing viewpoints on the issue was another vital part of CID to many senators, such as freshman Mary Canter, who stated, "I think a lot of people are closed-minded...there's an awful lot of apathy, CID introduces them to other things."
Sue Burr, a junior, had the same idea: "CID lets us hear from a non-Christian perspective and not just the pat Christian perspective."
John Brown pointed out that "CID is an intellectual and spiritual challenge...differing views are always expressed so the student can decide for himself." Being presented with differing opinions was what distinguished CID from the Lecture Series for many of the senators.
Another topic concerning CID was whether it should take the place of an academic day or be presented on a Saturday or on a night.
Nora Smith, sophomore, said, "Time and place are very important," and went on to stress that CID was an academically important affair and therefore should be presented on a class day.
Dr. Rich Perkins attended the meeting and asked the Senate to take a straw (or "mock") vote concerning the abolishment of Current Issues Day. Though the vote was an overwhelming majority favored keeping CID, a few senators questioned the Senate as to whether they had voted in their own interests or as representatives of the students. Citing the poor attendance record of CID, a few senators felt the vote did not appear to represent the views of the student body as a whole.
In other business, the Senate approved the institution of a four-member Student Health Advisory Committee to serve as a liaison between students and the Health Center.
Four new committee members were elected during the meeting. Sally Parker was elected to the Cultural Affairs Committee and Dwight Sheridan was elected to the Judiciary Committee. The Academic Affairs Committee added Kevin Schmidt, and Tim Johnson joined the Curriculum and Program Review Committee.
The Academic Affairs Council announced that there are 1,111 full-time and 42 part-time students attending Houghton College this semester. Figures are not yet in for the number of students at the Buffalo campus.
CAB announced that the movie Becker Moroni will be shown this Saturday, February 9, at 8:00 in Wesley Chapel. And weekend, according to Mark Troeger, "is going great!"
Concert Review:
Glad, Not Too Bad
by Pius IX and Innocent VIII
We arrived at eight o'clock and were shown to a prime dias in the balcony. Kudos to CAB and M.T. for finally recognizing our papal office! We noted the noisy expectation of the crowd and the large percentage of glad students, glad prospective students, glad youth groups, etc. By 8:30, the chapel was filled to the rim. How everyone screamed when Joey Jennings, CAB concert coordinator, came on stage to announce the band and Maribeth Danner et al., as winners in the "Big AI" pizza contest (talk about nepotism).
Then, almost immediately after Joey's prayer, Glad appeared. The five-member band took the stage amidst a thunderous din and opened the show with their capstone hit, "Don't Get Out of Hand" and his Leavin' Song, "There Will Never Be Another Reason" had a rich vibrant harmonic blend that pleased the crowd. Someone did comment to us later, though, that these sonorous vocals tended to be overshadowed by even more sonorous instruments. We, on the other hand, were surprised that that much sound could come from such small speakers stacked.
After singing one or two songs, Glad moved right into "Maker of My Life," a song with a Christopher Cross feel and a solo by the bass player. In the highlight of the evening, Glad traced the history of Contemporary Christian Music from the fifteenth century to the present, with layovers in the 1920's, Nashville, and the 1965 California beach. It was a comic and enthusiastic response to our theoretical and out-of-theological debate: does CCM really exist? If so, what's all the fuss; and if not, is CCM a cheap excuse for WJSL to play rock music? Kudos to Glad for settling this argument.
The song "Joy in the Morning" reminded us of early Chicago in its jazz overtones and somewhat dissonant harmony. Something Glad uses a bit in their songs. Tunes such as "So His Honor," a Body Life favorite (by the way, whatever happened to Body Life?), and "Virtual Life," which finally got everyone clapping to the beat, gave inspiration and upbeat fun. Following this, a sermonette was given by the lead singer, Ed Nalle, who emphasized the one unchanging hope in our lives, Jesus Christ and his love for us. "Stand Up and Know By Faith," "Take a Stand," and "You Must Never Forget" led into a long drum solo displaying technical brilliance, shining virtuosity, and cymballic dexterity.
Then the real sermon came, complete with Bilbo-Baggins-Farewell-Party interruptions (Prof. Bresler understands). We can't believe that people claim for everything, though innocent enough, a Czechoslovakian, his home country. After explaining the spiritual folly of Thomas Jefferson, Ed used examples from his own life to give an incentive to repentance and recommittment. The song that everyone anticipated, "Be Ye Glad," was a stirring conclusion to a well-done show.
Overall, the group was musically tight and personable, their message sincere and convincing. Glad: not too bad.
The meeting was called to take action concerning the Issues Committee. Issues Committee showed an increased level of interest and questioned whether it had been used as a forum for students.
The record shows that the vote to disband the committee was 10-2 in favor of the motion, with 11 students voting yes and 3 against this motion. The vote is not yet in the hands of the Council.
The movie "The Movie" will be shown this week on Monday at 8:00 in the Student Center or weeknights at 9:00 in the Auditorium. "It's a great movie."
Highlanders Enjoy "Home Sweet Home"
by David Mee
The Houghton men's basketball team continued its home win streak with two more victories supported by an enthusiastic crowd. On Thursday January 31, the Highlanders topped state-ranked Buffalo State 75-62, and Monday, February 4, saw Houghton hold off Geneseo State 75-72. The two victories stretched its home win streak to four games with an overall record of 14-7.
Behind a 23 point effort from senior guard Derrick Barnes, the Highlanders held off a late Bengals' surge in the win over Buffalo State. Jeff Anspach contributed 21 points. Aggressive defense once again was Houghton's forte as they were able to contain the usual fast-paced transition play of Buffalo State. John Groover, the Bengals' veteran center at 6'7", scored 18 points but could dent his usual dominance at the boards.
After a disappointing road trip to Elmira, that Houghton lost 64-53 after leading 22-8 in the first half, Houghton returned to face Geneseo State. Trading baskets for most of the first 20 minutes, Geneseo led at the intermission by one point. The second half was a see-saw battle as both Houghton and Geneseo enjoyed five-point leads. The final verdict was pronounced as Derrick Barnes faced a one-on-one situation at the foul line with 18 seconds left. He converted on both attempts and contributed to the defensive effort that preserved the Highlanders' triumph. He finished with 22 points and 15 assists. Jeff Anspach matched his team honors with 22 points as well. Senior Bill Dockery exploded for 12 early points and finished the game with 20.
Both the Houghton-Geneseo State game marked three milestones in Houghton basketball history. With his 15 assists, Derrick Barnes moved into second place on the all-time New York State assist list with 685. He also set a team record with a 12 for 12 free throw performance. Players weren't the only ones garnering new achievements. Fifth year head coach David Jack captured his 75th win as coach of the Highlanders.
Houghton next meets Roberts Wesleyan on Saturday night in Rochester. Game time is 8:00 pm.
Women Nip Elmira, Drop to Geneseo
by Deb Fink
The women's varsity basketball team downed Elmira College on Saturday, February 2 with a final score of 62-57. Two categories balanced out: freshman Jodie Carlson, Carlson led the Highlanders in scoring with 21 points. At the opposite end of the court, Carlson grabbed 13 rebounds. Jackie Woodside also chucked in 18 points.
On Monday, February 4 the women lost to a tough Geneseo team, 63-54. Once again Carlson stole the show for the Highlanders dumping in 20 points and snaring 22 rebounds.
The women will travel to Roberts Wesleyan College at 4:00 PM on Saturday, February 9.
Letters
Wake Up
Dear Thea,
A couple of weeks ago, there was a Sanctity of Life Rally at the Houghton Church. It was to inform people about abortion—what it has led to and what concerned citizens can do to help change the situation.
I was dismayed at the lack of interest expressed by the students and the Houghton community. Killing unborn babies—weak old infants—and allowing one person to decide the fate of another is no small matter. People better wake up. What kind of sickness could come over this country? What kind of people stand by and let these horrible things go on?
If we continue to allow such practices, we need to check our own qualifications for staying alive. Just being a living human being isn't enough anymore.
It's not too late yet. Please write to your Congressmen and Senators urging them to pass a Human Life Amendment. If you would like names and addresses, I have them available. You can call me at 567-4681.
Sincerely,
Donna Fieg!
Flak on Flapjacks
Dear Editor,
How apropos to sponsor a pancake eating contest just as we end the Senate Charity Drive, Project Ethiopia.
Erich E. Hoffman
Man on the Street
On Friday, January 25, a New York City grand jury ruled that Bernhard Goetz (the "subway vigilante" who shot four men who harassed him on a New York City subway) will not be indicted on attempted murder charges. He will only be charged with illegal possession of a handgun. Do you agree with this ruling?
Wayne Harding
Junior
"Absolutely not. I feel that there is some amount of ignorance in the judicial reasoning behind the jury's decision. Bernhard Goetz was clearly guilty of defending himself in a way that was out of proportion to the threat of his well being."
Norman Biller
Sophomore
"I don't know. If even a subway rider carried a gun, we had no vigilance law, but riders need protection. I do believe that Goetz should not be tried under civil rights law. Self-defense rights are static, not influenced by color."
Mary Beekley
Sophomore
"No, assuming his actions were not in necessary self-defense, his response is understandable, such vigilante action should not be tolerated. To the extent we allow such action, we run the risk of anarchy."
Anne Valkema
Freshman
"No, I believe he should have been tried for attempted murder, for the obvious reason. He didn't just show the boys his gun; he shot them. One of them is crippled for life because of it. In my opinion, he shouldn't have taken the law into his own hands."
Editorial
The Wide, White World
When I came to Houghton, I was not prepared for the onslaught of prejudices that I would have to face—not only against my color, but against my faith, my type of gospel music, and my overall being. So I struggled to gain the academic excellence Houghton wished me to attain and to still feel good about my culture as a whole.
The most degrading thing said that if I wanted to be successful, I would have to give up singing the gospel music that would ruin my voice and to forget about playing jazz piano which didn't have much professional acclaim (you either have it or you don't). I would have to do what they thought would be best for me. After I graduated, though, I wouldn't be much good musically to my background church or my neighborhood because I had given it all up.
I found it very funny when non-black students asked me questions about blushing, my hair, why my stereo was so small, and why I didn't like Michael Jackson. I am an individual. Being black on this campus was made into a struggle between maintaining my identity and accommodating myself to the "world." The only reason I stayed at Houghton was my rationalizing that the same things that happened here would happen when I graduated and went out into the wide, white world.
When the Black Student Organization (BSO) was founded, I was basically against it. I asked, "Why do black students want to get an organization, when we hardly even talk together?" I didn't see the need. When I tried as an individual to talk to the other black students, I met blacks who were only black by the color of their skin, others who thought this whole country owes them something because they were black, and some who just excused until graduation or left. No one at Houghton didn't help or listen to my cries. I didn't have anyone behind me. I decided BSO was needed, not only for whites to know how blacks thought, but for blacks to know how blacks thought. But I found out that most blacks on campus don't want to share with each other unless special black speakers come. After the speakers leave, the thoughts disappear.
Forget the past. Last weekend BSO hosted a National Black Christian Students Conference. The only faculty, staff, or administration member present from the Houghton campus was BSO advisor Mary Conklin. Dean Marston also attended with four students from the Buffalo campus, the total number of people attending the five seminars was 20, give or take five. Not all 20 attended all the seminars. The seminars averaged eight people.
Of course there is some justification for these figures. The event was not widely publicized. However, Rev. Hilliard did speak in chapel and the event was on the Master Schedule. All points taken—if there were any interested, more others would have been there. Or, does the word black scare people off?
The problems that I encountered as a black student will still remain as long as the faculty, staff, and administration do not hear what the black students have to say. It's perfectly obvious to me by the number of people (as a whole) who showed up that, as far as the advancement of blacks on this campus is concerned, there isn't the jury.
To close, I want to say that one thing I find really disturbing is the lack of a black role model in a respectable position on this campus. My disappointment with this college may or may not be a reflection of all the other black students on campus, but I would like to see some changes when I visit Houghton in ten years or send my children here. Perhaps black literature should be discussed in a required Lit. of the Western World or American Lit. class. Maybe we should see what a black philosopher has to say about abortion. I don't have to go through each department, but you see what I'm trying to say.
Houghton gets what it wants. If it wants these changes, maybe more black students will stay.
—Pearlette Brathwaite
Kemmerino,
You can forget all about
This macho (yeah)
And learn how to play guitar
...Play guitar!
SLP
P.S. That's the way we serve it here-HOT!
To my dearest Cary,
Although you are the only Cary I know, you are still the dearest, because even if I did know another Cary, I'm sure he would not be dearer to me than you...but then, there is George!
Love,
Zelda
Dave,
You know our love was meant to be the kind that last forever. And I want you here with me from tonight until the end of time!
Happy Valentine's Day!
Love,
Nancy
Happy Valentine's Day Champ!
I'm trying not to fall into the ditch!
Ann,
I'm not very rich
But your Valentine I'll be
I can't offer you the world
I can offer only me.
The Hulk
Ma petite cherie,
Je t'aime.
To the Jamaican traveler, Todd Barlow:
Thanks for warming our days with your smile and our dinners with your stimulating conversation. (Procrastination!) You can be in our choir anytime! You are loved...by the Jolly Jamaicans!
Thank you ACO Cabinet for your dedication.
TAG
Marc and Jack,
Honi kaush wiki wiki ku oo wipoo onikawa...
Shakai
Love,
Thea and Deb
Carmen, Philip and all precious workers in the ACO play...thank you for your help and love.
TAG
Ed Wing,
I wish you'd be my valentine.
You're such a pretty young thing.
Love always,
S.P.
I love you with prayer Soph. Chaplains. B.H. our friendship has gained depth because of the tears and laughter we have shared together. If we hadn't suffered a little pain, our friendship wouldn't mean as much as it does to me now. I love you.
TAG
Para mi chanchita cara con mucho amor.
Tu chancho
Mon Cher Detectif,
Il y a une chose que tu ne sais pas. Le secret de mon coeur. Peut-etre Cupid le dira toi. Vingt baisers pour le Valentine.
Ta Secrete Admiree,
Une petite oiseau
To Mike;
Thank you for your love and support and for just being you. I love you with all my heart! Happy Valentine's Day!
Love,
Sonya
Jody be my
JALentine
Bucky
My Dear Nancy:
Thank you for sacrificing, understanding, being there, and being you. I couldn't have made it to Med School without your support.
Dr. Dave
CLYMH5?
MLFMOA?
PYWMWD?
Peggy Lautbecher:
On this day of love,
will you be mine?
I need you for my Valentine!
Love,
Your Secret Admirer
When I think of thee
Dear Dorislee,
My only hope is that you & me
May one day be "we..."
Love,
Perciville
Beloved Friend, another collage: astronomy, love letters, Gorky Park, blue dolphins and perrier. This unforgettable romance; Its own collage, lovingly cut and pasted. Like good memories, you and I are forever.
Miche.
Be my valentine OVO.
What's your G.P.A.?
Grades aren't everything, but rating your graduate theological school will make a difference in your life and ministry. Will the school of your choice have the right G.P.A.?
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If Brand X even comes close on any three call or write me--I have MORE to tell you--Just ask!
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(312) 945-8800
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Mechanism of air pollutant formation in internal combustion engines (**).
Abstract — This paper summarizes the research being conducted in the Mechanical Engineering Department at the Massachusetts Institute of Technology on the mechanism of air pollutant formation in internal combustion engines. Four basic problems are discussed: 1) the aerodynamics of the hydrocarbon rich boundary layers, 2) the thermodynamics of internal combustion, 3) the mechanism of NO formation and 4) the effect of threebody reactions on the formation of CO. Some practical applications of the research to the reduction of air pollution are also suggested.
Internal combustion engines are the largest single source of air pollution in urban areas of the United States. They produce 90% of the carbon monoxide CO, 50% of the oxides of nitrogen NO\textsubscript{x}, and 70% of the unburned hydrocarbons. In the presence of sunlight these pollutants further react with air to produce the extremely objectionable photochemical smog typical of that found in the Los Angeles basin and I believe also here in the Piedmonte region.
Since air pollution was recognized as a critical problem approximately ten years ago many possible solutions have been proposed. Some of these involve replacing internal combustion engines with other power plants such as electric motors or steam engines. Other involve improved mass transportation systems to reduce the number of cars on the road. Last but not least, there is the possibility of modifying the internal combustion engine to decrease the pollution it produces. This is the approach I shall consider in the present paper.
Today there are dozens of technically feasible methods of reducing air pollution from internal combustion engines to acceptable levels. All of them, however, involve some compromise in either performance, reliability, or cost. The problem therefore is not so much to find a solution but to find the optimum combination of solutions. To do this with any degree of confidence, it is necessary to have a basic understanding of the processes by which pollutants are formed in internal combustion engines.
(*) Ford Professor of Engineering.
(**) This work was supported in part by grants from the M.I.T. Sloan Basic Research Fund, and the M.I.T. Urban System Laboratories.
Obviously a high level of confidence is particularly important in this case because of the tremendous capital investment required to make even minor modifications in the millions of engines produced annually.
To assist with the problem, the Thermodynamics and Fluid Mechanics groups in the Mechanical Engineering Department of the Massachusetts Institute of Technology have been studying the fundamental processes responsible for pollutant formation in internal combustion engines. Four basic problems are being investigated: 1) the aerodynamics of the hydrocarbon rich boundary layers on the cylinder walls; 2) the thermodynamics of internal combustion; 3) the mechanism of NO formation and «freezing» in the gas phase; and 4) the effect of three-body reactions on the «freezing» of CO.
**Aerodynamics of Boundary Layers.**
It has been established in experiments carried out at the General Motors Research Laboratories [I] that the major sources of unburned hydrocarbons in the exhaust of an internal combustion engine are the
![Diagram showing types of boundary flow observed in water analog for retreating (sink flow) and advancing (vortex flow) pistons.]
Fig. 1.
Types of boundary flow observed in water analog for retreating (sink flow) and advancing (vortex flow) pistons.
cool boundary layers on the cylinder walls. The question of how these boundary layers are ejected from the cylinder, however, has not yet been answered. Three separate layers whose aerodynamic behavior is expected to be distinctly different must be considered: one on the cylinder head, the second on the piston face, and the third on the cylinder side wall.
In our initial investigations of this problem we have been studying the manner in which the advancing piston scrapes up the side wall boundary layer during the exhaust stroke [2]. A water analog of the cylinder of an internal combustion was constructed in which the appropriate Reynold's numbers could be reproduced and the behavior of the boundary layer studied for both advancing and retreating piston. The flow patterns were visualized using both dyes and illuminated fish scales. Unfortunately the original photographs are difficult to reproduce but examples of the types of motion observed are illustrated by the drawings in figure 1. In the case of a retreating piston the boundary layer drags fluid out of the corner between the piston face and the wall resulting in the type of «sink
flow» illustrated in the upper part of the figure. For an advancing piston, which is the case occurring during the exhaust stroke, the piston «roles up» the boundary layer into a spiral vortex having a cross-sectional area very nearly twice the cross-sectional area of the boundary layer swept up. Initially the vortex is laminar as shown in the lower part of fig. 1, however, as the length of the stroke increases the vortex goes through a transition and becomes turbulent.
**Fig. 3.**
Vortex area divided by the stroke length squared as a function of Reynold's number.
The character of the flow for various piston velocities is shown as a function of the Reynold's number based on the length of the stroke $X$ in fig. 2. Most of the data shown are for constant piston velocity but a few runs for a sinusoidally varying velocity are also shown. It can be seen that transition occurs at a Reynold's number of approximately 15000 which is typical of that at the end of the stroke in an internal combustion engine.
Figure 3 shows the cross-sectional area $A$ of the vortex divided by the square of the stroke $X^2$ as a function of Reynold's number. In the laminar regime where the boundary layer thickness grows as $X^{1/2}$, the vortex area grows as $X^{3/2}$. In the turbulent regime where the boundary layer
grows as $X$, the vortex area grows as $X^2$. This is precisely what would be expected from a simple «role up» of the boundary layer.
These results imply that in an internal combustion engine the diameter of the «role up» boundary layer at the end of the stroke will be close to the clearance height. Thus we might expect a large fraction of the unburned hydrocarbons to be ejected at the end of the exhaust stroke. This effect has actually been observed in the General Motors experiments [1] and in experiments currently in progress at M.I.T. We may anticipate from these observations that cylinder head and piston geometry, exhaust valve location, and particularly clearance height at T.D.C. will have an important effect on the emission of unburned hydrocarbons.
**Thermodynamic Model of Internal Combustion.**
It is well known that in an internal combustion engine the major energy producing reactions are very close to equilibrium and that the trace concentration of pollutants formed have a negligible effect on the overall thermodynamic state of the burned gas. Thus, we may first determine state of the gases within the cylinder using equilibrium thermodynamics and then treat the process of pollutant formation as a perturbation later.
To do this we have developed a simple analytic model [3] of internal combustion which permits one to calculate the thermodynamic state of the gases from a knowledge of the pressure and volume of the system as a function of time. The model assumes that 1) the original charge is homogeneous, 2) the pressure at any time is independent of position, 3) the volume occupied by the nonequilibrium chemical reaction zone is negligible, 4) the burned gas is at full thermodynamic equilibrium, 5) the unburned gas is «frozen» at its original composition and undergoes adiabatic compression, and 6) both burned and unburned gases have constant local specific heats. In most practical engines all these assumptions are well justified. Under these conditions the mass fraction of the burned gas, $X$, can be calculated from the laws for conservation of mass and energy and the equation of state for the burned and unburned gases. The result is
$$MX = \frac{pV - p_0 V_0 + (\gamma_b - 1)(W + Q) + (\gamma_b - \gamma_u)Mc_{v,u}(T_u - T_0)}{(\gamma_b - 1)(h_{f,u} - h_{f,b}) + (\gamma_b - \gamma_u)c_{v,u}T_u}$$
where $M$ is the total mass of gas in the cylinder, $p$ is the pressure, $V$ is the volume, $T$ is the temperature, $W$ is the work done, $Q$ is the heat loss,
$c_v$ is the local specific heat, $h_f$ is the corresponding specific enthalpy of formation, $\gamma = c_p/c_v$ is the specific heat ratio and the subscripts $o$, $u$, and $b$ refer to initial conditions, unburned gas, and burned gas respectively.
Typical curves showing the measured pressure and calculated mass fraction burned as a function of crank angle are shown in fig. 4. Combustion is complete and takes about 40 crank angle degrees. Note that as a consequence of the assumption of constant local specific heats, these results are independent of the temperature distribution in the burned gas.
To determine the temperature distribution in the burned gas it is necessary to make an assumption about that state of mixing in these gases. In most previous treatments of this problem it has been assumed that the temperature of the burned gas was uniform corresponding to complete mixing. This gives
$$R_b T_b = R_u T_u + (pV - M R_u T_u) \dot{M} x$$
where $R$ is the gas constant. We do not believe that the assumption of complete mixing is a good one, however, because it is incompatible with
both the observations of a relatively thin turbulent flame front and substantial temperature gradients in the burned gas. A much more realistic approximation is to assume that there is no mixing at all and that each element of gas which burns is adiabatically compressed from its state just behind the flame front to its final state. Under these conditions the temperature of an element of gas is given by
\[
T_b(X', X) = T_b(X')[\rho(X)/\rho(X')]^{(\gamma_b-1)/\gamma_b}
\]
where \(T_b(X', X)\) is the temperature the element which burned at a pressure \(\rho(X')\) when the pressure is \(\rho(X)\), and
\[
T_b(X') = [h_{fu} - h_{fb} + c_{pu} T_u(X')]/c_{pu}
\]
is the temperature resulting from isenthalpic combustion of the gas at the pressure \(\rho(X')\).
Some typical temperature distributions for the unmixed case are shown in fig. 5 as a function of mass fraction burned. It can be seen that
a substantial temperature gradient exist in the burned gas and that the peak temperature $T_b(O, X)$ of the gas that burned first is approximately 400° K higher than that $T_b(X)$ of the gas immediately behind the flame front. Due to the strong temperature dependence of chemical equilibrium constants and reaction rates, such temperature differences are very important in connection with pollutant formation and can produce order of magnitude variations in concentration levels in the burned gas.
**Model of NO Formation.**
NO may be formed in internal combustion engines either in the non-equilibrium reaction zone or in the hot burned gases behind the flame front. In our initial investigations, we have concentrated on formation in the burned gas and have developed a model [1] of the process which, for equivalence ratios less than 1.2, agrees well with experimental observations. For richer mixtures, the model underestimates the amount of NO produced which may be an indication that formation in the reaction zone is important in this case.
The model includes consideration of the 14 most abundant species found in an equilibrium mixture of the combustion products of air and C$_8$H$_{18}$. These are shown in table 1 along with an indication of their approximate relative concentration at 2500° K. The thermodynamic state of the gas is determined from the model described in the preceding section and the major energy producing reactions involving the C—O—H system are taken to be in equilibrium. The process of NO formation is assumed to be controlled by the 6 reactions shown in table 2 where the exothermicities are given in kcal/mole and the exothermic rate constants [5] are given in cm$^3$/sec. These equations may be combined to obtain 3 first order non-linear differential equations for the concentrations of N, NO, and N$_2$O. Although numerical integration of the full set of equations is relaTable II.
Reaction included in model of NO formation. Exothermicities and activation energies in Kcal and rate constants in cm$^3$/sec.
\[
\begin{align*}
(1) \ N + \text{NO} & \rightleftharpoons \text{N}_2 + \text{O} + 75.0; & k_1 &= 2 \times 10^{-11} \\
(2) \ N + \text{O}_2 & \rightleftharpoons \text{NO} + \text{O} + 31.8; & k_2 &= 2 \times 10^{-11} e^{-7.1/RT} \\
(3) \ N + \text{OH} & \rightleftharpoons \text{NO} + \text{H} + 39.4; & k_3 &= 7 \times 10^{-11} \\
(4) \ \text{H} + \text{N}_2\text{O} & \rightleftharpoons \text{N}_2 + \text{OH} + 62.4; & k_4 &= 5 \times 10^{-11} e^{-10.8/RT} \\
(5) \ \text{O} + \text{N}_2\text{O} & \rightleftharpoons \text{N}_2 + \text{O}_2 + 79.2; & k_5 &= 6 \times 10^{-11} e^{-24.0/RT} \\
(6) \ \text{O} + \text{N}_2\text{O} & \rightleftharpoons \text{NO} + \text{NO} + 36.4; & k_6 &= 8 \times 10^{-11} e^{-24.0/RT}
\end{align*}
\]
tively easy, investigation has shown that the characteristic relaxation times for both N and N$_2$O are several orders of magnitude shorter than that for NO. It is thus an excellent approximation to assume steady state values for N and N$_2$O and set $dN/dt = dN_2O/dt = 0$. The set may then be reduced to a single equation for the NO formation rate:
\[
\frac{1}{V} \frac{d[\text{NO}]V}{dt} = 2(1 - x^2) \left[ \frac{R_1}{1 + xK_1} + \frac{R_6}{1 + K_2} \right]
\]
where $\alpha = [\text{NO}] / [\text{NO}]_e$ is the concentration of NO divided by its equilibrium value, $K_1 = R_1/(R_2 + R_3)$, $K_2 = R_6/(R_4 + R_5)$, and $R_i$ is the «one way» equilibrium rate of the $i^{th}$ reaction e.g. $R_1 = k_1[\text{NO}]_e[\text{N}]_e$. For the fully mixed case $V$ is the total volume of the burned gas while for the unmixed case, which is the only one we shall consider, it is the specific volume of the burned gas. The term proportional to $R_1$ is the result of the first three reactions in table 2 and corresponds to the well known Zel'dovich mechanism of NO formation extended to include the reaction of N with OH. The term proportional to $R_6$ is the result of the last three reactions. It is this term which under some conditions is kinetically equivalent to the overall reaction $\text{O}_2 + \text{N}_2 \rightleftharpoons 2 \text{NO}$. The direct reaction $\text{O}_2 + \text{N}_2 \rightleftharpoons 2 \text{NO}$ is very slow and does not contribute significantly.
Table III.
Ratio of rates $R_1$ and $R_6$ appearing in equation 5 for NO formation rate.
| T °K | $\phi = .8$ (lean) | 1 | 1.2 (rich) |
|------|-------------------|---|------------|
| 2500 | $5^{-2}$ | $2^{-2}$ | $3^{-3}$ |
| 2300 | $1^{-1}$ | $3^{-2}$ | $4^{-3}$ |
| 1800 | $4^{-1}$ | $3^{-2}$ | $6^{-4}$ |
| 1500 | $2^{0}$ | $4^{-2}$ | $5^{-5}$ |
In general $K_1$ and $K_2$ are of order unity or less and thus for $\alpha \geq 1$ the relative importance of the two terms is just determined by the ratio of $R_1$ to $R_6$. This ratio is shown in table 3 and it can be seen that for all conditions of interest it is the extended Zel'dovich mechanism which controls the NO production. Under conditions where $\alpha \gg 1$ and NO
![Graph showing NO concentrations as a function of crank angle for elements which burn at two different times.]
**Fig. 6.**
Rate controlled and equilibrium NO concentrations as a function of crank angle for elements which burn at two different times.
is being destroyed the second term may dominate the first, however, in this case all the reactions are very slow and the NO is effectively «frozen».
If we now use our assumption that the concentrations of N$_2$, O$_2$, OH and O are close to equilibrium then equation 5 can easily be integrated to produce results similar to those in fig. 6. In this figure we have shown both the rate controlled and equilibrium NO concentrations as a function of crank angle for elements of gas which burned at two different times during the cycle: the first at $-20^\circ$ just after ignition and the
second at \(+10^\circ\) when combustion was approximately 30% complete. In both cases the rate controlled solution rises from zero at a finite rate, crosses the equilibrium solution and «freezes» at levels well above the equilibrium values for exhaust temperatures. In the element of the gas which burned early the «frozen» concentrations are close to the peak equilibrium concentrations, however in the element which burned later the «frozen» levels are substantially less than the peak equilibrium value. This is a direct result of the very much slower reaction rates associated with the lower temperature of the gas which burns later in the cycle.
Additional results illustrating the strong effect of the temperature gradient in the burned gas on NO formation are presented in fig. 7 which shows the «frozen» mass fraction of NO in an element of gas as a function of the mass fraction at which it burned for several equivalence ratios. It can be seen that the NO concentrations in the first part of the gas to burn are 5 to 10 times those in the last part.
**Observations of NO Formation.**
To check on the validity of the theoretical model just described, a variety of experimental studies of NO formation in internal combustion engines are being performed. In the first such experiment [3] the NO concentration in the cylinder of an actual engine was measured as a function of time and position. A schematic of the L-head engine employed is shown in fig. 8. The head was fitted with a number of quartz windows $W$ which permitted observation of a relatively uniform sample of gas at various distances from the spark. Both spectroscopic and photometric measurements were made.
**Fig. 8.**
Schematic of engine head used in experiments to measure NO formation rate.
The spectral distribution of the major radiation is shown in fig. 9. In the blue it consists primarily of molecular bands of OH and a recombination continuum from the reaction $\text{CO} + \text{O} \rightarrow \text{CO}_2 + h\nu$. In the red it consists of unresolved bands of $\text{NO}_2$ superimposed on a continuum from the reaction $\text{NO} + \text{O} \rightarrow \text{NO}_2 + h\nu$. A few discrete lines from Na and K and weak molecular bands from CH, C$_2$ and H$_2$O were also observed.
Quantitative measurements of the radiation intensity were made using photomultipliers and narrow band interference filters. Typical oscillograms of the radiation profiles at several wavelengths are shown in fig. 10 for two cases: one in which the engine was operating on a normal fuel-air mixture and another which was identical in all respects except for the addition of 1.5% NO to the charge. Also shown are pressure traces and timing traces with markers at 5° intervals.
For the normal mixture the radiation profiles show a relatively narrow rather irregular peak, corresponding to nonequilibrium radiation from the turbulent flame front, followed by a larger broader peak corresponding to radiation from the burned gas. Note that at wavelengths of 0.61 and 0.68, where the radiation is due to NO and NO₂, the intensity immediately behind the flame front is very small indicating negligible NO formation in the flame front. By contrast when 1.5%NO is added to the charge the radiation at these wavelengths jumps abruptly to the value expected for this amount of NO at the burned gas temperature. The radiation at 0.38 microns is unaffected, however, since NO does not radiate at this wavelength and the small amount added has a negligible influence on the thermodynamic state of the burned gas. Although the
NO concentrations can be calculated from the observed radiation using known rate constants, the NO addition technique provided a direct calibration of the system and greatly increased our confidence in the results.
Fig. 10.
Oscillograms showing crank angle (5° markers), pressure, and radiation intensity at several wavelengths as a function of time. Upper traces correspond to a normal fuel-air mixture; lower traces to the same fuel-air mixture with 0.38 μM added.
Independent measurements of the temperature of the burned gas were obtained by analyzing the radiation from the OH bands and the CO₂ continuum [6]. These agreed with each other and with that calculated from the thermodynamic model to ± 1000 K.
Fig. 11 shows the measured NO concentrations as a function of crank angle for two equivalence ratios [6]. The open symbols correspond
to normal fuel-air mixtures and the closed symbols to mixtures with 1.5% NO added. The stars indicate the NO levels at the flame front. In the case of the normal mixture this is the estimated level due to the residual burned gas in the cylinder. For the normal mixtures, the NO concentrations rise monotonically approaching a constant «frozen» level. For the mixtures with NO added, the concentrations first decrease since they are above the equilibrium value, then go through minima and join the curves for the normal mixtures exactly as we would predict.
A comparison between theoretical and experimental results is presented in fig. 12 which shows the measured and predicted NO concentrations at two distances from the spark as a function of crank angle. Unfortunately the theoretical curves were started from zero because the presence of NO in the residual gas was overlooked at the time they were computed. Even so the agreement between theory and experiment is very satisfactory. Note the higher level of NO at window $W_2$, which was...
closer to the spark, due to the higher temperature in the gas that burns first.
Fig. 13 shows a further comparison between theory and experiment. Here the average levels of NO in the exhaust are plotted as a function of equivalence ratio. For equivalence ratios less than 1.2 the measured [7]
![Graph showing comparison between predicted and measured NO concentrations at two distances from the spark as a function of crank angle. The theoretical curves neglect the NO initially present due to the residual gas and are therefore expected to be low at early times.]
Comparison between predicted and measured NO concentrations at two distances from the spark as a function of crank angle. The theoretical curves neglect the NO initially present due to the residual gas and are therefore expected to be low at early times.
and predicted values are in good agreement. For richer mixtures, however, the theory appears to underestimate the NO concentrations somewhat. This may be the result of NO formation in the flame front or a parallel reaction not included in the kinetic scheme.
It is fairly clear from the results presented above that most of the NO production in internal combustion engines occurs in the burned gas and that the important parameters controlling the levels are the gas temperature and the equivalence ratio. Fuel composition is expected to have very little effect. Thus to reduce NO emission one must run either
rich or reduce the peak temperatures. The latter may be accomplished in a variety of ways including: lean combustion, retarded spark, lower compression ratio, central spark, and exhaust gas recirculation or water injection.
**Fig. 13.**
Comparison between predicted and measured average $NO$ concentrations in the exhaust as a function of equivalence ratio.
**Mechanism of CO «Freezing»**
In our previous analysis we have assumed that the major energy producing reactions involving the C—O—H system were in thermodynamic equilibrium near peak cylinder temperatures. If this were true at exhaust temperatures then the CO levels would be completely negligible. We must therefore consider departure from equilibrium in the C—O—H
system as the temperature falls during expansion. This is a formidable problem which is extremely difficult to treat using the ordinary techniques for solving rate equations in complex systems. To deal with it we have developed a new approach which we have called the «rate-controlled partial-equilibrium method». It is based on the observation that the existence of a slow chemical reaction in a system implies a constraint on the rate at which the system can adjust to full equilibrium. Examples of such constraints are provided by nuclear reactions which proceed extremely slowly at ordinary temperatures and imply conservation of atomic species.
The first step in the method is to identify the constraints which would exist if a particular reaction or set of reactions did not proceed at all. Such constraints are usually of the form
\[
N_i = \sum_j a_{ij} X_j
\]
where \(X_j\) is the number of molecules of species \(j\), \(a_{ij}\) is an integer greater than or equal to zero, and \(N_i\) is the constrained variable. We next consider the Gibbs free energy of the system
\[
F(T, p) = \sum_j X_j [F_j + RT \ln (X_j / X_0)]
\]
where \(F_j\) is the free energy of species \(j\) and \(X_0 = \sum_j X_j\). The partial equilibrium state may now be found by minimizing \(F(T, p)\) subject to the constraints \(N_i\) in the usual manner. Finally the rate at which the constraint changes is determined from the chemical reaction rates. This leads to equations of the form
\[
\frac{d N_i}{dt} = R_i(X_1, X_2, \ldots X_n)
\]
which may be integrated numerically to obtain the partial equilibrium composition as a function of time.
The advantage of this method over the commonly used steady state approximation or integration of the full set of rate equations is that only the rate limiting reactions need to be specified. This reduces the number of equations to be integrated by a large factor and avoids the problem that most of the chemical reaction rates in a complex system are unknown and must therefore be guessed.
As an initial application of the method we have used it to investigate the effect of finite three-body recombination and dissociation rates.
The constraint introduced by inhibiting such reactions is of the form \( M = \sum_j X_j \) where \( M \) is the total number of particles in the system. The rate equation for \( M \) is of the form
\[
\frac{dM}{dt} = \sum_k (R_{dk} - R_{rk})
\]
where \( R_{dk} \) and \( R_{rk} \) are the dissociation and recombination rates for the \( k^{th} \) reaction. Some three-body reactions important in internal combustion engines are shown in table 4. In our present analysis we have included only the first three. In this connection it should be noted that only one fast three-body reaction is needed to equilibrate the entire system, however, different reactions will dominate in different temperature ranges. At peak temperatures it will be first, at intermediate temperatures where NO is frozen it is expected to be the second, and at room temperature it will be the third.
**Table IV.**
*Examples of threebody recombination and dissociation reactions of potential importance in internal combustion engines. Exothermicities and activation energies in Kcal and recombination rate constants in cm\(^6\)/sec.*
| Reaction | Exothermicity (Kcal) | Rate Constant (cm\(^6\)/sec) |
|----------|----------------------|-------------------------------|
| \(118.0 + H_2O + X \rightleftharpoons OH + H - X\) | : \(3 \times 10^{-31}\) |
| \(71.9 + NO_2 + X \rightleftharpoons NO - O - X\) | : \(6 \times 10^{-32}\) |
| \(25.8 + NO_2 + NO_2 \rightleftharpoons NO - NO - O_2\) | : \(1 \times 10^{-38}\) |
| \(38.6 + ^1N_2O + X \rightleftharpoons ^1N_2 - ^3O - X\) | |
| \(125.8 + ^1CO_2 + X \rightleftharpoons ^1CO - ^3O - X\) | : \(1 \times 10^{-34}\) |
| \(21.4 + HCO + X \rightleftharpoons CO - H - X\) | |
Some typical results for a stoichiometrically correct high temperature cycle are presented in fig. 14 as a function of crank angle and equilibrium temperature. The upper part of the figure shows the mole fraction of CO, NO, O and N. The subscripts e and M denote the equilibrium and three-body rate controlled solution respectively. On the scale of the figure the difference between the two solutions is indistinguishable. The central part of the figure shows the difference between the rate controlled and equilibrium CO mole fractions and it can be seen that this is very small. Finally the lower part of the figure shows the difference between the rate controlled and equilibrium temperatures which is also very small. These results support our previous assumption that the burned gas is close to thermodynamic equilibrium at peak temperatures.
Comparison of rate controlled (subscript $M$) and equilibrium (subscript $e$) concentration and temperatures as a function of crank angle and equilibrium temperature for a cycle with a peak temperature of 2800 °K.
Comparison similar to that of figure 14, for a cycle with a peak temperature of 2000 °K.
By way of contrast similar results for a very low temperature cycle are shown in fig. 15. In this case significant differences between the rate controlled and equilibrium solutions occur for all species. At early times the rate controlled concentrations lag behind the equilibrium concentrations because of the finite dissociation rates. Full equilibrium is achieved near the peak temperature and maintained for a short time as the temperature falls to approximately $1800^\circ$ K where «sudden freezing» of the threebody reactions occurs. Beyond this point changes in the rate controlled concentrations particularly of CO and NO become negligible. Note that the «frozen» CO mole fraction of approximately 0.1% is very close to the values actually observed in the exhaust of well adjusted internal combustion engines. Also note that the «freezing» of NO in this case is associated with finite threebody recombination rates and not with the reactions in table 2 which were tacitly assumed to be in equilibrium in the partial equilibrium solution.
The partial equilibrium method is currently being extended to include simultaneous consideration of finite rates for both NO producing and recombination-dissociation reactions. It is hoped that this extension will permit us to develop a model for predicting CO as well as NO emissions. It is also hoped that it may help to explain why our current model of NO production underestimates the concentrations in rich mixtures.
**Concluding Remarks.**
On the basis of the work we have performed to date, we believe that it should be possible to understand a great deal about the fundamental mechanism of pollutant formation in internal combustion engines and to develop quantitative models of the important processes which will be of practical value in designing low pollution engines and assessing their relative merits. I have no doubt that reduction of pollution from internal combustion engines to acceptable levels is technically feasible using a variety of methods. The problem is to find the best combination and to convince government and industry that it is worth the effort and cost.
**REFERENCES**
[1] W. A. Daniel and J. T. Wentworth, Paper 456 B presented at S. A. E. National Automobile Week, March 1962.
[2] R. J. Tabaczynski, D. P. Hoult, and J. C. Keck, *Fluid Mech.*, 42, 249 (1970).
[3] G. A. Lavoie, J. B. Heywood, and J. C. Keck, *Combustion Science and Technology*, 1, 313 (1970).
[4] H. K. Newhall and E. S. Starkman, Paper 670122 presented at S. A. E. Automotive Engineering Congress 1967; P. Eyzat and J. C. Guibet, Paper 680124 presented at S. A. E. Automotive Engineering Congress 1968.
[5] K. Schofield, *Planet. Space Sci.*, 15, 643 (1967); I. M. Campbell and B. A. Thrush, *Trans. Faraday Soc.*, 64, 1265 (1968).
[6] G. Lavoie, *Combustion and Flame*, 15, 97 (1970).
[7] J. B. Heywood, S. M. Mathews, and B. Owen, Paper 710011 presented at S. A. E. Automotive Engineering Congress, January 1971.
Estratto dagli Atti del Congresso su
«Problemi attuali connessi con lo sviluppo tecnologico e economico del Litorale e Terre di Lavoro»
Rendiconto delle Scienze, n. 1096
(Home, 7 settembre 1970) |
A BRIEF HISTORY OF THE 7TH MARINES
HISTORY AND MUSEUMS DIVISION
HEADQUARTERS, U.S. MARINE CORPS
WASHINGTON, D.C.
A member of Company F, 2d Battalion, 7th Marines, holding an M-14 rifle, waits for his companion to fire an M-79 grenade launcher at a Viet Cong position in March 1966. (USMC Photo A186813).
A BRIEF HISTORY OF THE 7TH MARINES
by
James S. Santelli
HISTORY AND MUSEUMS DIVISION
HEADQUARTERS, U.S. MARINE CORPS
WASHINGTON, D.C.
1980
FOREWORD
This historical monograph is the tenth in a series of regimental histories. When completed, this series will cover in similar fashion each of the infantry and artillery regiments in the Fleet Marine Force, active and reserve. The present narrative not only highlights the significant actions of the 7th Marines, but also furnishes a general history of Marine Corps activities in which it took part.
Mr. James S. Santelli was a member of the staff of the Division of History and Museums from June 1967 to November 1974, during which time he occupied positions in both the Reference Section and Histories Section of the division. He holds both a Bachelor of Arts degree and a Master of Arts degree in history from the University of San Francisco. Mr. Santelli has coauthored articles on Marine Corps topics that have appeared in various publications dealing with military subjects. Presently, he is a writer for the Department of Labor.
In the pursuit of accuracy and objectivity, the Division of History and Museums welcomes comments on this booklet from key participants, Marine Corps activities, and interested individuals.
E. H. SIMMONS
Brigadier General, U. S. Marine Corps (Ret.)
Director of Marine Corps History and Museums
PCN 19000308200
The 2016-2017 school year was a very successful one for the students and staff at the University of Maryland, Baltimore County (UMBC). The University’s enrollment grew by 3 percent to 14,589 students, including 1,000 new students. The University also welcomed its largest class of first-year students in more than a decade. The University’s faculty and staff continued to be recognized for their research and teaching excellence. The University’s research expenditures reached $100 million for the first time, and the University received more than $10 million in external funding for research and creative projects. The University’s student organizations and clubs also had a successful year, with many participating in national competitions and events. The University’s athletics program continued to grow, with the men’s basketball team winning the Colonial Athletic Association championship and advancing to the NCAA tournament. The University’s campus also saw significant improvements, with the completion of the new Student Center and the renovation of the Science and Technology Building. Overall, the University of Maryland, Baltimore County had a very successful and productive year.
A Brief History of the 7th Marines is a concise narrative of the regiment from its initial activation over a half century ago through its participation in World War II, the Korean War, and the war in Vietnam. Official records of the Marine Corps and appropriate historical works were utilized in compiling this chronicle. This booklet is published for the information of those interested in the 7th Marines and in the events in which it has participated.
The monograph was produced under the editorial direction of Mr. Henry I. Shaw, Jr., Chief Historian of the History and Museums Division. Final review and preparation of the manuscript was done by Miss Gabrielle M. Neufeld. Ms. Cora B. Lett of Word Processing Section of Headquarters Marine Corps typed the preliminary draft. Miss Catherine A. Stoll of the Publications Production Section set the manuscript in type and assisted Mr. Douglas Johnston in laying out the history. The maps were prepared by Sergeant Eric A. Clark and Staff Sergeant Jerry L. Jakes who also prepared the cover and title page art work. All illustrations are official Department of Defense (Marine Corps) photographs from the files of the Still Photograph Depository, History and Museums Division.
James S. Santelli
JAMES S. SANTELLI
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| Foreword | iii |
| Preface | v |
| Genesis and the Cuban Prelude | 1 |
| World War II Rebirth and South Pacific Deployment | 6 |
| Guadalcanal | 7 |
| New Britain | 13 |
| Peleliu | 19 |
| Okinawa | 25 |
| North China Intervention and Occupation | 29 |
| Aggression in Korea—Return to Asia | 32 |
| Cuba Again and a New Caribbean Deployment | 51 |
| The Second Indochina War | 52 |
| Conclusion | 70 |
| Notes | 73 |
| Appendix A: Commanding Officers, 7th Marines | 77 |
| Appendix B: Chronology, 7th Marines | 79 |
| Appendix C: Honors of the 7th Marines | 81 |
| Appendix D: 7th Marines Medal of Honor Recipients | 83 |
A Brief History of the 7th Marines
Genesis and the Cuban Prelude
The 7th Marines, because of its participation in numerous military operations and campaigns in the Western Pacific and in Asia, has long been associated with the Far East. The reason for the regiment’s activation, however, did not originate in this region of the world but in the Caribbean. Internal disorder in Cuba in 1917 was the immediate cause that led to the creation of the 7th Regiment, the ancestor of the present 7th Marines. The outbreak of political unrest in Oriente Province early that year caused considerable dismay among American business interests on the island. Anxiety existed over the security of American-owned property, especially the sugar cane plantations. To ease these apprehensions and to put an end to the threats to American property, the United States in February 1917 ordered Marines ashore from several ships’ detachments to protect the plantations and sugar mills. Less than 2 months later, the United States declared war on Germany and entered World War I. America’s active participation in the war only amplified the necessity for the United States to continue safeguarding Cuban sugar as it was considered a strategic material. Maintenance of the supply of sugar not only to the United States but to other Allied countries was of vital concern to the American Government. The United States, nevertheless, started withdrawing its Marines from Cuba in spring 1917. It had been presumed that these troops would be needed in Europe.
It soon became apparent that the withdrawal had been premature even though political unrest in Cuba had tapered off. Intelligence reports indicated the presence of German agents in the sugar-growing areas. These agents reportedly had given support to rebel forces and had encouraged them to perpetrate acts of sabotage on American-owned sugar installations. The American Government decided to reintroduce military forces that summer. An Army cavalry regiment was originally slated for deployment, but it could not be sent because of the pressing needs for manpower in France.¹ The Marine Corps was subsequently directed to furnish an expeditionary unit. All existing regiments were at the time either involved in preparations for deployment to France or were on expeditionary duty in Haiti or the Dominican Republic. None of these regiments could be spared for service in Cuba.
As a result, the Marine Corps activated the 7th Regiment in Philadelphia on 14 August 1917. Headquarters Detachment and the 93d and 94th Companies were its original component organizations. On 15 August, the 37th Company joined from Mare Island, California; on the 18th, the 59th Company came from New York City; and on the 20th, the 71st, 72d, 86th, and 90th Companies arrived from San Diego, California. Lieutenant Colonel Melville J. Shaw assumed command of the regiment on 19 August. Shaw was no stranger to Cuba. During the Spanish-American War he was brevetted to first lieutenant for gallantry in the June 1898 battle for Guantanamo Bay. Upon taking command Shaw immediately began preparations for the forthcoming expedition. Within 2
days the entire regiment had departed for Guantanamo Bay with all companies embarked on board the transport USS *Prairie* and the cruiser USS *Charleston*. The number of Marines sailing south totaled approximately 900. Arrival in Cuba came on 25 August.\(^2\)
Initially, there had been an attempt to disguise the deployment by giving the impression that the 7th Regiment was going to Cuba for training maneuvers. This was true to a degree. Upon departure it received orders from the Commandant of the Marine Corps, Major General George Barnett, directing its commanding officer to "institute a comprehensive system of training in field exercises, particularly reconnaissance, patrolling, military sketching, etc." Its primary mission of acting as a garrison and security force would be made public at a later date.
The 7th Regiment remained at the naval base at Guantanamo following its arrival and did not immediately venture into nearby trouble spots. The nature of the deployment thus was ostensibly continued as a routine training operation. Reports of German activity in the area still persisted, causing concern among American authorities. Lieutenant Colonel Shaw felt that German propaganda was adversely influencing the "lower classes" in Oriente and Camaguey Provinces. He, therefore, expected difficulties on the plantations. He recommended the continuation of the training ruse to allay suspicions of the actual intent behind the deployment. Specifically, he said it would be "made to appear that the troops are there for training purposes."\(^4\)
Permission to move into the interior was granted by the Commandant in late October. Elements of the 7th Regiment began moving from Guantanamo Bay to various cities in the region on the 24th. Detachments were deployed to Santiago, Camaguey City, San Luis, and Guantanamo City. Headquarters was established on San Juan Hill, made famous by Theodore Roosevelt and his Rough Riders during the Spanish-American War.\(^5\) All the camps were located in eastern Cuba, a rugged, mountainous area. Forty years later, Fidel Castro started a revolt there that eventually led
A detachment of mounted Marines rests near Camaguey, Cuba. Horses gave the 7th Regiment greater mobility and enabled the Marines to respond quickly to emergencies.
to the establishment of the first Communist regime in the Americas. The Marines were not to suppress dissident natives but were ordered to counteract the activities of agents of Germany and the other Central Powers. It was hoped that the presence of American military units would of itself counterbalance propaganda and attempts at sabotage. A prime objective of the deployment was to bring about a stabilizing and calming effect over the local populace.
Although the regiment did not engage in antirebel operations, it did actively guard American property by conducting wide-ranging patrols and reconnaissance missions. Often the Leathernecks were mounted to increase their mobility. The use of horses enabled the men to respond quickly to an emergency on the widely scattered plantations. Marine Headquarters late in September authorized an increase of 400 horses for the regiment. The saddles were obtained from sources in both the United States and Cuba. The additional horses were intended to provide the unit with the capacity of having 500 of its men mounted—over half the regiment. A desired byproduct of this move was to make the Marines more visible in the countryside. The men enthusiastically accepted the horses and their instruction in horsemanship. By late November, Shaw reported that he was pleased with his mounted units. He was particularly happy with the "very good effect" they were having in the vicinity of Guantanamo City. The immediate area contained 15 important sugar mills. Earlier disorders at the mills subsided after Marine patrols were instituted. One technique utilized to quiet unrest without resorting to force was the subterfuge of "practice marches." Where there were potential disturbances and reports of pro-German sympathy, units of the regiment would conspicuously move into the countryside under the guise that the Marines were conducting a training exercise. This "showing the flag" usually had the desired effect.
Although the intervention by American troops—nothing new in Cuba—was welcomed by the Cuban Government, Shaw reported the laborers and peasants did not accept it "in their hearts." He therefore set about to improve relations with the people. By the beginning of 1918, the regimental commander had made great strides in that direction. Cuban workers were by now accustomed to the sight of the Marines. Since there had been no occasion where armed force was necessary, most peasants accepted, at least grudgingly, the presence of the Americans. They were looked upon more as
policemen than as an occupying army. Shaw’s efforts were praised by both Cuban and American officials. Governor Guillermo F. Masacaro of Santiago de Cuba Province personally lauded Shaw’s attempts to establish harmonious relations. In March 1918, Henry M. Wolcott, the American consul in Santiago, wrote the State Department that Shaw and his regiment were “deserving of high commendation.” Consul Wolcott stated that the men’s conduct “had been exemplary and their relations officially and socially with the Cuban people was most cordial at all times.” He went on to declare that:
There is no doubt that the presence of these troops and the intelligent, tactful activity of the commanding officer, have been very important factors in the maintenance of order throughout the country, consequent upon which has been the progress and safety the sugar crop.
In carrying out their assigned tasks the Marines of the 7th Regiment never had to resort to force as they were not openly opposed in their patrolling. The only fighting that occurred between the Marines and Cubans came during off-duty hours, and this was not combat in the traditional sense of the word. The causes, too much liquor and arguments over women, were age-old sources of trouble that plague all military organizations. In one serious incident in June 1918, off-duty Cuban Army soldiers and members of the 7th Regiment engaged in a fist fight in the red light district of Santiago. The brawl quickly deteriorated into a rock throwing match. Reportedly, the Cubans pulled knives and attacked the Marines. A few of the Cubans then fired on the Americans with handguns and rifles causing the unarmed Marines to scatter. The fight ended with three Leathernecks being injured, one seriously. In all about 25 shots were fired at the group of Marines. To avoid similar episodes in the future, Santiago’s red light district was subsequently put off limits to the 7th Regiment.
Colonel Newt M. Hall, who received a brevet to major for valor during the Boxer Rebellion, replaced Lieutenant Colonel Shaw as commanding officer of the regiment in September 1918. Hall continued the policies of his predecessor and in the next 3 months the 7th Regiment covered approximately 3,200 miles on foot and on horseback in its patrol work. The patrols according to Colonel Hall had a “very good effect on the men employed in the mills and on the neighboring plantations, as the Marines are looked upon as a guarantee of order.” Officers of the regiment had additional duties in that they conducted investigations of persons suspected of pro-German sympathies and activities. This task had been assumed at the request of the United States Legation in Havana.
The mountainous terrain had taken its effect on the 7th’s livestock. By January 1919, the regiment, although still carrying out extensive patrolling, was increasingly unable to rely on its animals for transportation. There were only 305 horses in the unit at the beginning of the month. A sizable percentage of these were not in the best of shape and could not, therefore, be fully utilized. The 7th Regiment also suffered from a lack of pack animals. Cuban horses were found to be too small, while mules were expensive. The price had doubled within a short time with the minimum being $950 a horse in January 1919. As a result, the regiment began to depend more upon motorized vehicles. At this time it had in its inventory 14 trucks (the heaviest being 2 tons), 1 ambulance, 2 cars, and 4 motorcycles. There was, however, a drawback in the use of motor vehicles. They could only be utilized in the cities where the roads were good. The roads in the countryside were for the most part so poor that motor
transportation could only be used sparingly. In the rainy season they became impassable, and the only practical way to travel along them was by horse or mule.\textsuperscript{13}
During its deployment in Cuba, the 7th Regiment was assigned to two different higher echelon organizations. First, it joined the 3d Provisional Brigade on 26 December 1917. Other units of the Brigade were the 8th and 9th Regiments. The 9th Regiment had entered Cuba that same month with the mission of assisting the 7th Regiment. The 8th Regiment, on the other hand, did not go to Cuba but was instead ordered to Galveston, Texas. Subsequently, the brigade’s headquarters and the 9th Regiment were also transferred to Texas. When these units departed on 31 July 1918, the 7th Regiment was detached from the 3d Provisional Brigade. An assignment to another higher echelon did not take place for a number of months. Finally, on 21 December 1918, the regiment was attached to the 6th Provisional Brigade. The 1st Regiment, which had recently arrived in Cuba, was the other subordinate element of the brigade.\textsuperscript{14}
For 2 years the 7th Regiment protected American-owned sugar plantations, sugar mills, railroads, and other installations. It was instrumental in seeing that the valuable sugar supply was processed and exported with only a minimal amount of interruption. With World War I over and with the easing of internal disorders, the American Government decided to recall most of its forces from Cuba. The 6th Provisional Brigade was deactivated on 21 June 1919, but the 7th Regiment stayed on the island for 2 more months before being ordered home. The regiment was the last major Marine force to be withdrawn; two Marine companies, however, continued to occupy Camaguey Province until February 1922. Relocation of the 7th Regiment to Philadelphia was completed on 4 September 1919. The first overseas deployment of the unit thus passed into history, but this would not be the last time the regiment would see Cuba.
Postwar demobilization led to the deactivation of the 7th Regiment on 6 September 1919.\textsuperscript{15} The regiment remained in an inactive status throughout most of the interwar period. Activation of a unit bearing the designation of 1st Battalion, 7th Regiment occurred at San Diego on 1 April 1921, but it was subsequently redesignated as the 1st Battalion, 5th Brigade. It reacquired its initial designation on 21 March 1922. The battalion continued on active duty until 1 September 1924 when it was deactivated with its personnel being absorbed by the newly reorganized 4th Regiment.\textsuperscript{16} Shortly after the deactivation of the 1st Battalion, 7th Regiment, there appeared on the east coast a Reserve 7th Marine Regiment. It functioned off and on as a Reserve organization until the early 1930s. This unit is considered a separate organization and, in terms of lineage and honors, it is not connected to the present 7th Marines.\textsuperscript{17}
On 6 September 1933, the regiment, bearing the present designation of 7th Marines, was reactivated at Quantico, Virginia. Colonel Richard P. Williams, a veteran of World War I and a former commander of
\textit{Members of the 7th Regiment march through the countryside of eastern Cuba in 1917.}
National Archives Photo No. 127-G-518276
the Garde d’Haiti, was assigned as the commanding officer. The composition of the unit included Headquarters and Headquarters Company, Service Company, and two battalions of five companies each. It totaled 58 officers, 8 warrant officers, and 1,108 enlisted men. Personnel used to reform the regiment came from barracks and detachments located at Philadelphia and Annapolis, Maryland, and Quantico, Norfolk, and Portsmouth, Virginia.
As had been the case in 1917, the regiment was brought into existence for a possible move to Cuba because of an internal crisis that threatened American interests. But in this instance the entire regiment did not sail to the Caribbean. The first element to deploy was a machinegun platoon, consisting of 78 officers and men, that departed on 23 September 1933 on board the battleship USS New Mexico. The platoon’s journey was cut short and it was soon returned to Quantico.\(^{18}\) Deployment of the 2d Battalion began on 3 October when it moved first to Norfolk. It sailed 6 days later on the battleship USS Wyoming, arriving at Guantanamo Bay on 14 October. The ship subsequently proceeded to Havana, but no troops were put ashore. Except for two short redeployments to Florida the battalion remained in Cuban waters through the end of January 1934. No landing was necessary, but the battalion maintained a ready posture and was poised to land to protect American interests should it have become necessary.
The rest of the regiment in the meantime was assigned on 18 December 1933 to the newly created Fleet Marine Force. A further reorganization during the next month led again to the deactivation of the regiment. Headquarters Company and Service Company were disbanded on 17 January 1934, while the 1st and 2d Battalions were redesignated as the 1st and 2d Battalions, Fleet Marine Force, respectively. The latter battalion was still in Cuban waters when this change occurred. This brief regenesis was the last for the 7th Marines until shortly before the Second World War.\(^{19}\)
**World War II Rebirth and South Pacific Deployment**
The United States entered the 1940s with apprehension over the widening conflict in Europe. It initially desired to remain uninvolved but practicality dictated that it prepare for any eventuality, including the likelihood of war. The Marine Corps, as a result, embarked on a program of expansion in 1940. This gradual increase led to the reactivation of the 7th Marines on 1 January 1941. Ironically, Cuba was once more woven into the fabric of the history of the 7th Marines as this rebirth occurred at Guantanamo Bay. Colonel Earl H. Jenkins, an active participant in numerous expeditions to the Caribbean in the years following World War I, took command of the reformed unit. Besides a headquarters company, the regiment had three infantry battalions of five companies each. Personnel came mainly from the 5th Marines and from recruits recently arrived from the United States. The regiment was assigned to the 1st Marine Brigade. A month later the brigade was enlarged and redesignated as the 1st Marine Division.\(^{20}\)
Shortly after its reconstitution the regiment participated in landing exercises at Guantanamo and at Culebra. These maneuvers lasted until early spring when the regiment was ordered to the United States. It boarded the transport USS Barnett* and sailed on 8
---
*The ship, commissioned in September 1940, was named in honor of Major General George Barnett, the 12th Commandant of the Marine Corps. It was redesignated APA 5 in 1943.*
April for Charleston, South Carolina. The regiment soon established itself at the Marine Corps' recruit depot at Parris Island. There it resumed its training. In addition to amphibious exercises, emphasis was placed on night maneuvers, combat firing problems, beach reconnaissance, chemical warfare, demolitions, and air-ground communications.
One reason for this intense training was to prepare the regiment for a possible landing on the French Caribbean island of Martinique. Tension was growing between Vichy France, a German satellite, and the United States over a sizable French naval force at Martinique. The American Government was concerned that the naval flotilla and the island would be turned over to Germany. Plans were drawn up so the United States would be ready to take decisive action if negotiations failed. The 1st Marine Division plus elements of the Army's 1st Infantry Division were assigned the responsibility of making an amphibious landing on Martinique should that prove necessary. Fortunately, the United States did not have to resort to hostilities. The 7th Marines moved to New River, North Carolina, during the latter part of September 1941. The base was later renamed Camp Lejeune in honor of former Major General Commandant John A. Lejeune.\(^{21}\)
The 7th Marines, following the attack on Pearl Harbor by the Japanese, went on immediate alert for a possible overseas deployment. None took place, however, until the following spring. At that time the unit, minus its 3d Battalion, was detached from the 1st Marine Division and attached on 21 March to the newly created 3d Marine Brigade. The Regimental Weapons Company was activated on the same day. Deployment to the Pacific began on 2 April 1942, when the regiment minus the 3d Battalion, moved by train to Norfolk, Virginia. It subsequently loaded on board the transports USS *Heywood*, *McCawley*, and *Fuller*; departure was on the 10th. Meanwhile, the 3d Battalion had entrained for San Diego where it embarked on the USS *Harris*.\(^{22}\) The ship sailed on the 13th with Samoa as its destination. The entire regiment had in fact been ordered there. First to arrive was the 3d Battalion; it disembarked at American Samoa on 28 April. The remainder of the regiment arrived and disembarked on British-held Upolu in Western Samoa between 8 and 10 May. The 3d Battalion eventually transferred to Wallis Island, a French possession.\(^{23}\) All units of the regiment and the 1st Battalion, 11th Marines, an artillery unit, were assigned the responsibility for garrisoning and defending the Samoan Islands. Their mission was one of repulsing Japanese incursions and helping to keep open the lines of communications between the United States and Australia and New Zealand. Fortunately, the Japanese made no real thrust into the area.
**Guadalcanal**
The men of the 7th Marines received word during the summer that they would be redeployed upon the completion of intensive jungle training. The regiment was relieved by the 22d Marines in August 1942. Upon being detached it began movement to the Santa Cruz Islands. Its mission was the occupation of Ndeni Island. The regiment, however, never reached the island. New orders directed the 7th Marines to reinforce Marine units already on Guadalcanal in their struggle with the enemy for control of the island which is located in the southern Solomons. Personnel from the reinforced regiment—almost 4,300 men—went ashore on Guadalcanal on 18 September. These fresh troops were promptly brought up to the line of battle and deployed near the 1st Marines in the vicinity of Lunga Point on the north coast of the island.\(^{24}\) Within a week the 7th Marines, now commanded by Colonel Amor LeR. Sims, had joined the rest of the 1st Marine Division in combat operations against the Japanese.
Initially, the 1st Battalion was most involved in active engagements with the enemy. Major General Alexander A. Vandegrift, the division commander and later Commandant of the Marine Corps, desired more offensive operations. He, therefore, initiated a number of probing patrols beyond the Marines' perimeter with the objective of securing information on Japanese troop movements. The 1st Battalion, 7th Marines was given one such assignment. It had orders to cross the Matanikau River, investigate the territory between the river and the village of Kokumbona, then turn and make for the coast. The battalion under its commanding officer, Lieutenant Colonel Lewis B. ("Chesty") Puller, famed Banana Wars veteran, moved out on 23 September. A clash, the first between an enemy and a unit of the regiment, occurred on the following day. Shortly after nightfall Puller's men sur
Marines head for the frontlines near the Matanikau River on Guadalcanal. Elements of the 2d Battalion, 7th Marines were involved in a fierce battle with Japanese units east of the river in October 1942.
prised a force of Japanese on the slopes of Mount Austen, southwest of Lunga Point. This brief skirmish cost the Marines 32 casualties. Reinforcements from the 2d Battalion, 5th Marines joined the battalion on the 25th and the combined group of Americans pushed on, minus the wounded who were taken back to American-held Henderson Field. The Matanikau was reached on the 26th but no crossing was attempted; instead the two units turned north toward the sea. During the afternoon the column came under fire from the opposite bank. It halted and the 2d Battalion, 5th Marines tried to make a crossing but was repulsed. Fighting broke off at dusk. The 1st Raider Battalion in the meantime had reached the scene of the engagement and Colonel Merritt A. ("Red Mike") Edson, its commanding officer, assumed command of all three units. Edson, a veteran of World War I and a Navy Cross recipient for action in Nicaragua, later received the Medal of Honor for his leadership on Guadalcanal. Lieutenant Colonel Puller acted as his executive officer while the three battalions were operating together.
Combat resumed on the following day with the 1st Battalion, 7th Marines, minus Company C, making an amphibious landing west of Point Cruz on the north coast. The intent of this maneuver was to launch an attack on the enemy's rear while he was engaging the other two Marine units. The landing came off smoothly and the battalion began hacking its way through the dense jungle. Suddenly, a strong enemy force hit the unsuspecting Marines. Major Otho Rogers who was in charge of the operation fell dead in the initial burst of fire. The attacking Japanese forced the Marines to establish defensive positions as heavy fire stymied the men from making any further headway. The Raiders and the 2d Battalion, 5th Marines in the meantime had renewed the battle on their front but were still unable to penetrate enemy lines. Lieutenant Colonel Puller, learning of his battalion's tenuous position, boarded the destroyer USS Ballard (DD 267) to effect a rescue. After making contact with the beleaguered battalion, the ship began firing on Japanese positions. Sergeant Robert D. Raysbrook, braving enemy fire, stood on a ridge to semaphore the Ballard the much-needed fire control instructions. Under the guns of the destroyer, the Marines started withdrawing to the beach to await the arrival of landing craft to extricate them. As the men struggled to return to the beach they desperately fought off the attacking Japanese. A number of heroic deeds occurred during the movement to the beach. One act of valor was especially conspicuous. Platoon Sergeant Anthony P. Malanowski, Jr., knowing that it would mean sure death, chose to remain behind to cover the withdrawal of Company A. He was eventually overrun and killed by the enemy, but most of his unit's men were able to reach the beach safely.
As Navy and Coast Guard landing craft approached the shore, Japanese artillery opened up on the exposed vessels. A number of boats were struck and casualties were sustained by the crews. Their movement to the selected pickup area was seriously impeded. Observing the action below and the difficulties the boats were having, a lone Marine scout bomber, piloted by 2d Lieutenant Dale M. Leslie of VMSB-231, descended to a low level and made a number of strafing runs over enemy artillery sites. Heartened by the passes of the
GUADALCANAL
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"Dauntless" SBD the coxswains renewed their attempts to reach the shore. With Coast Guard Signalman First Class Douglas Munro leading the way, the boats succeeded in maneuvering through continuous Japanese fire to finally reach the beach. Munro was subsequently killed as he covered the extrication phase of the withdrawal. Perseverance combined with a strenuous effort resulted in the removal of the battalion, although the enemy fusillade had delayed completion of the rescue. Sergeants Raysbrook and Malanowski and Lieutenant Leslie were each awarded the Navy Cross for their efforts in the withdrawal. Signalman Munro received the Medal of Honor for helping to make the rescue a success. Once safely on board the Ballard, the 1st Battalion counted its casualties and found the Japanese fire had taken a heavy toll—24 killed and 23 wounded.\(^{24}\)
Another attempt at driving across the Matanikau began on 7 October with elements of the assault group coming from the 2d, 5th, and 7th Marines. The latter unit, less its 3d Battalion which remained in reserve, crossed without incident. Resistance to the attacking force was encountered eventually by all units after the Marines were established on the opposite bank. Once again the 1st Battalion, 7th Marines made the most significant contact of the probe. Puller's unit on 9 October found a strong concentration of Japanese in a deep ravine located about 1,500 yards inland from Point Cruz. The tenacious commander immediately brought artillery and mortar fire to bear on the enemy. Those who survived the barrage tried to scramble up the far side of the ravine. Escape proved fruitless as the Marines raked the side of the hill with rifle and machinegun fire. Following the destruction of this group of enemy, the battalion and the rest of the raiding force of Marines withdrew back across the river. Fighting had lasted for 3 days with the Americans inflicting 700 casualties on the Japanese.\(^{25}\)
The next major engagement for the 7th Marines took place on 25 October\(^*\) with the 1st Battalion again bearing the brunt of a strong enemy attack. The unit at this time was deployed southeast of Lunga Point and Henderson Field. Shortly after midnight a large enemy unit positioned itself opposite the battalion's defenses; once ready, the Japanese rushed forth in a headlong banzai charge against the 1st Bat-
---
\(^*\)This battle resulted in Lieutenant Colonel Puller being awarded his third Navy Cross. He already had two for Nicaragua. Subsequently, he would acquire two more: one for the New Britain Campaign and one during the Korean War.
Sergeant John Basilone, 1st Battalion, 7th Marines—Medal of Honor, Guadalcanal.
talion's lines. The Marines held against the onslaught until reinforcements from the Army's 3d Battalion, 164th Infantry Regiment arrived. The concentrated fires from the two battalions plus supporting artillery repulsed the attack. By 0700, the Japanese had departed the scene of the battle, leaving the field strewn with the bodies of their dead. Sergeant John ("Manila John") Basilonie received the Medal of Honor for this fight, because of the courage he displayed in manning his machinegun and in braving enemy fire to bring up much needed ammunition. He thus had the double distinction of being the first enlisted Marine in World War II and also the first member of the 7th Marines to be awarded the medal.\(^{26}\)
Another strong Japanese assault was launched on the 26th. This time it hit elements of the 2d Battalion, 7th Marines commanded by Lieutenant Colonel Herman H. Hanneken.\(^**\) a veteran of the occupation of both Haiti and Nicaragua. The Americans threw the attackers back after a fierce, but brief fight in an area near the coast and just east of the Matanikau River. The 7th Marines acquired its second Medal of Honor winner as a result of the engagement. Platoon
\(^**\)Hanneken, already a holder of the Medal of Honor and two Navy Crosses for his exploits in Latin America, received a Silver Star for an engagement that took place in early November 1942.
Sergeant (later Colonel) Mitchell Paige directed the fire of his machinegun section until the crews were either killed or wounded. He then singlehandedly manned first one gun then a second. In the latter stages of the battle Paige organized and led a bayonet charge which drove the enemy off and prevented a breakthrough in Marine lines. Major (later Brigadier General) Odell M. Conoley, the battalion executive officer, earned the Navy Cross during the same engagement.
Between 8 and 12 November 1942, the 1st and 2d Battalions were involved in a number of sharp encounters with enemy units around Koli Point, which is about 5 miles east of Lunga Point; but heavy fighting for the regiment soon ended as the entire 7th Marines pulled back to the Lunga Point defensive area. For the next several weeks the unit carried out routine patrols to eliminate those Japanese soldiers who still remained behind in the areas seized by the Americans. On 9 December, the 1st Marine Division began stand down procedures. Command of all troops ashore subsequently passed from General Vandegrift to Major General Alexander M. Patch, commander of the Army's American Division. Most of the 1st Marine Division had seen 4 months of intense fighting and, as a result, a large percentage of its units were weakened by casualties, malaria, and just plain fatigue. The men needed a rest from the rigors of Guadalcanal's unhealthy climate and harsh terrain.
Relief on the 7th Marines took place in January 1943. The entire regiment sailed from Guadalcanal on the 5th on board the transports USS President Jackson (AP 37), President Adams (AP 38), and President Hayes (AP 39). A week later the three ships dropped anchor in Port Phillip Bay off Melbourne, Australia. The regiment moved ashore and went into camp at Mount Martha, a few miles outside of the city. Eventually all members of the 1st Division were relocated to Australia. Back on Guadalcanal the battle continued—a responsibility of the U.S. Army. The campaign finally came to an end on 9 February after the Japanese completed the withdrawal of their forces. Although the enemy was able to evacuate thousands of troops, the Japanese lost nearly 23,000 men killed, died of wounds and disease, missing, and captured in fighting on Guadalcanal. American Marine and Army units during the campaign sustained over 6,300 killed and wounded. The first United States offensive against the Japanese had resulted in a tangible American victory. The forward thrust of the enemy into the South Pacific had been stopped; America now prepared to roll the Japanese back from their initial conquests.
The first order of business in Australia was to give the men a well-deserved liberty. Melbourne, with its many similarities to an American city, was the focal point for Marines on leave. The Australian people responded to the arrival of the 1st Division with great warmth and genuine hospitality. The newspapers, in fact, welcomed the Americans by calling them "the saviours of Australia." Most Marines viewed their stay in Australia as an enjoyable respite from the unpleasantries and horrors of war. Fond memories of both the country and the people are carried by the men who were stationed in Australia in 1943.
Once replacements and supplies arrived from the United States, the division reorganized and made plans to initiate a series of training exercises. Before the division could embark on maneuvers, lost and wornout equipment had to be replaced. One item that would prove to have a significant effect in later battles of the war was acquired by the 7th Marines. The M-1, the first semiautomatic service rifle to be produced in quantity by the United States, was issued to the 1st Division shortly after its arrival in Australia. Beginning in April, training was conducted with the new weapons instead of the old bolt-action Springfields. Combat training emphasized the techniques of amphibious warfare with a number of practice assaults.
Lieutenant General Thomas Holcomb, CMC, makes an inspection tour of the 7th Marines on Guadalcanal in December 1942. Left to right: Major General Alexander A. Vandegrift, 1st Division commander; Lieutenant General Holcomb; Colonel Amor L. Sims, regimental commander; and Lieutenant Colonel Julian N. Frisbie, executive officer.
taking place that spring in Port Phillip Bay. These exercises were designed in anticipation of further campaigns in the South Pacific.\textsuperscript{31}
\textit{New Britain}
The regiment in summer 1943 received notification of its inclusion in the forthcoming 1st Marine Division landing at Cape Gloucester on the western tip of the island of New Britain. American strategists by mid-1943 began formulating plans for there capture of the Philippines. To facilitate an approach to the former colony, it was necessary to force an opening of the Vitiaz and Dampier Straits separating New Guinea and New Britain. With the straits in friendly hands Japanese bases along the New Guinea coast would become vulnerable to pressure by the United States. Relatively safe access to the Philippines could then be exploited. In accord with this thinking the decision was made to establish an American presence on western New Britain. A successful seizure of this area would hopefully accomplish a secondary objective—further isolation of the enemy bastion at Rabaul in eastern New Britain. The 1st Marine Division, now commanded by Major General William H. Rupertus, had the assignment of carrying out the assault. The landing phase of the campaign was scheduled for 26 December 1943 with Cape Gloucester as the designated target.\textsuperscript{32}
In early fall after 8 months in Australia, the 7th Marines left in two echelons for the staging area at Oro Bay, New Guinea. The first arrived on 2 October; the second on 9 October. Beginning on the latter date, the troops were subjected to intermittent Japanese aerial bombardment. Although the bombing continued until the end of the month, the regiment was still able to conduct amphibious exercises as part of the preparation for the upcoming operation.\textsuperscript{33} Over 2 months elapsed before the invasion force started moving to the objective with the 7th Marines leaving on Christmas Eve. The regiment, under Colonel Julian N. Frisbie, had been delegated the responsibility of securing the beachhead as quickly as possible. Frisbie,
a Banana Wars veteran, won a Silver Star on Guadalcanal while he was executive officer of the regiment.
The convoy carrying the assault force rendezvoused in Buna Harbor north of Oro Bay before sailing to Cape Gloucester on D-minus-1; arrival came early on the following day, the 26th. As H-hour drew near, Navy cruisers and destroyers opened fire on predetermined targets. Air strikes were also employed. The men of the 7th Marines in the meantime prepared to transfer from their destroyer transports (APDs) to landing craft. With the Navy’s guns hammering away at Japanese positions, the Marines loaded on board LCVPs (Landing Craft, Vehicle and Personnel) for the journey to the beach. Shortly after the last salvo was fired, the 3d Battalion, 7th Marines headed for shore. It landed at 0746. It was the first unit of the invasion force to land on the narrow beach and was immediately followed by the 1st Battalion which waded ashore 2 minutes later. The last battalion of the regiment, the 2d, made its way through the surf to the beach approximately an hour after the other two units had set foot on the island. All units of the division succeeded in coming ashore on time. The landings on D-day, 26 December, had taken place without a hitch.
The assault troops met little resistance. One brisk but deadly clash, however, did take place in the initial landings. Elements of Lieutenant Colonel William R. Williams’ 3d Battalion, 7th Marines upon reaching the shore came under long-range machinegun fire from hidden enemy bunkers. Reduction of the fortifications was carried out by the 3d Battalion, 1st Marines which suffered a number of casualties. For the most part, the real enemy was not the Japanese but the dense jungles. New Britain’s tropical rain forest and nearly impenetrable swamps combined to hamper the maneuverability of the invasion force once it pushed out from the beach. The Americans were also plagued by a near constant rain that fell in the first day of the campaign. The deluge brought on by the advent of the rainy season often turned normally dry, high-ground areas into quagmires.\textsuperscript{34}
Opposition from the Japanese continued to be light throughout the first day. Bad terrain notwithstanding, all major division objectives were attained, including the 1st Battalion, 7th Marines’ capture of the key geographical feature of the region—Target Hill. Division units next concentrated their attention on the nearby Cape Gloucester airdrome. The troops hacked and slashed their way through the jungle to attack the Japanese installation.\textsuperscript{35} The beachhead meanwhile steadily expanded with the Americans making little contact with the enemy.
The Japanese delayed their counterthrust, however, only until the morning of D-plus 1. Attacking during a driving rainstorm, the enemy’s \textit{2d Battalion, 53d Infantry} then hit the positions of the 2d Battalion, 7th Marines, which held the center of the Marine perimeter. Three times the enemy hurled his troops at the battalion, but on each occasion the Americans held. No significant penetration occurred. The battalion now under Lieutenant Colonel Conoley (recently promoted) inflicted severe losses on the Japanese. Two hundred dead were counted on the battlefield. Those who survived retreated into the jungle shortly after daybreak. Conoley later received the Silver Star for his leadership in the repulse of the attack.\textsuperscript{36}
The 1st Division pressed on with its drive toward the airfield that morning, but the first Marines did not reach it until 29 December. The field was secured by elements of the 1st and 5th Marines on the 30th after a brief fight.\textsuperscript{37} Brigadier General Lemuel C. Shepherd, Jr., assistant division commander and later the 20th Commandant of the Marine Corps, then headed a new drive southward along Borgen Bay following the seizure of the airdome. The main units in this thrust, which started on 2 January 1944, were the 7th Marines; 3d Battalion, 5th Marines; and the 1st and 4th Battalions, 11th Marines. The last two units provided artillery support. One major encounter with the enemy took place along a small stream which soon acquired the nickname “Suicide Creek.” For 2 days, the entrenched Japanese halted the Marines. The stalemate was finally broken with tank support. Only by laborious effort had the armor been brought up and placed into positions to assault the enemy fortifications. A new advance was ordered with the tanks leading the way. This time the obstacles were breached and Japanese resistance disintegrated. Once the breakthrough had been achieved the column pushed on and continued its march.\textsuperscript{38}
Another significant engagement began on 9 January when Lieutenant Colonel Lewis W. Walt’s 3d Battalion, 5th Marines, with Companies K and L of the 3d Battalion, 7th Marines attached, discovered a strong enemy defensive position that included a maze of intricate bunkers extending along Aogiri Ridge. Walt, later a full general and the Assistant Commandant of the Marine Corps, had his men attack the Japanese stronghold, but in an all-day fight they were unable to penetrate the enemy’s defenses. By evening, however, the Americans through sheer tenacity gainCAPE GLOUCESTER
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Marines ford a Cape Gloucester stream while searching for a Japanese pillbox. The jungle terrain and torrential rains on New Britain added to the difficulties.
Members of the 7th Marines' regimental staff at Cape Gloucester are, left to right: Major Victor H. Steit, operations officer; Lieutenant Colonel Lewis B. Puller, executive officer, First Lieutenant Francis T. Farrell, intelligence officer, Major Thomas J. Cross, quartermaster; Captain R. T. Musselwhite, Jr., communications officer, First Lieutenant John J. Aubuchon, assistant operations officer.
ed a foothold on the crest of the ridge. Japanese defenders, beginning at 0115 on 10 January, launched the first of five counterattacks against the Marines. The Leathernecks held in spite of the furious onslaughts. By dawn all the enemy reserves had been spent, forcing the Japanese to retreat. The ridge was permanently lost to the enemy as he had no further troops available for a new counterattack.\(^{39}\)
The only important enemy stronghold left in the area was on Hill 660. General Shepherd wanted the jungle-covered hill seized. He assigned this task to the 3d Battalion, 7th Marines which was now under Lieutenant Colonel Henry W. ("Bill") Buse, Jr., later chief of staff of the Marine Corps and commanding general, Fleet Marine Force, Pacific. The battalion, supported by Weapons Company, 7th Marines, initiated a number of sorties over the next 2 days that probed enemy positions on the hill. Then, a dramatic rush to the top through a heavy downpour occurred on 14 January 1944. The sudden surge took the Japanese completely by surprise. The exhausted and rainsoaked Marines dug in on the crest and waited for the expected counterattack. The anticipated thrust came before sunrise on the 16th. Although vicious at times the fighting did not last long. Buse's skillful use of available firepower wrought devastating and lethal destruction upon the attacking force. Buse received the Silver Star for the capture of the hill. The repulse of the enemy on Hill 660 marked the end of organized resistance in the Cape Gloucester-Borgen Bay area. In this phase of the New Britain Campaign, the 7th Marines and the 3d Battalion, 5th Marines plus supporting units had borne the brunt of the heaviest fighting in a region that contained some of the most difficult jungle territory in the world—territory made even less passable by torrential rains and the resulting mud. Colonel Frisbie received the Navy Cross for his leadership during this part of campaign.\(^{40}\)
Marine operations in western New Britain immediately following the successful push to Hill 660 were in the form of extensive patrolling missions to seek out the elusive Japanese. The enemy in his retreat hoped to reach Rabaul on the opposite end of the island. The 7th Marines thus received a new mission—the destruction of the fleeing enemy troops. The regiment had this responsibility until the end of February when it was then ordered to participate in the defense of the Cape Gloucester airstrip against Japanese stragglers. All combat-associated activity for the regiment and for the division ended in the latter part of April. The number of enemy killed by the division was estimated at 4,000 while the Marines lost apPELELIU
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A Marine fires a Thompson submachine gun into a Japanese pillbox before venturing inside. Members of the 7th Marines probed enemy positions on Hill 660 in January 1944.
Approximately 1,300 men killed and wounded. The Army's 40th Infantry Division relieved the 1st Marine Division of its duties on the island and the Marines withdrew to Pavuvu in the Russell Islands. Arrival of the 7th Marines occurred in early May. Pavuvu was considerably less than ideal as a site for a unit to obtain the rest and recuperation required after months in a jungle environment. There the men found mud and more mud plus the ever incessant tropical heat. To make matters worse the island was infested with rats and land crabs. Adversities and illness, especially malaria, continued to afflict the troops as they had on New Britain. Hardship notwithstanding, the 1st Marine Division reorganized and reequipped itself and prepared for the next campaign.
Peleliu
Operation Stalemate, code name for the seizure of the Palau Islands, got underway in September 1944. The III Amphibious Corps (III AC) under Major General Roy S. Geiger* had the responsibility of taking the islands.
General Geiger in June had detached a provisional planning staff from III AC to plan the operation. The group was sent to Pearl Harbor and received the designation X-Ray Provisional Amphibious Corps. Major General Julian C. Smith, the deputy commander of the V Amphibious Corps, was placed in charge. The Palau Islands were Japan's main bastion in the western Carolines and only 530 miles east of Mindanao in the Philippines. Justification for the operation came from General Douglas MacArthur, supreme commander of Allied Forces in the Southwest Pacific. He believed that no invasion of the Philippines could succeed unless the potential enemy threat from the Palau Islands was eliminated. The Japanese there represented a real danger to his lines of communication that could not be overlooked. Admiral Chester W. Nimitz, commander in chief, Pacific Fleet, added another justification: the need to secure a base where American forces could support MacArthur's operations into the southern Philippines.
American planners focused their attention on taking the southernmost islands—Peleliu and Angaur. The task of capturing Peleliu with its important airfield fell to the 1st Marine Division still commanded by Major General Rupertus, who was to receive the Distinguished Service Medal for the campaign. Peleliu contained extensive defenses, and its fortifications included both antitank and antiautob guns in reinforced pillboxes, minefields, barbed wire, and antitank
*Geiger, a pioneer in Marine aviation, commanded a Marine squadron in France during World War I and won a Navy Cross during his tour there. He also commanded a squadron in Haiti in 1920.
Members of the 1st Marine Division take cover on Orange Beach 3 at Peleliu. Amphibious tractors hit while carrying the Leathernecks ashore burn in the background.
obstacles. The Umurbrogol Ridge which dominated Peleliu was the key to the enemy defense set up. The ridge was masked by dense jungle and honeycombed with caves and tunnels, some natural and some man-made. In addition, the Japanese had effectively constructed exits, firing ports, and artillery positions in the ridge's hard coral limestone. The enemy's defenses, as it soon became apparent, had been made practically impervious to naval and air bombardment. The Navy felt its bombardment was more than sufficient. Years later General Gerald C. Thomas,* former Assistant Commandant of the Marine Corps, summed up the attitude of one of the naval commanders at Peleliu: "They're [the Japanese] all dead, go on ashore and take over the island. We fired all these guns and they're all dead, now you just go over and occupy the area."43
The campaign began early on 15 September 1944 with the 1st Marine Division poised to strike at the southwest coast of the island. Shortly after dawn the troops clambered on board LVTs (Landing Vehicle, Tracked). The amphibious tractors began moving toward the beach at approximately 0800. Less than 40 minutes later, the first waves of infantry landed and rapidly fanned out over the coral sands. The 1st Marines assaulted the northern sector. The 5th Marines were in the center. The 7th Marines, less the 2d Battalion which was in reserve, landed in the southern zone of the beachhead. Colonel Herman H. Hanneken, former commanding officer of the 2d Battalion, 7th Marines, now commanded the regiment in what would prove to be its most difficult campaign up to that time.44
Even before its units reached the shore the regiment came up against heavy enemy fire—a foretaste of what was to come. Intense antiaut, mortar, and machinegun fire raked the 7th Marines as the landing craft churned through the surf. The resulting confusion due to the enemy's enfilade fire caused elements of the 3d Battalion, 7th Marines to mistakenly land in the 3d Battalion, 5th Marines' zone. Once the beachhead had been established, heavy fighting delayed the taking of the 7th's first day objectives. Major (later Brigadier General) Edward H. Hurst's 3d Battalion, 7th Marines had a particularly hard time against Japanese soldiers stubbornly resisting from caves and blockhouses. Hurst personally led his men in attacks on the enemy which by the next day resulted in the annihilation of one reinforced battalion of approximately 1,600 men. Major Hurst was subsequently awarded a Silver Star for his leadership in eliminating this Japanese unit.45
Meanwhile, forward progress on D-day ended early that evening with the men directed to prepare a defensive perimeter. The beachhead held by the 1st Division was 3,000 yards in length and averaged 500 yards in depth with one maximum penetration of 1,500 yards. Several counterattacks hit the perimeter that night with the Japanese launching their strongest attack against the lines of Company C, 1st Battalion,
A new regimental drive to secure the southern tip of the island got underway on D-plus-1. This sweep lasted until the afternoon of the 18th when the 7th Marines reported to division headquarters that the area had indeed been seized. Private First Class Arthur J. Jackson of the 3d Battalion contributed immeasurably to the regiment's success. On the 18th, he virtually became a one-man assault force in storming one enemy gun position after another. Jackson succeeded in personally wiping out 12 pillboxes and killing 50 Japanese soldiers. He was subsequently awarded the Medal of Honor.\textsuperscript{47} In the first 4 days of the Peleliu Campaign, the regiment, less its 2d Battalion, killed 2,609 of the enemy while suffering 47 dead, 414 wounded, and 36 missing in action. One well-trained enemy infantry battalion had been completely destroyed. The number of enemy casualties was indicative of the Japanese determination to fight to the death.\textsuperscript{48}
While most of the regiment was still locked in battle in the south, the 2d Battalion, under Lieutenant Colonel Spencer S. Berger, was put ashore and ordered north to assist the 1st Marines. When the unit moved into the line on 17 September 1944, the newly arrived Marines found the 1st Marines pressing an attack on a section of the Umurbrogol. The vicious battle had battered the 1st Battalion, 1st Marines to the degree that it had to be withdrawn and replaced by the 2d Bat-
\textit{The 3d Battalion, 7th Marines moves to the front lines of Peleliu. A regimental drive to secure the southern end of the island began on D-plus-1.}
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Marine when he jumped on a Japanese grenade that had been thrown into their foxhole. His award was also posthumous.
A new drive was ordered with fresh Army troops from the 81st Infantry Division being brought up for added muscle. Units from this division had just succeeded in seizing Angaur, an island about 10 miles south of Peleliu. The Japanese stubbornly resisted the latest attempt at overwhelming the Umurbrogol, although other enemy-held areas on Peleliu had been taken by United States forces. The Umurbrogol pocket had only been made smaller, not eliminated. By the end of September, the entire island was in American hands and all that remained was the reduction of the Japanese-dominated ridge.\textsuperscript{49} General Rupertus again ordered another attack. It was scheduled for the 30th with the 1st and 3d Battalions of the 7th Marines spearheading the assault. Before it could be launched enemy troops struck the lines of the 7th Marines on the proceeding night. The enemy attack came during a heavy rainstorm and resulted in much confusion and in a number of casualties, but it did not delay plans for 30 September.
The 7th's drive began on time with both battalions making some rather substantial gains. The advance
\begin{center}
\textit{USMC Photo 302307}
Second Lieutenant Arthur J. Jackson was a private first class when he won the Medal of Honor on Peleliu.
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\begin{center}
\textit{USMC Photo 96873}
Men of the 2d Battalion, 7th Marines traverse the rocky ground of the Umurbrogol. This Japanese-dominated ridge was the last area on Peleliu to fall to the Americans.
\end{center}
forced the Japanese to withdraw from a number of defensive positions and enabled the Americans to capture one mountain gun and knock out several machinegun emplacements. Considerable sniper and harassing fire in the meantime took a heavy toll on the rest of the regiment which had remained stationary in the forward area. As the day wore on resistance stiffened. The two assaulting battalions often had to engage in hand-to-hand combat. Hand grenades, flamethrowers, and high explosives were employed to root out the enemy from his caves. Marine losses mounted as the battle raged. Recurring illnesses, especially dysentery, and casualties depleted the ranks of both the 1st and 3d Battalions. At the end of the day Lieutenant Colonel John J. Gormley’s 1st Battalion had an effective strength of only 90 men. The 3d Battalion’s combat efficiency was placed at less than 50 percent. The momentum of the attack could not long be sustained with the loss of so many men.
The spent 1st Battalion moved to the rear while the 2d Battalion was brought up. Renewal of the drive on the Umurbrogol began on the morning of 3 October with Company G jumping off first. It advanced for rapidly towards its objective—Walt Ridge, named for Lieutenant Colonel Lewis W. Walt, then the executive officer of the 5th Marines. Once Company G gained a foothold on the ridge the enemy opened up with a heavy volume of fire. The rest of the 2d Battalion, 7th Maines followed by the 3d Battalion rushed forward to assist Company G. Although temporarily pinned down, units of the 2d Battalion were able to push their way over the crest by late afternoon. Dogged enemy resistance forced a halt to the drive at nightfall. Elements of the 1st Battalion, 7th Marines eventually deployed to the front to reinforce those units already on the crest. Casualties for the day mounted to over 100 for the regiment.
Most of the next day was spent in consolidating newly won ground and in mopping-up operations. In one such maneuver a platoon from Company L, 3d Battalion, 7th Marines moved to seize Hill 120 near Baldy Ridge, an enemy fortified position. After the Marines had occupied their objectives, the Japanese unleashed a murderous barrage from the security of Baldy. The men attempted to withdraw but were cut off by heavy shelling from enemy mortars and cannons. Withering fire took a devastating toll. Below the scene of the battle the rest of Company L stood helpless. Attempts at rescuing the trapped Marines proved fruitless—and costly. Captain James V. Shanley, the commanding officer, in trying to recover an injured rifleman was hit by mortar shell fragments and fell mortally wounded. Second Lieutenant Ralph H. Stadler rushed to his aid but was killed as he ran across open ground. Shanley was posthumously awarded his second Navy Cross; his first had come for valorous conduct in the battle for Hill 660 on New Britain. Of the 48 men who were on Hill 120 only 11 made it to safety and just 5 emerged unscathed. The battalion could only look upon this engagement as a tragedy. The entire regiment, in fact, had suffered severe losses throughout the campaign. Following the near calamity on Hill 120, the 7th Marines was relieved by the 5th Marines. At this point it simply could not function effectively as a combat organization on a regimental scale.\(^{21}\)
Elements of the regiment came back into the line in mid-October 1944 to participate in yet another at-
Senior officers of the 7th Marines during Peleliu are shown (left to right): Major E. Hunter Hurst, commanding officer, 3d Battalion; Lieutenant Colonel Norman Hussa, regimental executive officer; Colonel Herman H. Hanneken, regimental commander; Lieutenant Colonel Spencer S. Berger, commanding officer, 2d Battalion; and Lieutenant Colonel John J. Gormley, commanding officer, 1st Battalion.
tempt at reducing the Umurbrogol pocket. The 1st Battalion came up on the 14th and remained engaged in operations for 3 days when it was then relieved by the Army's 1st Battalion, 321st Infantry Regiment. Headquarters and Weapons Companies remained behind the lines and were employed as a defensive force for the island's airfield. The 2d Battalion was assigned to patrolling operations on the islands northeast of Peleliu. On 17 October, elements of the 3d Battalion, 7th Marines were dispatched to the Umurbrogol and a rather costly battle ensued. This turned out to be the last engagement of the campaign for a unit of the 7th Marines. On 20 October the 81st Infantry Division took over all responsibility for continuing operations against the diehard enemy units. The 1st Marine Division stood down and all elements of the 7th Marines except the 3d Battalion left for Pavuvu on the 22d. The remaining battalion redeployed on 30 October.
Although the bloody battle for Peleliu was over for the 7th Marines and the 1st Marine Division, it continued for the Army until 27 November 1944 when the last fortified enemy stronghold was overrun. Even then, fighting did not end as small skirmishes between American troops and Japanese soldiers occurred for many weeks after the official termination of organized resistance. The capture of Peleliu brought to a close one of the hardest-fought battles in the Pacific War and one of the most costly. Almost 10,400 casualties were incurred by the Marine Corps, Army, and Navy during the campaign. Of this figure the 7th Marines suffered nearly 1,500 battle losses.
Okinawa
After filling its thinned ranks with replacements, the 7th Marines began preparing for its role in Operation Iceberg, the invasion of Okinawa. The 1st Marine Division in January 1945 began rotating its infantry regiments to Guadalcanal to conduct training exercises since rat-infested Pavuvu was too small for such maneuvers. The division was now commanded by Major General Pedro A. del Valle, an artillery officer who had commanded the 11th Marines on Guadalcanal. The division was slated to participate in the assault on Okinawa as an integral part of a much larger force. As a result, it had to face new problems of control and coordination with which it had no previous experience. The 1st and 6th Marine Divisions were the main units of the III Amphibious Corps which itself formed a major element of the Tenth Army, the organization responsible for the seizure of Okinawa. Command of this huge force was given to Army Lieutenant General Simon B. Buckner who was subsequently killed* by hostile fire during the closing days of the campaign.
The principal reason for undertaking the Okinawa invasion was obvious—the island's proximity to Japan. It lay only 350 miles away. Numerous sites for air and naval bases existed on the island. In American hands Okinawa could be turned into a veritable bastion from which the United States could strike with impunity at the heartland of the Japanese Empire. Additionally, it afforded the United States a potential staging area for a future amphibious invasion of the Japanese home islands.
Training for the operation ended in early March 1945. By mid-March, units of the invasion force had assembled and were proceeding to the objective. L-day, the day of the assault, was set for Easter Sunday which fell on 1 April that year. Plans called for the landing to take place on the southwestern side of the island. The two divisions of the III Amphibious Corps were
*Upon the death of General Buckner, command of the Tenth Army fell to Lieutenant General Roy S. Geiger who initially commanded the III Amphibious Corps during the struggle for Okinawa. This was the first time a Marine general commanded an American field army.
Colonel Edward W. Snedeker, later lieutenant general, commanded the 7th Marines before and during the assault on Okinawa.
scheduled to land abreast on the beaches north of the town of Hagushi; to the south two divisions of the Army’s XXIV Corps would come ashore. The 1st Division after landing would assist the 6th Division in capturing Yontan airfield before striking inland. The first assault waves began making their way to the beaches shortly after 0800. In the vanguard were the armored amphibian tractors followed closely by the troop-carrying LVTs. Among the first Marine units to land were the 1st and 2d Battalions, 7th Marines. Much to the surprise of the Americans only slight enemy resistance was encountered. Advancing Marines made rapid progress. Consequently, the 3d Battalion, which had been in reserve, was put ashore and joined the movement inland. Objectives were taken ahead of schedule. For example, Colonel (later Lieutenant General and Commandant of the Marine Corps Schools) Edward W. Snedeker’s 7th Marines was able to reach the east coast late on 3 April. Although the men met some moderate opposition, fighting did not seriously impede their progress. Rugged terrain and poor roads caused the most difficulty. Spearheading the drive was the 3d Battalion under Lieutenant Colonel Hurst which had the honor of being the first Marine unit to make it to the opposite side of the island. Okinawa had thus effectively been cut in two. The 2d Battalion, still commanded by Lieutenant Colonel Berger, followed by the 1st Battalion, 7th Marines, commanded by Lieutenant Colonel John J. Gormley, went into reserve after reaching the coast on the 4th. The 3d Battalion, 7th Marines continued to be deployed along the front to the north but attached to the 5th Marines. For the rest of April, the 7th Marines primarily occupied itself with patrolling operations in the rugged hills that lay behind the lines as the 6th Division cleared Motobu Peninsula and the northern end of the island and the Army XXIV Corps attacked to the south. It had the mission of destroying small bands of enemy that had been bypassed in the advance on the north.”
The 1st Marine Division on 1 May redeployed south to assist the Army’s XXIV Corps in its advance. The 7th Marines, the last major unit of the division to transfer to the new theater of battle, completed its redeployment on 2 May. Progress against the enemy in the south had been halted at the Shuri Line, a strong network of Japanese defenses. The Army’s repeated attempts at breaching the enemy’s forA machinegun opens up on an enemy position. Marine units moved to southern Okinawa after organized resistance ceased in the north.
ifications proved futile. General Buckner called for another effort but felt a breakthrough would require reinforcements. Both Marine divisions, therefore, shifted their zones of operation to southern Okinawa. Most Marine units were free to move since organized resistance in the north had ended on 21 April.\textsuperscript{78}
The 1st Division maneuvered into assault positions opposite the Dakeshi-Awacha hill complex, a heavily defended section of the Shuri Line. A new attack was launched by the Tenth Army in early May. Murderous fire slowed the 1st Marine Division’s advance on the Shuri Line. The 7th Marines, however, did gain a firm hold on Dakeshi Ridge. The assault started on the morning of 11 May 1945. Prior to the 7th Marines’ push, the Japanese unleashed a fusillade of mortar and machinegun fire on the 3d Battalion’s positions. A foolhardy charge by the enemy followed. Division artillery opened up on the onrushing soldiers while the 2d Battalion, 7th Marines hurried to render support. The two battalions with artillery assistance beat back the attack and inflicted many casualties on the attackers. The 7th Marines subsequently went ahead with its own attack which started on schedule. Although weakened by their thrust, the Japanese remained capable of offering vigorous resistance to the American assault. The 1st and 2d Battalions, especially, found the going difficult, but the regiment by sheer determination forced its way onto the ridge by nightfall.
Considerable credit for the regiment’s success was given to Lieutenant Colonel James M. Masters, Sr., the 7th Marines’ executive officer. Masters, who later became a lieutenant general and commandant of Marine Corps Schools, established an advanced observation post in the only possible position—on the frontlines. From there he observed and helped direct the attack. He continued to man the post, in spite of intense enemy mortar and small arms fire, and to report information vital to the capture of the desperately defended Dakeshi Ridge. He was awarded a Navy Cross for his efforts. A seesaw battle for control of the ridge raged on 12 May. The fighting was so violent that it brought back memories of the battles of Peleliu. Dakeshi Ridge was finally secured on the 13th.\textsuperscript{79} The enemy apparently had remained determined to fight to the last man, because he held out for nearly the whole day despite the employment by the Marines of tanks, self-propelled 75mm guns, and 37mm antitank guns.\textsuperscript{80}
Company E, following the seizure of Dakeshi Ridge, sent a platoon towards Wana Ridge but forward movement was halted by the enemy. The Marines had to pull back to Dakeshi Ridge for the night. The 1st and 2d Battalions rested and reorganized during the next 3
days. Mopping up operations also occurred, but no offensive engagements were ordered because of the weakened condition of both units. The 3d Battalion on the 17th relieved the 1st Battalion, 7th Marines since it could only muster a single company of effectives. On 17 May the 3d Battalion pressed the attack up Wana Ridge, but its ranks were thinned by a heavy volume of enemy fire. Lieutenant Colonel Hurst, the battalion commander, received a Navy Cross for assisting in the evacuation of a wounded man over a path swept by Japanese small arms fire. Bloodied and battered, the battalion was in turn relieved on 19 May by the 3d Battalion, 1st Marines. In 4 days of fighting Hurst’s unit lost 12 officers, producing a severe shortage of leadership in the battalion. Equally as important was the painful fact that the entire regiment had sustained approximately 1,250 casualties from all causes between 10 and 19 May.
The regiment stayed in reserve during near constant rain until 2 June 1945. A few days earlier, Japanese defenses along the Shuri Line crumpled with enemy units retreating to the island’s southern tip for what looked like a last-ditch stand. The 7th Marines moved up to the front near Naha, the capital, and into positions previously occupied by elements of the 22d and 29th Marines, regiments of the 6th Division. The 2d Battalion, 7th Marines immediately crossed the Kokuba River and encountered a small Japanese force which was quickly brushed aside. Once the regiment established itself on the south bank of the river, its commanding officer, Colonel Snedeker, ordered his men to storm nearby hostile emplacements. Snedeker’s goal was to close the neck of the Oroku Peninsula south of Naha, thus entrapping Japanese forces that had withdrawn there. Units of the 6th Marine Division in the meantime launched a direct assault on the peninsula itself. This coordinated operation resulted in the annihilation of practically all enemy soldiers on the peninsula. The 1st Division ordered another major advance upon completion of the bottling up of the Japanese on Okoku. Marine units were directed to push south and west toward the sea. Rain, mud, and rough terrain slowed the drive, but the Marines nevertheless reached the coast on 7 June. This resulted in the opening of a new supply route for the division. It now could be easily supplied by sea rather than by the arduous overland route. Dependence upon hazardous air drops was also eliminated.
The division next made a stab at the Itonan-Tera area. The 1st Battalion, 7th Marines initiated two attempts at seizing high ground overlooking Tera but both failed. Concurrently, the 2d Battalion struck at enemy positions in the vicinity of Itonan. The next day, 10 June, the unit crashed through Japanese defenses and swept beyond the southern edge of the town. Success did not come without a price—five battalion officers were hit by enemy fire in the first 7 minutes of fighting. The 1st Battalion, aided by an artillery barrage, meanwhile seized its objective of the previous day.
The offensive continued with both battalions turning their attention to Kunishi Ridge, a heavily defended coral escarpment. On 11 June, the 2d Battalion pushed out from Itonan while the 1st Battalion started a drive from Tera. The frontal attack was quickly halted by accurate small arms fire and concentrated artillery and mortar volleys. Colonel Snedeker ordered a night assault to avoid needless casualties. Companies E and F moved out early on the 12th while it was still dark. The Americans surprised the Japanese and reached the crest of the ridge. A counterattack temporarily cut the companies off from the rest of the regiment. Reinforcing units with tank support forced their way onto the heights, but intense fire from the defenders thwarted the seizure of the ridge. The enemy was so well entrenched that the 2d Battalion, 1st Marines came up to assist in breaking the will of the Japanese to resist. The 3d Battalion, 7th Marines, which had been in division reserve, also joined in the operation. Forward progress continued to be slow as Japanese opposition did not abate in spite of increased pressure. Naval gunfire had to be employed to destroy pockets of die-hard holdouts. The tired 7th Marines finally withdrew from the battle on the 18th as the fighting drew to a close. Its place was taken by the 8th Marines, a fresh unit from the 2d Marine Division. Colonel Snedeker eventually received the Navy Cross for leading his regiment through the last stages of the Okinawa campaign, including the successful penetration of hostile defenses on Kunishi Ridge.
Combat did not cease altogether for the 7th Marines even through it had been pulled back from the frontlines. Enemy snipers were active in its area causing a number of Marine casualties. In one encounter a concealed Japanese rifleman wounded Lieutenant Colonel Hurst in the neck. The 28-year-old battalion commander had to be evacuated and the command of the 3d Battalion, 7th Marines passed to Lieutenant Colonel Stephen V. Sabol on 19 June. Organized resistance ended 2 days later and the 7th Marines
redeployed north to the Motobu Peninsula for rest and rehabilitation.\textsuperscript{64} Enemy casualties were extraordinarily high during the struggle for Okinawa. No exact toll has been tabulated, but various estimates have placed Japanese dead at well over 100,000. Unfortunately, many of these were civilians. American forces also paid a heavy price: 12,000 killed and over 36,600 wounded. All hostilities in the Pacific ended on 15 August, and the Second World War officially was concluded on 2 September 1945 when Japan formally surrendered to the Allies in Tokyo Bay.
\textit{North China Intervention and Occupation}
As part of the 1st Marine Division, the 7th Marines had slogged its way through four rough, grueling campaigns. The regiment had seen some of the toughest and bloodiest fighting of the war. With the war over the Marines felt relieved in knowing that they would not have to face the prospect of another battle. They expected an immediate return home, but this did not prove to be the case. Shortly after the surrender of Japan, the 1st Marine Division received orders to transfer to China.
Japanese forces in large numbers held vast sections of North China. The Chinese Nationalist Government, having no readily available troops to relieve the Japanese, agreed to the continued use of former enemy units in garrisoning the area until Allied forces could take over the responsibility. The Nationalists thought that the agreement would prevent their old enemy, the Communists, from seizing the area. The American Government approved of such an arrangement and also agreed to send its own forces to aid the Nationalists in reoccupying the region. In some circles there had been worry over possible encroachments by the Soviet Union in North China if a vacuum was created there. Soviet armies had already taken Manchuria from the Japanese and their puppet supporters. The United States in the view of many, therefore, had a number of justifiable reasons for sending thousands of its troops to North China. Its goals there were: (1) to disarm and to accept the surrender of enemy troops including local native units allied to the Japanese; (2) to assist the Nationalists in reasserting their suzerainty over the area and thus prevent a forcible Communist takeover; and (3) to act as a barrier against Soviet imperialism.\textsuperscript{65}
The III Amphibious Corps was selected as the best suited organization for duty in China. Corps Headquarters, Corps Troops, and the 1st Marine Division went to Hopeh Province while the 6th Marine Divi-
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{tientsin_parade.jpg}
\caption{Marines parade through the main street of Tientsin, China. Crowds line the street carrying the flags of both nations.}
\end{figure}
sion, less the 4th Marines, deployed to Shantung Province. Both divisions were supported by units of the 1st Marine Aircraft Wing based on airfields in the two provinces. First Marine Division units had instructions to occupy positions in and around the cities of Tangku, Tientsin, Peiping, and Chinwangtao. Initial orders directed the Marines to accept the surrender of Japanese forces and their native auxiliaries and to supervise the repatriation of enemy military and civilian personnel.\(^{65}\) The 7th Marines left Okinawa on 26 September and arrived and disembarked at Tangku 4 days later. For its new commanding officer, Colonel Richard P. Ross, it was a second tour in China. As a young officer he had been assigned to the Legation Guard in Peiping between 1929-1932.
Upon arrival, the 1st Battalion received further orders sending the unit to Chinwangtao on 1 October. There the battalion, under Lieutenant Colonel Gormley, succeeded in bringing to an end the fighting that sporadically erupted between the Communists on one side and the Japanese and their Chinese allies on the other. Originally, the regiment was dispersed to the following localities: Tientsin, Chinwangtao, Tangku, and Tangshan.\(^{67}\) Although technically the fighting had stopped in China, Marines did not come to view their assignment there as one normally associated with a peacetime garrison force. They were instructed to prepare for any eventuality including combat with hostile units. And on occasions fighting did break out between Marines and Communist Chinese soldiers.
Late in October 1945, the 7th Marines received responsibility for guarding the vital rail line between Tangku and Chinwangtao. Protection of the coal mines at Tangshan also came under the jurisdiction of the regiment. In conjunction with the safeguarding of the railroad, detachments were placed along the route in fixed positions—the most common being bridges and train stations. Their mission was to make sure that rail traffic, especially coal destined for Shanghai, moved uninterrupted along the line.\(^{68}\) The regiment remained occupied in this task for nearly 6 months. Often the outpost units were little more than the size of an average infantry squad. The duty was lonely and dangerous with the men not having, at least initially, adequate quarters, clothing, or rations to endure the harsh winter of North China. Meanwhile, the political-military situation in the country continued to
A machinegun crew guards a train on the Tientsin-Chinwangtao Railroad. This railroad was vital to the Leathernecks who were assisting in the disarmament and evacuation of Japanese forces in the area.
deteriorate. Open warfare flared between the Nationalists and the Communists. Simultaneously, pressure was mounting in the United States to demobilize its huge military machine and to withdraw from China. By early spring 1946, the Japanese repatriation program was almost complete. The American Government, taking all these factors into consideration, decided to reorganize its forces in North China. Deactivation of certain Marine units and the transfer of their personnel to the United States then followed. Lieutenant Colonel Sabol's 3d Battalion, 7th Marines was one organization selected for deactivation. Disbandment occurred on 15 April 1946 at the Chinese town of Peitaiho after the battalion had moved there from Tangshan.\(^{69}\)
The uneasy relations that existed between the Marines and Communist guerrillas grew worse during July 1946. On the 13th, eight men from the 7th Marines who had been guarding a bridge near Peitaiho left to search for ice in a nearby village. The men wanted to use the ice to help alleviate the blistering heat of the hot summer day. However, going to the village was a violation of a division directive against leaving a defensive position. The Marines found no ice; instead, all were captured by Communist troops.
One man did escape and alerted the regimental headquarters. Combat patrols from the 1st and 2d Battalion, 7th Marines fanned out through the countryside in pursuit of the Communists. All traces of the guerrilla band and its captives had vanished. Negotiations with the Communists eventually led to an early release of the men on 24 July. Five days after their capture, a much more serious incident took place. On this occasion a convoy was ambushed near Anping between Peiping and Tientsin. The attack resulted in 4 dead and 10 wounded, all from the 1st Battalion, 11th Marines.\(^{70}\)
Withdrawal of Marines from China extended into 1947 with Colonel Paul Drake's 7th Marines being one of the first units ordered home that year. The entire regiment transferred to Chinwangtao and boarded the transports USS *Bollinger* (APA 234) and *Chilton* (APA 38). Sailing took place on the 3d and 5th of January 1947 with arrival in San Diego coming approximately 3 weeks later. Relocation to nearby Camp Pendleton followed with the regiment being attached to the 3d Marine Brigade. Demobilization plans called for the deactivation of the 7th Marines soon after its return to the United States. Weapons Company was deactivated on 19 February 1947. The 2d Battalion
followed a week later. In March, the 1st Battalion was deactivated on the 5th, while Headquarters Company went out of existence on the following day.\textsuperscript{71}
The regiment's postwar inactive status did not endure for long. A major reorganization of units in the Marine Corps that fall led to the reestablishment of the 7th Marines. It was reborn at Camp Pendleton on 1 October but in an abbreviated state. Colonel Alva B. Lasswell was placed in command. The unit consisted only of Headquarters, A, B, and C Companies. Men of this battalion-size organization came from the 2d Battalion, 6th Marines. Subsequently, the new condensed version of the 7th Marines embarked upon a combat-training program. Its three lettered companies in April 1948 temporarily transferred to Barstow, California. The following January, all four companies received orders to deploy to Alaska for cold weather training. The 7th Marines loaded on board the transport USS \textit{Bronx} (APA 236) at San Diego and sailed on 18 January 1949 for Kodiak. After a stay of less than a month, the unit returned to California.\textsuperscript{72}
Within a few weeks of its completion of the Alaskan deployment, the 7th Marines was alerted for an emergency move to China. The last vestige of America's occupation of North China was in the process of being liquidated during spring 1949. Concern, however, over the security of the handful of remaining Americans in China mounted as the withdrawal concluded. A decision was made to send temporarily a battalion-size unit of infantry to China to ensure the safe departure of those military and civilian personnel still there. The 7th Marines thus received orders to sail to China to protect American citizens from possible attacks. Headquarters and Companies A and B embarked on board the heavy cruiser USS \textit{St. Paul} (CA 73) at San Pedro, California and sailed on 22 April. Company C also left from the same port but on the light cruiser USS \textit{Manchester} (CL 83).\textsuperscript{73} By the time the two ships reached Pearl Harbor a new recommendation had been made. Instead of a battalion a rifle company was requested. Company C, as a result, was detached and sent on to the Far East. The rest of the unit returned to Camp Pendleton at the end of May after sailing to Alameda, California. Company C, commanded by Captain George E. Kittredge, Jr., moved to its destination without incident. It remained in Chinese and adjacent waters for 6 weeks, entering such ports as Tsingtao, Shanghai, and Hong Kong. The withdrawal of Americans was completed shortly after its arrival. Fortunately, no serious outbreak of attacks marred the exit.
Its task successfully terminated, Company C sailed from Chinese waters for Manila in the Philippines in the latter part of June. The company, accordingly, had the distinction of being the last element of the Fleet Marine Force to leave China. Its departure brought to a close a long and colorful chapter in Marine Corps History. The "China Marine" was no more. Company C, 7th Marines returned to Camp Pendleton on 16 July and rejoined its parent organization. Further reductions in Marine Corps strength led to another reorganization, which as a by-product saw the second postwar deactivation of the 7th Marines. It went into effect on 1 October 1949.\textsuperscript{74}
\textit{Aggression in Korea—Return to Asia}\textsuperscript{75}
A new emergency arose in mid-1950 to precipitate the reactivation of the regiment. Early on 25 June, Marshal Choe Yong Gun, commanding the North Korean Army, unleashed a carefully planned attack across the 38th parallel, the dividing line between North and South Korea. The invasion came without justification or warning. The bulk of the invading force converged on Seoul, the capital of the Republic of Korea. Ignoring a United Nations resolution calling upon North Korea to cease its aggression, the North Korean Army pushed down the peninsula smashing South Korean defenders. President Harry S Truman announced on 27 June that he had ordered American air and naval forces to support the retreating South Korean (ROK) Army. The United Nations Security Council on the same day recommended that member nations furnish aid to the beleaguered South Koreans. President Truman 3 days later authorized the use of American ground troops in the war. American Army units shortly thereafter started crossing from Japan to Korea in an attempt to stem the invasion.\textsuperscript{76}
Marine ground forces were also soon committed. The first unit to enter the war-torn peninsula was the understrength 5th Marines, accompanied by Marine Aircraft Group 33. The initial landing took place at Pusan on 2 August 1950. Back in the United States the rest of the 1st Marine Division embarked on a hurried program of making itself ready for combat. It had to be brought up to wartime strength. The 7th Marines, consequently, was reborn at Camp Pendleton on 17 August 1950. Its structure paralleled that which existed during World War II—a headquarters element plus three battalions. Colonel Homer L. ("Litz the Blitz") Litzenberg, Jr., was assigned as |
2002 Awardees
Prof. A.T. de Hoop Prof. D. Carpenter Dr. R.A. Greenwald
Prof. S. Haykin Prof. F. Olyslager
No 301
June 2002
Publié avec l'aide financière de l'ICSU
URSI, c/o Ghent University (INTEC)
St.-Pietersnieuwstraat 41, B-9000 Gent (Belgium)
Contents
Editorial .................................................................................................................. 3
Commission Business Meetings ........................................................................... 4
URSI Accounts 2001 ............................................................................................. 5
URSI AWARDS 2002 ............................................................................................ 9
News from ITU-R .................................................................................................. 10
The Review of Radio Science 1999 - 2002 ......................................................... 12
Assessment of the Health Effects of EMF Exposure ........................................... 14
The Need for a United Asia-Pacific Radio Astronomy Front .............................. 25
Radio-Frequency Radiation Safety and Health ..................................................... 31
The General Assembly Maastricht 2002 ............................................................. 34
Conferences .......................................................................................................... 35
News from the URSI Community ........................................................................ 39
URSI Publications ............................................................................................... 40
Information for authors ....................................................................................... 44
Front cover: At the XXVIIth URSI General Assembly in Maastricht (The Netherlands) this August, the scientists whose pictures feature on the front cover will be presented with the URSI Awards. For more information, please turn to page 9 of this Bulletin.
EDITOR-IN-CHIEF
URSI Secretary General
Paul Lannisse
Dept. of Information Technology
Ghent University
St. Pietersnieuwstraat 41
B-9000 Gent
Belgium
Tel.: (32) 9-264 33 20
Fax : (32) 9-264 42 88
E-mail: email@example.com
EDITORIAL ADVISORY BOARD
Hiroshi Matsumoto
(URSI President)
W. Ross Stone
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USA
PRODUCTION EDITORS
Inge Heleu
Inge Lievens
Tel: (1-858) 459 8305
Fax: (1-858) 459 7140
SENIOR ASSOCIATE EDITOR
J. Volakis
firstname.lastname@example.org
ASSOCIATE EDITORS
K.D. Anderson (Com. F)
P. Banerjee (Com. A)
R. Braun (Com. C)
G. Brussaard (ACSP)
P. Delogne
S. Dvorak
C. Haldoupis
R.D. Hunsucker
D. Hyssel (Com. G)
G. James (Com. B)
F. Lefevre (Com. H)
E. Schweicher (Com. D)
A. Sihvola
R. Treumann
L. Vandendorp
J.H. Whittaker
A. Zeddam (Com. E)
For information, please contact:
The URSI Secretariat
c/o Ghent University (INTEC)
Sint-Pietersnieuwstraat 41
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http://www.ursi.org
The International Union of Radio Science (URSI) is a foundation Union (1919) of the International Council of Scientific Unions as direct and immediate successor of the Commission Internationale de Télégraphie Sans Fil which dates from 1913.
Unless marked otherwise, all material in this issue is under copyright © 2002 by Radio Science Press, Belgium, acting as agent and trustee for the International Union of Radio Science (URSI). All rights reserved. Radio science researchers and instructors are permitted to copy, for non-commercial use without fee and without notice to the source, material covered by such (URSI) copyright. Permission to use author-copyrighted material must be obtained from the authors concerned.
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Neither URSI, nor Radio Science Press, nor its contributors accept liability for errors or consequential damages.
URSI Has a New Web Address!
Thanks to some quick action by Paul Lagasse and the URSI Secretariat, URSI’s Web URL is now www.ursi.org – exactly what it should be! Visit the new address and you’ll find a wealth of information about URSI, URSI activities, reports from Member Committees and Commissions, and information on the General Assembly and other URSI conferences. Our Web Master, Inge Heleu, has done an excellent job of organizing the material and keeping it up-to-date: go take a look.
The XXVIIth General Assembly
If you haven’t made plans to attend the Maastricht General Assembly, you really should do so now! It is going to be a great technical meeting: the preliminary program is available now on the Web via a link from the General Assembly Web page at http://www.URSI-GA2002.nl/. This is the once-every-three-year opportunity for radio scientists to interact with colleagues in their technical area, through the open technical sessions and the open Commission business meetings. It is also a great location from which to start or end a holiday in Europe. Maastricht is centrally located, an easy train ride or drive from many wonderful vacation locations. You should really plan on going.
What’s in this Issue
Several triennia ago, the URSI Council mandated that General Lectures would be a part of every General Assembly. These are lectures on radio science that are intended for the broadest of audiences. They should be of interest and value not only to radio scientists, but also of interest to the general public. There will be three such General Lectures at the Maastricht General Assembly. Michael Repacholi’s “Assessment of the Health Effects of EMF Exposure” is one, and we have a paper based on his lecture in this issue. The World Health Organization (WHO) has an International EMF Project underway. The purposes of this project include assessing the current state of knowledge regarding the effects of EMF (electromagnetic field) exposure on humans; identifying areas where knowledge is lacking; promoting needed research to funding agencies; providing advice to national authorities on how best to manage EMF issues; and providing assessments leading to the development of an international consensus on exposure guidelines. This is a complex and often controversial area. This paper does an excellent job of reviewing the current status of this work, and the state of knowledge of the effects of EMF exposure. It’s a topic that should be of interest and importance to all radio scientists.
Radio astronomy is at a critical juncture as a field of radio science. On the one hand, technological advances have made it possible to detect incredibly faint signals. This has expanded the number of potentially observable sources tremendously; it has also made it possible to “look backwards in time” to a remarkable degree, enabling remarkable new discoveries about the formation of the Universe and its ongoing processes. On the other hand, such observational sensitivity, combined with the proliferation of radio emissions and the demand for spectrum that have become an inherent part of our world, threaten the very existence of the radio-astronomy field. It is against this background that Masatoshi Ohishi is calling for a united Asia-Pacific radio astronomy front, in his paper in this issue. His paper examines and explains both the scientific and the political bases for the problems facing radio astronomy. The role of the International Telecommunications Union (ITU), in spectrum allocation and in rule-making regarding radio interference, is central to this challenge. The paper does a very nice job of explaining this complex role, and of identifying how radio scientists may be successful in literally saving radio astronomy. In the latter part of last year, the RAFCAP (Radio Astronomy Frequency Committee in the Asia-Pacific region) was established. It, along with similar existing regional groups in America (CORF) and Europe (CRAF), will hopefully be able to preserve a sufficient portion of the necessary observing environment.
Capturing solar power in space, and transmitting it to Earth via microwave radiation, is a technology that shows significant signs of moving from a dream to reality. Our current URSI President, Hiroshi Matsumoto, and a number of others active in URSI have played important roles in making this happen. In his column in this issue on “Radio-Frequency Radiation Safety and Health,” Jim Lin provides a brief history of this field. He then examines the environmental and health concerns associated with this potential method of energy production and distribution.
The Scientific Committee on Solar-Terrestrial Physics (SCOSTEP), organized under ICSU (the International Council on Science, of which URSI was one of the founding scientific unions), led to the Solar-Terrestrial Energy Program (STEP). This, in turn, led to the STEP-Results, Applications, and Modeling Phase (S-RAMP) program. The first comprehensive S-RAMP conference was held in the latter part of 2000. Yohsuke Kamide and Hiroshi Matsumoto provide a nice summary of that conference in this issue. If you are interested in learning more about these organizations and what is going on in the field of solar-terrestrial physics, visit the very interesting SCOSTEP Web
In this issue you will also find the announcement of the URSI Awards, a report on the URSI accounts, and a great deal of information on conferences of interest to radio scientists. There is also some news from ITU-R, and from the member committees. The dates of the URSI business meetings at the Maastricht General Assembly are here: incorporate these into your schedule for the General Assembly.
**In Memoriam: Elva Gordon**
Sadly, space normally limits our ability to mark the passing of the spouses of members of our family of radio scientists in these pages. I hope I will be forgiven for making an exception in the case of Elva Gordon, wife of URSI Honorary President Bill Gordon. Her attendance and participation in over 40 years of URSI meetings made her very special to all who knew her. The following is taken from an obituary supplied by Bill and her family at my request.
Elva Freile Gordon died at the age of 85, in the afternoon of February 22, 2002, following a stroke in her sleep about ten hours earlier. Her husband, daughter, and a chaplain were with her at the end. Elva was a sweet lady, a caring mother, a devoted grandmother, and a loving wife. Elva was born in Jersey City, New Jersey, to Bruce and Elise Freile. She grew up in Bogota, NJ, and attended Montclair State Teachers’ College, earning a BA in 1938. Following her graduation, she worked as a church secretary at the Fort Washington Collegiate Church in New York City. In 1941, she married her college sweetheart, William E. Gordon. She is survived by her husband of 60 years, by her son Larry Scott Gordon and his wife Christine Gere Gordon of Centerville, MA, by her daughter Nancy Gordon Ward and her husband George B. Ward III of Austin, Texas, and by her four grandchildren, Matthew Scott Gordon, Amanda Joy Gordon, George B. Ward IV, and Elizabeth Gordon Ward. A full-time homemaker, Elva volunteered at Rice University, the Houston Museum of Natural Science, and Taping for the Blind. She was a gracious hostess to scientific dignitaries at home and abroad, and to students, faculty, and friends.
**Some Final Notes**
There are many scientific meetings planned for this summer, including the General Assembly. As you attend these, please keep the *Radio Science Bulletin* in mind. If you hear a paper that you think would be appropriate for the *Bulletin*, encourage the author(s) to submit it, and/or let me know. We have been getting a steady input of papers, but we need to increase the number if we’re going to have the *Bulletin* become the source of broad-interest information on radio science we want it to be.
The *Review of Radio Science, 1999-2002* will go to the printer shortly after this is being written: assuming all goes well, registrants at the Maastricht General Assembly will receive this book of approximately 1,000 pages and 38 original papers in searchable form on CD-ROM (as voted by the Council in Toronto). Those who wish to will also be able to purchase a printed copy at the meeting, published by IEEE/Press/John Wiley, at a substantial discount. I think you will be pleased with the book: the papers are outstanding. The topics and authors were chosen by the URSI Commissions as representing the most significant areas in radio science for the triennium. All of the contributions were extensively peer-reviewed. This is one more reason why you need to be in Maastricht!
---
**Commission Business Meetings**
During the Maastricht General Assembly, most scientific commissions will hold Business Meetings at the following dates:
- **Monday 19 August 2002 at 6 p.m.**
- **Wednesday 21 August 2002 at 6 p.m.**
- **Friday 23 August at 6 p.m.**
Exceptions are:
- Commission G & H will hold Business Meetings on Monday and Friday at 6 p.m. in the Commission G & H rooms; however on Wednesday Commissions G & H will hold a joint meeting in the Commission H room. Commission H will continue with Commission H Business meeting in the same room subsequent to this meeting, if time permits.
- Commission K requests to hold its Business Meetings only on Monday 19 August and Wednesday 21 August.
The URSI balance for 2001 already reflects the increasing expenditures for the coming GA 2002. The most important differences with respect to the year 2000 are the following:
- income was about 128 kEuro less than 2000, mainly because of: arrears of Member Countries (≈50 k, most if it paid in the mean time), late levies for the 1999-GA paid in 2000 (≈42 k), reinvestments of assets in 2000 (≈ 28k).
- expenditures were about 34 kEuro higher than in 2000, mainly because of: preparation meetings for GA 2002 (≈21 k), more scientific activities in Commissions (≈10 k), higher administrative costs (≈10 k, due to modest salary increases, telephone and copies paid in 2001 for 2000 and 2001), but reduced publication costs (≈5 k).
- assets shrank by about 19 kEuro in order to balance the excess expenditures over decreased income.
Nevertheless the URSI finances are still sound and we are well prepared for the GA 2002.
Paul Lagasse
Secretary General
Kristian Schlegel
Treasurer
**BALANCE SHEET: 31 DECEMBER 2001**
| ASSETS | US$ | US$ | EURO | EURO |
|---------------------------------------------|---------|---------|---------|---------|
| Dollars | | | | |
| Merrill Lynch WCMA | 12,505.68 | 14,043.88 | | |
| Fortis | 36,530.38 | 41,023.62 | | |
| Smith Barney Shearson | 48.60 | 54.58 | | |
| | 49,084.66 | | 55,122.08 | |
| Belgian Francs | | | | |
| Banque Degroof | 2,351.10 | 2,640.28 | | |
| Fortis | 40,782.36 | 45,798.59 | | |
| | 43,133.46 | | 48,438.87 | |
| Investments | | | | |
| Demeter Sicav Shares | 22,794.75 | 25,598.50 | | |
| Rorento Units | 111,969.73 | 125,742.01 | | |
| Aqua Sicav | 64,103.22 | 71,987.92 | | |
| Merrill-Lynch Short Term (405 units) | 3,717.19 | 4,174.40 | | |
| Massachusetts Investor Fund | 277,478.91 | 311,608.82 | | |
| | 480,063.80 | 539,111.65 | | |
| 342 Rorento units on behalf of van der Pol Fund | 12,476.17 | 14,010.74 | | |
| | 492,539.97 | | 553,122.39 | |
| Short Term Deposito | 105,039.88 | 117,959.79 | | |
| | 689,797.97 | | 774,643.13 | |
| **Total Assets** | | | | |
| Less Creditors | | | | |
| IUCAF | 26,935.74 | 30,248.84 | | |
| ISES | 4,640.80 | 5,211.62 | | |
| | -31,576.54 | | -35,460.46 | |
| Balthasar van der Pol Medal Fund | -12,476.17 | | -14,010.74 | |
| | 645,745.26 | | 725,171.93 | |
*The Radio Science Bulletin* No 301 (June, 2002)
The net URSI Assets are represented by:
| | US$ | US$ | EURO | EURO |
|--------------------------------|---------|---------|---------|---------|
| Closure of Secretariat: | | | | |
| Provision for Closure of Secretariat | 60,000.00 | 67,380.00 |
| Scientific Activities Fund: | | | | |
| Scientific Activities in 2002 | 90,000.00 | 101,070.00 |
| Publications in 2002 | 60,000.00 | 67,380.00 |
| Young Scientists in 2002 | 50,000.00 | 56,150.00 |
| Administration Fund in 2002 | 80,000.00 | 89,840.00 |
| I.C.S.U. Dues in 2002 | 20,000.00 | 22,460.00 |
| | 300,000.00 | 336,900.00 |
| XXVII General Assembly 2002 Fund: | | | | |
| During 2000-2001-2002 | 150,000.00 | 168,450.00 |
| Total allocated URSI Assets | 510,000.00 | 572,730.00 |
| Unallocated Reserve Fund | 135,745.26 | 152,441.93 |
| | 645,745.26 | 725,171.93 |
Statement of Income and expenditure for the year ended 31 December 2001
I. INCOME
| | US$ | US$ | EURO | EURO |
|--------------------------------|---------|---------|---------|---------|
| Grant from ICSU Fund and US National Academy of Sciences | 5,000.00 | 5,615.00 |
| Allocation from UNESCO to ISCU Grants Programme | 0.00 | 0.00 |
| UNESCO Contracts | 0.00 | 0.00 |
| Contributions from National Members | 127,293.57 | 142,950.68 |
| Contributions from Other Members | 0.00 | 0.00 |
| Special Contributions | 5,226.14 | 5,868.95 |
| Contracts | 0.00 | 0.00 |
| Sales of Publications, Royalties | 1,780.94 | 2,000.00 |
| Sales of scientific materials | 0.00 | 0.00 |
| Bank Interest | 13.05 | 14.65 |
| Other Income | 3,351.50 | 3,763.73 |
| | 142,665.20 | 160,213.01 |
II. EXPENDITURE
A1) Scientific Activities
| | US$ | US$ | EURO | EURO |
|--------------------------------|---------|---------|---------|---------|
| General Assembly 2002 | 19,965.74 | 22,421.53 |
| Scientific meetings: symposia/colloquia | 32,281.02 | 36,251.58 |
| Working groups/Training courses | 0.00 | 0.00 |
| Representation at scientific meetings | 5,707.33 | 6,409.33 |
| Data Gather/Processing | 0.00 | 0.00 |
| Research Projects | 0.00 | 0.00 |
| Grants to Individuals/Organisations | 0.00 | 0.00 |
| Other | 0.00 | 0.00 |
| Loss covered by UNESCO Contracts | 0.00 | 0.00 |
A2) Routine Meetings
| Description | 2001 | 2000 |
|------------------------------------|----------|----------|
| Bureau/Executive committee | 5,643.93 | 6,338.13 |
| Other | 0.00 | 0.00 |
A3) Publications
| Description | 2001 | 2000 |
|------------------------------------|----------|----------|
| Contribution to ICSU | 5,887.83 | 6,612.03 |
| Contribution to other ICSU bodies | 3,561.89 | 4,000.00 |
| Activities covered by UNESCO Contracts | 0.00 | 0.00 |
B) Other Activities
| Description | 2001 | 2000 |
|------------------------------------|----------|----------|
| Contribution to ICSU | 5,887.83 | 6,612.03 |
| Contribution to other ICSU bodies | 3,561.89 | 4,000.00 |
| Activities covered by UNESCO Contracts | 0.00 | 0.00 |
C) Administrative Expenses
| Description | 2001 | 2000 |
|------------------------------------|----------|----------|
| Salaries, Related Charges | 48,007.45| 53,912.37|
| General Office Expenses | 9,085.90 | 10,203.47|
| Office Equipment | 2,240.85 | 2,516.47 |
| Audit Fees | 4,864.12 | 5,462.41 |
| Bank Charges | 1,937.50 | 2,175.81 |
| Currency translation difference (USD => EURO) | 0.00 | 0.00 |
Total Expenditure: 156,563.28 175,820.56
Excess of Income over Expenditure
| Description | 2001 | 2000 |
|------------------------------------------------------------------|----------|----------|
| Currency translation difference (USD => EURO) - investments | -13,898.08| -15,607.55|
| Currency translation difference (USD => EURO) - bank accounts | 20,651.30 | 23,191.41 |
| Currency translation difference (USD => EURO) - others | 1,578.42 | 1,772.57 |
| Accumulated Balance at 1 January 2001 | 0.10 | 0.11 |
| | 668,228.37| 750,420.46|
Rates of exchange:
January 1, 2001: $1 = 43.35 BEF 1.074691 EUR
December 31, 2001: $1 = 45.30 BEF 1.123000 EUR
US$ EURO
Balthasar van der Pol Fund:
684 Rorento Shares: market value on December 31, 2000
(Aquisition Value: USD 12,476,17)
23,023.33 25,855.20
Market Value of investments on December 31, 2000:
DEMETER SICAV: 43,210.31 48,525.18
RORENTO UNITS (1): 437,577.92 491,400.00
AQUA-SICAV: 66,024.73 74,145.77
M-L SHORT TERM 3,175.20 3,565.75
MASSACHUSETTS INVESTOR FUND: 229,858.43 258,131.02
779,846.59 875,767.72
(1) Including the 684 Rorento Shares of the van der Pol Fund
## I. INCOME
| Description | US$ | US$ |
|--------------------------------------------------|---------|---------|
| Special contributions | | |
| Young Scientist Programme | 5,000.00| 5,615.00|
| Young Scientist Programme | 226.14 | 253.95 |
| Other Income | | |
| Interest on Short Term Deposito | 2,635.61| 2,959.79|
| Interest on M-L Short Term | 713.97 | 801.79 |
| Interest on Massachusetts Investor Fund | 1.91 | 2.15 |
| Total | 5,226.14| 5,868.95|
## II. EXPENDITURE
### General Assembly 2002
| Description | US$ | US$ |
|--------------------------------------------------|---------|---------|
| General Assembly - Travel Expenses Officials | 19,965.74| 22,421.53|
### Symposia/Colloquia/Working Groups:
| Commission A | 2,046.66| 2,298.40|
| Commission B | 7,541.49| 8,469.09|
| Commission C | 1,780.94| 2,000.00|
| Commission D | 890.47 | 1,000.00|
| Commission E | 5,339.28| 5,996.01|
| Commission F | 5,342.83| 6,000.00|
| Commission G | 890.47 | 1,000.00|
| Commission H | 3,373.18| 3,788.08|
| Commission J | 890.47 | 1,000.00|
| Commission K | 4,185.22| 4,700.00|
| Total | 32,281.01| 36,251.58|
### Contribution to other ICSU bodies
| Description | US$ | US$ |
|--------------------------------------------------|---------|---------|
| IUCAF 2000 and 2001 | 3,561.89| 4,000.00|
### Publications:
| Description | US$ | US$ |
|--------------------------------------------------|---------|---------|
| Printing ‘The Radio Science Bulletin’ | 8,469.71| 9,511.48|
| Mailing ‘The Radio Science Bulletin’ | 8,910.02| 10,005.95|
| Total | 17,379.73| 19,517.43|
The URSI Board of Officers decided at their April 2002 meeting in Ghent to follow the recommendations of the Awards Panel and to give the 2002 Awards to the following distinguished scientists:
**The Balthasar Van der Pol Gold Medal**
The Balthasar Van der Pol Gold Medal will be awarded to Prof. Adrianus T. de Hoop with the citation:
“For fundamental contributions to the theory of radiation and scattering of waves.”
**John Howard Dellinger Gold Medal**
The John Howard Dellinger Gold Medal will be awarded to Prof. Donald L. Carpenter with the citation:
“For his discovery of the plasmapause, for pioneering studies of the plasmasphere structure and dynamics and for development and use of whistler-mode waves as diagnostic probes of the magnetosphere.”
**Appleton Prize**
After considering the views submitted by the Awards Advisory Panel, the Board of Officers submitted a short list of candidates in order of preference, with reasons for the order, to the Royal Society.
The Council of the Royal Society approved the recommendation of the URSI Board to award the 2002 Appleton Prize to Dr. Raymond A. Greenwald, with the citation:
“For conceiving, designing, developing and deploying two ground-breaking measurement techniques that have provided unparalleled spatial and temporal measurements of the ionosphere, and for inspirational international leadership.”
**Booker Gold Medal**
The Booker Gold Medal will be awarded to Prof. Simon Haykin with the citation:
“For significant and fundamental contributions to adaptive signal processing and neural networks, and their applications to radar and digital communications, the characterizations of which are dominated by nonstationary physical phenomena.”
**Koga Gold Medal**
The Koga Gold Medal will be awarded to Prof. Frank Olyslager, with the citation:
“In recognition of his work on theoretical and numerical electromagnetics (in particular in the field of boundary integral equations, waveguides and bianisotropic media).”
---
*The Awards will be presented at the Opening Ceremony of the XXVII General Assembly, at the MECC in Maastricht, the Netherlands, on Sunday 18 August 2002 at 4 p.m.*
The previous edition of RSB (March 2002) contained one of a series of brochures aimed at promoting membership of the ITU Radiocommunication Sector, and in particular that of ITU-R Associates, by publicizing the activities of the various ITU-R Study Groups. (See http://www.itu.int/ITU-R/associate-members/index.html concerning ITU-R Associates and http://www.itu.int/members/index.html on ITU membership in general). In this present edition, the brochure describing the work of Study Group 3 (Radiowave Propagation) is reproduced below.
Each brochure begins with a general preamble on the ITU and the Radiocommunication Sector, and ends with some remarks about ITU-R Associates – this being a category of membership that may well be of interest to the URSI community. However, in the interests of brevity, these parts of the brochure have not been repeated here since they were included in the March 2002 RSB article.
**ITU-R Study Group 3**
**Radiowave Propagation**
*Propagation of radio waves in ionized and non-ionized media and the characteristics of radio noise, for the purpose of improving radiocommunication systems*
**Chairman:** D. G. COLE (Australia)
**Vice-Chairmen:** B. ARBESSER-RASTBURG (European Space Agency) D. V. ROGERS (Canada)
The following four Working Parties (WP) carry out studies on the Questions assigned to Study Group 3:
- **WP 3J** Propagation fundamentals
- **WP 3K** Terrestrial point-to-area propagation
- **WP 3L** Ionospheric propagation
- **WP 3M** Terrestrial point-to-point and Earth-space propagation
The principal aim of the Working Parties is to draft Recommendations in the ITU-R P Series for subsequent adoption by Study Group 3, and approval by the Member States. The Working Parties also develop Handbooks, which provide descriptive and tutorial material, especially useful for developing countries. A further task of the Working Parties is to provide, through Study Group 3, propagation information and advice to other ITU-R Study Groups in their preparation of the technical bases for Radiocommunication Conferences. Such information typically concerns identifying relevant propagation effects and mechanisms, and providing propagation prediction methods. The predictions are needed for the design and operation of radiocommunication systems and services, and also for the assessment of frequency sharing between them.
**ITU-R Working Party 3J**
*Fundamental principles and mechanisms of radiowave propagation in non-ionized media*
*(Chairman: G. BRUSSAARD, the Netherlands)*
WP 3J provides information and develops models describing the fundamental principles and mechanisms of radiowave propagation in non-ionized media. Such material is used as the basis of propagation prediction methods developed by the other Working Parties. WP 3J also addresses the topic of radio noise arising from both natural and man-made sources, and provides information to quantify the effect of noise on the performance of radio systems.
Recognizing the natural variability of the propagation medium, WP 3J prepares texts describing the statistical laws relevant to propagation behaviour and the means of expressing the temporal and spatial variability of propagation data.
Propagation over terrain and obstacles involves methods for calculating diffracted fields over the smooth and irregular Earth, and quantifying the effect of vegetation along the propagation path. Maps of ground conductivity are maintained – important for frequencies at medium frequency (MF) and below – and advice is given on the use of terrain data banks in propagation prediction procedures.
One of the principal areas of study in WP 3J concerns propagation through the neutral atmosphere, encompassing the propagation effects both in the clear-air and when precipitation is present. To this end, the WP devotes much effort to the global mapping of radiometeorological parameters used for quantifying such effects for prediction procedures. Clear-air effects include atmospheric refraction and attenuation due to atmospheric gases, these in turn requiring vertical profiles of temperature and water vapour with their spatial and temporal variation. Similarly, studies of the effects of precipitation on radiowaves, such as attenuation and depolarization, require precise global mapping of rainfall intensity, as well as models of specific attenuation of rain. WP 3J also studies the effects of cloud and fog.
Since an objective of Study Group 3 is to provide prediction procedures that are applicable world wide, it is very important that any underlying radiometeorological data are representative of the different climates of the world, and that their spatial and temporal resolution is adequate.
**ITU-R Working Party 3K**
*Prediction methods for terrestrial point-to-area propagation paths*
*(Chairman: R. GROSSKOPF, Germany)*
WP 3K is responsible for developing prediction methods for terrestrial point-to-area propagation paths. In the main,
these are associated with terrestrial broadcasting and mobile services, short-range indoor and outdoor communication systems (e.g. Wireless Local Area Networks), and with point-to-multipoint wireless access systems.
In the VHF and UHF bands, field strength prediction takes account of the effects of terrain in the vicinity of the transmitter and receiver, and of the refractive nature of the atmosphere. Allowance is also made for location variability for land area coverage prediction with account taken of local clutter surrounding the receiver. Consideration is also given to mixed paths crossing both land and sea. A consolidated prediction procedure has been developed, suitable for broadcasting, land mobile, maritime mobile and certain fixed services (e.g. those using point-to-multipoint systems), allowing the appropriate values of antenna height and path distance to be applied. Such a prediction procedure represents a major tool for the frequency planning of broadcasting and mobile services, particularly in the range 1-3 GHz, and for coordination when frequency sharing is involved.
At higher frequencies (typically from around 1 to 100 GHz), the emphasis is on short-range systems, either indoor or outdoor, as might be used by WLAN and personal mobile communications. The WP develops Recommendations that describe the relevant propagation mechanisms such as reflection, scattering and diffraction associated with buildings, or with obstacles within buildings, all of which give rise to effects such as attenuation and multipath. The latter plays a vital part in the channel modelling of a radio link, with which an assessment of performance quality may be obtained. For outdoor situations, models are developed describing different types of environment (urban to rural) and expressions are developed for quantifying the resulting path loss.
With the growing interest in delivery of broadband services through local access networks, WP 3K studies the propagation effects associated with millimetric radio systems (e.g. operating around 20-50 GHz) used for point-to-multipoint distribution. Prediction of area coverage has to address the effects of buildings, their spatial distribution, attenuation and scattering from vegetation, and attenuation by rain. Methods to quantify the relevant propagation effects such as attenuation, and distortion due to multipath, are a key area of study in WP 3K.
**ITU-R Working Party 3L**
*Radiowave propagation in and through the ionosphere*
*Chairman: J. WANG (USA)*
WP 3L is responsible for all aspects of radiowave propagation in and through the ionosphere. Recommendations are maintained describing, in mathematical terms, a reference model of ionospheric characteristics and expressions for maximum usable frequencies associated with the various ionospheric layers. Short-term and long-term ionospheric forecasting, with guidance on the use of ionospheric indices, is also addressed.
As regards propagation prediction methods, Recommendations are maintained containing prediction procedures for ionospheric propagation in bands from ELF to VHF. Those for computing sky-wave propagation at LF, MF and HF play an important role in frequency planning, both for quantifying the wanted signal as well as for interference assessment. At higher frequencies, there are also methods for computing the field strength due to meteor-burst propagation as well as propagation via sporadic E. Current studies of MF and HF ionospheric propagation prediction concentrate on the effects of the ionosphere on digitally modulated transmissions, and try to extend the concept of performance reliability, already developed for analogue systems, to its digital counterpart.
With the increasing use of satellite systems, particularly those using low-Earth orbits, the effects of the ionosphere on slant propagation paths at VHF and UHF frequencies demands considerable attention. For example, the additional time delay associated with propagation through the ionosphere is of major concern for navigation satellite systems; likewise, trans-ionospheric scintillation can be a significant factor on the link budget of systems operating well above 1 GHz. WP 3L is improving methods to quantify such effects, taking into account their temporal and geographical variability.
In order to improve the accuracy of ionospheric propagation prediction, emphasis has been placed over many years on the collection and maintenance of measurement data with which predictions can be compared. In this respect, a method has been specified for acquiring HF field strength measurements from a world wide network of dedicated transmitters. Guidance is also given on making meaningful comparisons between predictions and measurements.
**ITU-R Working Party 3M**
*Radiowave propagation over point-to-point terrestrial paths and Earth-space paths*
*(Chairman: M. P. M. Hall, United Kingdom)*
WP 3M addresses radiowave propagation over point-to-point terrestrial paths and Earth-space paths, both for wanted and unwanted signals. For terrestrial paths, prediction methods are developed for both line-of sight and over-the-horizon links, taking into account the possible mechanisms that can give rise to fading and distortion of the wanted signal. The resulting predictions, generally expressed in terms of a statistical distribution of propagation loss or outage, provide vital information for terrestrial link planning in the fixed service (FS).
Similarly, propagation impairments on slant paths from satellites are treated by a series of Recommendations that contain prediction procedures which quantify the relevant effects and, in turn, provide an assessment of overall propagation loss, fading behaviour or signal depolarization. Recommendations are available that apply to the fixed-satellite service (FSS), the mobile-satellite service (MSS) and the broadcasting-satellite services (BSS).
In order to take proper account of the relevant propagation effects in the various prediction procedures - e.g. refractivity effects of the clear atmosphere and attenuation
due to atmospheric gases and to precipitation - use is made of the many Recommendations developed by WP 3J, which provide basic radiometeorological data from which such effects can be quantified. Similarly, for predictions associated with the terrestrial fixed service, the diffraction model developed by WP 3J plays a major role, together with information on the terrain height distribution along the path. For those prediction procedures associated with satellite services, additional factors particular to the environment in the vicinity of the receiver may have to be considered, e.g. shadowing and blockage by buildings, absorption by building material. Use is also made of trans-ionospheric propagation information developed in WP 3L. In the case of mobile-satellite services, attention must be paid to the movement of the receiver, as well as to changes in elevation angle when the satellite is in low-Earth orbit.
Preliminary studies are also under way on propagation prediction for optical communications on Earth-space paths, supported by information from WP 3J on the relevant atmospheric effects at optical frequencies.
In order to develop and test its prediction procedures, WP 3M relies on databanks of measurement data to develop and test its prediction procedures. Such databanks exist for terrestrial and Earth-space paths, and are based on long-term measurements submitted by the membership. Considerable importance is paid to quality assessment of the data to verify their accuracy and statistical validity.
A further major responsibility of WP 3M is the prediction of signals likely to cause interference. These signals, typically propagating via short-term mechanisms such as ducting and rain scatter, can give rise to unacceptably high interference levels when frequencies are shared. Prediction procedures are developed and maintained whereby such signal levels may be quantified between two points on the Earth’s surface for a desired percentage of time, or between a space station and a point on the Earth’s surface. Again, the predictions rely on basic radiometeorological data to quantify the refractivity of the atmosphere, or the level of rainfall intensity, associated with the propagation of these high level, short-term signals. A related and equally important aspect of the studies is the provision of a method for determining the coordination area around an earth station – a physically defined area used by administrations in their planning and deployment of terrestrial and earth stations (in the FS and FSS respectively) when sharing the same frequency band. WP 3M is responsible for developing the propagation method upon which the currently accepted international method for determining the earth station coordination area is based.
Kevin A. Hughes
The fourth triennial *Review of Radio Science, 1999-2002* will be available at the XXVIIth General Assembly of URSI, to be held in Maastricht, The Netherlands, 17-24 August 2002. For the first time, at the direction of the URSI Council, this approximately 1000-page book will be given to all paid registrants on CD-ROM. As a result, the contents will be fully searchable. Also for the first time, the book is being published by the IEEE Press/John Wiley. Those wishing to purchase printed copies will be able to do so at a discount at the General Assembly. The following is the final Table of Contents for the book.
**Commission A—Salvatore Celozzi, Editor**
1. “Experimental Characterization of Nonlinear Active Microwave Devices,” Umberto Pisani, Andrea Ferrero, Gian Luigi Madonna
2. “New Developments in Optical-Frequency Standards and Optical-Frequency Synthesis,” Jürgen Helmlcke
3. “Dosimetry in the Human Head for Portable Telephones,” Jianqing Wang and Osamu Fujiwara
4. “Transient Response for Coupling of Electromagnetic Fields to Transmission Lines and Crossing Transmission Lines,” Y. Kami, W. Liu, and F. Xiao
5. “New EMC Test Facilities for Radiation Measurements,” Heyno Garbe
6. “Analysis of Microstrip Antennas by Means of Regularization via Neumann Series,” G. Panariello, F. Schettino, L. Verolino, R. Araneo, and S. Celozzi,
**Commission B—Karl Langenberg, Editor**
7. “Nonlinear Time-Domain Electromagnetics,” Daniel Sjöberg
8. “Green’s Dyadics for Biaxistropic Media,” Frank Olyslager and Ismo V. Lindell
9. “Recent Developments in Fast Frequency-Domain Integral-Equation Solvers in Large-Scale Computational Electromagnetics,” W. C. Chew, J. M. Song, S. Velamparambil, T. J. Cui, J. S. Zhao, Y. C. Pan, B. Hu, and H. Y. Chao
10. “Plane-Wave Time-Domain Algorithms and Fast Time-Domain Integral-Equation Solvers,” E. Michielssen, Balasubramaniam Shanker, Kemal Aygun, Mingyu Lu, and Arif Ergin
11. “The Finite Integration Technique as a General Tool to Compute Acoustic, Electromagnetic, Elastodynamic, and Coupled Wave Fields,” René Marklein
**Commission C – Masami Akaike, Editor**
12. “Blind Methods for Wireless Communication Receivers,” Visa Koivunen, Juha Laurila, and Ernst Bonek
13. “3G Evolution and Future-Generation Air Interface in Mobile Communications,” Erik Dahlman and Mamoru Sawahashi
14. “Cryptography and Computer Security,” Atsuko Miyaji, Wu Wen, and Seiichiro Hangai
**Commission D – Peter Russer, Editor**
15. “RF MEMS and Si-Micromachining in High-Frequency Circuit Applications,” Linda P. B. Katehi and Steve Robertson
16. “Microwave and Millimeter-Wave Silicon and SiGe Devices,” Johann-F. Luy
17. “Global Modeling of Microwave and Millimeter-Wave Integrated Circuits,” G. Stopponi, P. Ciampolini, V. Palazzari, P. Placidi, and R. Sorrentino
18. “Wireless Communications and Sensing Based on Surface-Acoustic-Wave Devices,” R. Weigel and L. Reindl
**Commission E – Pierre Degauque, Editor**
19. “Reverberation Chambers for EMC Susceptibility and Emission Analyses,” Mats Bäckström, Olof Lundén, and Per-Simon Kildal
20. “Electromagnetic Compatibility for Integrated Circuits,” E. Sicard, C. Marot, J. Y. Fourniols, and M. Ramdani
21. “Geomagnetic Effects on Ground-Based Technological Systems,” Risto Pirjola
**Commission F – Martti T. Hallikainen, Editor**
22. “New Techniques in Microwave Radiometry for Earth Remote Sensing: Principles and Applications,” A. Camps and C. T. Swift
23. “Remote Sensing of Inland and Coastal Waters,” Arnold G. Dekker and Robert P. Bukata
24. “Subsurface Remote Sensing,” David A. Noon and Ram M. Narayanan
25. “Wave Propagation for Multimedia Satellite Services,” Bertram Arbesser-Rastburg and David V. Rogers
**Commission G – John Sahr, Editor**
26. “Space-Weather Effects on Transionospheric Radio Wave Propagation,” A. Bhattacharyya and S. Basu
27. “Characterization and Modeling of the HF Communications Channel,” Paul S. Cannon, Matthew J. Angling, and Bengt Lundborg
28. “Ionospheric Models for Radio Propagation Studies,” Dieter Bilitza
**Commission H – Umran S. Inan, Editor**
29. “Oscillations in a Dusty Plasma Medium,” Gurudas Ganguli, Robert Merlino, and Abhijit Sen
30. “Broadband Plasma Waves in the Magnetopause and Plasma-Sheet Boundary Layers,” G. S. Lakhina, B. T. Tsurutani, and J. S. Pickett
31. “Solar-System Radio Emissions,” Iver H. Cairns and Michael L. Kaiser
32. “Lightning Effects in the Ionosphere,” H. Fukunishi
33. “The Contribution of Wave-Particle Interactions to Electron Loss and Acceleration in the Earth’s Radiation Belts during Geomagnetic Storms,” Richard B. Horne
**Commission J – R. G. Strom, Editor**
34. “Gravitational Lensing and Recent Contributions from Radio Studies,” Neal Jackson, Ian Browne, and Peter Wilkinson
35. “Advances in Planetary Radar Astronomy,” Donald B. Campbell, R. Scott Hudson, and Jean Luc Margot
36. “Recent Progress and Current Activities in the Search for Extraterrestrial Intelligence (SETI),” Jill Tarter, John Dreher, Steven W. Ellingson, and Wm. J. Welch
37. “Possible Exposures from Future Mobile Communication Systems,” J. Bach Andersen, P. Mogensen, and G. F. Pedersen
38. “Biological Effects of Microwaves: Animal Studies,” Zenon Sienkiewicz
W. Ross Stone, Editor-in-Chief
E-mail:firstname.lastname@example.org or email@example.com
Assessment of the Health Effects of EMF Exposure
Abstract
The World Health Organization (WHO), through its International EMF Project, has conducted a number of reviews of possible health effects from exposure to fields from various parts of the electromagnetic spectrum. These fields can be grouped into radio frequencies (RF), intermediate frequencies (IF), and the static and extremely low frequencies (ELF). In addition, there have been substantial reviews published by other organizations, in many of which WHO representatives have participated. This paper describes WHO’s International EMF Project activities and their results so far, briefly reviews the biological effects from EMF exposure, identifies gaps in knowledge needing further research, and overviews WHO’s current published position on these issues.
The main conclusion from the WHO reviews is that EMF exposures below the limits recommended in the guidelines by the International Commission on Non-Ionizing Radiation Protection (ICNIRP) do not appear to have any known consequence on health. However, there are still some key gaps in knowledge, needing further research before better health risk assessments can be made. These research needs are being promoted to funding agencies by WHO. Because of remaining uncertainties in the science database, there has been some pressure to introduce precautionary measures until gaps in knowledge are filled. If precautionary measures are introduced to reduce EMF levels, it is recommended that they are made voluntary, and that health-based exposure limits be mandated to protect public health.
1. Introduction
The World Health Organization (WHO) takes seriously the concerns raised by reports about possible health effects from exposure to electromagnetic fields (EMF). Cancer, changes in behavior, memory loss, and many other diseases have been suggested as resulting from exposure to EMF. Everyone in the world is now exposed to a complex mix of EMF frequencies in the range 0-300 GHz. EMF has become one of the most pervasive environmental influences, and exposure levels at many frequencies are increasing significantly as the technological revolution continues unabated, and new applications using different parts of the spectrum are found.
Electromagnetic field sources to which people may be exposed are predominantly in three frequency ranges:
• The static (0 Hz) and extremely low frequency range (ELF, > 0 to < 300 Hz) incorporates the 50 and 60 Hz frequencies of the electric-power supply and of electric and magnetic fields generated by electricity power lines and electric/electronic appliances. Sources of static magnetic fields include magnetic resonance imaging (MRI) and industrial use of direct currents for electrolysis;
• The intermediate-frequency range (IF, 300 Hz to ~10 MHz) frequencies are used in computer monitors, industrial processes, and security systems;
• The radio-frequency range (RF, microwaves, 10 MHz-300 GHz) includes radars, radio and television broadcasts, and telecommunications.
Most research has been devoted to possible biological effects from exposure to ELF or RF fields. The IF range has received little attention, despite the rapid development of appliances such as induction-heating devices, anti-theft and remote-detection systems.
This review gives a brief description of WHO’s International EMF Project, with an update on activities and results; summarizes research on biological and health effects in the three frequency ranges; and identifies gaps in knowledge that need further research before better health-risk assessments can be made. In addition, WHO has published the results of reviews and conclusions as WHO Fact Sheets in multiple languages, and they are available on the EMF Project Web site at http://www.who.int/emf/.
2. International EMF Project
WHO established the International EMF Project to provide a forum for a coordinated international response to EMF issues, and to assess health and environmental effects of exposure to static and time-varying electric and magnetic fields in the frequency range 0-300 GHz. The Project commenced at WHO in 1996, and is scheduled for completion in about 2005. It has been designed to follow a logical progression of activities, to produce a series of outputs that allow improved health-risk assessments to be...
made, and to identify any environmental impacts of EMF exposure. The ultimate objectives of the Project are to provide sound advice to national authorities on how best to manage EMF issues, and to complete health-risk assessments that will lead to the development of an international consensus on exposure guidelines. An EMF Project overview is given in Figure 1.
2.1 Definitions
To conduct reviews and assess health consequences from EMF exposure, it is necessary to have working definitions of biological effects and health hazards. Explicit distinctions are made between the concepts of interaction, biological effect, and health hazard, consistent with the criteria used by international bodies when making health assessments [1]. Biological effects occur when fields interact to produce physiological responses that may or may not be perceived by people. Deciding whether biological or physiological changes have health consequences depends, in part, upon whether they are reversible, whether they are within the range for which the body has effective compensation mechanisms, or whether they are likely, taking into account the variability of response among individuals, to lead to unfavorable changes in health.
WHO defines health as the state of complete physical, mental, and social well-being, and not merely the absence of disease or infirmity. Biological effects are defined as any measurable change in a biological system, though not all of them will be hazardous. Some may be innocuously within the normal range of biological variation and physiological compensation, and others may be beneficial under certain conditions. The health implications of others may be simply indeterminate. In this case, uncertainty adds to the lack of acceptability of scientific results. A health hazard is generally defined to result from a biological effect outside the normal range of physiological compensation or adverse to a person’s well-being.
2.2 Scientific Reviews
WHO, through its International EMF Project, has recently conducted a series of in-depth international reviews of the scientific literature on the biological and health effects of exposure to radio frequency (RF), intermediate frequencies, and static and extremely low frequency (ELF) fields. These reviews were conducted mainly with the purpose of identifying;
• health effects that can be substantiated from the literature, and
biological effects that are suggestive of possible health effects, but require further research to determine if exposure to EMF at the low levels of exposure normally encountered in the living and working environment has any impact on health.
The results of these reviews have been published [2-4]. The proceedings of all papers presented at the scientific-review conferences have been published jointly by WHO and ICNIRP, and are available from ICNIRP (http://www.icnirp.de). Having completed the initial international scientific reviews, WHO is now urging EMF funding agencies worldwide to give priority to research related to possible health effects of EMF that will allow WHO to make better health-risk assessments.
2.3 Health-Risk Assessments
Both WHO and the International Agency for Research on Cancer (IARC) have already established a timetable for assessing health effects of EMF fields. In June, 2001, the IARC formally evaluated the evidence for carcinogenesis from exposure to static and extremely low frequency (ELF) fields. The review concluded that there was sufficient evidence from the childhood leukemia studies to classify ELF magnetic fields as a “possible human carcinogen.” IARC will publish the results of this meeting in the IARC Monograph Series in 2002. A WHO fact sheet describing this result and implications was published in October, 2001 [5].
The International EMF Project will use the IARC conclusions on carcinogenesis and incorporate them into a full health-risk assessment of exposure to static and ELF fields in 2002-3. The results and conclusions will be published in WHO’s Environmental Health Criteria series. Sufficient results should be available for IARC to conduct a similar evaluation of evidence for carcinogenicity of RF fields in 2004. WHO would then complete an overall health-risk assessment of exposure to RF fields in 2004-5.
2.4 Standards Harmonization
In November, 1998, WHO commenced a process of harmonization of electromagnetic fields (EMF) standards worldwide. Over 45 countries and eight international organizations are involved in the International EMF Project. Thus, the Project provides a unique opportunity to bring countries together in a logical process to better define any health risks associated with EMF exposure, and to encourage the development of harmonized exposure limits and other control measures that provide the same level of health protection to all people. Globalization of trade and the rapid introduction of mobile telecommunications worldwide have focused attention on the large differences existing in standards limiting exposure to EMF. Differences in the EMF exposure-limit values in standards in some Eastern European and Western countries are, in some cases, over a factor of 100. This has raised concerns about their safety, and has led to public anxiety about increasing EMF exposures from the introduction of new technologies.
The purpose of this activity is work towards, and to hopefully achieve, international agreement on a framework for developing guidelines on protection of the public and workers from exposure to EMF. EMF is defined as electromagnetic fields in the frequency range 0 to 300 GHz. It will take some years before this activity is complete, but it is hoped that the process will be finalized before the formal assessment of EMF health-risk assessments by WHO and IARC. Thus, the next generation of standards would be able to incorporate this health-risk assessment information within the same harmonized standards framework.
2.5 EMF Risk Perception, Communication and Management
One of the EMF issues of most concern is why people perceive risks differently from scientists involved in risk assessments, and why there seems to be a breakdown in communication among the public and scientists and government. In addition, EMF exposure seems to raise peoples’ concerns to a level that is incompatible with the known magnitude of other environmental hazards.
To address these concerns, international seminars were held in Vienna, in 1997, and in Ottawa, in 1998, to discuss risk perception and management of EMF fields. The seminars were followed by working-group meetings, to compile a draft report on this topic. The proceedings of the Vienna seminar were published by ICNIRP (see http://www.icnirp.de), and the proceedings of the Ottawa meeting were published by WHO in 1999 (see http://www.who.int/emf). From these reviews, there will be publications by WHO in the form of a scientific monograph and a user-friendly Handbook. These publications are intended to:
- Supply governmental and non-governmental authorities, as well as individuals, with a reliable source of information about this topic;
- Foster a better understanding of EMF issues, how they can be better communicated, and how fruitful resolution of disagreements can be achieved;
- Provide an easily readable overview of the characteristics and underlying assumptions of peoples’ perceptions of EMF risk, differences among scientific, governmental, and popular views, and why these occur;
- Provide practical information for agencies and organizations to examine their current approaches to EMF, and to design better and more effective information and risk-management programs.
2.6 Environmental Impacts
As technology has progressed, levels of EMF in our environment have steadily increased over the past 50-100 years. At specific frequencies, EMF emissions from manmade sources now exceed those from natural fields by many orders of magnitude, and are detectable everywhere in the world. Significant increases in environmental EMF levels have resulted from major development projects, such as high-voltage transmission lines, undersea power cables, radars, telecommunication and broadcast transmitters, and transportation systems. Research has been focused on determining if EMF exposure of humans has any deleterious health consequence. By comparison, influences of these fields on plants, animals, birds, and other living organisms
have been less rigorously examined. Assessments of environmental impacts of EMF fields is important to:
- Ensure the preservation of balances in natural terrestrial and marine ecosystems, since these directly impact on human life;
- Preserve food supplies by ensuring there are no adverse impacts to fisheries, agricultural animals, and plants.
An international seminar, organized by WHO and ICNIRP, and supported by the German Federal Office of Radiation Protection, was held in Ismaning, Germany, in October, 1999. It provided a summary of scientific knowledge about any consequences to the environment from mammal sources of EMF in the frequency range 0-300 GHz. Overviews of current knowledge in key areas were presented by a panel of recognized specialists. Working groups met to prepare conclusions and recommendations. The proceedings of all presentations have been published, and are available from ICNIRP (see http://www.icnirp.de). The results of the working-group meetings have been used to prepare a scientific paper for publication in a scientific journal [6].
It is not anticipated that further meetings will be organized on this topic. The main purpose of this activity was to provide information that specifically addressed environmental impacts of EMF fields. It is anticipated that the reports of the meeting will be useful for both governmental and non-governmental institutions when conducting environmental impact assessments, and will help address public concern that EMF could be adversely affecting our environment.
3. ELF Fields
Most public exposure to ELF fields comes from electrical appliances, household wiring, and AC transmission and distribution lines. In addition to the WHO review [3], other recent reviews on the health effects of static and ELF electric and magnetic fields have been conducted by IARC [7], the Health Council of the Netherlands [8], and by an expert Advisory Group of the National Radiological Protection Board in the United Kingdom [9]. All of these reviews are in basic agreement with each other, and are summarized below.
3.1 Interaction Mechanisms
A well-known mechanism of interaction of ELF fields with biological tissues is the induction of time-varying electric currents and fields. At sufficiently high levels, these can produce direct stimulation of excitable tissues, such as nerve and muscle cells. At the cellular level, the interaction induces voltages across the membranes of cells sufficient to stimulate nerves to conduct, or muscles to contract. This mechanism accounts for the ability of humans and animals to perceive electric currents in their bodies and to experience electric shocks. Other mechanisms have been proposed, but there is little evidence to support them.
3.2 Electric Fields
External ELF electric fields induce time-varying electric charges on the surface of the body. The magnitude and distribution of the charges depend on the body shape, and its location and orientation relative to the field and ground plane. In addition, electric fields, electrical polarization changes, and currents are induced inside the body, as a result of time-variation of this surface-charge density. Charges fixed on internal molecules polarize and depolarize as the field changes. Since time-variation in the ELF range is slow compared to the ability of charges to move, the fields and currents generated inside the body from this source are very small. The induced current-density distribution depends on the electrical properties of the tissue, and varies inversely with the body cross-section. Typically, the strength of the internal electric fields is less than about $10^{-6}$ of the external field.
3.3 Magnetic Fields
The induced current density in the body is proportional to the rate of change of the magnetic-flux density. For applied sinusoidal fields, the induced fields and currents are linearly dependent on frequency. The magnitude of the currents induced by pulsed magnetic fields will depend on the rise and fall times of the pulse. The highest current densities are induced in peripheral tissues, since these have the largest inductive-loop radius in the body. However, tissue inhomogeneity and orientation of the body to the field will affect the current path. In general, the electric field induced in peripheral tissues by a horizontal magnetic field is approximately 1.5 times that induced by a vertical magnetic field of similar magnitude. Currents circulating from head to foot due to a horizontal magnetic field will be high in the neck, because its small cross section concentrates the flow.
For a human with a torso radius of 0.15 m and tissue conductivity of 0.2 S/m, a 50 Hz magnetic field parallel to the long axis of the body will induce a current in the tissue periphery of about 5 A/m$^2$ per tesla. Since current density is proportional to body radius, current-density values can be used to scale between animal and human exposure. Typical induced currents and fields for 1 μT, 60 Hz uniform magnetic-field exposure of mice, rats, and humans are in the ranges of 0.1-0.4, 0.3-1.3, and 1-20 μA/m$^2$, respectively [3].
4. ELF Biological Effects
4.1 Laboratory Studies
The AGNIR review [9] concluded that there is no consistent evidence that exposure to ELF fields experienced in our living environment causes direct damage to biological molecules, including DNA. Since it seems unlikely that ELF fields could initiate cancer, a large number of investigations have been conducted to determine if ELF exposure can influence cancer promotion or co-promotion. Results from animal studies conducted so far suggest that ELF fields do not promote cancer.
Above about 0.1 mT, a variety of studies have demonstrated effects *in vitro* on ornithine decarboxylase (ODC) activity. Not all replication attempts have succeeded, however. Many other biological effects have been reported above about 1 mT [10]. How magnetic-field exposure
produces such effects is unknown. For most effects, such as those reported on genotoxicity, intracellular calcium concentrations, or general patterns of gene expression, convincing and reproducible results have not been observed. None of the *in vitro* effects are necessarily indicative of an adverse health effect. Without knowledge of the mechanisms involved, effects observed at high field strengths cannot be extrapolated to lower fields, since the mechanisms may be different.
While there is no convincing evidence that ELF fields cause cancer in animals, only a limited number of studies have been conducted to test this hypothesis. Some recent studies suggest a positive relationship between breast cancer in animals treated with carcinogens and ELF magnetic-field exposure at approximately 0.02–0.1 mT. The importance of these findings needs to be investigated further [3]. Currently available data do not provide convincing evidence of adverse effects on reproduction or development in mammals from exposure to power-frequency fields. There is evidence of behavioral and neurobehavioral responses in animals, but only following exposure to strong ELF electric fields.
Neuroendocrine changes are associated with exposure to ELF magnetic fields, but these alterations have not been shown to cause adverse effects in animals. Some studies suggest magnetic fields of strengths between 0.01 and 5.2 mT might inhibit night-time pineal and blood melatonin concentrations in experimental animals. However, such effects have not been demonstrated in humans.
### 5. Human Laboratory Studies
#### 5.1 Perception
Exposure to ELF electric fields can result in field perception, as a result of alternating electric charge induced on the surface causing body hair to vibrate. Most people can perceive electric fields greater than 20 kV/m, and few people perceive field strengths below 5 kV/m. In two well-controlled studies, humans were unable to perceive magnetic fields at levels up to 1.5 mT [3].
During exposure to ELF magnetic fields above 3–5 mT, volunteers experienced faint visual flickering sensations or magnetophosphenes. The threshold current density in the retina for induction of magnetophosphenes is about 10 mA/m² at 20 Hz, well above typical endogenous current densities in electrically excitable tissues. Higher thresholds have been observed for both lower and higher frequencies [3].
#### 5.2 Cardiovascular System
Several reports indicate that ELF fields influence the cardiovascular system. Exposure of human volunteers to combined 60 Hz electric and magnetic fields (9 kV/m, 0.02 mT) resulted in small changes in cardiac function. Resting heart rates were found to be slightly but significantly reduced (about 3-5 beats/minute) during or immediately after exposure. This response did not occur with exposure to stronger (12 kV/m, 0.03 mT) or weaker (6 kV/m, 0.01 mT) fields, and was reduced if the subject was mentally alert [10]. In these double-blind studies, subjects were unable to detect the presence of the fields. While continuous exposure to combined electric and magnetic fields at 9 kV/m, 0.02 mT, slows the heart, intermittent exposure can result in both slowing and increasing heart rate. None of the effects on heartbeat exceeded the normal range. No obvious acute or long-term cardiovascular-related hazards have been demonstrated at levels below current exposure standards for ELF or radio-frequency fields.
#### 5.3 Hormone and Immune-System Effects
No changes in blood chemistry, blood-cell count, blood gases, lactate concentration, skin temperature, or circulating hormones have been observed. Field-related suppression of the hormone melatonin has been proposed as a mechanism for the relationship between exposure to magnetic fields and increased cancer risk [3]. However, well-controlled laboratory studies report mostly negative results, although some laboratory studies have reported positive results. No published reports have examined possible differential effects in women, possible influence of longer exposure, or of altering field polarization.
| Classification | Examples of Agents |
|----------------|--------------------|
| **Carcinogenic to humans**
(usually based on strong evidence of carcinogenicity in humans) | Asbestos
Mustard gas
Tobacco (smoked and smokeless)
Gamma radiation |
| **Probably carcinogenic to humans**
(usually based on strong evidence of carcinogenicity in animals) | Diesel engine exhaust
Sun lamps
UV radiation
Formaldehyde |
| **Possibly carcinogenic to humans**
(usually based on evidence in humans which is considered credible, but for which other explanations could not be ruled out) | Coffee
Styrene
Gasoline engine exhaust
Welding fumes
ELF magnetic fields |
*Table 1: Examples of physical and chemical agents classified for carcinogenicity by IARC*
5.4 Epidemiological Studies
ELF fields are known to interact with tissues by inducing electric fields and currents in them. This is the only established mechanism of action of these fields. However, the electric currents induced by ELF fields commonly found in our environment are normally much lower than the strongest electric currents naturally occurring in the body, such as those that control the beating of the heart. Since 1979, when epidemiological studies first raised a concern about exposures to power-line-frequency magnetic fields and childhood leukemia, a large number of studies have been conducted to determine if measured ELF exposure can influence cancer development, especially in children.
A Working Group, formed by the National Institute of Environmental Health Sciences [10] to evaluate the health effects from exposure to ELF, concluded that ELF magnetic fields are a possible human carcinogen. The evidence in support of this decision resulted from studies on childhood leukemia in residential environments, and on chronic lymphocytic leukemia (CLL) in adults in occupational settings. This conclusion is essentially in agreement with recent reviews in the UK [9], the Netherlands [8], and the IARC classification [7], discussed below.
Pooled analyses [11, 12] of the epidemiological studies on exposure to ELF magnetic fields suggest that residence in homes near external power lines is associated with an approximate 1.5-2.0-fold relative risk of childhood leukemia. These studies suggest that, in a population exposed to average magnetic fields in excess of 0.3 to 0.4 μT, twice as many children might develop leukemia compared to a population with lower exposures. In spite of the large numbers in the database, some uncertainty remains as to whether magnetic-field exposure or some other factor(s) might have accounted for the increased leukemia incidence. These uncertainties occur for a number of reasons. Childhood leukemia is a rare disease, with four out of 100,000 children between the age of 0 to 14 diagnosed every year. Also, average magnetic-field exposures above 0.3 or 0.4 μT in residences are rare. Less than 1% of populations using 240-volt power supplies are exposed to these levels, although this may be higher in countries using 120-volt supplies.
These pooled analyses were influential for a working group of the International Agency for Research on Cancer (IARC), concluding that ELF magnetic fields were a “possible human carcinogen” for childhood leukemia. “Possibly carcinogenic to humans” is a classification used to denote an agent for which there is limited evidence of carcinogenicity in humans, and less than sufficient evidence for carcinogenicity in experimental animals.
This classification is the weakest of three categories (“is carcinogenic to humans,” “probably carcinogenic to humans,” and “possibly carcinogenic to humans”) used by IARC to classify potential carcinogens based on published scientific evidence. Some examples of well-known agents that have been classified by IARC are given in Table 1. A full listing of the evaluations of carcinogenicity to humans of all physical, chemical, and biological agents classified by IARC is available from their Web page at http://www.iarc.fr. WHO has published a fact sheet [5] that explains this classification, and advises on options that can be taken to address the concerns raised by such a classification.
Occupational studies have generally used job titles – sometimes in combination with workplace ELF field measurements – to determine if any association exists between exposure to these fields and cancer. Elevated risks of various cancers have been reported, especially leukemia, nervous-system tumors, and breast cancer; but the lack of uniformity of the results has been a major concern. Any excess cancer risk among electrical workers, compared to other occupations, is small, and difficult to detect using epidemiological methods. Studies so far have been complicated by the lack of adequate exposure assessment in the workplace, and possible confounding factors.
The basic problem with all epidemiological studies so far has been the lack of any concept of dose, or an exposure metric established from laboratory studies. Metrics used have generally been cumulative exposure or time-weighted average field strength. Very little information has been obtained about exposure from appliances, ground currents, or devices that may be associated with transient fields. Brief exposures to high-amplitude magnetic-field transients, or to high-frequency harmonics, have not been assessed in published studies. Personal dosimeters do not exist that can capture this information.
6. ELF Research Needs
Independent replication of some key studies is a high priority. When effects are robust, replication should be straightforward, and can be used as a basis for extending observations. It is important to characterize the dose-response relationship (field strength, threshold, and exposure duration) of any effect, particularly at environmentally relevant field strengths. Where possible, in vivo studies should consider exposures that include intermittence, transients, and duration as important variables. In addition, it would be valuable to consider the interactions of ELF fields with other agents, such as ionizing radiation and chemicals. These interactions should test the hypothesis that ELF fields may act as a co-promoter for cancer, but other end points suggested by the in vitro literature should also be examined. Wherever possible, exposures should be relevant to those experienced by humans in occupational and residential settings. Some cancer-related studies using various animal models are currently under way. Research gaps identified by WHO are as follows:
• Confirmation and extension of animal studies reporting increased tumor incidence when magnetic fields are applied in combination with chemical carcinogens. These experiments should focus on dose-response relationships and the relationship between different exposure conditions.
• Confirmation and extension of studies suggesting that magnetic-field exposure influences mammary-cancer development. Possible changes in relevant hormonal factors in magnetic-field-exposed animals and controls should be investigated to examine potential mechanisms.
• Neurophysiology/neurobehavioral studies using models of neurodegenerative diseases are indicated because of
recent reports of possible ELF-field influence on human neurodegenerative diseases, such as Alzheimer disease.
- While most studies of ELF field effects on various endpoints in reproduction and development have been negative, new studies should provide information on long-term neurobehavioral consequences following *in utero* exposure to magnetic fields. These studies should address whether ELF fields can produce effects on early brain development, as measured in functional behavior in adult animals.
6.1 Epidemiology Research Needs
The most important prerequisite for future epidemiological studies is a clearer understanding of what metric should be used to characterize ELF field exposure. This may come from laboratory work or from additional hypothesis-generating epidemiological studies, each of which has advantages and disadvantages in cost, time, and precision. Project designs for new epidemiological research should, within the limits of what is possible, increase the role of measured past and present exposures. Dependence on surrogates, such as wire codes and job classifications, should decrease, particularly if data do not exist that establish how well the surrogates select for historical exposure. The *a priori* estimates of the power of future studies must be strong enough to predict useful information, given the outcomes of past research.
Because many – but not all – studies show a small but significant excess in childhood leukemia associated with residence in high-wire-code homes in the US (the only country where this surrogate has been used), a concerted effort is needed to explain this association. While efforts have been made to define the relationship between wire codes and average magnetic-field exposure or socioeconomic confounding factors, little evidence is available about the relationship between wire codes and high-amplitude transient fields or high-frequency harmonics. Future studies should include these and ground currents in the exposure assessments. Another aspect to be seriously pursued in future studies is the inclusion of non-occupational exposure.
With the above caveats, needed future epidemiological studies should:
- Address the relationship between exposure and cancer incidence that properly assesses both residential and occupational exposure over long periods, including transient magnetic-field exposure and high-frequency harmonics.
- Determine if correlates of wire codes – such as traffic density, age of home, and socio-demographic characteristics of home occupants – can explain the statistical relationship between wire codes and childhood leukemia.
- Study the relationship between breast cancer and field exposure, including evaluation of both average field levels and transients and high-frequency components, and taking into account both occupational and non-occupational exposures.
- Investigate the relationship between neurodegenerative disorders and field exposure, including an evaluation of the role of average field levels, transients, and high-frequency components. Both occupational and non-occupational exposures should be considered.
- Study the relationship between heart disease endpoints and exposure to ELF fields, including evaluation of the role of transient and high-frequency components, and taking into account both occupational and non-occupational exposures.
6.2 Volunteer Studies
Further studies are needed, especially using transient and high-frequency components typical of environmental ELF fields, to determine:
- Whether any component of the human melatonin hormone system is susceptible to ELF field exposure and, if so, the likely health consequence of this susceptibility.
- Whether sleep disruption, changes in neurotransmitter metabolism, and learning and memory are associated with ELF field exposure.
- The relationship between field exposure and slowing and variability in heart rate.
- Whether electrophysiological indices of central nervous system activity and function are affected by ELF fields.
6.3 Subjective Effects
Given the limited evidence, but widespread concern, about subjective effects, more research is needed to determine whether these health effects can be substantiated, and can be related to EMF exposure. The current laboratory results should be extended, and their relevance clarified.
7. Intermediate Frequencies
Compared to the extremely low frequency (ELF) and radio-frequency (RF) ranges, few biological-effects studies have been conducted, and few reviews have been published, that focus on health risks from IF sources. International EMF-exposure guidelines [13] at IFs have been established by extrapolating limits from the ELF and RF frequency ranges, based on principles of the coupling of external fields with the body, and assumptions about the frequency dependence of bioeffects. Because applications of EMF in this frequency range are increasing rapidly, it is important to properly evaluate the significance of any effects on human health.
A wide range of equipment produces electric or magnetic fields in the IF range. Common sources of IF fields include monitors and video-display units (3–30 kHz), AM radio (30 kHz–3 MHz), industrial induction-heating devices (0.3–3 MHz), and anti-theft and remote-detection systems. In most cases, the exposures to humans from these devices are within recommended limits, although the guidelines may be exceeded in some cases. Workers in a few occupational groups (operators of heat sealers and induction heaters, some military personnel, technicians working near high-powered broadcast equipment) are undoubtedly exposed to considerably higher levels of IF fields than the general population.
7.1 Mechanisms of Interaction
Understanding the mechanisms of interaction between EMF and biological systems is important for several reasons. First, determining the thresholds for hazard at IFs currently requires extrapolation of biological data from lower- and higher-frequency ranges. For this, an understanding of the mechanisms for effects is important. More generally, hypotheses about mechanisms of interaction can help clarify biological phenomena and guide further experimentation.
Several mechanisms, both thermal (above about 100 kHz) and non-thermal (below about 100 kHz), by which electromagnetic (primarily, electric) fields can interact with biological systems, are well established. Each mechanism is characterized by a strength of interaction and a response time [4]. The first determines the threshold for producing observable effects in the presence of random thermal agitation (noise). The second determines the frequency response of the effect, which is typically characterized by a cutoff frequency (above which the threshold increases with frequency). In addition, EMFs can heat tissue, resulting in a variety of thermal effects. The limiting hazard will arise from the adverse effect (thermal or non-thermal) that has the lowest threshold under given exposure conditions.
8. IF Biological and Health Effects
Most biological-effects studies in the IF range have employed field levels far above exposure guidelines, and above realistic exposure levels for humans. However, in some cases, the exposure levels have been below recommended limits. Virtually none of the effects described below have any apparent explanation in terms of accepted biophysical mechanisms of interaction. The results and conclusions included here are from a recent WHO meeting [4].
Most studies have used field levels above international guidelines for human exposure, or otherwise have unclear relevance to normal exposure situations. As with other EMF ranges, few reported effects of IF fields have been subjected to independent confirmation, and, in some cases, investigators have suggested the presence of confounding effects that may have led to previously reported effects of IF. Most epidemiological studies on human exposure to IFs concern possible reproductive effects, and were motivated by health concerns from exposure to fields emitted by VDUs [video display units]. Other studies have been reported on workers occupationally exposed to fields in the IF range. However, because of the weak associations in these studies, the use of multiple comparisons in the data analysis, and other uncertainties, they provide no strong evidence for health hazards.
The working group formed during the WHO meeting on the IF range, held in Maastricht in June, 1999, felt that the health implications of these findings are difficult to assess. The general consensus was that current scientific evidence does not show the presence of health hazards from IFs at exposures below recommended guidelines. However, the biological data are sparse, particularly related to effects of low-level exposure. A few epidemiology studies have suggested links between IF exposure and health effects, but they are compromised by technical problems, and cannot be reliably interpreted. Even for established hazards, there is a need to better determine thresholds, particularly for fields with complex waveforms, or pulsed fields. Any epidemiological studies at IFs should be preceded by pilot studies demonstrating their feasibility.
9. Radio-Frequency Fields
Common sources of RF fields include RF heat sealers, medical diathermy (3-30 MHz), FM radio (30-300 MHz), mobile telephones, television broadcasts, microwave ovens, medical diathermy (0.3-3 GHz), radar, satellite links, microwave communications (3-30 GHz) and the sun (3-300 GHz).
The hazards of exposure to high levels of RF fields, which result in tissue heating, are basically understood, although there are still a number of unresolved issues. Thermal hazards are associated with acute exposures, and are thought to be characterized by thresholds, below which they are not present. However, many studies have suggested that RF exposure at lower-than-thermal levels may have biological effects, but they have either not been consistently replicated, or else their significance for human health cannot be adequately assessed using information currently available. Scientific research into possible health effects has been unable to keep pace with the rapid advances in the applications of RF fields in our working and living environment. This delay has led to widespread concerns among the general public and workforce that there are unresolved health issues that need to be addressed as a matter of urgency.
Although many reports in the scientific literature claim effects in biological systems exposed to low levels of RF, the mechanisms for these reported effects are unknown, and their relevance for human health is uncertain. In this respect, one of the major challenges is to better understand and more clearly establish the effects reported at low RF levels.
9.1 Mechanisms of Interaction
RF fields induce torques on molecules, which can result in displacement of ions from unperturbed positions, vibrations in bound charges (both electrons and ions), and rotation and reorientation of dipolar molecules, such as water. These mechanisms, which can be described by classical electrodynamic theory, are not capable of producing observable effects from exposure to low-level RF fields, because they are overwhelmed by random thermal agitation. Moreover, the response time of the system must be fast enough to allow it to respond within the time period of the interaction. Both considerations imply that there should be a threshold (below which no observable response occurs) and a cutoff frequency (above which no response is observed). These thresholds would be expected to be present even in more-refined models, if they correctly take into account thermal noise and the kinetics of the system.
Exposure to EMF at frequencies above about 100 kHz can lead to significant absorption of energy and to temperature increases. In general, exposure to a uniform
(plane-wave) electromagnetic field results in a highly non-uniform deposition and distribution of energy within the body, which must be assessed by dosimetric measurement and calculation. For absorption of energy by the human body, electromagnetic fields can be divided into four ranges:
- frequencies from about 100 kHz to less than about 20 MHz, where absorption in the trunk decreases rapidly with decreasing frequency, and significant absorption may occur in the neck and legs;
- frequencies in the range from about 20 MHz to 300 MHz, at which relatively high absorption can occur in the whole body, and to even higher values if partial-body (e.g., head) resonances are considered;
- frequencies in the range from about 300 MHz to several GHz, at which significant local, non-uniform absorption occurs;
- frequencies above about 10 GHz, at which energy absorption occurs primarily at the body surface.
**10. RF Biological Effects**
The information below is taken from reviews by WHO [2], the International Commission on Non-Ionizing Radiation [13], and an Independent Expert Group on Mobile Phones [14] in the UK.
**10.1 In Vitro**
Reports from *in vitro* research indicate that low-level RF fields may alter membrane structural and functional properties, which trigger cellular responses. It has been hypothesized that the cell membrane may be susceptible to low-level RF fields, especially when these fields are amplitude-modulated at ELF frequencies. At high frequencies, however, low-level RF fields do not induce appreciable membrane potentials. They can penetrate the cell membrane and possibly influence cytoplasmic structure and function. These RF field-induced alterations, if they occur, could be anticipated to cause a wide variety of physiological changes in living cells that are only poorly understood at the present time.
A lack of effect of RF exposure on mutation frequency has been reported in a number of test samples, including yeast and mouse lymphoid cells. No effect of RF-field exposure on chromosome-aberration frequency in human cells has been confirmed [2].
**10.2 Animal Studies**
In contrast to the evidence given above, several rodent studies indicate that RF fields may directly affect DNA. These papers report quantitative data, subject to sources of inter-trial variation and experimental error, such as incomplete DNA digestion or unusually high levels of background DNA fragmentation. These experiments need to be replicated before the results can be used in any health-risk assessment, especially given the weight of evidence that RF fields are not genotoxic. Further, in animal studies, most well-conducted investigations report a lack of clastogenic effect in the somatic or germ cells of exposed animals [13]. Other investigations that require further attention relate to possible synergistic action of RF exposures with chemical or physical mutagens or carcinogens.
Most cancer studies of animals have sought evidence of changes in spontaneous or natural cancer rates, enhancement by known carcinogens, or alterations in growth of implanted tumors [13]. However, they have provided only equivocal evidence for changes in tumor incidence. Chronic RF-field exposure of mice at 2–8 W/kg resulted in an SAR-dependent increase in the progression or development of spontaneous mammary or chemically induced skin tumors. In a further study, exposure at 4–5 W/kg, followed by application of a sub-carcinogenic dose of a chemical carcinogen to the skin, a procedure repeated daily, eventually resulted in a three-fold increase in skin tumors. However, at these high exposures, temperature-mediated effects cannot be excluded.
Studies in which cancer cells were injected into animals have reported a lack of effect of exposure to CW and pulsed RF fields on tumor progression. Progression of melanoma in mice was unaffected by daily exposure to pulsed or CW RF fields following subcutaneous implantation, and progression of brain tumors in rats was not affected by CW or pulsed RF fields following the injection of tumor cells into the brain.
Moderately lymphoma-prone *Eμ-Pim1* oncogene-transgenic mice were exposed or sham-exposed to radio-frequency fields for 1 h/day for up to 18 months, using pulse modulations similar to that used for digital mobile telephones. Exposure was associated with a statistically significant, 2.4-fold increase in the risk of developing lymphoma [15]. This long-term study needs replication, and extension to other exposure levels and animal models, before it can be used for health-risk assessments. Further research is also needed to determine the significance of effects in this transgenic model for human health risk.
Although weak evidence exists, it fails to support an effect of RF exposure on mutagenesis or cancer initiation. There is scant evidence for a co-carcinogenic effect, or an effect on tumor promotion or progression. However, only a few studies have been published, and these are sufficiently indicative of an effect on carcinogenesis to merit further investigation.
**10.3 Effects on Other Systems**
While many studies have been conducted at high levels of RF exposure, few relevant studies have used low levels. Some of the more important studies are described below.
The blood-brain barrier (BBB) is a specialized neurovascular complex that functions as a differential filter, permitting selective passage of material from the blood into the brain. It maintains the physiological environment of the brain within certain limits that are essential for life. Although extensive previous research has been unable to reliably identify permeability changes at low levels of RF exposure, in recent studies increased BBB permeability was reported for RF exposures at SARs as low as 0.016 W/kg. These studies need replication and extension to allow a better determination of any possible health consequence.
Exposure to very low levels of amplitude-modulated RF fields were reported to alter electrical activity in the brains of cats and rabbits. These experiments need replication and extension.
Early signs of neurotoxicity are often behavioral rather than anatomical. Current Western standards are based on behavioral changes occurring in response to temperature elevations in excess of one degree Celsius. However, few studies have been conducted at low RF levels, and there is a need to do these [14].
10.4 Pulsed Radiation
Exposure to low-level pulsed and CW RF fields has been reported to affect brain neurochemistry in a manner consistent with responses to stress. Effects on behavior and drug interaction have been obtained with the same exposure parameters. Replication studies are needed to establish and provide further information on these effects.
Exposure to very intense pulsed RF fields suppresses the startle response and evokes body movements in conscious mice [13]. The mechanism for these effects is not well established, and is clearly associated with heating at higher absorbed energies.
People having normal hearing perceive pulse-modulated RF fields with carrier frequencies between about 200 MHz and 6.5 GHz: the so-called microwave hearing effect. The sound has been variously described as a buzzing, clicking, hissing, or popping sound, depending on modulation characteristics. Prolonged or repeated exposure may be stressful [2].
The retina, iris, and corneal endothelium of the primate eye were reported to be susceptible to low-level RF fields, particularly when pulsed. Various degenerative changes in light sensitive cells in the retina were reported at specific energies per pulse (10-μs pulses at 100 pps) as low as 2.6 mJ/kg, after the application of a drug used in glaucoma treatment. However, these results could not be replicated for CW fields [2].
11. Epidemiological and Human Volunteer Studies
11.1 Cancer
By far the greatest public concern has been that exposure to low-level RF fields may cause cancer. Of the epidemiological studies addressing possible links between RF exposure and excess risk of cancer, some positive findings were reported for leukemia and brain tumors. Review groups that evaluated possible links between RF exposure and excess risk of cancer have concluded that there is no consistent evidence of a carcinogenic hazard. In some studies, there are significant difficulties in assessing disease incidence with respect to RF exposure, and with potential confounding factors such as ELF and chemical exposure. Overall, the epidemiological studies suffer from inadequate assessment of exposure and confounding, and poor methodology [14].
Overall, the results are inconclusive, and do not support the hypothesis that exposure to RF fields causes or influences cancer. However, epidemiological studies in some 14 countries, coordinated by IARC, are underway to determine if there is any relationship between mobile phone use and head or neck cancers. These studies should provide substantial new information on RF exposure and its relationship to cancer causation. Further studies are under way to evaluate potential carcinogenic effects of chronic exposure to low-level RF fields, and more are needed.
11.2 Other Outcomes
Other health outcomes investigated following RF exposure include headaches, general malaise, short-term memory loss, nausea, changes in EEG and other central nervous system functions, and sleep disturbances. There have also been anecdotal reports from several countries of subjective disorders, such as headaches, associated with the use of mobile telephones. Whether exposure to RF fields at very low levels can cause such subjective effects has not been substantiated from current evidence, but further research is indicated.
Individuals have claimed to be hypersensitive to electromagnetic fields. The most common symptoms are headaches, insomnia, tingling and rashes of the skin, difficulty in concentrating, and dizziness. Given the limited evidence and widespread concerns that the above effects have provoked, more research is needed to determine if these health effects can be substantiated.
Adverse maternal health outcomes, particularly spontaneous abortions and hematological or chromosome changes, have been reported to occur in certain populations exposed to RF fields. Some of these changes have also been reported in users of video-display units. Taken overall, the studies in this area have not substantiated these effects [2, 13, 14].
12. RF Field Research Needs
Since the EMF Research Agenda was first published by WHO in 1996, many national and international agencies have funded research that contributes substantially towards the studies needed to make better health-risk assessments. Most of the in vivo and in vitro studies have now been completed, or are under way.
12.1 Human Laboratory Studies
By far the most-important deficiency in the RF research under way is in the area of effects on human volunteers. There is still a basic need to perform studies on human volunteers, under laboratory conditions, to determine basic physiological responses to pulsed, non-thermal levels of RF, similar to those emitted by mobile telephones. It is anticipated that following the recommendations of the Stewart report [14], a further $10 million will be devoted to this research, with emphasis on human laboratory studies. Using established batteries of tests or study designs, there is a need to investigate:
- Psychological effects related to the use of mobile phones as well as measurable changes in blood pressure, brain, and cognitive function (including memory or learning), any other effects likely to effect the CNS, reaction times, auditory-evoked potentials, EEG, ECG, EKG, and others;
- Biological effects on human brain function to determine if it is affected by different RF pulsing regimens (test to Hyland-Fröhlich hypothesis);
• RF effects on children to determine if they are more sensitive than are adults;
• People who claim to show a greater sensitivity to RF fields; hypersensitivity reactions, sleep disturbance, other subjective effects.
12.2 Animal Studies
While a number of studies are in progress under contracts from the 5th Framework program of the European Commission, and a major study has been announced under the US National Toxicology Program, there is still a need for the following:
• Address long-term memory and behavioral studies in animals, since this cannot be done effectively in humans;
• Follow-up study on cancer promotion using DMBA.
12.3 In Vitro Studies
As a lower priority, there is a need to conduct:
• *In vitro* investigations of ODC and cell-signaling molecules. The ODC results need to be resolved, as well as the ongoing debate about calcium efflux.
• Hippocampal slice preparation studies, showing transient changes in evoked and spontaneous activity.
• More complete studies of the possibility that pulsed RF fields can initiate gene expression.
13. Conclusions and Recommendations
All reviews conducted so far have indicated that exposures below the limits recommended in the ICNIRP/PEMF guidelines [13], covering the full frequency range from 0-300 GHz, do not produce any know adverse health effects. While there is more research needed in areas already identified before better health-risk assessments can be made, it is likely that if any adverse effect on health is found from EMF exposure, it will be minor.
WHO is now in the process of making a complete assessment of health risks and risk estimation for the whole EMF range. The results of this will not be available for a few years, but it is expected that they will impact on the management of EMF. The degree of public concern and remaining uncertainties in the science base (mainly, whether long-term, low-level exposures will impact on health), have meant that there has been a significant move towards determining whether precautionary measures should be invoked, until science is able to address remaining issues. WHO has provided information on this [16, 17] for member states.
Recommendations have been issued by WHO through a series of fact sheets [2, 18, 19]. They deal with EMF exposure limitation and precautionary measures that might be adopted, and can be summarized as follows:
• Adopt mandatory health-based EMF exposure limits (such as [13]) to protect public health;
• Adopt, as needed, voluntary precautionary measures that reduce unnecessary EMF expose to address public concern.
Examples of possible precautionary measures that could be adopted have been published in [17].
14. References and Bibliography
1. M. H. Repacholi and E. Cardis, “Criteria for EMF Health Risk Assessment,” *Radiation Protection Dosimetry*, 72, 1997, pp. 307-310.
2. M. H. Repacholi, “Low-Level Exposure to Radiofrequency Electromagnetic Fields: Health Effects and Research Needs,” *Bioelectromagnetics*, 19, 1998, pp. 1-19.
3. M. H. Repacholi and B. Greenbaum (eds.), “Interaction of Static and Extremely Low Frequency Electric and Magnetic Fields with Living Systems: Health Effects and Research Needs,” *Bioelectromagnetics*, 20, 1999, pp. 133-160.
4. E. Litvak, K. R. Foster, and M. H. Repacholi, “Health Consequences of Exposure to Electromagnetic Fields in the Frequency Range 300 Hz to 10 MHz,” *Bioelectromagnetics*, 23, 2002, pp. 68-82.
5. WHO Fact Sheet, “Electromagnetic Fields and Public Health: Are Extremely Low Frequency Fields Carcinogenic?,” WHO Fact Sheet #263, Geneva, WHO, 2001.
6. K. R. Foster, J. M. Osephchuk, and M. H. Repacholi, “Environmental Impacts of Electromagnetic Fields,” *Environmental Health Perspectives* (submitted).
7. IARC, International Agency for Research on Cancer, “IARC Finds Limited Evidence that Residential Magnetic Fields Increase Risk of Childhood Leukaemia,” press release at http://www.iarc.fr, 2001.
8. Health Council of the Netherlands, “Electromagnetic Fields: Annual Update 2001,” see:http://www.gr.nl/engels/welcome, 2001.
9. AGNR, Advisory Group on Non-Ionising Radiation, “ELF Electromagnetic Fields and the Risk of Cancer,” National Radiological Protection Board (UK), Documents of the NRPB; see http://www.nrpb.org, 2001.
10. C. J. Portier and M. S. Wolfe (eds.), “Assessment of Health Effects from Exposure to Power-Line Frequency Electric and Magnetic Fields,” NIEHS Working Group Report, Research Triangle Park, NC, USA, NIEHS, National Institute of Environmental Health Sciences of the National Institute of Health, 1998, pp. 623.
11. A. L. Alibbons, T. Day, M. Feychtling, et al., “A Pooled Analysis of Magnetic Fields and Childhood Leukaemia,” *British Journal of Cancer*, 83, 2000, pp. 692-8.
12. S. Greenland, A. R. Sheppard, W. T. Kaune, et al., “A Pooled Analysis of Magnetic Fields, Wire Codes, and Childhood Leukemia. Childhood Leukemia-EMF Study Group,” *Epidemiology*, 11, 2000, pp. 624-34.
13. ICNIRP, International Commission on Non-Ionizing Radiation Protection, “Guidelines on Limits of Exposure to Time-Varying Electric, Magnetic and Electromagnetic Fields (up to 300 GHz),” *Health Physics*, 74, 1998, pp. 494-522.
14. IEGMP, Independent Expert Group on Mobile Phones, “Mobile Phones and Health,” see:http://www.iegmp.org.uk, 2000.
15. M. H. Repacholi, A. Basten, V. Gebski, et al., “Lymphomas in *Eij-Pim1* Transgenic Mice Exposed to Pulsed 900 MHz Electromagnetic Fields,” *Radiation Research*, 147, 1997, pp. 631-640.
16. K. R. Foster, P. Vecchia, and M. H. Repacholi, “Science and the Precautionary Principle,” *Science*, 288, 2000, pp. 979-981.
17. WHO Backgrounder, “Electromagnetic Fields and Public Health: WHO Backgrounder on Cautionary Policies,” Geneva, WHO, 2000.
18. WHO Fact Sheet, “Electromagnetic Fields and Public Health: Mobile Telephones and their Base Stations” WHO Fact Sheet #193, Geneva, WHO, 2000.
19. WHO Fact Sheet, “Electromagnetic Fields and Public Health: Extremely Low Frequency (ELF),” WHO Fact Sheet #205, Geneva, WHO, 1998.
20. R. Matthes, E. van Rongen, and M. H. Repacholi (eds.), “Health Effects of Electromagnetic Fields in the Frequency Range 300 Hz to 10 MHz,” ICNIRP Pub 8/99, 1999, available from ICNIRP, firstname.lastname@example.org.
The Need for a United Asia-Pacific Radio Astronomy Front
Masatoshi Ohishi
Abstract
Radio signals from the cosmos can be incredibly faint: Typical spectral power-flux densities as low as -320 dB Wm^{-2}Hz^{-1} are being detected, and even fainter signals are being sought. Because of this, the signals are potentially very susceptible to interference from transmitting services. There are increasing demands for radio spectrum by new or evolving transmitting services, with an increasing threat to radio astronomy, unless the spectral bands used for radio-astronomical observations can be protected.
The usage of the radio spectrum is regulated on an international scale by the International Telecommunication Union (ITU), a specialized agency of the United Nations organization, by means of the International Radio Regulations. These Regulations are revised at a World Radiocommunication Conference (WRC), held about every three years. Improved protection for radio astronomy can be obtained only at these meetings, and it is extremely important that worldwide representation of radio astronomers, with united proposals, be present. Administrations have already found that the formation of regional groups, such as CEPT (Conférence Européenne des Administration des Postes et des Télécommunications), CITEL (Comisión Interamericana de Telecomunicaciones), etc., in which common proposals have been established in advance of WRCs, has been very effective in protecting regional interests. In our region, administrations have formed the Asia-Pacific Telecommunity (APT), and it played a major role at WRC-2000. For radio astronomy, regional groups have been set up in America (CORF: Committee on Radio Frequencies) and Europe (CRAF: Committee on Radio Astronomy Frequencies), and these promote radio astronomy’s views in CITEL and CEPT, respectively. To enable effective negotiation of protection for radio astronomy within the APT, a similar group, representing radio astronomers in the Asia-Pacific region – the Radio Astronomy Frequency Committee in the Asia-Pacific region (RAFCAP) – has been established.
1. Radio Astronomy as a Radiocommunication Service
Radio astronomy and the radio astronomy service as a radiocommunication service are defined in Article 1, Nos. 14, 55, and 92 of the Radio Regulations of the ITU as being astronomy based on the reception of cosmic radiowaves. The aggregate of these cosmic emissions constitute the cosmic background noise of communications engineering. Being a passive service, radio astronomy service does not involve the transmission of radio waves in its allocated bands, and, therefore, the use of these bands cannot cause interference to any other service. On the other hand, the cosmic signals received are extremely weak (typical spectral power flux densities as low as -320 dB Wm^{-2}Hz^{-1} are routinely observed), and are therefore very susceptible to interference by transmissions of other services. At present, radio astronomy utilizes the electromagnetic spectrum at frequencies from below 1 MHz to about 1000 GHz, well beyond the 275 GHz currently allocated in the Radio Regulations. The entire radio spectrum is of scientific interest to the radio astronomy service.
Radio astronomy began in 1932, when Karl Jansky discovered the existence of radio waves of extra-terrestrial origin, and it is now established as an important branch of observational astronomy. For the solar system, it has increased our knowledge of the Sun (e.g., the physical processes responsible for the emissions of plasmas), and also of the planets and the interplanetary space. On a larger scale, multi-frequency studies of cosmic sources of radio emission have provided information about interstellar gas clouds and star formation within them, interstellar magnetic fields, the structure and the evolution of galaxies, and the Universe as a whole. Spectral-line emissions of atoms and molecules at naturally occurring frequencies have provided information about the composition, the physical characteristics, and the motions of interstellar gas clouds. Much of the information obtained by radio astronomy is unique, and cannot be obtained at other than radio wavelengths.
In contributing to our knowledge of astronomy, the radio astronomy service has also contributed to other areas. It has provided information on the atmospheric absorption of radio waves, which is of interest to telecommunications. It has also contributed to communication technology. Its pioneering research has led to continuing development of low-noise amplifier techniques, extending to progressively higher frequencies and wider bandwidths, and the production of receiver systems with ever increasing sensitivity. In
some cases, sensitivities approach the theoretical limits. In practice, system temperatures lower than 20 K have been reached. Significant contributions have been made to the design of feed systems and large steerable antennas. The technique of very-long-baseline interferometry (VLBI) is also important for geodetic measurements, and for the accurate tracking of spacecraft. The development of very-large-scale integration (VLSI) chips to process the data collected by radio-astronomy arrays has applications in other areas of electronics and physics. The sophisticated image-processing techniques developed by radio astronomers have a direct application in areas such as medicine and mining.
In the study of cosmic radio sources, radio astronomers measure all the properties of electromagnetic radiation. These are the intensity, frequency, polarization, direction (the position in the sky), and temporal variations of these parameters. Cosmic radio emissions have low power-flux-density levels at the Earth. Most show the characteristics of random noise. Exceptions are (a) the pulsed emissions at extremely regular rates from pulsars, (b) interplanetary and ionospheric scintillations of small-diameter radio sources, (c) irregular bursts from some stars (including the Sun), (d) variations on the scale of months for some radio sources, and (e) variations associated with the planet Jupiter. The best times for observation of radio sources are generally dictated by natural phenomena (the position of the source in the sky and the rotation of the Earth). Unlike the situation in active (transmitting) services, the radio astronomer cannot change the character of the signal to be received: the emitted power cannot be increased, nor the signal coded, in order to increase detectability.
2. Vulnerability of Radio Astronomy Observations to Interference
The radiation measured in radio astronomy has, in almost all cases, a Gaussian probability distribution in amplitude. Generally, it cannot be distinguished from thermal-noise radiation of the Earth or its atmosphere, or from noise generated in a receiver. In radio-astronomy observations, the signal-to-noise ratios in the radio–frequency (RF) and intermediate–frequency (IF) parts of the receiver are typically in the range of -20 dB to -60 dB, i.e., the power contributed by the source under study is a factor of $10^{-3}$ to $10^{-6}$ lower than the unwanted noise power from the atmosphere, the ground, and the receiver circuits. In most communication systems, the corresponding signal-to-noise ratio is of the order of unity or greater. Because radio-astronomy signals are so weak in comparison to those of other services, radio-astronomy observations are highly vulnerable to radio interference. To exacerbate the problem, cosmic signals generally have no characteristic modulation that would help to distinguish them from noise, or from many forms of interfering signals.
The reason that observations with very low signal-to-noise ratios can give useful measurements is that when the total noise power in the receiver IF stages is measured using a detector, and the output of the detector is averaged for many seconds (or, in some cases, many hours), the statistical fluctuations in the measured values are greatly reduced. It is commonly possible to detect fractional changes in the total noise level that are of the order of $10^{-6}$ or lower. An example of the high sensitivity of radio-astronomy observations is the detection of the angular structure in the cosmic background radiation by the Cosmic Background Explorer (COBE) satellite, in 1992. Fluctuations of the order of $10^{-5}$ of the 2.7 K background temperature were measured, which are 70 dB below the system noise temperature, 200-400 K, of the receivers on the satellite. The high sensitivity of such observations is obtained at the expense of information on short-time variations of any signal characteristics, which are lost in the averaging that is essential to reducing the noise fluctuations.
3. International and Regional Organizations to Treat Frequency-Allocation Problems
3.1 The Radiocommunication Sector and World Radiocommunication Conferences of the ITU
This document is concerned principally with aspects of radio astronomy that are relevant to frequency coordination, that is, the usage of the radio spectrum in a manner regulated to avoid interference by mutual agreement between the radio services. On an international scale, the regulation of spectrum usage is organized through the International Telecommunication Union (ITU), which is a specialized agency of the United Nations.
The Radiocommunication Sector, which is a part of the ITU, was created on 1 March 1993 to implement the new ITU structure. The Radiocommunication Sector includes World and Regional Radiocommunication Conferences, Radiocommunication Assemblies, the Radio Regulations Board, Radiocommunication Study Groups, the Radiocommunication Advisory Group, and the Radiocommunication Bureau, headed by the elected Director. The Radiocommunication Assembly and the Radiocommunication Bureau replaced the International Consultative Committee on Radio (CCIR) and its Secretariat, which performed similar functions.
The ITU Radio Regulations, which are the basis of the planned usage of the spectrum, are the result of World Radiocommunication Conferences (WRCs), which are held at intervals of a few years. At such conferences, the aim is to introduce new requirements for spectrum usage in a form that is, as far as possible, mutually acceptable to the representatives of participating countries. The results of each WRC take the form of a treaty, to which the participating administrations are signatories. As in most areas of international law, the enforcement of the regulations is difficult, and depends largely upon the good will of the participants.
Radiocommunication Study Groups are set up by a Radiocommunication Assembly. They study questions and prepare draft recommendations on the technical, operational, and regulatory/procedural aspects of radio communications. These ITU-R Study Groups address such issues as preferred frequency bands for the various services, threshold levels of
unacceptable interference, sharing between services, desired limits on emissions, etc. These groups are further organized into Working Parties and Task Groups, which deal with specific aspects of Study Group work. As of 2001, the ITU-R Study Groups were as follows:
- Study Group 1: Spectrum management
- Study Group 3: Radio wave propagation
- Study Group 4: Fixed-satellite service
- Study Group 6: Broadcasting service (terrestrial and satellite)
- Study Group 7: Science services
- Study Group 8: Mobile, radiodetermination, amateur and related satellite services
- Study Group 9: Fixed service
- SC: Special Committee on Regulatory/Procedural Matters
- CCV: Coordination Committee for Vocabulary
- CPM: Conference Preparatory Meeting
Radio astronomy falls within ITU-R Study Group 7, Science Services, which also includes space sciences, time signals, and frequency standards. In the work of the Study Group, the search for extraterrestrial intelligence (SETI), radar astronomy as practiced from the surface of the Earth, and space-based radio astronomy are usually included with radio astronomy.
International meetings of the Study Groups and Working Parties occur at approximately two-year intervals, and are attended by delegations from many countries. The Task Groups are usually set up for a limited period of time to carry out specific tasks, and meet at intervals according to their needs. Appropriate Questions are assigned to the Study Groups, which provide responses, generally in the form of ITU-R Recommendations. The ITU-R Recommendations provide a body of technical, operational, and regulatory/procedural information that has been agreed upon by the participating administrations. This information is used to provide technical inputs to WRCs, and many of the results of the work of the Study Groups are thereby incorporated into the Radio Regulations. Aside from this, the ITU-R Recommendations and Reports are, in themselves, generally regarded as authoritative guidelines for spectrum users. This is particularly true of the ITU-R Recommendations, which are widely followed, and are revised and published on a four-year cycle by the ITU. Since 1990, the Reports are no longer carried forward in current ITU publications. Most of the important material on radio astronomy in Study Group 7 Reports has been revised.
### 3.2 The Radio Regulations and Frequency Allocations
International frequency allocations are carried out at WRCs, attended by representatives of more than 180 administrations from all over the world. For the purpose of allocation, the world is divided into three regions: Region 1 includes Europe, Africa and northern Asia; Region 2 includes North America and South America; and Region 3 includes southern Asia and Australasia. For any particular frequency band, the allocations may be different in different regions. Bands are often shared between two or more services. Generally speaking, the allocations are primary or secondary. A service with a secondary allocation is not permitted to cause interference to a service with a primary allocation in the same band. The frequency allocations are contained in Article 8 of the Radio Regulations. Most are shown in a table of allocations; however, additional allocations are contained in numbered footnotes to the table.
Within individual countries, spectral allocation matters are handled by government agencies. The agencies vary greatly from one administration to another. In many countries, the administration of the radio spectrum is part of the work of a larger agency, which may also include areas such as postal and telephone services, transportation, commerce, etc. Such agencies play major roles in the preparation of national positions that are advocated at WRCs. Administrations participating in the WRC treaties retain sovereign rights over the spectrum within their national boundaries, and can deviate from the international regulations to the extent that this does not cause harmful interference within the territories of other administrations. In the setting up of the Radio Regulations, many administrations have claimed exceptions in certain bands, in order to cover particular national requirements.
### 3.3 Frequency Allocation Problems for Radio Astronomy
Several features of radio astronomy are different from those of the majority of services that use the radio spectrum. Radio astronomy is a passive service, concerned only with the reception of data. A few other services, such as Earth exploration by satellite, also use passive sensing.
Radio astronomy signals are very weak, with power flux densities typically 40 to 100 dB below those utilized by most other services. The highly sensitive receiving systems that are required in radio astronomy are very vulnerable to interference. This vulnerability is exacerbated by the nature of the cosmic signals. Most signals have the form of random noise, with no characteristic modulation that would allow them to be distinguished from other signals. The sharing of frequency bands with active services is difficult. It is usually not possible to share when there is a direct line-of-sight between a radio-astronomy antenna and a transmitter in the same band. A further problem is emission produced in a radio-astronomy band by active services operating in other bands. This is becoming more common as the use of broadband digital-modulation and spread-spectrum techniques continues to increase. Because of this potential threat to radio astronomy, mere preservation of allocations is not sufficient to guarantee interference-free radio-astronomical observations.
Radio astronomers cannot always choose their frequencies arbitrarily. Many of the cosmic signals that they study take the form of spectral lines, covering a limited frequency range. These lines are generated at characteristic frequencies associated with transitions between quantized energy states of atoms or molecules. Thus, allocations for observation of these lines must be made at specific frequencies. Allocations for many of the more important lines were obtained in the past, when the radio spectrum was less heavily used by other services. Additional allocations
will be required, but will be difficult to obtain. Important new lines continue to be detected, and many of them are not within allocated bands. For spectral lines in distant galaxies, an observed frequency that normally falls within a radioastronomy band may be Doppler shifted outside the band, because of the large motions of the galaxies relative to the Earth. Therefore, practically all parts of the radio spectrum are of potential scientific interest. However, because of allocations to active services, observations at many frequencies are severely restricted, or not even possible. In some cases, it may be possible to minimize interference by choosing appropriate locations for telescopes, or times for observation.
Because radio astronomers have great difficulty in sharing frequencies with active services, and because they cannot choose their frequencies arbitrarily, radio astronomy is not easily accommodated within the system of allocations and regulations. Nevertheless, the series of bands allocated to radio astronomy is vital to the existence of the service, and has enabled a stream of important scientific discoveries to be made over the past three decades.
3.4 Radio Astronomy in the ITU
Radio astronomy was first officially recognized as a radio-communication service at the WARC (World Administrative Radio Conference) of 1959. At that time, under the auspices of the International Council of Scientific Unions (ICSU), three scientific unions set up a commission, the Inter-Union Commission for the Allocation of Frequencies for Radio Astronomy and Space Science (IUCAF), to represent scientific usage of the radio spectrum. The three founding unions are the International Astronomical Union (IAU), the International Union of Radio Science (URSI), and the Committee on Space Research (COSPAR); each contributes to the membership of IUCAF. IUCAF participates in WRCs as a recognized International Organization, but has no voting rights. Radio astronomers work through their national agencies or IUCAF to get their concerns considered by the Radiocommunication Sector, or included on the agenda of a WRC. In addition to IUCAF, National and Regional committees — for example, the US Committee on Radio Frequencies (CORF) and the European Committee on Radio Astronomy Frequencies (CRAF) — facilitate a united participation by radio astronomers. Figure 1 illustrates some of the interrelationships between agencies involved in frequency-coordination processes for radio astronomy. In Figure 1, the following abbreviations are use (in alphabetical order):
| Abbreviation | Description |
|--------------|-------------|
| CORF | Committee on Radio Frequencies |
| COSPAR | Committee on Space Research |
| CRAF | Committee on Radio Astronomy Frequencies |
| IAU | International Astronomical Union |
| ICSU | International Council of Scientific Unions |
| ITU | International Telecommunication Union |
| IUCAF | Inter-Union Commission for the Allocation of Frequencies for Radio Astronomy and Space Science |
| RA | Radiocommunication Assembly |
| SG 7 | Study Group 7 |
| URSI | International Union of Radio Science |
| WRC | World Radiocommunication Conference |
In Article 1, Section 1 of the Radio Regulations, radio astronomy is defined as astronomy based on the reception of radio waves of cosmic origin. In the table of frequency allocations, frequency bands that offer the greatest protection to radio astronomy are those for which the radio astronomy service has a primary allocation shared only with other passive (non-transmitting) services. Next in degree of protection are the bands for which radio astronomy has a primary allocation, but shares this status with one or more active (transmitting) services. Less protection is afforded where bands are allocated to radio astronomy on a secondary basis.
For many frequency bands, the protection is by footnote, rather than by direct table listing. The footnotes are of several types. For an exclusive band allocated only to passive services, the footnote points out that all emissions are prohibited in the band. Other footnotes are used when radio astronomy has an allocation in only part of the band appearing in the table. A different form of footnote is used for bands or parts of bands that are not allocated to radio astronomy, but which are nevertheless used for astrophysically important observations. It urges administrations to take all practicable steps to protect radio astronomy when making frequency assignments to other services. Although such footnotes provide no legal protection, they have often proven valuable to radio astronomy when coordination with other services is required.
4. The Success of CRAF and CORF
Administrations have already found that the formation of regional groups, such as CEPT, CITEL, etc., in which common proposals have been established in advance of WRCs, has been very effective in protecting regional interests. For radio astronomy, regional groups have been set up in America (CORF) and Europe (CRAF), and these promote radio astronomy views in CITEL and CEPT, respectively.
CRAF has regular meetings at least twice per year, and contributes to submitting European common views and proposals for relevant Study Group meetings and WRCs. An excellent example is the success of extending frequency allocations for radio astronomy above 71 GHz, which was made in WRC-2000. Radio astronomy could not extend its frequency allocations after 1979. Therefore, radio astronomers of CRAF, CORF, and some astronomers from the Asia-Pacific region collaborated to negotiate with other services within their regions, and succeeded in submitting very similar proposals for WRC-2000. Thus, discussion among participating administrations during WRC-2000 ran very smoothly, and radio astronomy was able to get new frequency allocations of more than 80 GHz in total, in the frequency region between 71 and 275 GHz. CRAF and CORF prepared radio-astronomy proposals to CEPT and CITEL, respectively, and played major roles in getting them adopted as the regional common proposals. Submission of such common proposals is quite effective at helping radio astronomers realize what they need, when they take the decision-making procedures within ITU into account.
Although the frequency problems are regulated under national laws, radio waves propagate regardless of the national borders. Therefore, it is quite necessary to have common views between neighboring countries on any frequency allocation/regulation issues. The role of CRAF and CORF hence will be more important in the future.
5. The Need to establish a Radio Astronomy Frequency Committee in the Asia-Pacific Region (RAFCAP)
In the Asia-Pacific region, administrations have formed the Asia-Pacific Telecommunity (APT), and it played a major role at WRC-2000. However, there has not been any regional radio-astronomer’s group to collaborate on the frequency-allocation problems. The APT’s regional meetings for preparation of WRCs are called APGs. As was seen in Europe and in America, it would be quite effective for a radio-astronomer’s group to participate the APG meetings, to solve the frequency-allocation problems of radio astronomy. So far, only a small number of active radio astronomers, from Australia, India, Japan, and the Republic of Korea, have worked as their national delegates. When they refer to the success of CRAF and CORF, it is clear that they need a more coordinated radio-astronomy group, to effectively reflect their opinions into the APG common proposals.
In our region, several countries have radio-astronomical facilities: Australia, China (Peoples Republic of), India, Japan, and Korea (Republic of). Although Taiwan has no radio-astronomical facilities at present, radio astronomers in Taiwan have been participating in the SMA (SubMillimeter Array) project. In 1999, it was discussed to establish a group to collaborate on the frequency issues in the 4th East Asia Meeting of Astronomy, held in Kunming, Yunnang, China. The participants agreed to support the establishment of such a group.
The Asia-Pacific countries have very different situations in their infrastructures on radio communication. For developing countries, it is an economic decision to introduce mobile phones, rather than wired phones, in establishing communication networks. Therefore, the radio-observational environment will be polluted more and more, unless radio astronomers act to protect themselves.
6. Establishment of the RAFCAP
During the last AP-RASC (Asia-Pacific Radio Science Conference), held from 31 July to 4 August, 2001, in Tokyo, there was a business meeting (3 August) to discuss the need to establish a radio-astronomers group to handle the frequency issues in the Asia-Pacific region. I made a presentation explaining the need to set up the group. Dr. Ananthakrishnan (India), Dr. Chung (Korea, Republic of), and Dr. Tzioumis (Australia) reported on national activities to protect radio astronomy in each country. After discussion among participants in the meeting, the RAFCAP (Radio Astronomy Frequency Committee in the Asia-Pacific region) was launched successfully!
The initial members of the RAFCAP are as follows:
Chairperson Masatoshi Ohishi (NAO, Japan)
Secretary Tasso Tzioumis (ATNF, Australia)
S. Ananthakrishnan and T. L. Venkatasubramani (GMRT, TIFR, India)
H. S. Chung (Korea Astr. Obs., Korea, Republic of)
X. Hong (Shanghai Obs., P. R. China)
M. Inoue (NRO, NAO, Japan)
J. Lim (IAA, Taipei)
U. Shankar (RRL, India)
S. Wu (National Astr. Obs., P. R. China)
7. Conclusion
The RAFCAP (Radio Astronomy Frequency Committee in the Asia-Pacific region) has been successfully established, and the appendix provides a proposed draft charter of the committee, which was created by referring to that of CRAF (square-bracketed parts are tentative, in the manner of the ITU). Although the RAFCAP needs financial support in the near future, it is necessary to actually begin work as soon as possible, and to show how the committee can be so effective in protecting radio astronomy in the Asia-Pacific region. It is planned to have the first plenary meeting during the 3rd APG meeting, which is scheduled to be held in June, 2002, in Bangkok.
8. Bibliography
1. *Handbook on Radioastronomy*, Geneva, ITU, 1995.
2. *Recommendations for the Radio Astronomy*, Geneva, ITU, 1997.
3. *CRAF Handbook for Radio Astronomy*, CRAF, 1997.
9. Appendix
Proposed Draft Charter of the Radio Astronomy Frequency Committee in the Asia-Pacific Region (RAFCAP)
**CHARTER**
With Terms of Reference
1. **RAFCAP Status and Mission**
RAFCAP acts as the scientific expert committee on frequency issues for the Asia-Pacific radio astronomy and related sciences.
The mission of RAFCAP is:
(a) to keep the frequency bands used for radio astronomical observations free from interference,
(b) to argue the scientific needs of radio astronomy for continued access to and availability of the radio spectrum for radio astronomy within the Asia-Pacific region.
(c) to support related science communities in their needs of interference-free radio frequency bands for passive use.
2. **RAFCAP Terms of Reference**
RAFCAP will:
- provide scientific advice for the co-ordination of a common Asia-Pacific policy on frequency protection for radio astronomy, and related sciences;
- promote understanding on the issue of passive frequency use for scientific observations;
- provide a discussion forum on interference issues in passive frequency use, and increase public awareness of these fields at the Asia-Pacific level and the international level.
In the pursuit of these tasks, RAFCAP will interact with the relevant major bodies and supranational entities at the Asia-Pacific and international level.
RAFCAP Committee Members are required to maintain links with their national observatories involved in radio astronomy and with their national radiocommunications administrations.
3. **RAFCAP Committee Membership and Structure**
Committee Members are drawn from reputed experts active in all fields of radio astronomy and related sciences on the basis of scientific or technical expertise and recognition within the community, so as to ensure the authority and credibility of the Committee. A credible representation of the Asia-Pacific radio astronomy observatories and a geographical balance of the Committee’s membership needs to be ensured.
The Committee Members are appointed for a three-year term, normally renewable, after appropriate consultation with RAFCAP and with the respective national bodies.
The Chairperson of RAFCAP is appointed in response to his/her nomination by the RAFCAP Committee. The search for candidate(s) for its chairperson is undertaken by a Search Panel set up by the Committee. The term of the RAFCAP chair is three years with a possible extension for up to two more years.
The Committee shall be responsible for the appointment of a Secretary [and a Frequency Manager] to support the Committee in its activities, and undertake any other activities the Committee may require.
4. **Member Institutions of RAFCAP**
Member institutions of RAFCAP – supporting the meetings and the Frequency Manager of the Committee – should be involved in radio astronomy, or related sciences.
New member institutions are accepted after consultation with RAFCAP and the existing institutions.
5. **RAFCAP Modus Operandi**
The Committee shall normally hold at least one plenary meeting per year at which all business items are considered. The committee meetings are convened by the RAFCAP Chairperson. Additional meetings or teleconferences are convened as appropriate.
The Committee may establish procedures as necessary to meet its mission.
The Committee, if it is deemed necessary, may draw up a set of detailed regulations for its *modus operandi*, in line with the Charter.
6. **RAFCAP Finance**
The costs of the Committee’s meetings [and of the RAFCAP Frequency Manager] are financed by the member institutions.
Contributions from other bodies – such as national research agencies and institutes, or other institutions – may also be sought.
RAFCAP finances are regularly audited by one of the RAFCAP member institutions.
7. **Reporting and Advising Activities of RAFCAP**
The Committee reports, as appropriate, [in particular to the Directors’ Committee in the Asia-Pacific region, and] to the RAFCAP member institutions.
Radio-Frequency Radiation Safety and Health
Wireless Transmission of Space Solar Power and Its Biological Implications
During the last ten years, interest in wireless transmission of solar electric power from a space station to Earth has grown in Japan and in the United States. Recently, the US government has commissioned a study by the National Research Council (NRC) to take a fresh look at current efforts in research, technology, and potential investment strategies [1].
The concept of solar-power satellites (SPS) and wireless power transmission (WPT) envisions the generation of electric power by solar energy in space, for use on Earth. The system would consist of an orbiting platform to gather solar energy and convert it to electric and microwave power in space. A microwave transmission system would be employed to send the electric power to Earth. A power receiving antenna (rectenna), on the ground or offshore, would convert and collect the transmitted microwave energy in a form of electricity suitable for the common electric utility distribution infrastructure.
In addition to providing a future energy source – to compete with other sustainable energy sources to meet the goal of providing sustainable energy for future growth and protection of the environment – SPS-WPT has the appeal of enhancing other space and commercial applications. Thus, SPS-WPT is turning into an increasingly viable candidate for development in space.
Brief History of Wireless Power Transmission
The idea of wireless power transmission began with Nikola Tesla at the start of the last century [2, 3]. Under the stimulus of an intense wartime research effort, microwave sources with considerable output power were rapidly developed [4], and it was discovered that microwaves having wavelengths of a few centimeters could be focused [5]. However, all such sources were reserved solely for military use during World War II. As the war ended, microwave sources became more widely available. Many investigators began exploring the use of microwave energy for industrial, scientific, and medical (ISM) applications. Brown and his colleagues [3, 6] pursued the possibility of using microwaves for wireless transmission of power, which had led to the successful demonstration of the flight of a microwave-powered scale model of a helicopter [7].
The transmission of electric power generated in space, using focused microwaves, was initially proposed in 1968 [8]. Since then, many variations of the concept have been proposed for satellite-collected solar energy to be used for human activities on Earth and in space. The basic concept and the context of its application essentially remain the same as originally proposed. More than three decades have passed since Glaser’s first publication concerning power from space. While considerable progress has been made in solar cells and space transportation systems, a great deal of the research and development have been theoretical, and very little progress has been made on the basis of practical electric power systems on Earth.
Nevertheless, most of the concepts essential for SPS-WPT operation have been successfully demonstrated [9]. The accomplishments, to date, include the demonstration of point-to-point WPT; 30 kW of microwaves were beamed over a distance of one mile to a receiving antenna [10]; transmission of an 800-W microwave beam from a rocket to a free-flying satellite in space [11, 12]; and microwave-to-dc conversion efficiency of 82% or higher by the rectenna [10, 13].
DOE/NASA (the Department of Energy/National Aeronautics and Space Administration) extensively investigated the feasibility of SPS-WPT in the US during 1976–1980. The study concluded positively that research and development of SPS should proceed. It recommended that the program should be continued at a modest funding level, that further efforts should be directed at resolving or reducing significant uncertainties associated with microwave radiation effects and design considerations, and to continue...
some promising experiments. The study generated a Reference System Concept for Solar Power Satellites (for an example, see [14]). However, the study was interrupted for economic reasons, and because of funding priorities in the United States.
The 1979 Reference System involved placing a constellation of solar power satellites \((5 \times 10 \times 0.5 \text{ km} \text{ deep})\) in geostationary Earth orbits, each of which would provide 5 GW of power to major cities on the ground, using a 2.45 GHz microwave beam. Sixty such satellites of the Reference System were contemplated to deliver a total of 300 GW of generating capacity. The transmitting antenna was about 1 km in diameter. The power-receiving rectenna, on the ground, was a \(10 \times 13 \text{ km}\) structure. Some researchers have proposed the use of higher frequencies, such as the similarly atmospheric-transparent 5.8 GHz, to reduce the large size of the transmitting and receiving antennas.
**Recent Developments**
However, the scenario may be changing. New technologies and business models are advancing the global economy at an unprecedented pace. They have also sparked the rise in consumption of fossil fuel and the hunger for electricity. The projected increase in greenhouse gases might be linked directly to global warming. The revolution in global economic development and energy demand is inducing profound challenges to the Earth’s environment and human ecology. The finite supply and parochial nature of these energy sources, along with environmental concerns including waste management, are arguing more forcefully for SPS-WPT as a future energy source to compete with other sustainable energy candidates.
Recently, a strong case for reconsidering the space solar-power option has been made by some NASA personnel [16, 17], because new approaches may make it affordable. Major changes have occurred in technology, in the economic environment, and also in our perception of the global climatic effects of power generation and use during the past 20 years.
Some of these concerns were with us 20 years ago, but they are much stronger today. The growth in global population and the change in economic conditions have now brought the level of practicality of the space-power system to a much greater level than it has been before. It has been projected that during the coming 25 years, world population will grow by as much as 25%, while the world demand for electricity will double. (The world’s population is projected by some to skyrocket to 10 billion people by the year 2050.) Using current technologies, this increasing use of electricity will inevitably lead to similar increases in the release of carbon dioxide, and escalating increases in the concentration of the “greenhouse gases” in the atmosphere. Meeting the goal of providing sustainable energy for future growth and protection of the environment, and supplying cheap electricity to meet basic needs, will be a daunting challenge. There is a clear need to pursue technologies that can enable dramatic increases in renewable energy production worldwide.
Space commerce has come of age. Billions of dollars are now being raised regularly for new space ventures. It is conceivable that the high-risk technologies needed to enable space solar-power systems will mature in the not-too-distant future, thus making possible continuing economic growth in the developing world and elsewhere.
A subtle reminder to undertake research and development to increase the various performance factors and production: although major advancements have occurred in technology, the present annual production in the world is several tens of megawatts, only a fraction of the 5 GW targeted in the Reference System. And, it would be close to the maximum production capacity of gallium arsenide (GaAs) solar cells and by all resources on Earth at the present time [15]. Thus, considerable progress still needs to be made in solar-cell technology and production in order for the Reference System of solar-power stations to be deployed by the US during the first half of this century.
**Into the Space Age**
In early 2001, Japan’s Ministry of Economy, Trade and Industry (METI) announced ambitious plans to launch research for a solar-power-generation satellite in April, 2001, and to begin operating a giant solar-power station by 2040. The SPS will send electrical power in the form of microwaves back to Earth, with a lower intensity than those emitted by cellular mobile telephones. This program is expected to design and operate an SPS-WPT system that would ensure that the microwaves would not interrupt cellular mobile telephone and other wireless telecommunications services.
The planned satellite will be capable of generating 1 GW/s – equivalent to the output of a nuclear plant – in a geostationary orbit, about 36,000 km (22,320 mi) above the Earth’s surface. The satellite will have two gigantic solar-power-generating wing panels, each measuring 3 × 1 km, with a 1 km-diameter power-transmission antenna between them. The power receiving antenna on the ground (several kilometers in diameter) would probably be set up in a desert or at sea.
NASA began conducting a Space Solar Power (SSP) Exploratory Research and Technology (SERT) Program in 1999. This program is aimed at defining new system concepts and the technical challenges involved in SSP; initiating a wide range of activities to test the validity of SSP strategic research and technology road maps; and to lay out potential paths for achieving all needed advances, over several decades, for the possible development of SSP technologies. No “show stoppers” have been identified. One important result of this $22 million program has been the identification of several new approaches, which apply low-energy, solid-state lasers for wireless power transmission, as an alternative to microwave approaches [18]. Additional funding for SSP research and technology appears to have been appropriated in NASA’s 2001 fiscal-year budget.
Environmental and Health Concerns
A variety of environmental considerations and safety-related factors continue to receive consideration by the NASA team, albeit at a low priority level. To assure environmental health and safety, the SERT Program has limited the “center-of-beam” power densities to the range of 100-200 W/m$^2$ (10-20 mW/cm$^2$), for both microwave and visible-light transmission (corresponding to between 10-20% of the intensity of normal noontime summer sunlight, in the case of lasers). For WPT, the microwave power density is projected to be 1.0 W/m$^2$ (0.1 mW/cm$^2$) at the perimeter of the rectenna.
The assessment of the SERT Program by the National Research Council [1] has recommended more emphasis and expansion of its environmental, health, and safety efforts, in order to review the environmental, health, and safety hazards of the design, and to identify research if these hazards are not fully understood early in the program. It would also be of interest to examine the biological implications of SPS-WPT.
The 1979 Reference System, with a target power capacity of 5 GW, is planned to have a potential exposure of 250 W/m$^2$ (25 mW/cm$^2$) above the rectenna area. This drops off to about 10 W/m$^2$ (1.0 mW/cm$^2$) at a distance of 5 km from the rectenna’s center. Beyond the perimeter of the rectenna, or 15 km, the sidelobe peaks would be less than 0.1 W/m$^2$ (0.01 mW/cm$^2$) at 2.45 GHz.
The ANSI/IEEE [19] standard for maximum permissible human exposure to microwave radiation at 2.45 GHz is 81.6 W/m$^2$ (8.16 mW/cm$^2$), averaged over six minutes, and 16.3 W/m$^2$ (1.63 mW/cm$^2$), averaged over 30 minutes, respectively, for controlled and uncontrolled environments. The controlled and uncontrolled situations are distinguished by whether the exposure takes place with or without knowledge of the exposed individual. This is normally interpreted to mean individuals who are occupationally exposed to the microwave radiation, as contrasted with the general public. Clearly, beyond the perimeter of the rectenna, the potential exposure, for either the CERT or Reference System, would be well below that currently permissible for the general public. The SPS-WPT system, proposed by Japan’s METI, will be designed to have a ground-level microwave power density lower than that emitted by cellular mobile telephones. Cellular telephones operate with power densities at or below the ANSI/IEEE exposure standards [20]. Thus, public exposure to the SPS-WPT fields would also be below existing safety guidelines.
The danger of loss of control of highly focused beams may be minimized by tightly tuned phased-array techniques, and by automatic beam defocusing to disperse the power, in the event it occurs. Defocusing would degrade the beam toward a more isotropic radiation pattern, which would give rise to even lower power density on the ground [21]. At the center of the microwave beam, power densities would be greater than the permissible level of exposure for controlled situations. Except for maintenance personnel, human exposure would normally not be allowed at this location. In the case of occupationally required presence, protective measures, such as glasses, gloves, and garments, might be used to reduce the exposure to a permissible level.
However, above the rectenna, where the power density is about 250 W/m$^2$ (25 mW/cm$^2$), research in support of the Reference System has found that some birds exhibit evidence of detection of the microwave radiation. This suggests that migratory birds, flying above the rectenna, might suffer disruption in their flight paths. Moreover, at higher ambient temperatures, larger birds seem to experience more heat stress than smaller ones, during 30 minutes of exposure [22]. This result is consistent with the knowledge that the larger birds, having a larger body mass, absorb a relatively greater quantity of 2.45 GHz microwave radiation than do the smaller birds. The additional heat – from microwave energy deposited inside the body – stresses the thermal regulatory capacity of the larger birds.
Summary
The cost for the construction and operation of an SPS-WPT system using today’s technology is an order of magnitude higher than economically practical. But SPS-WPT is turning into an increasingly viable candidate as a future energy source, to compete with other sustainable energy candidates to meet the goal of providing sustainable energy for future growth and protection of the environment. In addition, new business models that structure SPS-WPT as an industrial commodity – where the solar power from space is delivered on demand to Earth-bound rectenna sites – could move the concept much further along in 15, 25, or 40 years.
References
1. National Research Council, “Laying the Foundation for Space Solar Power: An Assessment of NASA’s Space Solar Power Investment Strategy,” Washington, DC, National Research Council, 2001.
2. N. Tesla, *Experiments with Alternating Currents of High Potential and High Frequency*, New York, McGraw Hill, 1902.
3. W. C. Brown, “The History of Power Transmission by Radio Waves,” *IEEE Transactions on Microwave Theory and Techniques*, MTT-32, 1984, pp. 1230-1242.
4. N.H. Williams, “Production and Absorption of Electromagnetic Waves from 3-cm to 66-cm in Length,” *Journal of Applied Physics*, 8, 1937, p. 655.
5. G. E. Southworth, “New Experimental Methods Applicable to Ultra Short Waves,” *Journal of Applied Physics*, 8, 1937, p. 660.
6. W. C. Brown, “The Combination Receiving Antenna and Rectifier,” in E. C. Okress (ed.), *Microwave Power Engineering, Volume 2*, New York, Academic Press, 1968, pp. 273-275.
7. W. C. Brown, “Experiments Involving a Microwave Beam to Power and Position a Helicopter,” *IEEE Transactions on Aerospace Electronic Systems*, AES-5, 1969, pp. 692-702.
8. P. F. Glaser, “Power from the Sun: Its Future,” *Science*, 162, 1968, pp. 857-866.
9. P. F. Glaser, 2001, “Space Solar Power: A Global Approach to Reducing Global Warming,” *Digest of 2001 Asian-Pacific Radio Science Conference*, August 1-4, 2001, Chuo University, Tokyo, Japan, pp. 3-5.
10. R. M. Dickinson, “Bent-Metal Microwave Power Transmitting and Receiving Subsystems Radiation Characteristics,” Report 80-11, Jet Propulsion Laboratory, California Institute of Technology, Pasadena, CA, 1980.
11. R. Akiba, K. Miura, M. Hinada, H. Matsumoto, and N. Kaya, "International Space Year – Microwave Energy Transmission in Space Experiment," Report 652, Institute of Space and Astronautical Science, Kanagawa, Japan, 1993, pp. 1-13.
12. H. Matsumoto, 1995, "Microwave Power Transmission from Space and Related Nonlinear Plasma Effects, *URSI Radio Science Bulletin*, 273, 1995, pp. 11-35.
13. J. O. McSpadden, L. Fan, and K. Chang, "Design and Experiments of a High-Conversion-Efficiency 5.8-GHz Rectenna," *IEEE Transactions on Microwave Theory and Techniques*, MTT-46, 1998, pp. 2053-2060.
14. F. A. Koornanoff and C. E. Bloomquist, "The Satellite Power System: Concept Development and Evaluation Program," in P. E. Glaser, F. J. Davidson, and K. C. Cukier (eds.), *Solar Power Satellites*, New York, John Wiley & Sons, 1998.
15. M. Nagatomo, "An Approach to Develop Space Solar Power as a New Energy System for Develop Countries," *Solar Energy*, 56, 1996, pp. 111-118.
16. A. M. Ludwig, "Developing the Case for Solar Power Satellites," presented at SPS'97 Energy and Space for Humanity, Montreal, Canada, 1997.
17. J. C. Mankins, "A Fresh Look at Space Solar Power: New Architectures, Concepts and Technologies," 38th International Astronautical Federation Congress, Turin, Italy, 1997.
18. J.C. Mankins, statement before the Subcommittee on Space and Aeronautics Committee on Science, US House of Representatives, September 7, 2000, Washington, DC.
19. ANSI/IEEE, *Standard for Safety Levels with Respect to Human Exposure to Radio Frequency Electromagnetic Fields, 3 kHz to 300 GHz*, New York, IEEE, 1998.
20. J. C. Lin, "Biological Aspects of Mobile Communication Fields," *Wireless Networks*, 3, 1997, pp. 439-453.
21. J. M. Ostrownik, "Health and Safety Issues for Microwave Power Transmission," *Solar Energy*, 56, 1996, pp. 53-60.
22. US DOE, *Proceedings of Solar Power Satellite Program Review*, Washington, DC, Office of Energy Research, Department of Energy, 1980.
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**The General Assembly Maastricht 2002**
*The General Assembly is well underway!*
The conference centre is prepared, the city as charming and inviting as ever and the contributions are pouring in. This is the triennial focus point of radio science. Not only can you meet the leading personalities in the field, but you can hear the latest advances discuss your problems promote your latest results, and all that not only in the modern environment of the MECC but also in the city cafés and restaurants and on its outdoor terraces.
**Free use of the city bus**
We expect some 1400 participants from all over the world. After all it was radio that first made the world shrink. A few practical points are still worth mentioning. First of all a railway station is at a five minutes walk from the conference centre. Its name is Maastricht-Randwyck. It takes a ride of only a couple of minutes from the Maastricht main station in the direction of Liège, Belgium. It can also be reached from Liège as a matter of fact. You also will be pleased to learn that your registration entitles you to free use of the city bus system as well as to free luncheons. So you will not have to bother with bus tickets nor with the need to find a place to eat during lunchtime. You can save all your efforts to discover the excellent restaurant facilities of Maastricht for dinner time.
We all will be delighted to welcome you in Maastricht.
On behalf of the Local Organizing Committee,
Frans W. Sluijter, Chairman.
One of the programs organized by the Scientific Committee on Solar-Terrestrial Physics (SCOSTEP), which followed on from the earlier Solar-Terrestrial Energy Program (STEP), is S-RAMP, the STEP-Results, Applications, and Modeling Phase (S-RAMP) program. S-RAMP is designed to capitalize on the vast data sets and powerful modeling techniques that were developed under STEP auspices, running from 1998 through 2002. S-RAMP aims at accomplishing three main goals:
1. Enable detailed understanding of Sun-Earth coupling mechanisms;
2. Facilitate effective information transfer between experimentalists, theoreticians, and modelers; and
3. Demonstrate the successful benefits of the STEP endeavor to funding agencies, the media, and the general public.
The first comprehensive conference of the S-RAMP program was held in the beautiful northern Japanese city of Sapporo during the period 2-6 October 2000, at roughly the mid-point of the five-year international program. This conference was convened with goals described above in mind. Besides enabling the effective flow of data and information throughout the wide S-RAMP community, this conference also emphasized the importance of conveying exciting science findings to the general public and to the media as well as to funding agencies. In so doing, we expect to maintain current support and generate new support to enhance our scientific programs, our cross-disciplinary studies, and the practical applications of this knowledge of the Sun-Earth system to various important areas in society.
The First S-RAMP Conference - with over 700 papers presented - was held in the Conference Center of the Hotel
Figure 1: Active discussions at symposia/workshops during the First S-RAMP Conference
Royton Sapporo and Sapporo Media Park. Some 580 scientists were registered attendees. There were 19 separate scientific symposia, three tutorial lectures, three workshops, and numerous affiliated side and splinter meetings. Clearly, the conference covered all aspects of solar-terrestrial physics, far too many topics to adequately address in a brief meeting report.
An important aspect of the S-RAMP activities, however, is the identification of intervals for detailed study. Two of the intervals formed the basis for sessions and workshops at the S-RAMP conference. The S-RAMP Steering Committee designated April-May 1998 as a special analysis interval. Extreme solar, geomagnetic and solar wind conditions were observed by an impressive international array of satellites and ground-based sensors. Multiple coronal mass ejections, large solar flares, and high-speed solar wind streams led to a powerful sequence of solar wind drivers of magnetospheric processes on Earth. One result of the combination of solar wind disturbances was the production of a deep, powerful and long-lasting enhancement of the highly relativistic electron population throughout the outer terrestrial radiation zone. Scientists associated with the Solar and Heliospheric Observatory (SOHO) collected impressive images of solar eruptions spreading out into space. Japan’s Yohkoh satellite and NASA’s TRACE (Transition Region and Coronal Explorer) satellite also recorded images of these disturbances. At geostationary altitude, NOAA’s GOES-8 and -9 satellites measured solar X-ray flare emissions and monitored the influx of energetic electrons, protons and heavier ions into the magnetosphere. They also recorded magnetic storms in space as a complement to magnetograms recorded at ground observatories.
Space Weather Month is a month-long campaign interval during September 1999, conceived and coordinated under the auspices of the S-RAMP program. Its purpose is to study space weather and events from their initiation on the sun to their impacts at the Earth including effects on space-based and ground-based worldwide assets and assessment of the accuracy of forecasting techniques. Special features of the campaign include: broad international cooperation, as complete as possible coverage of the event through worldwide coordinated space and ground based observations (including maximized coverage by the ISTP program, the Oersted satellite and other spacecraft). Three scheduled Incoherent Scatter Radar world days (15-17 September 1999) encouraged involvement of the user communities and participation of the forecasting community.
Acknowledgments
Special thanks are due to the Program Committee and the Scientific Organizers led by Professor Y. Omura. It is also our great pleasure to express our deep thanks to the Local Organizing Committee chaired by Professor T. Araki. The Conference received generous assistance from many organizations and entities. The meeting was sponsored by SCOSTEP and the Japanese Ministry of Education, Science, Sports and Culture, in cooperation with the Committee on Space Research (COSPAR), the International Association of Geomagnetism and Aeronomy (IAGA), the International Association of Meteorology and Atmospheric Sciences (IAMAS), and the International Union of Radio Science (URSI). Also, the Society of Geomagnetism and Earth, Planetary and Space Sciences, the Astronomical Society of Japan, the Japanese Society for Planetary Sciences, and the Meteorological Society of Japan cooperated actively. The Conference was supported by the Hokkaido Prefecture Government, the City of Sapporo, the Sapporo International Communication Plaza Foundation, the Commemorative Association for the Japan World Exposition (1970), the Asian Office of Aerospace Research Development, Hokkaido Railway Company, Royton Sapporo, the Sapporo Television Broadcasting Co. Ltd, EC Inc., and FUJITSU. U.S. participation was supported by special grants from the National Science Foundation, NASA and the Air Force Office of Scientific Research.
Yohsuke Kamide, email@example.com
Hiroshi Matsumoto, firstname.lastname@example.org
Figure 2: Poster sessions under a unique environment
Figure 3: Sumo play at the Opening Get-together
The 15th International Zurich Symposium and Technical Exhibition on Electromagnetic Compatibility will be held from February 18 through 20, 2003 at the Swiss Federal Institute of Technology in Zurich (ETH Zurich), Switzerland. The expected attendance is about 1000 participants from over 40 countries.
The aim of the conference is to provide an efficient platform for the dissemination and the exchange of scientific-technical information concerning all aspects of the electromagnetic compatibility. Among the EMC Conferences EMC Zurich is the second largest but the most internationally oriented worldwide.
The Symposium is organized by the Communication Technology Laboratory and the Laboratory for Electromagnetic Fields and Microwave Electronics of the Swiss Federal Institute of Technology Zurich. Prof. Dr. R. Vahldieck and Dr. G. Meyer act as symposium president and symposium chairman, respectively. The technical program committee is again chaired by Dr. F. Tesche (Saluda NC, USA). As in the preceding years, the symposium is sponsored by the Swiss Electrotechnical Association (SEV/ASE).
A number of international and national professional organizations are cooperating, e.g. ITU, IEEE and URSI. As in the past URSI will sponsor again the participation of young scientists.
A total of about 135 carefully selected technical papers will be presented in 18 sessions devoted but not restricted to: Managerial aspects of EMC compliance, EMC measurement techniques in theory and practice, aspects of steady state (including time harmonic) as well as non-stationary EM environments, modeling for system-level EMC analysis, practical aspects of EMC on large systems, EMC issues at the chip and package levels, lightning and electrostatic discharge, EMC innovation, power system EMC, and EMC protection.
The sessions will cover virtually all "hot" topics and review the current status as well as future trends of EMC technology. It is planned to publish the full text of the presentations in the symposium proceedings and on a CD ROM.
As in previous symposia the program will not exclusively address experts. An introduction to EMC technology for newcomers will be offered by tutorial lectures and workshops. Once again, a number of national and international organizations use the opportunity of the symposium to hold open and closed meetings in coordination with EMC Zurich.
Contact Information
EMC Zurich '03
Dr. Gabriel Meyer, Symposium Chairman
ETH Zentrum, IKT – ETF
CH-8092 Zurich, Switzerland
Tel: +411 632 2793
Fax: +411 632 1209
Email: email@example.com
http://www.emc-zurich.ch/
URSI cannot be held responsible for any errors contained in this list of meetings.
June 2002
EUSAR2002
Cologne, Germany, 4-6 June 2002
Contact: Dr. H. Schneider (FGAN/FHR), EUSAR 2002 Conference Office, Neuenahrer Str. 20, D-53343 Wachtberg, Germany, +49 228-9435-214, Fax +49 228-9435-627, E-mail: firstname.lastname@example.org
Spectrum Management for Radio Astronomy
Green Bank, West Virginia, USA, 8-14 June 2002
Contact: Dr. Darrel Emerson, Summer School on Spectrum Management, National Radio Astronomy Observatory, Green Bank, WV, USA, E-mail: email@example.com
CPEM2002
Ottawa, Canada, 16-21 June 2002
Contact: CPEM2002, National Research Council of Canada, Building M-19, Chemin Montréal, Ottawa ON K1A 0R6, Canada, Phone: (613) 993-7271, Fax: (613) 993-7250, E-mail: firstname.lastname@example.org
EMC Wroclaw 2002 - 16th International Wroclaw Symposium on Electromagnetic Compatibility
Wroclaw, Poland, 27-30 June 2002
Contact: EMC Symposium, 51-645 Wroclaw 12, Box 2141 Wroclaw, Poland, Fax +4871-3728878, E-mail: email@example.com, http://www.emc.wroc.pl/
July 2002
Endogenous Physical Fields in Biology
Prague, Czech Republic, 1-3 July 2002
Contact: J. Pokorny, Symposium Office, Institute of Radio Engineering and Electronics, Chaberska 57, Prague 8, Czech Republic, Tel: +420 2 6881804, Fax: +420 2 6880222, Email: firstname.lastname@example.org, http://www.ure.cas.cz/events/epfb2002
August 2002
URSI General Assembly 2002
Maastricht, The Netherlands, 17-24 August 2002
Contact: Dr. Leon P.J. Kamp, Eindhoven University of Technology, Department of Applied Physics, P.O. Box 513, NL-5600 MB Eindhoven, The Netherlands, Tel: +31 40-2474292, Fax:+31 40-2445253, Email: email@example.com, http://www.URSI-GA2002.nl/
September 2002
EMC Europe 2002 - International Symposium on ElectromagneticCompatibility
Sorrentino, Italy, 9-13 September 2002
Contact: EMC Europe 2002 Secretariat, AEI Ufficio Centrale, Piazzale R. Morandi 2, 20121 Milano, Italy, Phone: +39-02-77790-205/218, Fax: +39-02-798817, E-mail: emceurope firstname.lastname@example.org,http://www.aei.it/emceurope2002.html
October 2002
World Space Congress 2002, 34th COPSPAR Scientific Assembly
Houston, Texas, USA, 10-19 October 2002
Contact: COSPAR Secretariat, 51 bd de Montmorency, 75016 Paris, France, Tel: +33 1 4525 0679, Fax: +33 1 4050 9827, E-mail: email@example.com, Internet:http://www.copernicus.org/COSPAR/COSPAR.html
Getting the Most Out of the Radio Spectrum
London, United Kingdom, 24-25 October 2002
Contact : Getting The Most Out of the Radio Spectrum Secretariat, Event Services, Institution of Electrical Engineers, Savoy Place, London WC2R 0BL, Tel: +4420.7344 5422, Fax: +4420-7497 3633, E-mail: firstname.lastname@example.org
November 2002
12th International Symposium on Antennas (JINA 2002)
Nice, France, 12-14 November 2002
Contact: Secrétariat JINA 2002, France Télécom R&D, Fort de la Tête de Chien, 06320 La Turbie, France, Fax: +334 9210 6519, E-mail: email@example.com, Internet: http://www.jina2002.com
APMC2002, Asia-Pacific Microwave Conference
Kyoto, Japan, 19-22 November 2002
Contact: Prof. Shozo Komaki, Chair, Steering Committee, c/o Realize Inc., 4-1-4 Hongo, Bunkyo-ku, Tokyo 113-0033, Japan, Tel: +81-3-3815-8590, Fax: +81-3-3815-8529, Email: firstname.lastname@example.org, http://www.apmc-mwe.org
ISAR-3 - Third International School on Atmospheric Radar
ICTP Trieste, Italy, 25 November - 13 December 2002
Contact : Dr. Juergen Roettger, Max-Planck-Institut fuer Aeronomie, Max-Planck-Strasse 2, D-37191 Katlenburg-Lindau, Germany, Tel. +495556-979163, Fax +495556-979473, E-mail: email@example.com
ISAP-i02, Intermediate International Symposium on Antennas and Propagation
Yokosuka, Japan, 26-28 November 2002
Contact: Prof. Kenichi Kagoshima, Chairperson, ISAPi-02, Ibaraki University, 4-12-1 Nakanarusawa, Hitachi, 316-8511 Japan, http://www.ieice.org/cs/ap/ISAP2002/
Supernovae
Valencia, Spain, 22-26 April 2003
Contact : Prof. Jon Marcaide, Dpto. Astronomia, Universidad de Valencia, E-46100 Burjassot, Valencia, Spain, Phone: +34-963983079, Fax: +34-963983084, E-mail: firstname.lastname@example.org
Do you wish to announce your meeting in this Calendar? More information about URSI-sponsored meetings can be found on our Homepage at : http://www.intec.rug.ac.be/ursi/Rules.html
This is to announce the 1st National Radio Science Conference, URSI – TÜRKİYE’2002, to be held in Istanbul, Turkey. The Faculty of Electrical & Electronics Engineering, Istanbul Technical University (I.T.U.) will host the conference over the period 18 - 20 September 2002. The conference will provide a valuable opportunity to exchange and update information and stimulate discussions on current and future research activities in the fields of the committee.
**Program**
The technical program will consist of invited and submitted papers covered by the URSI commissions A-K:
A) Electromagnetic metrology
B) Fields and waves
C) Signals and systems
D) Electronics and photonics
E) Electromagnetic noise and interference
F) Wave propagation and remote sensing
G) Ionospheric radio and propagation
H) Waves in plasma.
J) Radio astronomy
K) Electromagnetics in biology and medicine.
**Organizing Committee**
Prof. Dr. Muhittin Gökmen (Chairman), Yurdanur Tulunay, Hakan Kuntman, Sedef Kent, Tayfun Ginel
**URSI – TURKEY Administrative Committee Members**
Hamit Serbest (Çukurova University) – President of the National Committee of Turkey, Turhan Çiftcibaşı (Baskent University), Gönül Turhan Sayan (METU), Caner Özdemir (Mersin University), Mehmet Karakılcık (Çukurova University)
**Submission of Papers**
Prospective authors are invited to submit one page abstract (typed single column and single spaced) in Turkish or English by e-mail to email@example.com. Abstracts should be submitted on-line in PDF format. The papers should be original and not published elsewhere.
**Deadlines**
Submission of one page abstract 13 May 2002
Notification of acceptance and authors kits 21 June 2002
Submission of manuscripts by e-mail 15 July 2002
**Awards For Young Scientists**
URSI – TURKEY wishes to encourage the participation of young scientists. They should have a paper, of which he/she is the principal author, submitted and accepted for presentation at the Conference.
**Contact**
All inquiries concerning the URSI – TÜRKİYE’2002 Conference should be addressed to:
URSI-2002 Ulusal Kongresi
İTÜ Elektrik-Elektronik Fakültesi
80626 Maslak Istanbul, TURKEY
Tel: +212 285 3628 – 285 3626
Fax: +212 285 3565
http://www.ehb.itu.edu.tr/ursi
URSI Publications
Modern Radio Science 1999
Editor: Maria Stuchly
ISBN 0-7803-6002-8
List Price : USD 49.95 Member Price : USD 45.00
IEEE Product No. PC5837
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in cooperation with URSI and IEEE Press
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Review of Radio Science 1996-1999
Editor: W. Ross Stone
August 1999/Hardcover/1044 pp
ISBN 0-7803-6003-6
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IEEE Product No. PC5838
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Handbook on Radiopropagation Related to Satellite Communications in Tropical and Subtropical Countries
Editor: G.O. Ajayi
with the collaboration of :
S. Feng, S.M. Radicella, B.M. Reddy
Available from the URSI Secretariat
c/o Ghent University (INTEC)
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tel. +32 9-264-33-20
fax +32 9-264-42-88
e-mail: firstname.lastname@example.org
Radio Science contains original articles on all aspects of electromagnetic phenomena related to physical problems. Covers the propagation through and interaction of electromagnetic waves with geophysical media, biological media, plasmas, and man-made structures. Also included, but not limited to, are papers on the application of electromagnetic techniques to remote sensing of the Earth and its environment, telecommunications, signals and systems, the ionosphere, and radio astronomy.
ISSN 0048-6604, Volume 37
See a recent Table of Contents on the AGU Web Site: http://www.agu.org
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Wireless Networks
The journal of mobile communication, computation and information
Editor-in-Chief:
Imrich Chlamtac
Distinguished Chair in Telecommunications
Professor of Electrical Engineering
The University of Texas at Dallas
P.O. Box 830688, MS EC33
Richardson, TX 75083-0688
email: firstname.lastname@example.org
Aims & Scope:
The wireless communication revolution is bringing fundamental changes to data networking, telecommunication, and is making integrated networks a reality. By freeing the user from the cord, personal communications networks, wireless LAN's, mobile radio networks and cellular systems, harbor the promise of fully distributed mobile computing and communications, any time, anywhere. Numerous wireless services are also maturing and are poised to change the way and scope of communication. WINET focuses on the networking and user aspects of this field. It provides a single common and global forum for archival value contributions documenting these fast growing areas of interest. The journal publishes refereed articles dealing with research, experience and management issues of wireless networks. Its aim is to allow the reader to benefit from experience, problems and solutions described. Regularly addressed issues include: Network architectures for Personal Communications Systems, wireless LAN's, radio, tactical and other wireless networks, design and analysis of protocols, network management and network performance, network services and service integration, nomadic computing, internetworking with cable and other wireless networks, standardization and regulatory issues, specific system descriptions, applications and user interface, and enabling technologies for wireless networks.
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The Journal of Atmospheric and Solar-Terrestrial Physics
SPECIAL OFFER TO URSI CORRESPONDENTS
AIMS AND SCOPE
The *Journal of Atmospheric and Terrestrial Physics* (JASTP) first appeared in print in 1951, at the very start of what is termed the “Space Age”. The first papers grappled with such novel subjects as the Earth’s ionosphere and photographic studies of the aurora. Since that early, seminal work, the Journal has continuously evolved and expanded its scope in concert with - and in support of - the exciting evolution of a dynamic, rapidly growing field of scientific endeavour: the Earth and Space Sciences. At its Golden Anniversary, the now re-named *Journal of Atmospheric and Solar-Terrestrial Physics* (JASTP) continues its development as the premier international journal dedicated to the physics of the Earth’s atmospheric and space environment, especially the highly varied and highly variable physical phenomena that occur in this natural laboratory and the processes that couple them. The *Journal of Atmospheric and Solar-Terrestrial Physics* is an international journal concerned with the inter-disciplinary science of the Sun-Earth connection, defined very broadly. The journal referees and publishes original research papers, using rigorous standards of review, and focusing on the following: The results of experiments and their interpretations, and results of theoretical or modelling studies; Papers dealing with remote sensing carried out from the ground or space and with in situ studies made from rockets or from satellites orbiting the Earth; and, Plans for future research, often carried out within programs of international scope. The Journal also encourages papers involving: large scale collaborations, especially those with an international perspective; rapid communications; papers dealing with novel techniques or methodologies; commissioned review papers on topical subjects; and, special issues arising from chosen scientific symposia or workshops. The journal covers the physical processes operating in the troposphere, stratosphere, mesosphere, thermosphere, ionosphere, magnetosphere, the Sun, interplanetary medium, and heliosphere. Phenomena occurring in other “spheres”, solar influences on climate, and supporting laboratory measurements are also considered. The journal deals especially with the coupling between the different regions. Solar flares, coronal mass ejections, and other energetic events on the Sun create interesting and important perturbations in the near-Earth space environment. The physics of this subject, now termed “space weather”, is central to the Journal of Atmospheric and Solar-Terrestrial Physics and the journal welcomes papers that lead in the direction of a predictive understanding of the coupled system. Regarding the upper atmosphere, the subjects of aeronomy, geomagnetism and geoelectricity, auroral phenomena, radio wave propagation, and plasma instabilities, are examples within the broad field of solar-terrestrial physics which emphasise the energy exchange between the solar wind, the magnetospheric and ionospheric plasmas, and the neutral gas. In the lower atmosphere, topics covered range from mesoscale to global scale dynamics, to atmospheric electricity, lightning and its effects, and to anthropogenic changes. Helpful, novel schematic diagrams are encouraged. Short animations and ancillary data sets can also be accommodated. Prospective authors should review the *Instructions to Authors* at the back of each issue.
Complimentary information about this journal such as full text articles, a mega index: http://www.elsevier.com/locate/JASTP
Audience
Atmospheric physicists, geophysicists and astrophysicists.
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Editorial Office:
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Special Rate for URSI Correspondents 2002:
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2002: Volume 64 (18 issues)
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The Radio Science Bulletin No 301 (June, 2002)
Information for authors
Content
The Radio Science Bulletin is published 4 times a year by Radio Science Press on behalf of URSI, the International Union of Radio Science. Besides general and administrative information issued by the URSI Secretariat, the Bulletin includes a scientific section containing articles and correspondence items (short notes, letters to the editor and book reviews). Contributed papers are preferably of a tutorial nature and should be of interest to a wide range of persons belonging to the Radio Science Community. The subject matter should relate to the analysis and applications of Radio Science in areas of principal or broad interest. Articles are subject to peer-reviewing. The content should be original and must not duplicate descriptions or derivations available elsewhere. Submission of a manuscript manifests the fact that it has been neither copyrighted, published, nor submitted or accepted for publication elsewhere, unless otherwise so stated by the author. The manuscript text should not contain any commercial references, such as company names, university names, trademarks, commercial acronyms, or part numbers. All material not accepted will be returned. Accepted material will not be returned unless asked by the authors on submission.
Length
Articles can vary in length but are preferably 7 to 25 double-spaced typewritten pages (A4 or US letter size) in length, plus up to 10 pages of figures. Correspondence items are of less than 3 double-spaced typewritten pages, plus not more than 1 page of figures.
Submissions
All material submitted for publication in the scientific section of the Bulletin should be addressed to the Editor, whereas administrative matters are to be handled directly with the URSI Secretariat. Submission in electronic format according to the instructions below is preferred. In addition, a paper copy of your manuscript should be sent to the Editor, accompanied by a separate sheet containing the address to which correspondence can be sent. Also enclose original illustrations in case the electronic format yields problems of quality or compatibility.
Styles
The official languages of URSI are French and English. Articles in either language are acceptable. No specific style for the manuscript is required as the final layout of the paper is done at the URSI Secretariat. Name, affiliation, address and telephone/fax numbers for all authors are required. Figure captions should be on a separate sheet in proper style for typesetting. See this issue for examples. Originals of drawings and glossy print black-and-white photographs should be sharp and of good contrast. Line drawings should be in black ink on a white background. Prefer A4 size sheets to simplify handling of the manuscript. Template lettering is recommended; typing on figures is not acceptable. Lettering should be large enough to permit legible reduction of the figure to column width, perhaps as much as 4:1. Identify each illustration on the back or at the bottom of the sheet with the figure number and name of author(s). Indicate the top of a photograph. Captions lettered on figures will be blocked out in reproduction in favor of typeset captions. If possible also provide the figures in electronic format, preferably in TIF format. Other formats are possible as well, please contact the Editor for detailed information. All papers accepted for publication are subject to editing to provide uniformity of style and clarity of language. The publication schedule does not usually permit galleys to the author.
Electronic Submission
As the final editing will be done using Adobe Pagemaker 6.5 on PC, the paper can be submitted in Microsoft Word in any version. It is important to mail the Editor a paper print out of your article for comparison.
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2) By sending an e-mail message to the Editor.
3) By putting your submission on the URSI ftp site. Please contact the Editor for detailed information.
Review Process
The review process usually requires about three months. The author is then notified of the acceptance/rejection decision of the Editor or Associate Editor based on reviewer recommendations. The authors may be asked to modify the manuscript if it is not accepted in its original form. The elapsed time between receipt of a manuscript and publication is usually less than twelve months.
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No page charges are applied for any contribution following the above mentioned guidelines. No free reprints will be issued.
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Publication of papers in the Radio Science Bulletin is subject to copyright transfer to Radio Science Press acting as agent and trustee for URSI. Submission of a paper for publication implicitly indicates the author(s) agreement with such transfer and his certification that publication does not violate copyrights granted elsewhere.
I have not attended the last URSI General Assembly, and I wish to remain/become an URSI Correspondent in the 2000-2002 triennium. Subscription to *The Radio Science Bulletin* is included in the fee.
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**Areas of interest (please tick)**
□ A Electromagnetic Metrology □ F Wave Propagation & Remote Sensing
□ B Fields and Waves □ G Ionospheric Radio and Propagation
□ C Signals and Systems □ H Waves in Plasmas
□ D Electronics and Photonics □ J Radio Astronomy
□ E Electromagnetic Noise & Interference □ K Electromagnetics in Biology & Medicine
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Characterization of an Advanced LIGO Quadruple Pendulum System
by
Andrew C. Thomas
Submitted to the Department of Physics
in partial fulfillment of the requirements for the degree of
Bachelor of Science in Physics
at the
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
January 2004
© Massachusetts Institute of Technology 2004. All rights reserved.
Author ............................................................ Department of Physics
January 16, 2004
Certified by ......................................................... Nergis Mavalvala
Assistant Professor
Thesis Supervisor
Accepted by ....................................................... Professor David E. Pritchard
Senior Thesis Coordinator, Department of Physics
2
Characterization of an Advanced LIGO Quadruple Pendulum System
by
Andrew C. Thomas
Submitted to the Department of Physics on January 16, 2004, in partial fulfillment of the requirements for the degree of Bachelor of Science in Physics
Abstract
The Laser Interferometer Gravitational-wave Observatory (LIGO) measures relative displacements of the interferometer mirrors induced by passing gravitational waves (GWs). At low frequencies, typically below 30 Hz, seismic noise is the dominant noise source that limits the sensitivity with which GW-induced mirror displacements can be measured. To shield the mirrors from the seismically driven motion of the ground, they are suspended from pendula which are in turn mounted on optical platforms with vibration isolation systems.
The Advanced LIGO goal for strain sensitivity is factor of 10 to 15 lower than that for Initial LIGO. This requires improved seismic isolation techniques to reduce the seismic noise limit by this factor. This is being achieved in two ways: active vibration isolation of the optical platform on which the suspended mirrors are mounted; and suspension of the interferometer mirrors from the final stage of multiple pendula.
In this thesis we characterize the dynamics of a prototype quadruple pendulum system. The figure of merit in evaluating and improving the performance of the quadruple pendulum is the motion of the mirror at frequencies between 1 and 100 Hz. To determine this, it is necessary to measure the frequency response (transfer functions) of the mirror displacement to motion of the penultimate mass of the pendulum. We describe the construction of a sensing and actuation system used to measure the transfer functions between the third and fourth masses, toward the ultimate goal of exploring the possibilities of third-mass system control. The measured transfer functions were compared to theoretical predictions generated by a simplified computer simulation of the complex system.
Thesis Supervisor: Nergis Mavalvala
Title: Assistant Professor
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Acknowledgments
The first and greatest thank you goes to my supervisor, Dr. Richard Mittleman, for his willingness to take me onto the suspensions group and for his willingness to deal with my areas of inexperience.
Also very important to this project are Jonathan Allen and Myron MacInnis for their instruction and assistance with electronic and mechanical matters, and to my thesis advisor Nergis Mavalvala for keeping the bootprint firmly affixed to my behind.
And while he was not involved in the LIGO project, the man who has been my partner in science and conversation in every lab class MIT has thrown at me, Shankar Mukherji, deserves my sincerest thanks, for showing me how to be a true scientist: with wisdom, excitement, and a strong urge to explore and experience the world.
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## Contents
1 Introduction ................................. 11
2 Apparatus .................................. 15
2.1 Quadruple Pendulum Design ............... 15
2.2 Electronics ............................. 17
2.2.1 Optical Sensor/ElectroMagnetic Actuator (OSEM) ....... 17
2.2.2 Alignment and Calibration .............. 17
2.2.3 Current Driver ....................... 18
2.2.4 Primary (Third Mass) Damping .......... 18
2.2.5 Secondary (First Mass) Damping ........ 19
3 Experiment ................................ 21
3.1 Individual Coil Drive .................... 21
3.2 Resonant Mode Coil Driving .............. 22
3.3 Observations ............................ 24
3.3.1 Inductive Coupling ................... 24
3.3.2 Sensitivity Limit .................... 32
3.4 Comparison With Model .................... 33
3.4.1 Longitudinal vs. Longitudinal ........ 33
3.4.2 Longitudinal vs. Pitch ............... 35
3.4.3 Pitch vs. Longitudinal ............... 35
3.4.4 Pitch vs. Pitch ....................... 35
3.4.5 Yaw vs. Yaw .......................... 35
3.4.6 Discussion ........................................ 38
4 Further Research .................................... 39
4.1 Damping system software ......................... 39
4.2 Refined position sensing ....................... 40
4.3 Closing Remarks .................................. 40
A Technical Specifications ........................... 41
List of Figures
1-1 A schematic diagram of the LIGO interferometer, courtesy the Livingston Observatory. ........................................ 12
2-1 A schematic of the quad pendulum masses, including the sign convention to be used throughout the experiment. Just above is a diagram of the elastic blade on masses 1 and 2 used to suspend the next lower mass. .................................................. 16
2-2 An OSEM assembly. On the left is the electromagnetic coil, with the infrared LED and photodiode placed on opposite sides. On the right is the permanent magnet attached to the flag. .................................................. 17
2-3 A diagram of the third (left panel) and fourth (right panel) masses. Coil placement is shown on the left, position sensors on the right. The view faces the outside of the mass; the coils are on the opposite face of the third mass. .................................................. 19
3-1 Longitudinal drive transfer functions for sensors 1 and 2. .................................................. 25
3-2 Longitudinal drive transfer function for sensor 3, and a graph of the transfer functions in terms of each composite mode. .................................................. 26
3-3 Yaw drive transfer functions for sensors 1 and 2. .................................................. 27
3-4 Yaw drive transfer function for sensor 3, and a graph of the transfer functions in terms of each composite mode. .................................................. 28
3-5 Pitch drive transfer functions for sensors 1 and 2. .................................................. 29
3-6 Pitch drive transfer function for sensor 3, and a graph of the transfer functions in terms of each composite mode. .................................................. 30
3-7 Sensor two’s transfer function while the apparatus was clamped. The change in this curve is approximately 6 dB per octave, suggesting a linear dependence. This suggests an inductive effect innate to the electronics and independent of the unclamped motion.
3-8 Sensor three’s transfer function while the apparatus was clamped and when the third mass was driven in the longitudinal mode. The inductive effect expected from this coil pattern has disappeared.
3-9 Longitudinal transfer functions, compared to the computer model prediction.
3-10 Pitch transfer functions, compared to the computer model prediction.
3-11 The yaw to yaw transfer function, compared to the computer model prediction.
A-1 The current driver circuit. Three identical drivers were constructed for parallel operation.
Chapter 1
Introduction
The Laser Interferometric Gravitational Wave Observatory (LIGO) is a long term joint collaboration between scientists at the California and Massachusetts Institutes of Technology, as well as several other institutions across North America and the world. The aim of the project, in common with several other ventures across the globe, is fundamentally to detect gravitational waves emitted from astronomical phenomena as predicted by Einstein in the General Theory of Relativity, then to use this confirmation as a means of detecting other astronomical phenomena.
LIGO consists of two large-scale Michelson-Morley style interferometric apparatuses, in Livingston, Louisiana and Hanford, Washington. Light from a laser enters a beam splitter, and each beam traverses one of two vacuum tunnels 4 km long and reflected by mirrors placed at each end. As gravitational waves pass through the apparatus, the relative displacements of the mirrors changes by a very small amount. We measure this change through the use of the interferometer itself; it is the length of the arms, combined with the short wavelength of the laser, that gives a high degree of sensitivity.
In order to make such a precise measurement of displacement, the apparatus must be shielded from all sources of noise. Seismic vibration is one such source. In order to deal with seismic noise, the mirror must be isolated from the ground’s motion as sensitively as possible. This was accomplished in the first design stage (LIGO I) by suspending the mirror on an optical platform supported by a seismic isolation system.
The next refinement comes from placing the mirror on the final stage of a multiple pendulum; as the motion of one mass of a pendulum depends on the motion of the masses immediately above and below, the motion of the ultimate mass is isolated by several degrees from seismic noise, in much the same way as cascading filters in a series.
Recall that for a forced damped harmonic oscillator, the angular frequency response magnitude $A(\omega)$, determined by the oscillator equation
$$\ddot{x} + \beta \dot{x} + \omega_0^2 x = \frac{F}{m} e^{i\omega t}$$
is
$$A(\omega) = \frac{F/m}{\sqrt{(\omega_0^2 - \omega^2)^2 + (\beta \omega)^2}} = \frac{F/m}{\sqrt{\omega^4 - (2\omega_0^2 - \beta^2)\omega^2 + \omega_0^4}}$$
where $\beta$ is the damping coefficient, $\omega_0$ is the undamped resonance frequency and $F$ is the amplitude of the applied force. Above the apparatus’s highest resonant frequency,
the $\omega^4$ term dominates the damping and spring terms inside the square root. This gives a dependence of
$$A(\omega) \propto \frac{1}{\omega^2};$$
and so $A(f) \propto \frac{1}{f^2}$. It is worth mentioning that this dependence is equivalent to a drop in response of 12 dB over a factor of two in frequency (in other words, across an octave.) Moreover, if we have two restoring forces operating simultaneously – for example, if the driving force is applied to the first pendulum in a two-pendulum chain, there is a restoring force from the support and another from the second mass – we observe two $f^{-2}$ dependences acting in concert, and will instead observe an $f^{-4}$ dependence, or 24 dB per octave.
In generalizing to the multiple pendulum case, the uppermost resonance should exhibit this characteristic falloff. Since we wish to keep the ultimate mass of the pendulum still, it is critical to understand exactly how it moves in response to external forces, and then to use this information to construct an effective active damping system.
This approach is tested using two prototypical multiple-stage pendula, a three-mass pendulum at Cal Tech and a four-mass pendulum at MIT, the latter of these that we have used for this project. A pair of identical pendula is used, so that stabilizing forces can be applied between the two pendula, which are equally isolated from the ground. An active damping system, constructed of electromagnetic coils, permanent magnets and optical sensors, is constructed to operate between the third masses of each pendulum. This system is used to apply force to the system without coupling to the motion of the ground.
In Chapter 2 we proceed to describe the experimental setup. In Chapter 3, we present the experimental data and compare it to a simulated model, and discuss the results. We then present our conclusions and closing remarks in Chapter 4. We present supporting materials such as electronics and schematics in the Appendix.
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Chapter 2
Apparatus
2.1 Quadruple Pendulum Design
The quadruple pendulum system consists of two identical chains, each with four masses. The main chain supports the interferometer mirror as the bottom-most mass, while the second chain provides reaction masses against which the masses of the main chain can recoil. Each chain is connected to the one below by piano wire. The bottom two (henceforth referred to as the third and fourth mass) are cylindrical, with their $x$ axis pointed along the interferometer’s optic axis, and are otherwise mechanically unremarkable\(^1\). The upper two masses are more elaborate; two elastically bending cantilever blades hold the wires that support the next lower mass (see figure 2-1.) These blades serve the purpose of isolating vertical motion in each pendulum.
Both pendulum chains are suspended from a support frame mounted on a seismic isolation system and housed in a vacuum chamber. The tests described in this thesis were performed at atmospheric pressure; future testing at higher sensitivity will have to be conducted under vacuum.
To ensure that the two pendulum chains are in vertical alignment, small objects can be added to a hole in the third mass to lower the chain. The total change in mass is small compared to the total, but the added stress on the cantilevers in the first and
\(^1\)For the purposes of testing, the fourth mass has three holes placed equilaterally on the surface (see figure 2-1. These holes are designed to hold steel/aluminum inserts so that the mass and moment of inertia of the prototype mass will be identical to that of the final product.
Figure 2-1: A schematic of the quad pendulum masses, including the sign convention to be used throughout the experiment. Just above is a diagram of the elastic blade on masses 1 and 2 used to suspend the next lower mass.
Figure 2-2: An OSEM assembly. On the left is the electromagnetic coil, with the infrared LED and photodiode placed on opposite sides. On the right is the permanent magnet attached to the flag.
second masses is significant to the pitch frequencies
2.2 Electronics
2.2.1 Optical Sensor/ElectroMagnetic Actuator(OSEM)
An OSEM is a custom sensing and actuation system that comprises an LED-photodiode pair for sensing and a current-carrying coil-permanent magnet for actuation\textsuperscript{2}. The electromagnet itself is constructed of a plastic core wound with about 200 turns of copper wire and an approximate resistance of $12 \, \Omega$. Each is driven with a maximum current of 0.5 A, thus requiring 3 W of power per coil at maximum drive.
The optical sensing device is composed of an infrared LED paired with a photodiode sensitive to the LED frequency. By placing an opaque object in between the LED and photodiode, the amount of transmitted light varies. The voltage reading of the detector will then indicate the position of the object, known as a flag, within the coil assembly.
2.2.2 Alignment and Calibration
The OSEMs on the third mass were used to align the two pendulum chains. The zero position was chosen to be the point at which the observed voltage of the photodiode
\textsuperscript{2}The permanent magnet is mounted on the mass to be actuated and is not part of the OSEM assembly itself.
was halfway between its maximum and minimum, a point that for alignment will not depend on the linearity of the detector.
This calibration point is found by measuring the maximum voltage, when the flag is completely removed from the OSEM, and the minimum voltage, when the flag is inserted as far as possible. As the flag is a flat piece of metal, it is inserted so that its face is normal to the direct line between the LED and photodiode (see figure 2-2).
Vertical alignment is also conducted by adding small metal objects to the third mass of one pendulum (the main chain) and manually adjusting the positions of the magnet on the other (the reaction chain). It is important to note that the addition of mass alters the equilibrium position of the cantilever blades and must be accounted for in the model.
### 2.2.3 Current Driver
The operation of the coils requires a linear current supply. I constructed a set of current drivers, tunable to a maximum output of ± 0.5 A with an input of ± 10 V, designed to match the voltage of a typical function generator. (See circuit diagram in appendix A.) At full strength, the heat dissipated by one of the drivers overloads the operational amplifier needed to drive the coil. As a result, extra heat sinks were constructed from raw aluminum to handle the load.
### 2.2.4 Primary (Third Mass) Damping
For our tests, the primary damping system actuation was applied between the third masses of each chain. This ensures that the force applied to one mass is equal and opposite to the force applied to the other, and because the pendula are designed to be identical, the effect is easily measurable.
Three OSEMs are used to drive the system, placed in an equilateral triangle about the center of the mass (see left panel of diagram 2-3.) The coils are mounted on one mass, the permanent magnets and flags onto the other. To detect the motion of the fourth mass, inductive position sensors are placed in a triangular pattern about the
Figure 2-3: A diagram of the third (left panel) and fourth (right panel) masses. Coil placement is shown on the left, position sensors on the right. The view faces the outside of the mass; the coils are on the opposite face of the third mass.
center of the mass (see right panel of diagram 2-3.)
### 2.2.5 Secondary (First Mass) Damping
An additional damping system is installed on the first mass of each pendulum, connecting six OSEMs to the support ensuring that all six degrees of freedom can be damped.
The secondary damping system was built to damp 22 of the 24 modes of the quadruple pendulum through cross-coupling. Its hardware is entirely self-contained and is strong enough to effectively keep the first mass in place, if so desired. The damping system is never used at full strength as this would prove to convert the quadruple pendulum into an undamped triple pendulum swinging from a fixed object (coupled to the earth.)
The secondary damping was always on during our tests. This was necessary to reduce the ringing time (or Q) of the resonance of the upper pendula.
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Chapter 3
Experiment
After constructing the hardware, we use the optical sensor to align the pendulum chains, and place the magnets with flags at a point such that the signal is at its median strength. We then drive the apparatus using swept-sine current drive and obtain the resulting transfer functions to the position sensors on the fourth mass.
3.1 Individual Coil Drive
The drive to the coils on mass 3 are controlled by two 4-channel SigLab control units, combined to allow for 8 total channels. For the bulk of testing, four position sensors were used; three placed in a triangular pattern on the fourth mass of one chain, the fourth at the center of the fourth mass of the second.
Insofar as the axes of coils are all in parallel, we are driving along only one axis. As a result, transverse motion (along the y axis) is not considered, nor is roll (rotation about the longitudinal axis) or vertical (translation along the z axis.) We thus consider the harmonic motion of each mass in three modes: translation along the x axis (longitudinal motion), and rotation about the y and z axes (pitch and yaw.)
The first stage of the experiment was executed by driving one coil at a time. This produces a response in the fourth mass which represents a summation of resonant modes though the profile depends on which coil was driven. This suggests an alternate means of finding frequency response: using the defined translational and rotational
modes of the pendulum as a driving pattern, as such a pattern should produce more output signal for the input mode.
### 3.2 Resonant Mode Coil Driving
Linear combinations of the three coil actuators on Mass 3 are used to drive the mass in position (L), pitch (P) and yaw (Y). Similarly, the sensors on Mass 4 can be combined to reconstruct the motion using the same three patterns of motion of the drive.
Given the equilateral placement of coils about the center of mass 3, each mode can be produced, with identical coils and magnets, as follows:
- **Longitudinal**: Coils 1, 2 and 3 have identical current and phase
- **Yaw**: Coils 1 and 3 have identical current and opposite phase
- **Pitch**: Coils 1 and 3 are identical in current and phase, 2 has double the magnitude and opposite phase
It was discovered that while coils 1 and 2 have a resistance of $12.2 \, \Omega$, coil 3 has a resistance of $13.0 \, \Omega$ and hence a greater applied magnetic field for the same current. This serves to introduce a small amount of the other two modes when driving in the third; however, as it would be more than a factor of 10 smaller, it would not be enough to dominate resonances when driving and measuring the same mode. The magnets themselves are also not perfect; we expect an error of 10% in their strengths, which should not affect the resonant frequencies themselves.
**Table 3.1:** The geometric placement of each position sensor on mass 4, relative to the center.
| Sensor | y position (cm) | z position (cm) |
|--------|-----------------|-----------------|
| 1 | -6.1 | 7.0 |
| 2 | 10.6 | 7.0 |
| 3 | 0 | -11.1 |
We wish to measure the resulting translational and angular modes in the motion of the fourth mass using the transfer functions of each position sensor. Since rotational
modes will be measured as angular functions, we require the perpendicular distance from the axis of rotation to the position sensor in question, which are given in table 3.1. Define $y_n$ and $z_n$ as the distance to sensor $n$ from the $z$ and $y$ axes respectively. We can now relate the vector of observed transfer functions to each position sensor $T_n$ to our chosen translational and angular modes, Longitude, Pitch and Yaw, using the transformation matrix $A$, defined as
$$\begin{pmatrix} T_1 \\ T_2 \\ T_3 \end{pmatrix} = A \begin{pmatrix} L \\ P \\ Y \end{pmatrix}$$
where
$$A = \begin{pmatrix} 1 & z_1 & y_1 \\ 1 & z_2 & y_2 \\ 1 & z_3 & y_3 \end{pmatrix} = \begin{pmatrix} 1 & 7.0 & 10.6 \\ 1 & 7.0 & -6.1 \\ 1 & -11.1 & 0 \end{pmatrix}.$$
The first column is dimensionless, as it represents translation; the second and third columns are in units of cm as they represent rotational radii. Care must be taken with regard to the units of the matrix elements, since the translational and rotational modes are in units of length and angle respectively.
In order to obtain our desired functions, we take the inverse of the matrix $A$ to obtain
$$\begin{pmatrix} L \\ P \\ Y \end{pmatrix} = \begin{pmatrix} 0.2240 & 0.3893 & 0.3867 \\ 0.0202 & 0.0351 & -0.0552 \\ 0.0599 & -0.0599 & 0 \end{pmatrix} \begin{pmatrix} T1 \\ T2 \\ T3 \end{pmatrix}.$$
The transfer function for each position sensor is measured in volts to volts. The output voltage is converted to position through the properties of the position sensor, using a scale of 0.79 V/mm of motion. The input voltage is converted to a current at a ratio of 1 V/0.05 A (or 1 V/0.1 A for the top coil in the pitch drive) for each OSEM. A further step would involve converting the input current directly into the
applied force between the third masses.
3.3 Observations
Each data run was composed of four separate analyses compiled together by computer. This means that statistically, a coherence of $\sqrt{1/4} = 0.5$ is the minimum value for the data to be considered reliable.
Early data runs gave very poor values of coherence for the entire range of the data run. We hypothesize that this resulted from physical contact between the fourth mass and the position sensors, which was confirmed through visual inspection, running tests without the cover. To resolve this issue, the maximum driving voltage was reduced from 5 V to 2 V for individual coil runs, and a base voltage of 1 V for composite runs.
3.3.1 Inductive Coupling
The position sensors used for the test are inductive in nature. As a result, it is theorized that the magnetic drive of the coil is producing a signal in the position sensor purely due to the change in field, independent of position.
As a test, we clamp the apparatus down so that the fourth mass is unable to move and drive the system. We then drive one coil alone and measure the resulting transfer function (see figure 3-7). While coherence below 50 Hz was generally unacceptable, between 50 and 600 Hz the coherence is nearly unity. It is clear that there is an increase of approximately 6 dB per octave, which suggests a linear dependence of frequency to response. This verifies that there is an inductive effect which dominates after 50 Hz, severely limiting the operating range of the position sensors. As a result, further drive experiments were done below this frequency. Moreover, resonances below 1 Hz proved to overdrive the system. The drive was configured to run between 1 and 50 Hz.
Figure 3-1: Longitudinal drive transfer functions for sensors 1 and 2.
Figure 3-2: Longitudinal drive transfer function for sensor 3, and a graph of the transfer functions in terms of each composite mode.
Figure 3-3: Yaw drive transfer functions for sensors 1 and 2.
Figure 3-4: Yaw drive transfer function for sensor 3, and a graph of the transfer functions in terms of each composite mode.
Figure 3-5: Pitch drive transfer functions for sensors 1 and 2.
Figure 3-6: Pitch drive transfer function for sensor 3, and a graph of the transfer functions in terms of each composite mode.
Figure 3-7: Sensor two’s transfer function while the apparatus was clamped. The change in this curve is approximately 6 dB per octave, suggesting a linear dependence. This suggests an inductive effect innate to the electronics and independent of the unclamped motion.
Figure 3-8: Sensor three’s transfer function while the apparatus was clamped and when the third mass was driven in the longitudinal mode. The inductive effect expected from this coil pattern has disappeared.
### 3.3.2 Sensitivity Limit
It is clear that in all analyses taken in this experiment the transfer functions all flatten out at around -110 dB. This suggests that this value represents the characteristic noise of the position sensors themselves, and below this level the signal will be drowned.
This presents an interesting contradiction to the conclusion drawn when the apparatus was clamped and only one coil was driven. As a result, the apparatus was reclamped and the longitudinal drive applied. Perplexingly, the transfer function appears flat (see diagram 3-8) after 20 Hz. Since the longitudinal mode drives each OSEM in phase, it seems unlikely that the induction produced by each would mutually cancel. I note that this test was done with a maximum applied voltage of 1 V, as opposed to the one-coil test which had a maximum of 5 V; however, given that the magnetic field generated by the OSEM varies linearly as the applied current (and hence the applied voltage) this effect would seem to not contribute.
It therefore remains something of a mystery; when driven together, the inductive effect disappears. However, the plateau signal level when clamped is about -80 dB up to 100 Hz, which is within 3 dB of the average value for the unclamped plateau. We thus conclude, without a satisfactory explanation for the disappearing act, that the data above 10 Hz is solely a function of the electronics and not of the apparatus.
Notably, this represents a divergence from simulation data, in which there is a fall of 24 dB per octave. Since the mass we drive has two restoring forces acting upon it – the tension from the second and fourth masses – the expected $f^{-4}$ dependence is as predicted by theory.
### 3.4 Comparison With Model
For comparison to theory, we make use of a programmed Simulink model, developed by Calum Torrie, of the quadruple pendulum [2]. The model breaks the resonant modes of the pendulum into four groups: longitude/pitch, yaw, vertical, and transverse/roll. The first two of these groups prove useful to our purpose. However, the model does not incorporate cross coupling between any of the groups, and so we are limited to comparing only those where the input and output in the same set.
Cross coupling between longitudinal and pitch modes would not be unexpected for even a perfect pendulum. As can be seen in graph 3-10, the pitch-driven mode frequencies line up with their expected values. These values, however, depend on the equilibrium position of the cantilever blade on the first and second masses which depends on the total mass of the third and fourth masses, and is a variable incorporated in the model. This value was tailored in the model order to identify one particular peak on the pitch-driven graphs, a change justified by the need to increase the mass of the third mass to ensure that the OSEM’s were properly aligned.
#### 3.4.1 Longitudinal vs. Longitudinal
The top panel of graph 3-9 illustrates the model and measured transfer functions of longitudinal drive and longitudinal resonance. While the expected resonance at 2 Hz,
Figure 3-9: Longitudinal transfer functions, compared to the computer model prediction.
the model and measured curves are very similar from 2 to 4 Hz, with an approximate slope of 24 dB per octave, at which point the sensitivity limit is reached. An expected but small resonance at 3 Hz is mirrored by an upturn in the measured curve.
### 3.4.2 Longitudinal vs. Pitch
The bottom panel of graph 3-9 illustrates the model and measured transfer functions of longitudinal drive and pitch resonance. The model and measured curves are almost an exact match between 1 and 2 Hz, including a peak at 1.6 Hz. A peak expected at 2.4 Hz appears to be dulled by the presence of a zero at 2.0 Hz and is therefore inconclusive. A zero at 3.8 Hz was expected at 4.3 Hz, which is acceptable given the sensitivity of zeroes in the pitch mode and the extreme quality of the fit from 1-2 Hz.
### 3.4.3 Pitch vs. Longitudinal
The top panel of graph 3-10 illustrates the model and measured transfer functions of pitch drive and longitudinal resonance. A peak at 2.1 Hz is nearly exactly where predicted, and the falloff at higher frequencies lines up very nicely. A peak at 1.6 Hz appears at 1.4 Hz.
### 3.4.4 Pitch vs. Pitch
The bottom panel of graph 3-10 illustrates the model and measured transfer functions of pitch drive and longitudinal resonance. By lowering the model’s equilibrium value of the cantilever blade position on the second mass, as explained in section 2.2.2, expected peaks at 1.6 and 2.1 Hz line up perfectly. The 24 dB per octave falloff, however, is masked by the appearance of a zero at 6 Hz; the form is only observed between 3 and 4 Hz before the extreme slope due to the zero dominates.
### 3.4.5 Yaw vs. Yaw
Peaks expected at 2 and 4.1 Hz appear in place, but rather than rise to a summit, there are dips where the peaks should be located.
Figure 3-10: Pitch transfer functions, compared to the computer model prediction.
Figure 3-11: The yaw to yaw transfer function, compared to the computer model prediction.
3.4.6 Discussion
By and large, the resonant modes are where the model predicted they would be; even with mild tweaking of the model, efforts to line up one peak do not diminish the correct placement of others.
We now have an accounting for the resonant frequencies of each mode, and two in terms of different drives as confirmed by the model. We also have the hardware constructed to make the damping system. In the next chapter we discuss how we use this information and apparatus to actively damp the pendulum.
Chapter 4
Further Research
4.1 Damping system software
Active electromagnetic damping can easily be configured by using a constant drive coefficient, in a system similar to that which damps the motion of the first mass (where the relative voltage is manually configured for each coil.) However, this system can be tailored further through the use of the obtained transfer function. By analyzing the motion of the ultimate mass and choosing the coil current amplitude such that we reach the critical damping coefficient, we can ensure as little interference as possible as we bring the mass back to its equilibrium position.
Given a transfer function profile, several commercial products are available to perform this function. DSpace, among others, is well-suited to this task and is available for use. [4]
This step would be relatively painless to pursue. However, it would be of great convenience to the optical sensors that the photodetector output be amplified and rescaled. In the ambient light of the laboratory, the voltage output range is 1.22 to 1.74 V; for compatibility with the OSEMs on the first mass, this should be transformed into a voltage range of 0 to 12 V.
4.2 Refined position sensing
Sensors that are not susceptible to the close-range inductive effects of time-dependent magnetic fields are required for further measurements in this domain. The best position sensor for this task would be interferometric, though at short range a vacuum would not be required. Such sensors have already been developed by the LIGO project for other uses and could be adapted for this purpose. [5]
4.3 Closing Remarks
Seismic interference gives a clear boundary to the limits of terrestrial gravitational wave detection, and so the best way to remove this problem is to eliminate the earth from the equation. This is why future gravitational wave detectors that are on the drawing board are planned for installation in space, such as LISA (Laser Interferometer Space Antenna), a project of the European Space Agency. This apparatus is being designed to operate at frequencies that current seismic isolation technology is helpless to overcome, in the range of $10^{-4}$ to $10^{-1}$ Hz. [6] While I have no involvement in this project, I look to it with great interest.
Along with its ultimate goal of measuring gravitational waves of astrophysical origin, LIGO has been demonstrated its scientific success in that it has led to the exploration of new technologies and ideas, applicable both in this project and to others, and the ability to learn and upgrade quickly as the project progresses. This advantage is also due to a very thorough yet open-ended plan by the braintrust of the LIGO project. This experiment is a small piece in the puzzle, one that has proved to be very illuminating to me. I hope that the work I have conducted will help to drive the great project along.
Appendix A
Technical Specifications
Current Driver
Since a current source was required to power the drive system, this circuit (figure A-1) was prepared in triplicate. This allowed for a direct conversion from Siglab's voltage output to the necessary current output.
OSEMs
The LED used in each OSEM is of type SFH487, a GaAlAs high power infra-red emitting diode at a wavelength of 880 nm. The photodiode is of type BPW34, which has peak sensitivity to light of wavelength 900 nm but susceptible to light between 600 and 1050 nm. The plastic casing that holds the assembly together has an outer diameter of 3 cm and an inner diameter of 1.6 cm.
Position Sensors
The DIT-5200 Position sensors used have an output sensitivity of 20 mV/mil, or 0.79 V/mm. The sensors operate normal to an aluminum body, using changes in the induction, dependent on the position, to produce an output voltage between ± 10 V. The zero point of the sensor is about 1 mm from the object.
Figure A-1: The current driver circuit. Three identical drivers were constructed for parallel operation.
Bibliography
[1] E. Gustafson, D. Shoemaker, K. Strain, R. Weiss. "LSC White Paper on Detector Research and Development," LIGO Internal Document.
[2] P. Fritschel, C. Torrie, K. Strain. MATLAB Model of Quadruple Pendulum. LIGO Internal Program.
[3] Kaman Sensors Specification sheet, DIT-5200 position sensor system. http://www.kamansensors.com/html/products/pdf/wDIT-5200.pdf
[4] DSpace web site: http://www.dspace.de
[5] Malcolm Gray, David McClelland (Australian National University), Mark Barton, Seiji Kawamura (California Institute of Technology). "A simple high-sensitivity interferometric position sensor for test mass control on an advanced LIGO interferometer." http://www.anu.edu.au/Physics/ACIGA/ANU/publications/SSI.pdf
[6] LISA Gravitational Wave Observatory project summary. http://esapub.esrin.esa.it/sp/sp1219/4.2.3.lisa.qxd.pdf |
Mr. Brandgard: It’s 7:00 and the Plainfield Town Council meeting for Monday, May 13, 2019 is now in session.
PLEDGE OF ALLEGIANCE
Mr. Brandgard: I’d like to ask everyone to rise for the Pledge of Allegiance.
ROLL CALL TO DETERMINE QUORUM
Mr. Brandgard: Let the record show that all members are present; we have a quorum for conducting business. With the pleasure of the Council, before we get into the consent agenda, I’d like to introduce what I would characterize as a special visitor in our audience, Mr. Steve Carter. He’s the Regional Director and Senior Advisor to Senator Mike Braun. If you’d like to come forward…?
Mr. Carter: Thank you. Mr. President, members of the Council, I’m just here to take one moment to introduce myself as representative of the U.S. Senator. Mike Braun has a little bit of a history in local government. I mentioned to your Clerk-Treasurer that he served on the local School Board and he appreciates what you do and your service in this community. He also wants to make sure that his votes in Washington are informed by what goes on in Indiana and what he hears from Hoosiers and their leaders. So, that’s why I’ve left my card here, encouraging you to use that. If you’re on a first name basis with the Senator and you have his cell phone number and want to call him, that’s fine with me, I’m not territorial, but if that’s not the case, feel free to reach out to me. I want to mention, seeing your Council here tonight too, who I worked with a few years ago when I had similar responsibilities with the city of Indianapolis. So, thank you for your time, I look forward to working with you. I will also mention; I know there’s a lot going on in Plainfield because I’ve been to a few Council meetings and this is one with the largest attendance of citizens. So, I compliment you and your leadership and the community for being interested and informed. Thank you.
Mr. Brandgard: Thank you
Mr. McPhail: Thank you
CONSENT AGENDA
Mr. Brandgard: We will now go to the consent agenda. We have several items tonight.
1. Approval of the Minutes of the Town Council meeting of April 22, 2019.
2. Approval of reports dated May 7, 2019 from the following departments:
- Administrative Services
- Clerk-Treasurer
- Development Services
- HCCC
- Public Works
- Parks and Recreation
- Police Department
- Plainfield Fire Territory
- Town Court
- Town Manager
3. Approval of the Hourly Services Contract with Ratio Architects for additional work at the Prewitt Theater, per the Fleet and Facilities Report. (Funded from Riverboat)
4. Approval of the Proposal from Patriot Services for Supplemental Asbestos Testing at the Prewitt Theater, pending legal review, per the Fleet and Facilities Report. (Funded from Riverboat)
5. Approval of a Guaranteed Energy Savings Performance Contract with F.A. Wilhelm Construction Company for Boiler and Pump Replacements at the Richard A. Carlucci
Recreation and Aquatic Center with a Guaranteed Maximum Amount of $573,981, per the Parks and Recreation Report. (Funded from Food & Beverage)
6. Approval to Waive Planning, Fire and Building Permit Fees Associated with the Renovations at the Plainfield Middle School and the proposed Plainfield Guilford Elementary School, per the Development Services Report.
7. Consent to Proceed with Vacation of Alleys and Easements found to be in conflict with the approved Parking Structure between Center and Vine Streets, per the Development Services Report.
8. Approval of a Letter of Agreement between the Town and Butler, Fairman & Seufert in the amount of $127,600 for Design, Permitting and Construction Inspection associated with a new Phosphorous Removal System at the North Wastewater Treatment Plant, per the Development Services Report. (Funding from Sewer Utility)
9. Approval to Allow Connection of a Storm Water Drain from the Single Family Home located at 3805 S. CR 475 East to the Plainfield Storm Water System subject to a Request for Annexation, Agreement to Pay the Storm Water Connection Fees, and Agreement to Pay Monthly Storm Water Fees, per the Development Services Report.
10. Approval of a Final Payment of $9,163.89 to Global Constructors to Finalize the Contract for Quaker Boulevard – Phase 2, per the Development Services Report.
11. Approval of a Settlement Payment of $11,650 to Mark and Melissa Waterfill for Acquisition of Public Right-of-Way along Hadley Road, per the Development Services Report. (Funded from 2015 Series C I-70 EDA LLR Bond)
12. Approval of Supplemental Agreement #1 increasing Butler, Fairman, & Seufert’s Professional Services Agreement for Smith Road by a Not-to-Exceed Amount of $228,102 for Construction Inspection Services, per the Development Services Report. (Funded from Ronald Reagan EDA)
Are there any additions or corrections to the consent agenda?
Mr. Kirchoff: I have one on the minutes. Even though I wasn’t here, on page 6, it indicates that I made a motion. So, I don’t know who moved on page 6… that’s something from the HR report.
Mr. Brandgard: I’d entertain a motion to approve it, pending the correction.
Mr. Angle: Move to approve
Mr.: Second
Mr. Brandgard: We have a motion and a second to approve the consent agenda pending the correction. If there’s no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff-
Mr. Kirchoff: I would vote on all the items except item 1, since I was not here.
Mr. Todisco: Mr. McPhail- yes
Mr. Brandgard- yes
Plainfield Town Council consent agenda for 05-13-2019 is adopted as read with amendments adjusted.
Mr. Brandgard: Thank you
PUBLIC HEARINGS
Mr. Brandgard: We also have five public hearings this evening. Do we have Proof of Publication?
Mr. Daniel: Yes, we do.
Mr. Brandgard: Thank you. The first public hearing is for Vacating Public Ways and Easements in the Applecreek Subdivision. If there’s anybody in the audience that wishes to address us on that, now is the time to come forward. Again, this is the time to come forward on the Vacating of Public Ways and Easements in the Applecreek Subdivision. With no one coming forward, that public hearing is closed.
The next public hearing is for Vacating Public Ways and Easements in the Hill Top Addition. Again, this is the opportunity to come forward and give us your thoughts about that Vacation. Again, this is a public hearing for Vacating Public Ways and Easements in the Hill Top Addition. With nobody coming forward, we’ll close that public hearing.
We now have the public hearing for Vacating Public Ways and Easements in Peaceful Acres. Is there anyone who wishes to address us on that matter? Again, this is a public hearing for the public to give us their thoughts on Vacating Public Ways and Easements in Peaceful Acres. With nobody coming forward, we’ll close that public hearing.
We also have a public hearing for Vacating Public Ways and Easements at Melody Lane and Harmony Drive. This is the opportunity for the public to come forward and express their thoughts. Again, this is a public hearing for Vacating Public Ways and Easements at Melody Lane and Harmony Drive. With nobody coming forward, we’ll close that public hearing.
We also have a public hearing for Creation of the Plainfield Economic Improvement District. Is there anybody in the audience that wishes to address us relative to that? Again, this is the opportunity for the public to address us relative to the Creation of the Plainfield Economic Improvement District. With nobody coming forward, that public hearing is now closed. Thank you.
BUSINESS FROM THE FLOOR
Mr. Brandgard: We’ll now go to Business from the Floor. I believe we have Girl Scout Troop 1141 to address us about their Bronze Award Project.
Ms. Douland: Troop 1141 – Bronze Award Project – Our Little Free Food Pantry. Our Girl Scout Troop; me, Hannah Douland, Chloe Compton, Parker McKinney, Sydney (inaudible), Mason Jones, and Olivia (inaudible); we are proposing our Little Free Food Pantry design. Why a Little Free Food Pantry? According to the Indiana Youth Institute, about 12.7% are food insecure within Hendricks County. Around 687,926 people in Indiana, 5,748 who reside in Hendricks County are receiving food stamps every month. PCSC Schools have a free and reduced lunch rate of 30%. We would like to ensure our classmates all have access to food. The existing Little Food Pantry in Plainfield in front of Studio Z seems to have very high demand. We would like to add access to a Little Free Food Pantry on the other side of Plainfield closer to where our schools are located. So, up on the screen you can see our design for our Little Food Pantry. It’s roughly the size of the Little Free Libraries. Our proposed location: we would like approval to install our LFP, also known as our Little Free Pantry on the corner of Shaw Street and Buchanan Street, in front of VanBuren Elementary School, next to the Little Free Library on that same corner.
Ms.: Plan for maintenance: Creating education materials to inform the Plainfield community about the new Little Free Pantry location to share with our Troop’s existing
community contacts. On our Scout Wagon Trail Service Unit: Plainfield Community School Corporation, Plainfield-Guilford Township Public Library, Farmer’s Market booth, community boards... the Wagon Trail Service Unit will help stock it and help with Maintenance. Farmer’s Market Booth and community boards: LFP, also known as the Little Food Pantry’s design, will also include a permanent place card with suggested donation items.
Ms.: What is the process for installing our Little Free Food Pantry once it is built? And do we install it ourselves or go through the Town department for installation?
Ms.: That’s our question for you.
Mr. Brandgard: Yeah
Mr. Angle: Well, I can’t speak directly for approval, I would defer to some of our Town staff on that, but I would like to thank all of you for coming tonight. This is impressive. So, if you don’t mind, I’d like to ask a question. How did you determine that there was a need for something like this at this location?
Ms.: When we were trying to find an idea to do for our project, we were looking at some of our schools and what we may need, and after looking at ideas we narrowed down to maybe a Little Free Food Pantry because as we presented earlier with our food stamp facts and the lunch rate, we thought that would be best to try to help as many people in our community as we could.
Ms.: (inaudible) the Nutrition Club at their school that every Friday the kids go (inaudible).
Mr. Bridget: Well, how did you arrive at the design for your Food pantry? This looks very well thought out.
Ms.: We can’t take credit for that, there’s actually a website for TheLittleFoodPantry.org that has all of the information (inaudible).
Mr. Bridget: And this Girl Scout Troop took it upon themselves to make it happen in Plainfield?
Ms.: They did, they’re 5th graders. We haven’t started building yet, we wanted to get approval first.
Mr. Kirchoff: So, I guess we look to the Town Manager. Do you want to respond to their question?
Mr. Klinger: Yeah, in terms of the question, I think you could install yourself; I think that’s fine, the only thing is that we would want to validate it through our Planning Department. I believe you’ve already had a conversation with Terry Jones in the Planning Department, or Eric Berg, I’m not sure which one of them, but as long as it is in accordance with the Ordinance, it’s fine. I believe they’ve already looked at it, so I believe we’re good to go.
Ms.: I believe the Library has done that. I think we are kind of falling under their umbrella of previous approval to put in Little Food Pantries in the Town, we just are wanting to make sure because it’s going to be put on public property, that it’s been an approved process so that we don’t put it there… the Principals at both of the schools (inaudible) here to support the girls today, are in agreement that it’s a good thing and a needed thing but we didn’t want to put it somewhere and then have someone come and say, “you can’t keep it there, uninstall it.” So, we just want to go about it in the right process to make sure that it’s an existing continuing asset to the community.
Mr. Angle: Do you mind if I ask what kind of signage there might be on the LFP? How will people know that it is a little free food bank?
Ms.: When we were talking about planning, we were thinking about maybe painting a design on it that says “Little Free Food Pantry”. And like we said earlier, maybe put like a list of things that we could put in it or may need.
Mr. Angle: Great
Mr. Brandgard: And this would be a food pantry that is basically an honor system? Some people will put food in, and some will take it out?
Ms.: Yes, (inaudible)
Mr. Klinger: Will you come back and monitor it to see if it needs to be stocked or not?
Ms.: That’s our plan.
Ms.: And we’ve also been working with our schools, (inaudible) said that when we do install it that we can send information home from the schools to let the school community know that it’s there if they would like to contribute. And I think (inaudible) going to use the network that the girls put up before, the Wagon Trail Unit she mentioned, are going to be letting other troops know that it’s there so that it becomes a community effort. Plainfield has approximately 30 Girl Scout Troops that are all within Plainfield, so we’re going to spread awareness on that avenue and also the public library has agreed to include our educational materials in with their educational materials to go with the food pantries that they are going to be putting up and assembling those in various places so that more people know that it’s there and to also let people know what types of items we’re looking for to get included in there. And also, like the leader said, what types of food we don’t want in there. We don’t want anything perishable; we’d prefer not to have anything glass so that there’s no broken anything in or around it, so that it’s not a hazard.
Mr. Todisco: I’d like to mention, being a former School Board member, that they picked a good cause. We’re actually, Plainfield’s school system is one of the highest in reduced/free lunch in the County. At least when I was on there and it probably hasn’t changed much.
Mr. Brandgard: With that, I want to thank you for coming in and making a fine presentation. I know it’s tough for the first time to do this, but I think it’s a good experience for you and we appreciate seeing you come in and making the attempt at doing a good job at it. So, thank you. With that, do we have consent?
(Consent is given)
Mr. Brandgard: You have consent, thank you.
Ms.: Thank you very much.
Mr. Brandgard: Is there any other business from the floor this evening? With nobody coming forward we’ll go to the staff reports.
STAFF REPORTS
Mr. Brandgard: Chief Thacker, anything from the Fire Territory?
Mr. Thacker: Those young ladies gave me the courage to come forward tonight to speak to you. So, earlier today I worked with Ms. Singh on a press release; bringing awareness to Mental Health Awareness Week. In addition to mental health issues of the public, I wanted
to bring to light the mental health issues regarding police officers, firefighters, communications officers and EMS. Unfortunately, in 2017 we had 103 firefighters and 140 police officers in the United States commit suicide. We have worked with the Plainfield Police Department over the last week talking about some of their new programming in managing mental health here in Plainfield. Today rolled out some training for the Fire Territory in recognition of signs of post-traumatic stress and post-traumatic stress disorder, something that has not been discussed much in the last few years but is certainly gaining the attention of Public Safety. I just wanted to make you aware of some of the things that we’re working on here in Plainfield. Thank you.
Mr. Brandgard: Thank you. Tim, anything from Development Services? Steve, anything from the finance side? Chase, Facilities? Todd, Economic Development? Eric, Planning? Nate, anything from Administrative Services?
Mr. Thorne: Just one item; I actually have been asked by the Special Needs Program at the high school to ask for an exception to some of our current ordinances for Solicitation for their food truck to be able to be on Town properties. They have a very limited snack menu, they don’t have a full menu, but this is a job development program for a lot of their students. So, we would ask for consent to allow them to park at a couple of various Town properties and maybe our Town staff members would go get a snack before lunch.
Mr. Klinger: What period of time?
Mr. Thorne: Right now, they’re just trying to get one or two more locations before the end of school and then they will provide probably a more formal recommendation for a standing agreement for the next school year. But these students only have a few weeks left, so as soon as possible and then they’ll regroup for next semester.
(Consent is given)
Mr. Thorne: That’s all I have, thanks.
Mr. Brandgard: Thank you. Stephanie, anything from Communications? Scott, anything from Transportation? Bill, IT? Doug, Communications Center? Chief McKee, Police Department?
Mr. McKee: I just have a few things; first is a reminder that Friday we will be on the roof of Duncan Donuts. It’s a new event that they’re bringing back to Indiana called “Cop on a Rooftop” and it’s raising money for Special Olympics. We will actually have some of the athletes there with us and participating with us. We will be out there from 6:00 a.m. until noon. We may have a police officer in a police costume helping to raise money that won’t look like this. So, it will be a fun event and Brownsburg is also having the same event so we can have a little bit of competition between us and Brownsburg. We just want some people to come out and support a great program. Lastly, I just want to give some thanks to Will Brinker from the IT department and Sergeant Chad Parks from my police department in that we are getting ready to move over to the new Motorola reporting system and Will worked tirelessly. He turned our courtroom into a training center for all of Hendricks County and we have had agencies from Marion County calling and asking us if they can come over and use our training facility because there’s just not enough room in Marion County to train everybody and they continued to work with them and schedule that and get that done. So, just a big shout out to them because that’s huge, that Plainfield is hosting all agencies. That’s all, thank you.
Mr. Brandgard: Wonderful, thank you. Brent, anything from Parks and Recreation? Is there anybody I’ve missed?
Mr. Kirchoff: Did we want to introduce our interns?
Mr. Brandgard: Brad, anything from the Chamber?
Mr. DuBois: Yeah, thank you. I just wanted to give a quick reminder, I think I talked about this at the last Council meeting and you’ve probably gotten an invitation since then, but My Place Hotel has a groundbreaking this Wednesday at 3:00 p.m. Then on top of that, May 30th, the Tucker Realty office, which will be in… I forget the name of that strip center but it’s over there by Andy Mohr Chevrolet, they’ve got a ribbon cutting and an open house on the 30th from 4:30-6:30 p.m. That’s it.
Mr. Brandgard: Okay great, thank you.
TOWN MANAGER’S REPORT
Mr. Brandgard: Town Manager’s report?
Mr. Klinger: Yeah, I have a couple of items. First of all, as my duty as Secretary of the Plan Commission I need to report and certify that the Town of Plainfield Plan Commission held a public hearing on Monday, May 6, 2019 on petition RZ-19-041, as filed by James Johnson and Randy Jekel to rezone 1.9 acres from AG/Agricultural District to the R2/Residential District. Upon concluding the public hearing, the Town of Plainfield Plan Commission voted 7 in favor, 0 in opposition to forward a favorable recommendation to the Plainfield Town Council to rezone the property. The legal description and map I think, was included in the materials.
Mr. Brandgard: We need a motion to…
Mr. McPhail: Mr. President, I would move that we accept the recommendation for rezoning from the Plan Commission.
Mr. Angle: Second
Mr. Brandgard: We have a motion and a second to accept the recommendation for the rezoning as was described to us. If there’s no further discussion, all those in favor signify by aye.
(All ayes)
Mr. Brandgard: Opposed? Motion carried, thank you.
Mr. Klinger: Thank you. And then secondly, I wanted to report that the Town of Plainfield was able to host the Indiana Municipal Managers Association annual meeting a little over a week ago now. We had an extra long break between meetings, so I guess it was two weeks ago. We were able to host that in the new Embassy Suites Conference Center. So, we had Town Managers from all over the state of Indiana in attendance to be part of that event. It went really well. We got a lot of great feedback from the different Town Managers about not just the Embassy Suites and the Conference Center, which I think everybody was really excited about, but also just the community in general and everything that we have going on here. I got a lot of great feedback from various folks. They had an opportunity to see some different parts as we… we got them over at the mall for dinner at Bru Burger and there was a round of golf to open up the conference. So, folks did have a chance to kind of see different parts of the community. So, I just wanted to let you know because I thought it was great that we got a lot of really great feedback from other managers and other communities. So, that was exciting, it’s always nice when you don’t have to travel to go to those things so I’m hoping that we can host more of them in the future as well. Finally, I wanted to introduce… Bob, do you want to come up and actually introduce yourself? We’ve
brought in a new summer Management Intern from the O’Neill School of Public and Environmental Affairs. Go ahead and introduce yourself to the Council.
Mr. Duchene: I’m Bob Duchene and it is wonderful to make your acquaintance. I’ve met most of the people in here and those who I have not, I look forward to. I will be here through the summer, Monday-Friday, 8-5, so I’m looking forward to getting to know the Town. It’s already… I’ve driven around, it is super unique, and I just am looking forward to learning more and more.
Mr. Brandgard: Welcome aboard, good to have you.
Mr. Klinger: So, with our summer interns, we try to give them some experiential things and an opportunity to see each department, how they operate and what it kind of takes to run a town. And then obviously, we’ll be assigning some work to him as well. Hopefully we can get some good work out of him this summer, so we’re excited to have him. We’re going to work you hard. We like to start them on a Council meeting day on their first day, so that they get a good 12-hour day in right up front and they understand what the expectations are. That’s all I had, unless you have any questions of me.
Mr. Brandgard: No, that’s good, okay, thank you. Now we’ll go to old business.
OLD BUSINESS
Mr. Brandgard: Kent?
Mr. McPhail: I’m going to beat Bill to this one. I’ll ask Mel if he’s got any response from Walmart.
Mr. Daniel: Well, as a matter of fact, today I emailed the lady down there and told her that (inaudible). I had not heard back from that and it disappointed me. I told her that the Town Council was looking into a possible citation for a zoning violation if we couldn’t get that agreement finished. I had to leave the office, which you’ll learn about later, earlier today to attend some meetings (inaudible) so I haven’t had a chance… she hadn’t gotten back with me yet, as of 11:30 this morning.
Mr. Kirchoff: Did you give her any kind of time frame?
Mr. Daniel: I did not, I did ask her to tell me what she expected me to tell the Town Council this evening but like I say, unfortunately, I had to leave late this morning.
Mr. McPhail: Well, they’re not only parking trucks, they’re using it for a campground. You’ve got people camping over there full time and you know, if we don’t get some response we need to take some action. That’s all I have.
Mr. Brandgard: Thank you
Mr. Daniel: (inaudible) item Mr. President. If you recall, we started earlier in the year concerning a Youth Assistance Program and it got slowed down because the County Attorney, Greg (inaudible) became a Senator in March. (inaudible) for a while was in the legislature and they finished up last week, so we finally got a meeting set up with them today. I came out for a short meeting, we started at noon and we finished at 2:00, but the good news is Judge Love was available to be there and Greg and Mike Allen from the school, so we had a draft of an interlocal agreement between the County and the Town; we went through that and I believe, after that meeting, they were probably 98% there on that agreement. I unfortunately got stuck with the revising mess (inaudible) three or four weeks, so I promised him I would get him a draft late tomorrow for he and Mike to look at, and the Judge. So, I think (inaudible) County attorney is back.
Mr. Kirchoff: I might piggyback on that; Kent and I attended the County Council meeting last week, if I recall, and there was a very favorable response from the County Council for funding. And as I commented to Robin and Andrew this morning, Plainfield again was commended for our willingness to step up for this very important program. Mark was there as well, so we wanted to just let the Council know that we are... the Judge is really behind this now...
Mr. Brandgard: She is
Mr. Kirchoff: I think it’s going to be... like she said, in ten years we’ll look back and talk about the positive impact we’ve had on people’s lives. So, I think the Council should be pleased that we’re out front again and setting the pace for this.
Mr. Daniel: That’s all I have.
Mr. Brandgard: Thank you
NEW BUSINESS
Mr. Brandgard: Kent, new business?
Mr. Kirchoff: I would defer to the Treasurer of the Community Development Corporation. The Community Development Corporation has been in business less than six months and at the RDC meeting last week, we did provide them with some financial reports, and we thought the Council should receive those as well. So, Brad, if you would like to distribute those?
Mr.: As Mr. Kirchoff said, we wanted to make sure that you guys had an accounting of everything that we’ve done in the past few months, which has been quite a bit. If you turn to page 2, we can take a look at the asset, the asset statement. It will give you an idea as far as how much cash we have left and the properties that we’ve purchased and how we’ve spent your money over the past few months. If there are any questions, I’d be happy to answer them. On page 3 is a capitulation of all the statements and also the expenses that we’ve had over the past 3-4 months. We’ve done a pretty good job.
Mr. Kirchoff: As he indicated, we have secured an accountant for preparing these documents. We have, all of the properties are insured. We have a Property Manager for the properties that we are maintaining. All of the leases have been signed with all of the property owners. We had forgotten that grass grows on certain properties, so we now have taken care of the spring growing and that is underway. Cam has been very helpful to us on our properties and we have also used Brad Herts, I don’t remember his company name, for our acquisition of properties. If you remember, we had kind of a Phase 1, Phase 2, Phase 3; we really have all of the Phase 1 items under contract or ready to be closed, and some of the Phase 2 projects. Then we also have given you a proposed budget that we think for the rest of the year, based on the needs that we see forthcoming form the acquisition for the next projects as we get started on the Downtown Redevelopment Project. Dan, anything to add?
Mr. Bridget: Only that the Capital request is dedicated funds for known projects. If we wanted to take an opportunistic approach, we probably have to change that request, but this is what we see in support of direct projects in 2019.
Mr. Kirchoff: That’s the bottom line on the proposed budget, what we think the Capital needs will be for the rest of the year. We’re not in need of those today but we wanted to let you know that those were coming, and we’ve identified with the Downtown Redevelopment team to look at what projects we think to get infrastructure needs ready
for; the Parking Structure, Town Hall and CAC. So, that’s our best guess at the properties that we think, again, along some of the areas that we’ll be working on as we head forward. Again, we’ll be back in touch with you when we think we’re going to need those because it’s what, 30-60 days of process before appropriations could be made. Questions?
Mr. Brandgard: None
Mr. McPhail: You’ve done a good job.
Mr. Brandgard: Thank you
Mr. Kirchoff: We have a good team, thanks.
Mr. Klinger: There is one other item of new business; Scott Singleton would like to introduce the Thoroughfare Plan somewhat to you all.
Mr. Singleton: Good evening, thanks for giving me a few minutes this evening, I’m going to hand off to our consultant shortly, but I wanted to offer just a brief introduction. You guys all maybe, some of you in particular, might be a little tired of hearing about the Thoroughfare Plan. We’ve gone through several Plan Commission meetings, work sessions, hosted a public hearing, but tonight is really, if everything goes as planned, the final step to getting the Thoroughfare Plan fully approved by you all and making it a document that can carry forward in our everyday operations. Like I said, we have a consultant here, Chris Hamm of HWC. HWC developed this plan working with the Steering committee on the Town. As you all know, several Plan Commission members were on there; Bill Kirchoff served and then some staff members. So, it’s been about a year in the making and Chris is going to offer somewhat of a brief presentation. Obviously, we had a long work session a couple of months ago to kind of go over the broad view of the plan and things. So, Chris won’t take too much of our time, but we didn’t want to push this forward without offering a presentation both for you all and the people in the room. Later on, this evening, Resolution No. 2019-21 is up for your approval. What that would do, would be to amend the Thoroughfare Plan into the part of the existing Comprehensive Plan of the Town. That would make it kind of an actual usable document for us. With that, I will hand it off to Chris. Thank you
Mr. Hamm: Thank you, Scott. Mr. President, Councilmembers, thank you for having me this evening to give you what I hope to be a very brief conversation about the Thoroughfare Plan. I know several of you have sat through this once or twice or three times maybe, so hopefully we can move rather quickly through it. I would like to say one thing; Scott had mentioned the Steering Committee that was involved in this project and I would like to personally thank them for their hard work that they put into this process. We would not have been able to deliver the plan that we’re delivering today without their feedback and input into this process, their oversight and review of that plan and the many hours that they spent not only at meetings but reviewing the plan and providing feedback. It was critically important to us and I just wanted to offer a personal thanks to them for their hard work during this process. There are some key elements to the plan, and you’ve seen this, we’ve talked about this before, but I think it’s important to kind of lay the framework for what developed inside the plan, what the plan produces. There’s a significant amount of demographic analysis inside of the plan that talked about existing conditions and future growth patterns within the community, both on the residential side and the non-residential side. There’s a traffic model that’s the basis and foundation of the plan itself that uses that demographic data to project future conditions inside of the community. There’s economic analysis as it relates to the projects which are identified as part of the plan to understand their broad regional impacts as well as the local impacts, not just from the projects themselves but from the development opportunities that would be created by these
projects. There’s an identification of future projects; a list at the end of the program, a roadmap if you would, no pun intended, of those types of projects that need to be addressed in the short-term, long-term and mid-term recognizing the fact that flexibility needs to be in place as development occurs to address those issues from your transportation network moving forward. There’s a set of local policy recommendations in there as well that address a variety of issues on implementation, right-of-way acquisition, use of the model itself. And at the end of this is an amended Thoroughfare Plan Map, which is probably one of the most important component pieces of this project as well, as it begins to define future road projects as well as the right-of-way necessary and the processes by which that right-of-way will be secured moving forward within the plan. There are a set of key findings from the plan. One is that based on every traffic scenario that we ran in this piece, there’s plenty of traffic coming to warrant the future expansion of Ronald Reagan Parkway and additional lanes added to that component piece. Hadley and Perry have both been proposed for upgrades given their importance to the east/west connectivity through the community as well as the completion of the network for the Perimeter Parkway within the community. The new interchange at I-70 is recommended. Now, this is not an original idea, we didn’t come up with this. We inherited this through a series of documents including the Comprehensive Plan, which talks about this. We went the step further however, to really analyze the impacts and opportunities created as a result of that interchange and it’s clear that there’s benefit long-term to the community as a result of having that additional access point on to the interstate. Not just from an economic development perspective, but from a regional local traffic management perspective as well. East/west connectivity is a concern and the plan identifies a couple of opportunities for some additional east/west connectivity through the community; Stanley Road, 750 South, in those areas are two specific ones that are mentioned inside the plan. The plan identifies the importance of intersection improvements both long-term and short-term within the community. There’s an awful lot of road projects and capacity projects that are identified for long-term opportunities within the plan itself. But you can get some real bang for your buck; particularly a strong return on investment from key intersection improvements in the plan as well that not only buy you short-term relief from traffic congestion but long-term relief in that as well. So, the intersection improvements are very important. Then lastly the grid network, which was originally conceptualized within your Comprehensive Plan for the southwest area of Town, is something you should absolutely pursue. It has real long-term benefit towards managing east/west and north/south connectivity in that area of Town and we think that from a recommendation perspective, would strongly recommend you pursue that in the future. As we’re moving forward, obviously we gathered public feedback early on in this process and hopefully the first draft iteration of the plan reflected that feedback. Once we posted the second draft of this plan online we received some additional feedback form the public and through the Plan Commission public hearing process and what we heard from folks were a series of questions that I want to address very briefly tonight and try to address them, if I can. One was in regard to implementation timeline. There were some that felt like, well, you’re sowing these roads and you’re going to be out in front of my house tomorrow, tearing up trees and building all the roads that are identified in this plan and certainly, that’s not the case. The plan is intentionally a long-term plan. It’s a 20-25 and 30-35, in some cases, 40-year planning project. As the Town continues to grow and move forward, it will be important to reanalyze your Thoroughfare Plan and make sure you’re adjusting accordingly to be able to meet those current needs as well as future needs based on development capacities in the future. That isn’t to say that some of the roads that are identified in the project aren’t happening because some of them are underway already and were identified in the plan accordingly. But many of the roads, most of the roads are long-term concepts that may be years or decades before some of them would actually be implemented moving forward. So, it’s important to understand the nature of the long-term planning tool that the Thoroughfare Plan is itself. The interchange was a significant point of
conversation as part of the first public hearing at the Plan Commission and I think a couple of items to identify on the interchange, one I’ve mentioned previously, that this is not an original idea, this was conceptualized in several planning documents including the Thoroughfare Plan as part of this conversation. But what we needed to do is understand if there was impact and opportunity, what it meant to have an interchange. Not necessarily the interchange that we’ve suggested in the plan, but some sort of interchange in that general area along I-70. And the impact has identified that there’s clearly opportunity and benefit long-term for the Town as a result of that. There is however, an additional study, which is shortly underway or soon will be underway this summer, that will look much more specifically at the issues of that interchange and its connectivity between I-70 and US 40, in that area. That will provide an opportunity for significant public outreach to folks and engagement of folks in that area as it relates to the specific geographies of where that interchange might best be suited. When we started the process, it was Moon Road and we kind of moved it over to 525 because Moon had some environmental issues there, but it may slip and move east or west again as part of that discussion. Under the scope of the Thoroughfare Plan we couldn’t get into the level of that detail but the study which is underway or will be shortly will get into those details and be looking at specific corridor opportunities and connectivity. I think that will be an opportunity for the public to engage on those issues moving forward and that discussion. Land use concerns were brought up as part of the concern and I can tell you that we used the Comprehensive Plan and Land Use Map. We didn’t try to reinvent the wheel in this process and hopefully we’ve reflected accurately in the modeling and demographic analysis, the existing land uses which are identified inside of the Town’s current Comprehensive Plan. Environmental impacts were brought up and the plan does address environmental impacts. You may have to get into a little bit of the analysis to understand it but in the economic impact analysis, each one of the projects is an environmental analysis component of those impacts, of those projects, both short-term and long-term and in many cases, quantified into a financial component piece, you know, the cost of cars traveling and the environmental impacts of that car based on lengths of travel and stopping and going and moving motions, as part of that piece. The issue of jurisdictional considerations was brought up. Much of the area which is analyzed southwest of Town is not currently within the Town’s corporate limits. It is however, within your planning boundaries. I think many, if not most, anticipate that the Town will continue to grow up in that area in a strategic and organized manner and fashion. And as you do, you need to address the infrastructure needs and concerns of that area appropriately. Not just for the existing citizens, but for the future citizens of the community. So, we followed those jurisdictional boundaries of your planning areas as part of the basis of this study. And then the last components were projected impacts of the proposed projects, and mostly the regional impacts. There was some belief that these road projects would draw more regional traffic into the community. And while that may be true, I think in fact the study would indicate that as you build more roads and better roads in your area, people who are taking other alternatives tend to find those roads. Traffic is kind of like water; it finds the path of least resistance and every crack it can find to get into. When we look at this, particularly the interchange on I-70 and the corridor connector between I-70 and US 40, it doesn’t solve your north/south concerns within the community. It helps them, it manages them to some degree, but it does not solve them. You’ll still have issues on SR 267, you’ll still have traffic and future concerns on the Ronald Reagan Parkway if you don’t do additional things. Which is why the plan proposes a host of improvement projects to be built over time as part of this. And obviously, the interchange is not the only solution, but obviously as you create additional east/west connectivity and you create better connections between Danville and Avon and Plainfield and I-70, there will be folks that come into the community that are finding other ways today. Hopefully the plan reflects that, both on a local and regional impact perspective. So, as part of that we made some key adjustments. I know that you had received an early draft of this plan and since that initial Plan Commission meeting, we made
a handful of kind of key components I just wanted to address some of those changes. We’ve revised completely the Executive Summary, tried to get to the point of the findings of the report a little more cleanly. We’d had some concerns from folks that they couldn’t delineate what was in the preferred scenarios, so we’ve provided tables that clearly identifies what projects are in Project Scenario 1 and Preferred Scenario 2, as part of that. We’ve expanded the key consideration section, hopefully addressing some of the issues we’d heard with regard to the interchange at the interstate and some of the east/west connectivity component pieces. We’ve adjusted the Cross-Section graphics; there were some issues and concerns about on-street or off-street trail networks as part of this piece. We made some adjustments to try to address those. And then lastly, there are a handful of adjustments that have been made to the Thoroughfare Plan Map itself in an effort to upgrade and downgrade certain areas to most appropriately fit the overall master Transportation Network for the community. So, that is a very high-level overview of what you’ve got inside your plan. I’m happy to answer any questions you have this evening.
Mr. Bridget: This plan was run through a modeling program, is that correct?
Mr. Hamm: Yes, actually it’s a modeling program, TransCAD Program built specifically for the Town of Plainfield. Which you’ll actually have ownership of at the end of this process, which will allow you to do site development analysis from a traffic perspective for projects that come before the Plan Commission/the Council for consideration. Hopefully it will be a wonderful tool for you to really understand transportation impacts on a property specific level within your community.
Mr. Bridget: Very good.
Mr. Brandgard: Great
Mr. Kirchoff: Chris, I think the next piece is for us to have a conversation about, “now what”. We pride ourselves in planning and working the plans, so I think you’ve handed us a great future planning document and now I think our challenge is…
Mr. Brandgard: See how we make it work.
Mr. Kirchoff: Yes
Mr. Brandgard: Knowing this is not a static plan, it’s one that’s going to change over time as conditions change; it’s a guide.
Mr. Hamm: Yes, and you’ll want to look at it on a regular basis and make sure, particularly as you begin improving some of the projects that are within the plan. You’re going to want to understand how that impacts other areas. You may find that your priorities… and we’ve tried as best as possible to prioritize road projects today but as development considerations change and densities change and other issues within the community change, those priorities might change as well. Hopefully the model will give you the tool to make those adjustments on a regular basis to make sure that the plan is as fresh as it could possibly be.
Mr. Brandgard: Great, anything else?
Mr. Angle: How long will the PlainfieldThoroughfarePlan.com be available?
Mr. Hamm: We typically take it down after the project is completed, but we can certainly keep it up if you’d like to have a resource for people to go find the plan. We could keep it up for several months if you’d like us to.
Mr. Angle: I think maybe the question would be then; are the documents going to be shifted to our website at that point once they’re adopted, or how does that process work, so that the public can access them?
Mr. Klinger: If it’s adopted as part of the Comprehensive Plan then we would work to shift that and make it part of our Comprehensive Plan page as part of the Town website.
Mr. Angle: I just want to make sure timing wise, that there’s not like a down time where it can’t be accessed at all.
Mr. Hamm: We’ll keep... the version that’s online now is the version that’s up for your consideration this evening, so it’s the final revised version of that. We’re happy to keep it up as long as you want. I don’t want there to be confusion though between the Town’s website and that website. Obviously, we want to funnel as many people as we can to the Town’s website for information as possible.
Mr. Klinger: We can work out a transition plan to make sure we have it up before that gets taken down.
Mr. Hamm: And we’ll be happy to post on the page that it will be up for this period of time and for future reference please go to the Town’s website.
Mr. Klinger: Great
Mr. Angle: Thank you
Mr. Brandgard: And maybe as we’re revising/updating our website, that’s the time to kind of bring it in.
Mr. Klinger: Yes, we just started, so...
Ms. Singh: I can put it up right away and then Chris will have the exact (inaudible) to put on your website.
Mr. Hamm: That’d be great.
Mr. Brandgard: Great, Chris, thank you.
Mr. Kirchoff: I think we need to thank Chris and his team. They were great to work with and you’ve made us think about some things that we hadn’t thought about and really, well done.
Mr. Hamm: Well, thank you very much. We appreciate that and we appreciate the opportunity to work on this project. Thank you
Mr. McPhail: Thank you
Mr. Brandgard: Thank you
Mr. Daniel: I’d like to take a moment, Mr. President?
Mr. Brandgard: Yes
Mr. Daniel: I’m checking my email and after I left the office, I have an email here from Jessica Howell from Walmart saying that the agreement has been signed. She’s awaiting final approval from the Store Manager prior to sending it over to eliminate any surprises on the signage cost. My guess is it’s probably been signed for a few days, but it would have been nice if she would have communicated that. But I do think at this point, and I’ll work
with her (inaudible) working with the signage issues out there. (inaudible) completed, but apparently, we have a signed agreement.
Mr. Angle: Great
Mr. McPhail: Thank you
Mr. Brandgard: Great
Mr. Kirchoff: Yeah
Mr. Brandgard: Again, thank you for all of your efforts. Is there any other new business? If not, we’ll go to Resolutions.
RESOLUTIONS
Mr. Brandgard: We have four Resolutions this evening. The first is Resolution No. 2019-20 - A Resolution Requesting a Transfer of Appropriations – Park Impact Fees.
Mr. McPhail: Move to approve
Mr. Bridget: Second
Mr. Brandgard: Motion and a second to approve Resolution No. 2019-20. If there’s no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
Plainfield Town Council Resolution No. 2019-20 is adopted.
Mr. Brandgard: We also have Resolution No. 2019-21 – A Resolution of the Town Council of the Town of Plainfield, Indiana, Approving an Amendment to the 2016 Plainfield Comprehensive Plan.
Mr. Angle: I’ll move to approve
Mr. Kirchoff: Second
Mr. Brandgard: We have a motion and a second to approve Resolution No. 2019-21. If there’s no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
Plainfield Town Council Resolution No. 2019-21 is adopted.
Mr. Brandgard: We also have Resolution No. 2019-22 - A Resolution Preliminarily Designating Economic Revitalization Area and Qualifying Certain Real Property and Improvements for Tax Abatement–Strategic Capital Partners MetroAir Building 8.
Mr. McPhail: Move to approve
Mr. Bridget: Second
Mr. Brandgard: Again, we have a motion and a second to approve Resolution No. 2019-22. If there's no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
Plainfield Town Council Resolution No. 2019-22 is adopted.
Mr. Brandgard: We also have Resolution No. 2019-23 - A Resolution Preliminarily Designating Economic Revitalization Area and Qualifying Certain Real Property and Improvements for Tax Abatement–Strategic Capital Partners MetroAir Building 9.
Mr. Bridget: So moved
Mr. McPhail: Second
Mr. Brandgard: We have a motion and a second to approve Resolution No. 2019-23. If there's no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
Plainfield Town Council Resolution No. 2019-23 is adopted.
ORDINANCES
Mr. Brandgard: We do have several Ordinances. The first is a Single Reading of Ordinance No. 13-2019 - An Ordinance to Amend the Plainfield Zoning Ordinance and Zone Map of the Town of Plainfield, Indiana, and Fixing a Time when the Same Shall Take Effect (Jekel/Johnson Rezone).
Mr. Kirchoff: So moved
Mr. Angle: Second
Mr. Brandgard: We have a motion and a second to approve the Single Reading of Ordinance No. 13-2019. If there's no further discussion, roll call vote please.
Single Reading of Plainfield Ordinance No. 13-2019 is approved.
Mr. Brandgard: Thank you. We can do the next four Ordinances as a single approval, single vote.
Mr. Kirchoff: So moved
Mr. Brandgard: Well, I’ll need to read it through.
Mr. Kirchoff: Okay
Mr. Brandgard: The First Reading of Ordinance No. 09-2019 - An Ordinance Vacating Public Ways and Easements in the Town of Plainfield, Hendricks County, Indiana – Applecreek Subdivision.
Ordinance No. 10-2019 - An Ordinance Vacating Public Ways and Easements in the Town of Plainfield, Hendricks County, Indiana – Hill Top Addition.
Ordinance No. 11-2019 - An Ordinance Vacating Public Ways and Easements in the Town of Plainfield, Hendricks County, Indiana – Peaceful Acres
Ordinance No. 12-2019 - An Ordinance Vacating Public Ways and Easements in the Town of Plainfield, Hendricks County, Indiana – Melody Lane & Harmony Drive
I’ll entertain a motion to approve said Ordinances.
Mr. Kirchoff: So moved
Mr. Bridget: Second
Mr. Brandgard: We have a motion and a second to approve the First Reading of Ordinance No. 09-2019, Ordinance No. 10-2019, Ordinance No. 11-2019 and Ordinance No. 12-2019. If there’s no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
First Reading of Ordinance No. 09-2019, Ordinance No. 10-2019, Ordinance No. 11-2019 and Ordinance No. 12-2019 is approved.
Mr. Brandgard: We also have the First Reading of Ordinance No. 14-2019 - An Ordinance to Create the Plainfield Economic Improvement District.
Mr. McPhail: So moved
Mr. Angle: Second
Mr. Brandgard: We have a motion and a second to approve the First Reading of Ordinance No. 14-2019. If there’s no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
Plainfield Ordinance No. 14-2019 is approved.
Mr. Brandgard: We also have the Third Reading and Adoption of Ordinance No. 01-2019 - An Ordinance for the Management of Flood Hazard Areas in the Town of Plainfield, Indiana Repealing Ordinance No. 25-2009 and All Ordinances and Parts of Ordinances in Conflict Herewith.
Mr. Bridget: So moved
Mr. Kirchoff: Second
Mr. Brandgard: We have a motion and a second to approve the Third Reading and Adoption of Ordinance No. 01-2019. If there’s no further discussion, roll call vote please.
Mr. Todisco: Mr. Bridget- yes
Mr. Angle- yes
Mr. Kirchoff- yes
Mr. McPhail- yes
Mr. Brandgard- yes
Third Reading of Plainfield Ordinance No. 01-2019 is approved.
Mr. Brandgard: Thank you
COUNCIL COMMENTS
Mr. Brandgard: Is there anything else to bring up?
ADJOURN
Mr. Brandgard: If not, I’d entertain a motion to sign the documents requiring signature and adjourn.
Mr. McPhail: So moved
Mr. Angle: Second
Mr. Brandgard: All those in favor signify by aye.
(all ayes)
Mr. Brandgard: Opposed? Motion carried, thank you.
Robin G. Brandgard, President
Mark J. Todisco, Clerk-Treasurer |
ECONOMIC AND SOCIAL COMMITTEE
OF THE EUROPEAN COMMUNITIES
BULLETIN
Brussels · N. 6/1980
• The use of the term “person” in the Act includes any person, including a corporation, partnership, association, or other organization.
## CONTENTS
I — **CONFERENCE ON THE ENLARGEMENT OF THE COMMUNITY** 1
II — **180th PLENARY SESSION** 11
Speech by Madame VEIL, President of the European Parliament 11
Speech by Mr. de PRECIGOUT 13
Speech by Mr. DEBUNNE 14
Speech by Mr. GERMOZZI 14
Conclusion by the Committee’s Chairman, Mr. VANNI 15
**Adoption of Opinions**
1. MEMORANDUM ON AIR TRANSPORT SERVICES 16
2. INTERNATIONAL STANDARDS GOVERNING WORKING CONDITIONS (own-initiative Opinion) 19
3. RADIATION PROTECTION 21
4. BIOMOLECULAR ENGINEERING 22
5. OILS AND FATS — PRODUCER GROUPS 24
6. WINE MARKET 25
7. VINES 26
8. LESS-FAVoured AREAS OF NORTHERN IRELAND 26
9. CATTLEFEED SECTORS IN NORTHERN IRELAND 27
10. TEXTILE NAMES 28
11. SWINE FEVER 30
12. SAFETY BELTS 30
13. FLAX AND HEMP 32
14. PREMIUM FOR THE BIRTH OF CALVES 34
15. HOPS 34
16. BIODEGRADABILITY CHANGES TO THE RULES OF PROCEDURE 35
III — **EXTERNAL RELATIONS** 37
Statement by the Chairman concerning his activities
IV — **NEW REQUESTS FOR OPINIONS** 41
V — **PROVISIONAL PROGRAMME OF FUTURE WORK** 43
VI — **MEMBERS’ NEWS** 45
VII — **PRESS SHOW** 47
•
•
•
•
•
CONFERENCE ON THE ENLARGEMENT OF THE COMMUNITY
On 26 and 27 June 1980, the Economic and Social Committee held an important conference on the enlargement of the Community. The conference — the first of its kind — was attended by leaders of the major socio-economic organizations from the Nine, Greece, Spain and Portugal, the President-in-office of the Council, Mr ZAMBERLETTI, and Mr SPAAK, Commission Director-General in charge of the accession negotiations. More than one hundred people attended this conference which was based on previous work by the Committee and particularly its Opinion on enlargement of 28 June 1978.
Among the European groupings represented at the conference were the following:
UNICE (Industry), Chambers of Commerce, CEEP (public enterprises), ETUC (trade unions), COPA (farmers), COGECA (agricultural cooperatives), UEAPME (small and medium enterprises), SEPLIS (professions), BEUC and EUROCOOP (consumers), and COFACE (families).
The conference sought to explore the various facets of the difficulties thrown up by enlargement. Participants worked together to find how Community policies can develop along lines which will help eradicate regional, economic and social imbalances.
A wide-ranging debate took place on the problems underlying enlargement, including the development of the Community, strengthening the institutions, agriculture, social policy, employment, free movement of workers, industrial policy and regional policy and the implications for Community external relations, particularly vis-à-vis certain non-member Mediterranean countries.
Extracts from speeches
In his opening speech the Chairman of the Committee, Mr VANNI, pointed out that by inviting representatives of economic and social interest groups in the Nine and in Greece, Spain and Portugal to hold a joint discussion on the complex issues of enlargement, the Committee had demonstrated its desire to carry out within the framework of the Community Institutions, its role as the vehicle for the democratic and pluralistic involvement of economic and social interest groups and their representative bodies in the running of the Community.
The aim of the Conference was to help to find solutions to the problems by bringing about an increasingly broad consensus amongst the various interest groups in favour of the development of Community policies designed to help remove regional, economic and social imbalances.
Although it was not the role of the Committee to put forward new policies, it should pinpoint the short and medium-term obstacles to enlargement. The Committee had already given its full political backing to enlargement. By organizing the Conference the Committee wished to reaffirm its support for enlargement, which it regarded as a vital instrument for building Europe on lasting foundations.
The President-in-office of the Council, Mr ZAMBERLETTI, Under-Secretary of State at the Italian Ministry of Foreign Affairs, pointed out that the Council had reacted positively to the Greek, Spanish and Portuguese applications for membership. The final stage had been reached in the initial negotiations designed to identify the problems which would be raised by the accession of Spain and Portugal. The work carried out so far had made it possible to assess fairly accurately the impact which Spanish and Portuguese accession would have on the Community. The failure to meet the deadlines set out at the beginning of the period of the Italian presidency, in spite of the Council's commitment, was not due to slowness of work but to the practical difficulties.
The Greek Delegation attending the Enlargement Conference.
which had caused considerable delays in the presentation of some of the Commission's proposals. The proposals dealing with agriculture in Portugal, and fishing in Spain and Portugal had still to be submitted. Nevertheless, awareness of the problems had not eroded the political will to proceed with negotiations without a break.
MR ZAMBERLETTI also mentioned the budgetary problem which enlargement would pose for the Community. That problem would make it necessary to reconsider the current « own resources » system.
The speaker thought that both in the Member States and the applicant countries the political will to proceed with negotiations should be accompanied by the will to find the most suitable ways and means of ensuring that the Community would be strengthened by the second enlargement.
Mr SPAAK, the Commission Director-General in charge of the enlargement negotiations, started by pointing out that Greece would become the tenth member of the European Community on 1 January 1981, since all the Member States had ratified the Treaty of Accession signed in Athens on 28 May 1979.
Turning to the negotiations with Spain and Portugal, the speaker reaffirmed the Commission's wish to get down to the detailed discussions in the autumn and bring them to an end some time in 1981. Spain and Portugal would then be able to become members in 1983.
The negotiations would not go far enough to ensure that the Community of Twelve achieved the desirable degree of homogeneity by the end of the transition period regardless of how long that period was. It was vital for enlargement to be backed up by a strengthening of the Community's internal cohesion, which would involve completing the common market and strengthening the common policies.
Depending on the measures taken, enlargement could either worsen the situation in the Community or round off the building of the Community edifice.
After having touched on the agricultural problems with which the Community would have to contend if it wanted to meet the new challenge, Mr SPAAK pointed out that the presence of twelve members would put a considerable strain on the institutions and the decision-making procedures. Hence the need for increased solidarity, which should be borne out in a more frequent use of majority voting whenever the topics under discussion did not touch on vital interests and did not warrant a unanimous decision.
* * *
The representatives of the Economic and Social Committee of the European Communities said that the Committee had accepted the prinThe Portuguese Delegation.
ciple of enlargement in an Opinion which had been carried almost unanimously. The Opinion had referred to the institutional and economic problems which the Community had to solve if the second enlargement was to be a success.
Mr Alois PFEIFFER (German member of the Economic and Social Committee sitting on the Workers' Group) summarized the Committee's Opinion and pointed out that the Committee had highlighted the sacrifices and efforts needed to carry the negotiations through to a successful conclusion. The aim was not to weaken but to strengthen the Community. The burdens and problems of adaptation should be borne by all parties acting in a spirit of solidarity.
Economic policy had to contribute towards the implementation of a dynamic employment policy in the Community, for the improvement of general living standards hinged on this. The Community's efforts in the field of regional policy should therefore centre on the creation of permanent jobs.
Mr PFEIFFER, on behalf of the Committee, formally assured the delegates that considerable importance was attached to the smooth integration of the applicant countries into the European Community.
Mr EMO CAPODILISTA (Member of the Economic and Social Committee, Italy — Various Interests Group) put forward the Committee's view on the agricultural aspect. Enlargement would mean a considerable increase in the proportion of farms requiring structural change and would exacerbate regional imbalances. There was a risk that the enlarged Community would have large surpluses of some Mediterranean agricultural products. At the same time it was possible that the structural surpluses in certain North European agricultural products would merely be reduced, but not eliminated.
It was indispensable that a strategy be worked out with the new Member States for switching to new crops, in particular to crops rich in vegetable protein.
Radical measures were needed; therefore the transitional period must aim to ensure that, before the final phase, there was a real alignment of economic conditions in the Community and in the applicant countries; it should do this by providing adequate safeguard clauses and updating the socio-structural Directives to make them applicable in the Mediterranean regions, thanks to increases in Community funding.
* * *
Speaking on behalf of UNICE, its President, Mr CARLI, stated that his organization hoped the Community could be enlarged. Enlargement must not, however, weaken the Community or downgrade it to a customs union; nor must it lead to protectionism. Enlargement must not endanger the measures taken in respect of non-Community countries, such as the preferential agreements. Its negotiating power must not be weakened. Mr CARLI referred to three main problems: firstly, structural problems, insofar as the Community would be faced by differing levels of development. Secondly, economic uncertainty. Thirdly, institutional procedures would have to be improved and a start made right now on studying this problem.
The Community must make the necessary adjustments so that the acceding countries could fall in line with its existing rules. The Community must avoid protectionist measures, while the applicant countries must resist invoking the safeguard clauses. In short, UNICE favoured enlargement provided that it did not undermine the Community's past achievements.
The point of view of industrialists in the three applicant countries was then put forward:
1. For the Spanish confederation of industrial organizations the conference had been overtaken by recent events.
The Spanish people were impatient for membership and were worried about possible delays in the negotiations.
Spanish industry was ready and willing to adapt so it could come into the Community. It had already begun the requisite economic and
social restructuring, but it asked the Community to assume its responsibilities too.
2. For the Portuguese industrial association, Portugal’s entry into the Community was the logical continuation of that country’s history and would consolidate democracy in Portugal. Accession meant working out a new development model based on competition and the role of private enterprise. Public corporations would have to adapt to those rules.
Stress was laid on the need for the Community to help Portugal restructure and stimulate the investments essential to economic development.
3. The Greek employers, affirmed that despite the difficulties which some sectors were facing, Greek industry was determined to adapt to the new circumstances brought about by accession.
The Greek people were in favour of accession. Industry had to be restructured to improve productivity. The public sector would have an important role to play in that context.
* * *
The President of the European Trade Union Confederation, Mr Wim KOK, speaking on behalf of his organization, stressed the importance of accession to the strengthening of democracy in the three candidate countries. Although the economic difficulties of the EEC Member States were serious, the negotiation timetable had to be kept to. One of the factors essential to ensuring the success of enlargement would be the stepping-up of financial transfers from the rich to the poor regions; the amounts provided so far had been quite inadequate for promoting economic development. Such a project for southern Europe could help in getting the Community economy moving again, which was more necessary than ever. The economic and social problems which workers had to face up to, the most serious of which was unemployment, could only be solved at international and Community level. The key instruments for doing this would be improved co-ordination and the convergence of economic policies.
As far as freedom of movement for workers was concerned, the trade union movement considered that this basic right, like the other aspects of Community legislation, had to be granted to citizens of the acceding countries. But the structural unemployment in certain regions would require freedom of movement to be phased in during a transitional period.
The representatives of Greek, Portuguese and Spanish workers stressed that they supported enlargement in principle but also expressed certain concerns. Steps should be taken to see that workers benefited fully from what the Community had achieved. First of all, accession to the Community should improve their living conditions and standard of living. In the field of social policy the most urgent issues were unemployment, the use of the Social Fund, vocational training, helping backward regions, providing freedom of movement for workers in accordance with Community rules and getting these rules incorporated in national legislation.
The unions were worried about the position of multinationals in the Community.
At national level, there had been complaints about an inadequate flow of information between the unions and the authorities responsible for negotiations.
It was hoped that enlargement would further political and economic progress in the new Member States, and help to safeguard workers' interests.
The economies of the applicant countries would have to be restructured, and any delay in the negotiations would create an element of uncertainty.
On behalf of COPA its Vice President, Mr LUTEIJN, went into the agricultural problems which would be created by enlargement. COPA agreed that further countries should be able to join the Community. But it was essential not to underestimate the difficulties, which had alarmed a number of farmers.
One of the prerequisites was that CAP should not be dismantled — i.e. adequate funds would have to be available. COPA could not agree to CAP guarantees being scaled down. Current production should not be sacrificed. The underlying principles of CAP — uniform prices, preference for Community production and financial solidarity — should be retained.
COPA had always favoured adoption of a fairly long-term socio-structural policy. For the applicant countries that would entail a long transitional period, perhaps comprising three five-year stages.
The representatives of Greek, Portuguese and Spanish agricultural organizations described their national agricultural sectors and the problems they faced.
Special reference should be made to structural weaknesses, the small size of holdings and the inadequate distribution system. Accession should help to remedy those shortcomings. A long transitional period was conceivable, but Community regional, social and political facilities should be fully available from the outset.
The Spanish delegations were very critical about the current treatment of Spanish agricultural produce in the Community. An enlarged Community should condemn violence, it should be a Community of fraternity.
* * *
Before summing up the ESC Chairman, Mr VANNI, stated that, while it was not the task of the Economic and Social Committee to put forward new political assessments, it should nevertheless identify the obstacles to enlargement in the short and medium term and look for ways of overcoming them. The Committee had already given its full support to enlargement and intended to continue to promote this fundamental instrument for lasting European unity.
He then welcomed the broad consensus on the fundamental nature of enlargement. The Conference was pleased that, according to Council and Commission spokesmen, negotiations were on schedule.
Mr VANNI endorsed the wish expressed by several participants that socio-economic interest groups should be more closely involved in negotiations via regular briefings from the appropriate authorities.
In the light of the Conference's findings, the Committee will continue to keep the Community Institutions informed of the views of socio-economic groups and endeavour to strengthen the links between the economic and social interest groups in the Twelve.
— II —
180th PLENARY SESSION
The European Communities’ Economic and Social Committee held its 180th Plenary Session at its headquarters in Brussels on 2 and 3 July 1980. Its Chairman, Mr Raffaele VANNI, presided.
The guest speaker at the Session was the President of the European Parliament, Mrs Simone VEIL.
SPEECH BY MRS. VEIL
Mrs VEIL began by saying that for the first time in the Community’s history a President of the European Parliament had been invited to address the Economic and Social Committee. She saw her visit as a sign
At the right Mrs. Veil, President of the European Parliament. At the left Mr. Vanni, Chairman of the Economic and Social Committee, at the Plenary Session.
of the will of the Economic and Social Committee and the European Parliament, while respecting each other's autonomy and character, to work together towards strengthening the Community in the difficult times we were traversing.
After referring briefly to the present situation of the European Parliament and emphasizing that the entry of political forces directly elected by the people onto the Community scene had straight away been a dynamic factor in what had so far been regarded by public opinion as a largely technocratic entity, Mrs VEIL spoke about relations between the Economic and Social Committee and the European Parliament. The European Parliament, she said, wanted increased cooperation between itself and the Committee, as called for in the report of the « Three Wise Men » (the Dell report). The aim of such cooperation had to be to improve the quality and speed of the Community's work, and its principle should be respect for the autonomy of each of the assemblies.
Instead of harming such cooperation, the direct election of the Parliament had made cooperation both easier and more necessary than in the past, inasmuch as it highlighted the distinctions that had to be drawn between a political assembly and an assembly where economic and social interests expressed themselves.
The will to cooperate was shown by the fact that the political committee of the European Parliament, as part of its reflections on inter-institutional relations in the Community, was preparing a report on relations with the Economic and Social Committee.
Mrs VEIL considered that it would be neither realistic nor in accordance with the Treaties (or the principle of autonomy of the institutions) to share the work between ESC Sections and European Parliament committees.
There was however a lot to be said for stepping up the exchange of information between the two assemblies. Much had already been done in this respect: on about ten occasions Rapporteurs had been heard by EP committees and members of the Economic and Social Committee had taken part in the work of those committees; there had been meetings and exchanges of views between the chairmen of parliamentary committees and ESC Sections and, mainly recently, invitations had been sent to ESC Rapporteurs to take part in the hearings organized by the European Parliament.
When an ESC Opinion had been issued on a text submitted to the European Parliament Mrs VEIL thought it highly desirable that this Opinion be pointed out and examined at committee and Plenary Session discussions. The fact that the Rapporteurs of the EP committees could on occasion supplement their reports by the Opinion delivered by the Economic and Social Committee could be of great interest, whether this
Opinion was unanimous, which was a valuable indication, or contained a statement of the minority view.
Special mention had to be made of the cooperation provided for in the Lomé Convention between the economic and social interest groups of the EEC Member States and the ACP States.
For both practical reasons and as a matter of principle it would not be in the interests of either the Economic and Social Committee or the European Parliament to over-formalize mutual contacts; some kind of « method » should probably be introduced taking account of the work programmes of the two institutions.
In conclusion, Mrs VEIL stated that if the ESC and the Parliament succeeded in establishing a flexible, orderly working relationship, those members who, because they had no national counterpart to the Economic and Social Committee or for other reasons, were hesitant about closer cooperation would soon realize the advantages.
If dialogue and comprehension between men and women who respected each other’s viewpoints and were fired by the same ideals, were the best ways of solving difficulties and advancing the European Community, there was a good future for links between the Committee and Parliament.
**SPEECH BY MR DE PRECIGOUT**
Replying to Mrs. Veil’s speech, Mr de PRECIGOUT, speaking on behalf of the employers, expressed satisfaction at the direct election of the European Parliament, which had afforded the people of Europe a wider choice in the matter of European integration.
The difficulties facing Europe were a source of serious concern to the representatives of Group I. In this connection, it would be regrettable if doctrinal divergences were to become an excuse for inaction.
Group I was particularly alive to the unfavourable employment situation in the Community, which was liable to jeopardize the protection of liberty.
While stressing the need for the European Parliament and the ESC to preserve their autonomy and their specific functions, Mr de PRECIGOUT expressed himself pleased at the cooperation between the two bodies. By way of example, he drew attention to the importance of the cooperation in the Community’s relations with the developing countries. This had made it possible to promote contacts between EEC and ACP economic and social interest groups following an ESC suggestion and an initiative by the European Parliament.
The Community's international relations formed an important and complex problem. In this connection, the representative of Group I stated that behind the political conflicts there were concrete problems that the economic and social interest groups could help to resolve.
**SPEECH BY MR DEBUNNE**
Speaking on behalf of the Workers' Group, Mr DEBUNNE expressed the hope that the Parliament would gradually exercise a democratic, responsible control and adopt measures to stimulate the European institutions. He hoped that Mrs VEIL would spearhead the move to give the Parliament and the Economic and Social Committee more influence with the Council of Ministers and the Commission. He was pleased to learn that its President was in favour of cooperation between the Parliament and the Committee based on respect for each institution's autonomy and specific functions.
He rejected the idea of a distribution of tasks between the two institutions. But cooperation and mutual information between the Parliament and the Committee would become more and more necessary. It was important that the majority and minority Opinions of the Economic and Social Committee should not only be taken into account as technical opinions but should also have a real influence on the final decisions taken.
Mr DEBUNNE noted that Mrs VEIL had stressed the need to maintain agricultural incomes. He pointed out that workers were fighting to preserve the rights they had acquired and wanted to ensure that the part of the Treaty dealing with upward harmonization was observed. He warned that unemployment was a dangerous disease for democracy and expressed the hope that the Parliament would take up this question.
**SPEECH BY MR GERMOZZI**
Mr GERMOZZI, Chairman of the Various Interests Group, stated that this Group which represented small businesses, farmers, consumers, cooperatives and the professions saw Parliament as an essential counterbalance to technocratic dominance and a bulwark against attempts to oversimplify and pigeon-hole all economic, social and even political activity. The Economic and Social Committee was the Parliament's partner and the Various Interests Group stressed the need (a) to
brief Parliamentarians about the Committee’s activity and (b) to establish closer links between the Parliamentary Committees and the ESC Sections and between Rapporteurs. The Committee appreciated the Parliament’s concern for a direct dialogue with the representatives of economic and social activity. The organizations represented on Group III welcomed dialogue with Parliament which they were convinced must reflect the views of the entire spectrum of economic and social interests.
CONCLUSION BY THE COMMITTEE’S CHAIRMAN, MR VANNI
In conclusion, Mr VANNI declared that he was pleased to hear from Mrs VEIL that the Parliament — like the Committee — was keen on strengthening relations. He was convinced that these relations could be organized more efficiently along non-bureaucratic lines and could be fruitfully developed in the Community’s interest.
He thought that, in a nutshell these relations could take the form of (a) rapid and purposeful exchanges of information and documentation and (b) Committee members being asked to address Parliamentary Committees plus contacts between Parliamentary Committees and ESC Sections. If some of the ESC’s meetings were of special interest to the Parliament, representatives of the Parliament’s Secretariat would always be welcome to attend. He also referred in this context to the extremely beneficial annual meetings between socio-economic spokesmen of the Nine and the ACP States, organized under the auspices of the Joint Committee of the ACP/EEC Consultative Assembly.
The favourable response which the Committee had always given to, strengthening its relations with the Parliament had become all the more warranted since the direct elections. By virtue of its nature and its make-up, the Parliament had a top-level political function to fulfil. Its members, elected by the peoples of Europe, voiced the Community’s aspirations and problems. However, prior to reaching their decisions, they could learn a lot from the discussions held within the ESC’s four walls by the representatives of socio-economic interests. This proposal did not mean that the two institutions’ respective roles would become confused.
The serious economic and social problems facing Europe and the need to revitalize the institutions required a universal commitment and institutions capable of creating a new impetus themselves. All the Committee members were grateful for what the Parliament had been able to do in this direction in its first year of work despite a number of practical and organizational difficulties.
Adoption of Opinions
1. AIR TRANSPORT SERVICES
The contribution of the European Communities to the development of air transport services
Gist of the Memorandum
In the Commission's opinion, it is time to discuss the long- and medium-term objectives of a Community air transport policy with the circles concerned. Consideration should subsequently be given to measures which could usefully be initiated in the short and medium term.
Air transport must be adapted to modern conditions and make use of the significant changes that have taken place recently throughout the world in civil aviation.
In its Memorandum the Commission lays down the major objectives on a future policy for improving the market structure of air transport in the Community and proposes a number of measures for achieving these objectives in the short and medium term. Attached to the Memorandum is an analysis of the present market structure of Community air transport, which forms the background to the Commission's new policy measures.
Objectives and implementing measures
The memorandum proposes four major objectives for the improvement of Community air transport. These objectives are intended to further the interests of users, airlines, staff and the general public and at the same time take account of the Community's overall aims.
Users:
As comprehensive as possible an air transport network with efficient services at the lowest possible prices without discrimination:
Airlines:
Financially healthy airlines, lower operating costs and higher productivity;
Staff:
Protection of the interests of airline workers in the general context of social progress, including elimination of obstacles to free access to employment;
General public:
Improvement of the living conditions of the public at large especially in the areas of health and environmental protection (e.g. aircraft noise, regional development, rational use of energy, etc.).
These objectives take account of the fact that the structure of Community and world air transport is largely determined by State influence in the areas of bilateral agreements, routes, tariffs and capacity. This means that direct price and tariff competition in scheduled air transport is limited, whereas there is severe price competition with other forms of air transport and other transport modes (road, sea, rail). It could be in the Community's direct interest to promote higher productivity in air transport, which could lead to lower tariffs. In the Commission's view, this goal could be achieved by the introduction of several elements of competition and the creation of openings for innovations.
Lower fares and greater flexibility of air transport services
(Introduction of a third-class fare; low tariffs for a limited number of seats, subject to the fare being paid far in advance, with no refund or only partial refund if the passenger postpones his flight; simple ticket from point of departure to destination, with the possibility of purchasing additional services, such as reservation, interchangeability, etc.; offer of a certain percentage of the weekly capacity on particular routes at a fare not exceeding 50 or 60% of the economy class fare; a European roundtrip ticket; general introduction of standby tariffs, etc.).
Rules of competition
(The Commission does not yet have any practical means of ensuring that airlines observe the rules of competition in air transport).
Measures to reduce airlines operating costs
Staff policy measures concerning the working conditions of aircrew and ground staff. Mutual recognition of the qualifications of staff.
External relations
(Procedure for consultation between the Member States and the Commission on the air transport matters dealt with in international organizations and negotiations with third countries).
Air traffic control measures and impact on the aerospace industry
(A larger volume of air traffic will lead to higher demand for aircraft of European manufacture in the Commission's view, which is why it wishes to encourage research for the development of new aircraft. But a larger volume of air traffic will also lead to greater problems in the area of air traffic control, which the Community must also face up to).
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion on this subject by a large majority (2 votes against and 5 abstentions). It notes the lack of cooperation among the Member States towards setting up a common air traffic control system and improving air traffic control procedures. It calls for measures to be taken under the Community transport policy to promote air transport within the Community and free it of unnecessary constraints and burdens. It expresses its concern about the consequences of this lack of coordination, which has frequently led to considerable disruption of air traffic in Europe and poses a threat to safety.
On the basis of the Commission's extensive Memorandum, the ESC takes the view that, in order to remedy these dangerous shortcomings, the Community should initially concentrate on objectives in the following five areas:
The disruptions affecting air transport are in the main attributable to shortcomings in air traffic control. These shortcomings should be tackled with the following aims in mind: an optimum common organization of the airspace, optimum utilization of existing ATC capacity, development of a homogeneous ATC infrastructure, routes as direct as possible, harmonization of standards for the training of ATC personnel and harmonization of their working conditions. To this end the Committee attaches great importance to the strengthening of the role of Eurocontrol.
Secondly, it is necessary to simplify procedures so as to obviate drawbacks to air transport users. The airlines should prevent overbooking and improve passenger facilities and services, particularly in the event of diversions. Controls and handling procedures could easily be made more flexible.
On the question of competition, the abortive experiments in the USA should not be copied in the short term. At the same time rules on competition should be more flexible so as to have a more competitive system; this is in the interests both of users and civil aviation.
Because of the importance of energy conservation in the Community, aviation authorities and carriers should try to achieve better capacity utilization on existing services; this could have a favourable impact on economic efficiency and prices in air transport.
The rate structure should be as uniform and clear as possible, with simplified conditions of carriage and a reduced number of special fares to make it easier for users to form a picture of what is on offer.
The boom in tourism has enabled charter airlines to expand considerably their share of the Community air transport market. It is in the interests of the public that scheduled and charter air transport operations should encourage this trend whilst retaining their own special features.
The ESC welcomes the fact that the Commission has started to study the question of inter-regional air transport. In the context of regional policy, airports and air links could be developed to improve the situation in regions with poor transport services.
The ESC also calls for the harmonization of labour legislation and the introduction of a regular system of concentration between employers and trade unions.
This Opinion was based on material prepared by the Section for Transport and Communications under the chairmanship of Mrs. WEBER, Germany — Workers. The Rapporteur was Mr. ZUNKLER — Germany — Employers.
2. INTERNATIONAL STANDARDS GOVERNING WORKING CONDITIONS
(own-initiative Opinion)
Development cooperation policy and the economic and social consequences of the application of certain international standards governing working conditions
Gist of the Opinion (*)
In this Opinion, adopted unanimously less 2 abstentions, the Committee believes that development cooperation policy must be chiefly
concerned with promoting economic and social progress in the LDCs and therefore urges the Community to conclude a « social agreement » with all countries with whom it has or may conclude cooperation agreements.
In view of the failure of previous attempts to insert minimum social standards in agreements, the Committee has adopted a completely new approach and defines the objectives of incorporating rules on working standards in agreements on cooperation and international trade. It then suggests ways of achieving these objectives.
EC-LDC cooperation should cover all aspects of development (social, cultural, economic, etc.) and should pave the way for the structural changes required to fulfil the needs of the population and to create as many jobs as possible. The Committee warns against using minimum social standards for protectionist ends.
The Committee examines the measures taken by the ILO, GATT, the EEC and the UN and proposes that the social situation in the LDCs should be harmonized upwards. The industrialized nations should make the necessary adjustments to cope with the industrialization of the Third World. Minimum social standards conducive to justice, freedom and human dignity must be defined and implemented without infringing national sovereignty.
The Committee feels that a social agreement is the most appropriate way of achieving the proposed objectives. The Contracting Parties should give undertakings on the following issues:
- Ratification of ILO conventions on equitable working standards conducive to social protection (conventions on trade union and collective bargaining rights, non-discrimination in employment, restrictions on child labour, etc.).
- Behaviour of companies investing in LDCs. Such companies would have to undertake (a) to comply with the tripartite declaration of principle on multinationals and social policy, particularly the sections on the promotion of full employment and job security, consultation of workers, (b) to guarantee proper working, health and safety conditions, (c) not to downgrade the environment or living conditions.
- Workers from LDCs to enjoy the same rights as EEC nationals when working in the Community (this clause is already contained in the second Lomé Convention).
- Cooperation on technical aid and staff training in environmental protection and the improvement of working conditions.
In conjunction with the ILO and in the light of consultations with the social and economic interest groups, the parties to development cooperation agreements would consider cases of noncompliance with
ILO standards and commitments arising from the « social agreement », and would draw the appropriate conclusions, bearing in mind the level of development of the countries concerned.
In the spirit of the 1977 ILO Resolution, aid policy and the benefits granted to LDCs could be modified if it were established beyond doubt that they had violated labour and trade union rights or commitments under the « social agreement ».
This Opinion was based on work done by the Section for External Relations under the chairmanship of Mr. de PRECIGOUT — France — Employers. The Rapporteur was Mr. SOULAT — France — Workers.
3. RADIATION PROTECTION
The Draft Proposal for a Council Directive laying down basic measures for the radiation protection of persons undergoing medical examinations or treatment
Gist of the draft proposal
The main aim of the Commission’s proposal is to bring the radiological examination of people within the scope of EURATOM’s basic safety standards; these stipulate that:
- medical exposure to radiation must be kept as low as possible;
- the exposure of operators to radiation must be justified by the advantages which it produces.
The proposal thus stipulates that operators must have the competence and experience required to ensure that radiation is not used inappropriately.
The technical quality and radiological safety of all installations in operation must also be closely monitored and any obsolete or inadequate equipment must be replaced.
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion by a large majority (2 votes against and 3 abstentions). It welcomes the Commission's endeavours to tackle the problem of radiological examinations in view of these examinations' importance for public health.
There may be a substantial reduction in unnecessary exposures to radiation if doctors and technicians receive suitable initial and in-service training and if information about radiological examinations undergone previously by patients is passed on.
The Committee also emphasizes the problem of mass radiological examinations carried out as preventive measures and examinations undergone at the request of insurance companies. In both of these cases, it is vital for the examinations to be authorized by a doctor or another competent body.
As regards the surveillance of radiological installations, it is necessary to compile an inventory of all installations in order to check that they comply with current radiation protection standards.
This Opinion was based on work prepared by the Section for Protection of the Environment, Public Health and Consumer Affairs under the chairmanship of Miss ROBERTS — United Kingdom — Various Interests. The Rapporteur was Mr. von der DECKEN — Germany — Various Interests.
4. BIOMOLECULAR ENGINEERING
The Proposal for a multiannual Community programme of research and development in biomolecular engineering
Gist of the proposal
This proposal concerns an indirect action programme (i.e. the Commission will award research contracts to various research institutes) covering the period from 1981 to 1985. It is motivated by the need to allow the optimal exploration by man of the fundamentals of modern biology and to stimulate in the Community certain applied fields where
advances have been made in recent years, primarily by the USA and Japan. The two main elements to the programme concern the development of enzyme reactors useful for European industries and the application of genetic engineering methods to organisms of importance for certain industries. The programme consists of six different projects all within this field.
**Gist of the Opinion (*)**
In an Opinion, adopted unanimously, the Economic and Social Committee stresses the importance of biomolecular engineering in the decades ahead and endorses a proposed programme by the EC Commission to foster research and development in this field. Furthermore, it would like to see encouragement for research into biomolecular engineering and faster application by industry of new discoveries so as to make up the ground already lost by the Community.
Among the points made by the Committee are the following:
- Enzymes, which are already used in a rudimentary way in baking and brewing, could shortly be used on a far greater scale in the chemical and pharmaceutical industries and in processes to eliminate toxic substances.
- Moreover, new discoveries will make it easier to produce organisms with new and important genetic properties, making it possible to transfer genes, produce improved strains of plants and create cereals which are specially geared to climatic conditions (particularly those of the developing countries, which do not have such crops).
- To ensure that any risks which might arise are eliminated, an assessment of the risks to workers' safety and the protection of the environment must be undertaken at the same time as the projects in the proposed programme. The Commission should prepare a new research project centred on safety problems, especially those arising when research findings are applied in industry.
- The Committee concludes its Opinion by saying that it attaches a great deal of importance to the public being informed in good time about all developments to do with the proposed programme and by regretting the inadequacy of the funds available for carrying it out.
This Opinion was based on material prepared by the Section for Energy and Nuclear Questions under the chairmanship of Mr. HATRY — Belgium — Employers. The Rapporteur was Mrs. HEUSER — Germany — Various Interests.
5. OILS AND FATS — PRODUCER GROUPS
The Proposal for a Council Regulation (EEC) amending Regulation no. 136/66/EEC on the establishment of a common organisation of the market in oils and fats and supplementing Regulation (EEC) No. 1360-78 on producer groups and associations thereof.
Gist of the Commission proposal
The Commission amendments solely concern the operation of olive oil producer groups and their associations. These amendments seek to:
- confer wider supervisory powers on producer groups and associations;
- enable such associations to accept, for the purpose of granting production aids, individual membership applications from producers who do not market their own produce;
- speed up the payment of aid;
- extend Regulation 1360/78 on producer groups and associations to cover French olive oil production.
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion by a large majority (2 votes against and 6 abstentions). It approves the Commission proposal but would like to see associations also composed of producer groups including olive growers whose production is intended for their own consumption.
The Commission proposal should place an obligation on intervention agencies to accept the pressed olive oil of Community origin offered by the producer groups and associations recognised under Regulation No. 360/78/EEC.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. RAINERO — Italy — Various Interests.
(* Doc. CES 660/80
6. WINE MARKET
Proposal for a Council Regulation (EEC) amending Regulation (EEC)
No. 337/79 on the Common Organisation of the market in wine
Gist of the Commission's proposal
It is proposed that certain additions be made to EEC Regulation No. 337/79 in readiness for Greek accession. The main object is to arrange for resinated wines to come under Community rules. For this purpose the Commission has drafted special provisions which are to apply to these products and, in particular, to the oenological practices admitted and the ban on blending with other wines.
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion unanimously. It considers that Greek resinated wine ought to be treated as an aromatised wine and not, as the Commission proposes, as a table wine. This would be more consistent with the relevant Community legislation.
Nevertheless, resinated wine should enjoy the same guarantees as table wine and be subject to the same pricing arrangements.
The Committee would like the Commission to consult the Scientific Committee for Food on the adding of Aleppo pine resin.
Resinated wine should only be marketed under a special name to prevent any confusion with traditional table wines or quality wines p.s.r.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. OGNIBENE — Italy — Various Interests.
7. VINES
Proposal for a Council Regulation (EEC) amending Regulation (EEC) No. 456/80 on the granting of temporary and permanent abandonment premiums in respect of certain areas under vines and of premiums for the renunciation of replanting
Gist of the Commission's proposal
The object of the Commission's proposal is to make applicable in the delimited production area for spirits with the designation « Armagnac » the general system of temporary abandonment premiums provided for in Regulation (EEC) No. 456/80 (OJ No. L 57 of 29 February 1980).
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion unanimously less 3 abstentions. It approved the Commission's proposal and asked that the grubbing-up operations in the Armagnac area be carried out as far as possible in those vineyards which were least suited to producing quality spirits.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. LAUGA — France — Various Interests.
8. LESS-FAVoured AREAS OF NORTHERN IRELAND
Proposal for a Council Regulation (EEC) for the stimulation of agricultural development in the less-favoured areas of Northern Ireland
Gist of the Commission proposal
Given the particularly depressed state of farming in the less favoured areas of Northern Ireland, the deficiencies of agricultal structures
and the dependence of these areas on beef cattle and sheep production, the Commission proposes for the less favoured areas of Northern Ireland three specific measures:
- the improvement of agricultural and local roads;
- land improvement, including field drainage, land reclamation and pasture improvement;
- the development and orientation of farm production.
A 50% Community aid is proposed because of the acuteness of the problems of this peripheral region of the Community.
**Gist of the Opinion (*)**
The Economic and Social Committee adopted its Opinion unanimously. It acknowledges the economic and social difficulties of the agricultural sector in Northern Ireland and in the less-favoured areas in particular and therefore welcomes the Commission's proposal to provide aid to this area.
The Rapporteur-General was Mr. HALL — United Kingdom — Various Interests.
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9. CATTLEFEED SECTORS IN NORTHERN IRELAND
*Proposal for a Council Regulation (EEC) on a common measure to improve the conditions under which agricultural products in the eggs, poultrymeat, cereals and cattlefeed sectors in Northern Ireland are processed and marketed*
**Gist of the Commission proposal**
Given the unfavourable conditions for major crop production in Northern Ireland, many farm holdings have concentrated on intensive breeding such as pigmeat production, eggs and poultry. They are facing particularly serious problems with 85% of supplies of feedingstuffs for poultry coming from outside and about two-thirds of outlets overseas, and with very tight profit margins.
Rationalization and modernization necessitates substantial aid, particularly in Northern Ireland where the economic situation makes self-financing very difficult.
**Gist of the Opinion (*)**
The Economic and Social Committee adopted its Opinion unanimously. It approves the proposals while suggesting the addition of pig meat to the sectors covered. It also requests the Commission to examine means of providing more immediate aid than that proposed, given the urgency of the problems in Northern Ireland.
The Rapporteur-General was Mr. HALL — United Kingdom — Various Interests.
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10. **TEXTILE NAMES**
*Proposal for a Council Directive amending Directive 71/307/EEC on the approximation of the laws of the Member States relating to textile names*
**Gist of the proposed Directive**
Council Directive 71/307/EEC which introduced compulsory uniform labelling of textile products on the basis of their fibre content (both quantitative and qualitative), made it possible to bring about the free movement of these products within the common market. It also ensured to a great extent the information of the consumers who are today able to ascertain the composition of the articles available for sale.
It has emerged, however, that there are many differences in the application and interpretation of this Directive; in some cases there is a risk that these differences will restrict the free movement of textile products, reduce or jeopardize information for consumers or place the industry in a difficult position.
The main reasons for this situation are that the Directive is ill-suited to new products, the Community regulations are incomplete, some definitions or exceptions are ambiguous and general (which has meant that they have sometimes been applied and interpreted differently in the
Member States), some of the provisions do not make sufficient allowance for the typical features of some branches of the textile industry or marketing practices for certain products, etc.
The present proposal aims as far as possible to eliminate these obstacles by amending Directive 71/307/EEC and Annexes III and IV.
**Gist of the Opinion (*)**
In its Opinion, adopted unanimously, the Committee welcomes the Commission’s proposal for a Directive, particularly the suggested inclusion of strips and tubes and the mention, in certain cases, of percentage composition and permitted tolerances.
Nevertheless information given on labels should always be positive. It also regards as just the right of Member States to require that textile products sold on their territory be labelled in their national language insofar as this is necessary for consumer information and for textile fibre names which have negligible differences. Nevertheless the Committee recognizes that the practice « negligible differences » may be exploited as coined names for imitation products, particularly for luxury fibres.
It is therefore opposed to the whole of Annex V which lists names that have to be accepted if given in any one of the six languages of the Community.
For synthetic fibres, the problem is somewhat different because people are not yet used to these names; the sensible way to harmonize names would be to have one common name for each fibre in all countries.
The use of the word « minimum » after the names of mixed fibres which are known as to quality and quantity and which constitute not less than 40 % of the finished product, is bound to create doubts in the minds of the majority of consumers about the real percentage of the fibre or fibres indicated.
Finally, the Committee urges rapid adoption of the Directive and stresses the need to set up effective bodies to monitor its implementation.
This Opinion was based on material prepared by the Section for Industry, Commerce, Crafts and Services under the chairmanship of Mr van CAMPEN — Netherlands — Employers. The Rapporteur was Miss ROBERTS — United Kingdom — Various Interests.
11. SWINE FEVER
Proposal for a Council Directive prolonging certain derogations granted to Denmark, Ireland and the United Kingdom in respect of swine fever
Gist of the Commission proposal
The Commission proposes that the derogations granted to Denmark, Ireland and the United Kingdom in respect of swine fever under Council Directive 80/218/EEC should be extended until 31 October 1980; this is to give the Member States sufficient time to implement the measures necessary for the adoption of the Common rules proposed by the Commission to combat this disease.
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion unanimously less 3 abstentions. It notes that, concurrently with this proposal, the Commission has submitted proposals intended to ensure that the present level of protection for Denmark, Ireland and the United Kingdom is maintained.
The Committee will endeavour to issue an Opinion on these proposals so that the general programme of the Commission and the Council is not delayed.
Subject to these comments, the Commission’s proposal is approved.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. WICK — Germany — Employers.
12. SAFETY BELTS
Proposal for a Council Directive amending Council Directive 77/541-EEC on the Approximation of the Laws of the Member States relating to Safety Belts and Restraint Systems of Motor Vehicles;
Proposal for a Council Directive amending Council Directive 76/115-EEC on the Approximation of the Laws of the Member States relating to Anchorages for Motor-Vehicle Safety Belts;
Proposal for a Council Directive amending Council Directive 74/408-EEC on the Approximation of the Laws of the Member States relating to the Interior Fittings of Motor Vehicles (Strength of Seats and of their Anchorages).
Gist of the Commission proposals
Directive 77/541/EEC —
Safety Belts and Restraint Systems
The Directive concerns vehicles of category M1 (vehicles used for the carriage of passengers and comprising no more than nine seats, including that of the driver). But as two Member States have recently said they intend to make safety belts compulsory on the front seats of vehicles in categories M2 ans N1 (vehicles used for the carriage of passengers, comprising more than nine seats and having a maximum weight not exceeding 5t, and vehicles used for the carriage of goods and having a maximum weight not exceeding 3.5t respectively), and it is in the general interest that the Directive’s scope be extended to all vehicle categories, the Commission proposes making belts compulsory on vehicles in categories M1, N1 and M2. Manufacturers of vehicles in other categories will have the chance of obtaining EEC type approval for vehicles fitted with safety belts. In view of the competition in this sector, this would certainly promote the fitting of safety belts to such vehicles.
Directive 76/115/EEC — Safety Belt Anchorages
The Commission is proposing to extend the scope of the present Directive to cover vehicles other than those in category M1, so that in future they will incorporate anchorages for certain types of safety belt, at least in the case of front seats and any seat which has no other seat in front of it.
Directive 74/408/EEC —
Strength of Seats and Their Anchorages
This Directive does not allow EEC type approval of a vehicle if its seats incorporate built-in seat belt anchorages. But for some time now European Manufacturers have increasingly favoured the attachment of anchorages to the seat itself. This improves the fit of the belt for the wearer and the comfort of the belt, thus making it more acceptable to a greater number of motorists.
As this has a direct and positive effect on passenger safety, it seems advisable to encourage manufacturers to fit anchorages in such a way by giving them the opportunity of obtaining EEC type approval for vehicles which are so equipped.
**Gist of the Opinion (*)**
In its unanimous Opinion the Committee approves the principle behind these three proposals for Directives which, by bringing all categories of motor vehicles within the scope of the previous Directives, will help to increase safety for vehicle drivers and passengers.
However, in view of the fact that the technical annexes to these Directives only concern vehicles of category M1 and that they need amending in the light of the proposed extension of the Directives themselves, the Committee considers that this extension should not enter into force until the amended technical annexes are ready.
Furthermore, the Committee would like to see certain technical points in the Directives clarified.
This Opinion was based on material prepared by the Section for Industry, Commerce, Crafts and Services under the chairmanship of Mr. van CAMPEN — Netherlands — Employers. The Rapporteur was Mr. MASPRONE — Italy — Employers.
### 13. FLAX AND HEMP
*Proposal for a Council Regulation (EEC) Amending Regulation (EEC) No. 1308/70 on the common Organization of the Market in Flax and Hemp*
*Proposal for a Council Regulation (EEC) on the Measures Encouraging the Use of Flax Fibres for the 1980/1981 and 1981/1982 Marketing Years*
**Gist of the Commission proposals**
The first proposal is intended to supplement Regulation (EEC) No. 1308/70 by encouraging the use of textile flax in the Community via advertizing campaigns on flax qualities beamed at Community users and, also, by seeking new outlets and improved products. These measures will be applied whenever the Council ascertains or fears a prolonged supply/demand imbalance. Each time it decides to apply such measures, the Council will also set the overall amount for financing them. It is proposed that flax growers and Community flax fibres producers should contribute to this financing. In this connection, the Council will also decide what proportion of the aid granted for flax (maximum 5% of the aid in force) would not be paid to beneficiaries but allocated to the financing of these measures. The overall amount would not be more than double the financial contribution of the beneficiaries of the aid for such measures. The Commission will submit an appropriate programme whenever the Council decides to avail itself of such measures.
In view of the market situation, the Commission also proposes that, for the 1980/81 and 1981/82 marketing years, measures should be taken to encourage the use of flax fibres in the Community, as laid down in Article 2 of Regulation (EEC) No. 1308/70.
Considering the time necessary for setting up and carrying out these measures, there is a case for proceeding step by step not only as regards the overall amount to be allocated but also for the financial outlay to be borne by the beneficiaries.
With this in mind, it is proposed:
- to earmark 600,000 ECU for the 1980/81 marketing year and 1,200,000 ECU for the 1981/82 marketing year;
- that the proportion of aid not paid out to be beneficiaries should be 7.755 ECU/ha for 1980/81 (3% of aid for that marketing year) and 12.40 ECU/ha for 1981/82 (4-8% of aid for 1980/81).
**Gist of the Opinion (*)**
The Economic and Social Committee/ unanimously adopted its Opinion endorsing the first proposal.
It feels that the funds earmarked in the second proposal, for the 1980/1981 marketing year should be more on a par with those earmarked for 1981/1982.
While stopping short of the ceiling specified in Article 2 (2) of Regulation 1308/70, as amended, the Commission contribution could be more or less the same as the amount deducted from aid.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. BERNAERT — Belgium — Employers.
14. PREMIUM FOR THE BIRTH OF CALVES
Proposal for a Council Regulation (EEC) on the Grant of a Premium for the Birth of Calves during the 1980/81 Marketing Year
Proposal for a Council Regulation (EEC) Continuing for the 1980/81 Marketing Year the Premium for the Slaughter of Certain Adult Bovine Animals Provided for in Regulation (EEC) No. 870/77
Gist of the Commission proposal
During the discussion by the Council of the proposals fixing the prices for certain agricultural products and certain related measures (Doc. COM(80) 10 final) a large consensus emerged for the continuation of the two systems of premium in force in the beef sector (premium for the birth of calves and a slaughter premium for certain bovine animals).
These proposals will permit the Council to adopt this measure formally.
Gist of the Opinion (*)
The Economic and Social Committee unanimously adopted its Opinion approving the Commission’s proposal.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. SCHNIEDERS — Germany — Employers.
15. HOPS
Proposal for a Council Regulation (EEC) laying down, in respect of hops, the amount of aid to producers for the 1979 harvest
Gist of the Commission proposal
In view of developments on the Community and world hops markets, the Commission has proposed the following amounts of aid for the 1979 harvest:
| Group of varieties | Aid in ECU/ha |
|--------------------|--------------|
| Aromatic varieties | 250 |
| Bitter varieties | 200 |
| Other varieties | 250 |
**Gist of the Opinion (*)**
The Economic and Social Committee unanimously adopted its Opinion approving the Commission proposal.
This Opinion was based on material prepared by the Section for Agriculture under the chairmanship of Mr. EMO CAPODILISTA — Italy — Various Interests. The Rapporteur was Mr. BERNAERT — Belgium — Employers.
### 16. BIODEGRADABILITY
*Proposal for a Council Directive on the approximation of the laws of the Member States relating to methods of testing the biodegradability of non-ionic surfactants and amending Directive 73/404/EEC*
**Gist of the Commission’s proposal**
This proposal for a Directive ties in with Directive No. 73/404/EEC relating to detergents.
It stipulates that a non-ionic detergent must not be placed on the market if it is determined that the level of biodegradability of the non-ionic surfactants it contains is less than 80 %, and provides that the methods used for this determination shall be those of the OECD, the Federal Republic of Germany, France and the United Kingdom.
It gives temporary exemption for certain uses (unavoidable for technical reasons) of non-ionic surfactants with a biodegradability of less than 80 %.
Finally, a procedure to be followed in the event of dispute is laid down (OECD confirmatory test).
Gist of the Opinion (*)
The Economic and Social Committee adopted its Opinion unanimously.
It recognized that it was advisable and necessary to issue directives designed to ensure better protection for the environment and lead to a standardization of methods of analysis and accepted the temporary exemption (until 31 December 1984) for certain uses of non-ionic surfactants with a biodegradability of less than 80%.
However, as it was stated in the recitals of the proposal that « small quantities of certain non-ionic surfactants of low biodegradability must be used for some purposes because of technical problems and in order to prevent other undesirable effects on health and the environment », the Committee wondered why provision was made for a very general exemption in Article 4.
This Opinion was based on material prepared by the Section for Industry, Commerce, Crafts and Services under the chairmanship of Mr. van CAMPEN — Netherlands — Employers. The Rapporteur was Mr. RAMAEKERS — Belgium — Various Interests.
CHANGES TO THE RULES OF PROCEDURE
The Committee also adopted certain changes to its Rules of Procedure designed to improve the way in which it operated and make the purpose of its work clearer.
From now on, any member of the Committee who is unable to participate in its proceedings may arrange to be represented by an alternate for the proceedings of the study groups to which he belongs. The alternate must be a national of the same Member State and belong to the same category of economic and social activity as the member of the Committee. He is to carry out the same duties in the study groups as the member whom he replaces.
In addition, when one of the Groups formed within the Committee or one of the categories of economic and social activity represented thereon adopts a divergent but uniform standpoint on a matter submitted to the Plenary Session for examination, their position can be summarized in a brief statement to be appended to the Opinion, where the debate on the matter in question has been concluded by a roll-call vote.
Statement by the Chairman
Between the 179th and 180th Plenary Sessions the Chairman of the Committee, Mr Raffaele VANNI, met the following people and attended the following meetings:
- Meeting between ACP and EEC social partners
On 30 and 31 May a Committee delegation led by the Chairman attended the meeting in Geneva between ACP and EEC social partners under the auspices of the ACP-EEC Consultative Assembly. The Committee had been closely involved in the organization of the meeting and one of its members, Mr MARGOT, presented a working document entitled: « Small and medium-sized enterprises within the context of ACP-EEC industrial cooperation » on behalf of the ESC delegation.
This annual meeting which exists as a result of close cooperation between the European Parliament and the Economic and Social Committee, was devoted for the first time this year to the discussion of a specific problem. This was in accordance with the wishes expressed by participants at the previous year's meeting.
The appropriate authorities of the Committee will no doubt be called upon to give consideration — in the light of the positive but unavoidably limited experiences so far — to the role the Committee can play to ensure that the new Lomé Convention is implemented more satisfactorily.
- Meeting with Mr. Blanchard, Director-General of ILO
At the same meeting the Committee Chairman also had the opportunity to meet the Director-General of the ILO, Mr BLANCHARD. In view of the ILO's long experience with problems facing the developing countries, the Chairman invited Mr BLANCHARD to participate in the work of one of the next Plenary Sessions of the Committee.
- Visit to Portugal
The Chairman gave the official opening address at the CIRIEC Congress (Centre International de Recherches et d'Information sur l'économie publique, sociale et coopérative) held in Lisbon on 2 June.
In his speech the Chairman laid great emphasis on the role of the public and cooperative sectors of the economy in finding a way out of the present economic crisis.
The Chairman’s presence in Lisbon gave him the opportunity to meet representatives of the Portuguese Government and the various socio-economic interest groups in Portugal. Talks with these representatives mostly dealt with the objectives of the enlargement conference being arranged by the Committee.
- **Visit to Strasbourg**
Within the context of relations with the European Parliament, the Chairman was invited to speak at meetings of the following parliamentary groups: the European Democratic Group and the Communist and Allies’ Group.
The aim of the Chairman’s introduction and of the speeches of various parliamentarians was to strengthen relations between the Parliament and the Committee. The possibility which the Committee Chairman had to meet various parliamentary groups — a possibility which had not been given before — was particularly valuable because it gave members of the European Parliament ample opportunity to become familiar with the role and activities of the Committee.
Whilst in Strasbourg the Chairman had talks with the Secretary-General of the Council of Europe, Mr KARASEK, who was warmly thanked for helping to reinforce the links between the Council of Europe and the Economic and Social Committee. The Chairman invited Mr KARASEK to attend the Committee’s Plenary Session during the drawing up of the Opinion on the « Memorandum on the Accession of the European Communities to the Convention for the Protection of Human Rights and Fundamental Freedoms ».
- **Meeting with EEC permanent representatives**
The Chairman of COREPER, Ambassador PLAJA, invited the Committee Chairman to meet the Permanent Representatives to the European Community. This meeting gave the Committee Chairman the opportunity to express his satisfaction with the efforts made to put relations between the Council and the Committee on a more systematic footing. He was also able to draw the attention of the Permanent Representatives to the need to (a) consolidate the improved relations between the Council and the ESC and (b) give the Committee the means it needed to be able to satisfactorily perform the functions assigned to it under the Treaties.
In addition to this representative meeting, the Chairman also had talks with the Permanent Representatives of the following Member States: the Netherlands (Ambassador RUTTEN), Italy (Ambassador PLAJA), Ireland (Ambassador DILLON).
* * *
The Chairman also met the following personalities: Mr CARLI (President of UNICE), Mr BLUME (President of the Consumers' Association) and Mr STINGL (President of the Federal Institution for Labour Affairs).
The Chairman also attended the 14th Congress of the CGT-FO Confederation (Bordeaux, 17 June); the seminar organized by the European Circle in Rome on industrial relations in the Community; and the General Assembly of SEPLIS.
* * *
During the month of June, the Council requested the Committee to deliver Opinions on:
Proposals for Council Directives applying to:
I. Electric washing machines
II. Electric dishwashers (cold water feed only)
III. Refrigerators, freezers and combined refrigerator/freezers
Council Directive 79/530/EEC concerning energy consumption labelling
(COM(80) 193 final).
Proposal for a Council Directive amending Directives 65/64/EEC and 75/319/EEC on the approximation of laws, regulations and administrative provisions on proprietary medicinal products
(COM(80) 277 final).
Proposal for a Council Directive determining the scope of Article 14 (1) (d) of Directive 77/388/EEC on exempting from value-added tax certain definitive imports of goods
(COM(80) 258 final).
Proposal for a Directive on the evaluation of the environment impact of certain public and private works
(COM(80) 313 final).
Draft Council Directive approximating the laws on aromatics used in food and in the ingredients from which food products are made
(COM(80) 286 final).
Draft Council Regulation amending, with respect to private-sector employees, the provisions of Regulation No. 1408/71 on social security arrangements for wage-earners and members of their family who move from one Member State to another
(COM(80) 312 final).
•
•
•
PROVISIONAL PROGRAMME OF FUTURE WORK
September 1980 Plenary Session
Opinions requested by the Institutions
- Transport infrastructure support
- Development of transport infrastructures
- Regional transport statistics
- Saint-Geours Report (long-term energy consumption)
- Performance of heat generators
- Second Lomé Convention
- Quota-free aid — Regional Policy (Additional Opinion)
- Whale products
- Scientific and technical training
- VAT-final importation of goods
October 1980 Plenary session
Opinions requested by the Institutions
- Income tax provisions with respect to freedom of movement for workers
- Legal expenses insurance
- Pesticide residues in cereals
- Dangerous substances
- Recovery and re-use of waste paper
- Proprietary medicinal products
- Energy consumption of household appliances
- Annual report on the economic situation
Later Plenary Sessions
- Conservation of wild animals
- Measures to combat swine fever
- New information technologies
- Flavourings
- Environmental impact of public works
Own-initiative Opinions
- Competition policy
- European Regional Development Fund annual report
Studies
- DNA conjectural risks (genetic engineering)
- Consistency of external policies
- Integrated Operations — Regional Policy
- Turkey
- Agricultural aspects of the negotiations with Spain
Information report
- Common agricultural policy
Mr. Hatry appointed Belgian Minister of Finance
The Committee, meeting in Plenary Session on 2-3 July, applauded the appointment of one of its members, Mr Paul HATRY, to the post of Belgian Minister of Finance.
While regretting the loss of one of its leading members, the Committee’s Chairman, Mr Raffaele VANNI, praised the work of Mr HATRY who, as Chairman of the Section for Energy and Nuclear Questions, had played a very important role in Committee proceedings.
Mr HATRY, in turn, was grateful for the experience he had gained on the Committee in the fields of industrial relations and European affairs. That experience would be of great help in his new post, he said.
* * *
New Committee member
The Council of Ministers has appointed Mrs. S. LOCCUFIER a member of the Economic and Social Committee in place of the late Mr. DE RIDDER.
Mr. LOCCUFIER is a professor at the Free University of Brussels. He will be a member of the Committee’s Group III (Various Interests).
Handelsblatt 30.6.80
EG-Erweiterung
Wirtschaftsverbände antworten positiv
HANDELSBLATT, Sa./So. 28./29.6.1980
c.a. BRÜSSEL: Kein Zweifel an dem „Jahr der Süderweiterung der EG“ ist nach der heutigen Konferenz hauptsächlich von der Wirtschafts- und Sozialausschuss der EG (WSA) jetzt mit etwa 100 Spezialisten aus der Verbands- und Organisationen der Sozialpartner, der Industrie, der Landwirte, des Handels und der Finanzwelt aus ganz EG und den drei Beitrittsländern in Brüssel durchgeführt hat.
Der WSA selbst sieht, wie sein deutscher Vorsitzender, Präsident, Dr. Hans Vamek, betonte, die Verhandlungen als „eine sehr positive Stellungnahme zu den Bestrebungen der EG“ beurteilt. Die Grundsatzfrage hat auch währte der heutigen Konferenz nicht nur in der politischen Hektik, sondern auch in der Erwartung, dass die EG eine neue Aufgabe gestellt war, dass es standen, um die politische und soziale Entwicklung der neuen Länder im Vordergrund. Der griechische Ministerpräsident, Dr. Andreas Papandreou, hat am 15. Mai 1980 einstimmig beschlossen und wird daraufhin die Verhandlungen über die vollen Dinge schon vorgegangen sein, als sie Griechenland bereits hat.
Express 28.6.80
Τό συνέδριο για την διεύρυνση της Ε.Ο.Κ.
ΒΡΥΣΕΛΗΣ (ΑΠΕ) - Τρίτης ημέρας, το πρωί, οι επικεφαλής των αντιπροσώπων των Εθνικών Επιτροπών Κοινωνικών Καταστημάτων (ΟΚΕ) για την Ε.Ο.Κ. έγινε στο Κοινοβούλιο της Ε.Ο.Κ. Το συνέδριο ήταν ιδιαίτερα σημαντικό για την επέκταση της Ε.Ο.Κ., καθώς η Ε.Ο.Κ. θα επεκτείνεται στην Ελλάδα με την ένταξη της Ελλάδας στην Ε.Ο.Κ. Το συνέδριο ήταν ιδιαίτερα σημαντικό για την επέκταση της Ε.Ο.Κ., καθώς η Ε.Ο.Κ. θα επεκτείνεται στην Ελλάδα με την ένταξη της Ελλάδας στην Ε.Ο.Κ.
IL POPOLO 28.6.80
Sui problemi dell'allargamento dibattito al Ces
Zamberletti: Europa a 12 nonostante le difficoltà
BRUXELLES - I rappresentanti dei mondo impresa, dei lavoratori e di varie organizzazioni pro-europee del Comitato europeo si sono riuniti per due giorni a Bruxelles per discutere assieme ad esponenti di Grecia, Spagna e Portogallo i problemi che compongono il panorama dell'Europa a 12, con particolare riferimento per un ricollegamento del processo economico e sociale (CES), l'organizzazione dei lavoratori sociali.
Al tavolo ha preso posto Giuseppe Zamberletti, sottosegretario alla Presidenza della Repubblica, in qualità di presidente di turno del consiglio di amministrazione del CES, per discutere i problemi che compongono il panorama dell'Europa a 12, con particolare riferimento per un ricollegamento del processo economico e sociale (CES), l'organizzazione dei lavoratori sociali.
Dopo aver ricordato le recenti dichiarazioni del presidente della Commissione europea, il presidente Zamberletti ha affermato che la Commissione europea è pronta a collaborare con tutti i paesi dell'Unione europea.
Fra le difficoltà, la supe razione della crisi economica è stata citata come una delle principali sfide che l'Unione europea deve affrontare. Inoltre, il presidente Zamberletti ha sottolineato la necessità di promuovere un dialogo tra le diverse parti interessate, inclusi i lavoratori, i consumatori e gli investitori.
In conclusione, il presidente Zamberletti ha sottolineato la importanza di continuare a lavorare insieme per costruire un futuro migliore per tutti i cittadini dell'Unione europea.
PUBLICATIONS OBTAINABLE FROM THE ECONOMIC AND SOCIAL COMMITTEE
Periodical
— Bulletin (monthly publication)
General Documentation
— The Economic and Social Committee (leaflet) (January 1975)
— The Economic and Social Committee (April 1979) (A descriptive brochure) 16 p.
— Annual Report (1978) 115 p. (1976) 80 p.
— Directory (January 1980) (List of Members)
— The Right of initiative of the Economic and Social Committee (October 1977) 124 p.
— 20th Anniversary of the Economic and Social Committee (May 1978) 19 p.
Opinions and Studies
— The Organisation and Management of Community R & D (February 1980) (Study) 168 p.
— Agricultural Structures Policy (November 1979) (Opinion) 90 p.
— Enlargement of the European Community Greece-Spain-Portugal (September 1979) (Study) 75 p.
— The Community’s Relations with Spain (June 1979) (Study) 112 p.
— Community Shipping Policy Flags of Convenience (April 1979) (Opinion) 170 p.
— Employee Participation and Company Structure (September 1978) (Opinion) 116 p.
— Youth Unemployment — Education and Training (November 1978) (5 Opinions) 97 p.
— The Stage reached in aligning labour legislation in the European Community (June 1978) (Documentation) 60 p.
— Employment in Agriculture (Study) (June 1978) 135 p.
— Monetary Disorder (Opinion) (June 1978) 98 p.
— Small and Medium-sized Enterprises in the Community Context (April 1978) (Opinion) 29 p.
— Industrial Change and Employment (November 1977) (Opinion) 98 p.
— EEC’s Transport Problems with East European Countries (December 1977) (Opinion) 164 p.
— Community Nuclear Safety Code (July 1977) (Study) 50 p.
— Regional Development - Unemployment and Inflation (June 1977) (Opinion) 130 p.
— Research and Development (November 1976) (Study) 35 p.
— Systems of education and vocational training (August 1976) (Study) 114 p.
— Regional Policy (March 1976) (Opinion) 11 p.
— European Union (July 1975) (Opinion) 33 p.
— Progress Report on the Common Agricultural Policy (February 1975) (Study) 52 p.
— The Situation of Small and Medium-sized Undertakings in the European Community (March 1975) (Study) 69 p.
— Community Advisory Committee for the Representation of Socio-Economic Interests (£8.50)
(Obtainable from GOWER Publishing Company Limited, 1 Westmead Farnborough, Hampshire, GU 147RU)
ECONOMIC AND SOCIAL COMMITTEE
Press, Information and Publications Division
Ravenstein 2, 1000 Brussels - Tel. 512.39.20 - TELEX 25983
Cat. Nr CES 80-010-E |
Dynamic time series clustering via volatility change-points
Nick Whiteley
School of Mathematics, University of Bristol
and the Alan Turing Institute
June 26, 2019
Abstract
This note outlines a method for clustering time series based on a statistical model in which volatility shifts at unobserved change-points. The model accommodates some classical stylized features of returns and its relation to GARCH is discussed. Clustering is performed using a probability metric evaluated between posterior distributions of the most recent change-point associated with each series. This implies series are grouped together at a given time if there is evidence the most recent shifts in their respective volatilities were coincident or closely timed. The clustering method is dynamic, in that groupings may be updated in an online manner as data arrive. Numerical results are given analyzing daily returns of constituents of the S&P 500.
1 Introduction
The purpose of this note is to outline, contextualize and demonstrate a method for clustering time series using a change-point model. The emphasis is on conveying the ideas of the method rather than depth or generality, although some possible extensions and research directions are given at the end in section 4. A Python implementation in the form of a Jupyter notebook is available: https://github.com/nckwhiteley/volatility-change-points.
1.1 Time series clustering
Time series clustering is typically a two-step procedure. The first step is to specify a pairwise measure of dissimilarity between series. An overview of several popular approaches is given in [Montero et al., 2014, Sec. 2]. To mention just a few examples, this dissimilarity could be derived from fairly simple statistics, such as cross-correlation; could involve solving an optimization problem to find a ‘best’ match between each pair of series, for instance using the Fréchet distance or Dynamic Time Warping [Berndt and Clifford, 1994]; or could involve fitting a some form of model to each of the series, then computing a distance between the fitted parameter values [Cordua and Piccolo, 2008, Otranto, 2008] or forecast distributions [Alonso et al., 2006, Vilar et al., 2010].
The second step is to pass the dissimilarity measure to an algorithm which determines associations between the series. Again to mention just a few popular techniques, hierarchical methods such as agglomerative clustering, see for example [Murphy, 2012, Sec. 25.5] for an overview, form clusters sequentially. Each datum starts in its own cluster and pairs of clusters are merged step-by-step in accordance with some linkage criterion which quantifies how between-cluster dissimilarity is derived from between-series dissimilarity. Centroid-based techniques such as $k$-means [MacQueen, 1967] or its generalizations beyond Euclidean distance to, e.g., Bregman divergences [Banerjee et al., 2005] or Wasserstein distances [Ye et al., 2017] choose a collection of cluster centers to minimize the sum of within-cluster divergences/distances. The computational cost of global minimization is usually prohibitive and so for implementation one settles for a local minimum obtained using an iterative refinement method, such as Lloyd’s algorithm [Lloyd, 1982] in the case of Euclidean distance.
A further level of sophistication is to approach clustering as a statistical inference problem, with associations between data points and clusters treated as latent variables to be inferred under a probabilistic model. This allows uncertainty over clusterings, model parameters and model structure to be quantified and reported in a principled manner. The price to pay is usually an increased computational cost, for example incurred through the EM algorithm, variational methods or Monte Carlo sampling.
The question of how to scale-up these methods to tackle large data sets is an active topic of research. For a recent overview and ideas involving parallelization and multi-step procedures, see [Ni et al., 2018].
We propose a method which may be regarded as a half-way point between a full-blown statistical treatment of time series clustering and the simple two-step recipe described above. We do not perform probabilistic modeling of associations, but we do perform probabilistic modeling on a per-series basis and use it to define a notion of dissimilarity.
1.2 Financial time series clustering
Clustering of time series can serve a variety of purposes. In exploratory data analysis one may simply want to discover groupings or unexpected phenomena, and then summarize or report them for purposes of dimension reduction or interpretation. Clustering may be one ingredient within a broader statistical workflow, in which actions or decisions are taken on the basis of discovered clusters.
Stemming from an influential paper of [Mantegna 1999], clustering of financial time series using dissimilarity measures derived from correlation has been applied to assist fundamental understanding of markets, risk management, portfolio optimization and trading. A comprehensive overview of research on this topic across machine learning, econophysics, statistical physics, econometrics and behavioral finance is maintained on arXiv by [Marti et al., 2017]. The current version includes a bibliography of over 400 references which we shall not attempt to summarize.
An alternative approach to time series clustering, which does not feature in [Marti et al., 2017], is to define dissimilarity by some distance between parameter vectors obtained by fitting a model to each of the series individually. [Otranto 2008] gives a detailed account of dissimilarity measures in this vein, and uses Wald tests and autoregressive metrics to measure the distance between GARCH processes and thus cluster based on the heteroskedastic characteristics. [Otranto 2010] extends this technique to clustering based on distance between fitted Dynamic Conditional Correlation models, and deploys the resulting covariance matrix estimates within portfolio optimization.
As discussed by [Marti et al., 2016] and [Marti et al., 2017, Sec 4], a research topic still in its infancy but of considerable interest is how to track changes in market structure, by recognizing clusters which may change over time. Indeed [Marti et al., 2017, Sec 4] report that many empirical studies do not achieve this but just deliver a static clustering based all data available for a given time period. An obvious step towards dynamic clustering is to apply a static clustering method on a sliding window. If, for example, the clustering techniques of [Otranto, 2008, 2010] were applied in this manner, the length of the window would achieve a trade-off between temporal locality and noisy parameter estimates, hence noisy estimates of dissimilarity. The question of how long the window should be in order to best deal with time-varying clusters is often not an easy one to answer rigorously.
The method introduced below defines dissimilarity between time series not in terms of correlation or parameter estimates, but rather in terms of evidence about times of volatility change-points. As a consequence, time series which evidence shifts in volatility around the same points in times tend to be clustered together. This is of interest because synchrony in volatility change-points across series may arise from common underlying market factors or similar responses to changing market conditions which the method may help to uncover. One appealing feature of the method is that it naturally accommodates dynamic clustering, in the sense that clusters can be re-evaluated at each point in time as new data arrive, but it circumvents the need to work on a sliding window: the underlying change-point model effectively adapts to the time-scale of volatility changes of each series.
2 The change-point model and dissimilarity measure
2.1 A generic change-point model for a single time series
Consider a sequence of unobserved, integer valued and strictly increasing change-points \((T_n)_{n \in \mathbb{N}_0}\). \(T_0\) is equal to zero with probability one, and the increments \((T_n - T_{n-1})_{n \geq 1}\) are i.i.d. with c.d.f. denoted by \(G\).
For \(t \in \mathbb{N}_0\), define \(N(t) := \sup\{n \geq 0 : T_n < t\}\), \(\tau_t := T_{N(t)}\) and observe that \((\tau_t)_{t \geq 1}\) is a Markov chain, with transition probabilities:
\[
p(\tau_{t+1} = s | \tau_t = u) = \begin{cases}
\frac{G(t-u) - G(t-1-u)}{1 - G(t-1-u)}, & s = t, \\
\frac{1 - G(t-u)}{1 - G(t-1-u)}, & s = u \in \{0, \ldots, t - 1\}, \\
0, & \text{otherwise},
\end{cases}
\]
(1)
corresponding to whether a new change-point has occurred or not.
Let \((y_t)_{t \in \mathbb{N}_0}\) be observed returns which are assumed to be jointly distributed with \((\tau_t)_{t \geq 1}\) such that for each \(t \geq 1\),
\[
p(\tau_{1:t}, y_{0:t}) = p(y_0) \sum_{s=1}^{t} p(\tau_s | \tau_{s-1}) p(y_s | \tau_s, y_{0:s-1}),
\]
(2)
with the convention \(p(\tau_1 | \tau_0) \equiv \delta_0(\tau_1)\), the Kronecker delta at 0, to respect the fact that \(T_0\) is zero with probability 1.
Consider the sequence of probability mass functions \((\pi_t)_{t \geq 1}\),
\[
\pi_t(s) := p(\tau_t = s | y_{0:t}).
\]
(3)
Again due to the fact that \(T_0\) is zero with probability 1, we have \(\pi_1(0) = 1\). Combining the conditional independence structure of (2) with (1), elementary marginalization and Bayes’ rule validate the following recursion, for \(t \geq 1\),
\[
\pi_{t+1}(s) \propto \begin{cases}
p(y_{t+1} | \tau_{t+1} = t, y_{0:t}) \sum_{u=0}^{t} \left[ \frac{G(t-u) - G(t-1-u)}{1 - G(t-1-u)} \right] \pi_t(u), & s = t, \\
p(y_{t+1} | \tau_{t+1} = s, y_{0:t}) \frac{1 - G(t-s)}{1 - G(t-1-s)} \pi_t(s), & s \in \{0, \ldots, t-1\}, \\
0, & \text{otherwise}.
\end{cases}
\]
(4)
This change-point model and the recursion (4) are directly inspired by those of Chopin [2007], Fearnhead and Liu [2007] and Adams and MacKay [2007]. Our model is slightly more general than those of Fearnhead and Liu [2007] and Adams and MacKay [2007], who assumed that conditional on a change-point time, observations after that time are independent of observations before. Note (2) does not imply such independence.
In section 2.4 we describe an instance of the above change-point model in which the terms \(p(y_{t+1} | \tau_{t+1}, y_{0:t})\) arise by analytically integrating out parameters associated with the change-points under conjugate prior distributions. This makes our setting more restrictive than that of Chopin [2007], who did not assume such analytic integration possible, but instead used numerical integration in the form of a sequential Monte Carlo algorithm.
### 2.2 The dissimilarity measure
Suppose now that one is presented with \(m \geq 1\) series of returns \(\{(y^i_t)_{t \in \mathbb{N}_0}, i = 1, \ldots, m\}\). Let \(\pi^i_t\) be as in (3) with \((y_t)_{t \in \mathbb{N}_0}\) there replaced by \((y^i_t)_{t \in \mathbb{N}_0}\). We propose to cluster the series at any given time \(t\) with dissimilarity taken to be a probability metric evaluated between the distributions \(\{\pi^i_t, i = 1, \ldots, m\}\). Thus series will be clustered at time \(t\) if, through \(\{\pi^i_t, i = 1, \ldots, m\}\), they exhibit similar evidence about the times of their respective most recent change-points.
Which probability metric to choose? It seems sensible to consider: i) interpretation and ii) computational overhead. To address the first of these two criteria, consider the total variation distance:
\[
\text{TV}(\pi^1, \pi^2) = \frac{1}{2} \sum_{s \in \mathbb{N}_0} |\pi^1(s) - \pi^2(s)|.
\]
The total variation distance is maximal and equal to 1 as soon as \(\pi^1\) and \(\pi^2\) have disjoint support, which is a rather restrictive notion of dissimilarity. For instance, for two Kronecker delta’s \(\pi^1 = \delta_t\) and \(\pi^2 = \delta_{t+s}\),
\[
\text{TV}(\delta_t, \delta_{t+s}) = 1, \quad \text{if} \quad |s| \neq 0.
\]
(5)
For describing distributions over change-points this insensitivity to translation seems undesirable - a more appealing property might be that the distance is strictly increasing in \(|s|\). Alternatives such as the Hellinger and \(L_2\) distances involve similarly summing of point-wise differences between probability mass functions, or functions thereof, and hence have the same drawback. Divergences which involve ratios of probability mass functions such as \(\chi^2\) or Kullback-Liebler similarly fail to express dissimilarity if the support of one mass function is not contained within that of the other.
The total variation distance can be regarded as one instance of a Wasserstein distance: given a distance \(d(\cdot, \cdot)\) on \(\mathbb{N}_0\) and \(p \geq 1\), the \(p\)’th Wasserstein distance associated with \(d\) is:
\[
W_p(\pi^1, \pi^2) := \left( \inf_{\gamma \in \Gamma(\pi^1, \pi^2)} \sum_{(s,t) \in \mathbb{N}_0 \times \mathbb{N}_0} d(s, t)^p \gamma(s, t) \right)^{1/p},
\]
(6)
where $\Gamma$ is the set of all probability mass functions on $\mathbb{N}_0 \times \mathbb{N}_0$ whose marginals are $\pi^1$ and $\pi^2$. The total variation distance arises if one takes $d$ to be the discrete distance $d(s, t) = 1_{\{s \neq t\}}$ and $p = 1$.
If instead $d$ is the usual distance on $\mathbb{N}_0$, $d(s, t) = |s - t|$, we have
$$W_p(\delta_t, \delta_{t+s}) = |s|,$$
and slightly more generally it can be shown by a direct computation of the infimum in (6) that:
$$W_p(a\delta_s + (1-a)\delta_t, b\delta_s + (1-b)\delta_t) = |a - b|^{1/p}|s - t|,$$
see [Bobkov and Ledoux, 2016, Ex 2.3]. Whilst (7) and (8) are of course rather specific examples, they illustrate the manner in which the Wasserstein distance associated with $d(s, t) = |s - t|$ is more expressive than total variation distance regarding translation, and therefore arguably more suited to our purposes of comparing distributions over change-point times.
Turning to the criterion of computational overhead, in the case of $d(s, t) = |s - t|$ on $\mathbb{N}_0$, the Wasserstein distance is conveniently available in closed form:
$$W_p(\pi^1, \pi^2) = \left( \int_0^1 |F_1^{-1}(v) - F_2^{-1}(v)|^p dv \right)^{1/p}$$
where $F_i^{-1}(v) = \inf\{t \in \mathbb{N}_0 : F_i(t) \geq v\}$ is the generalized inverse c.d.f. of $\pi^i$. Even more conveniently from a computational point of view, is the fact that:
$$W_1(\pi^1, \pi^2) = \sum_{s \in \mathbb{N}_0} |F_1(s) - F_2(s)|,$$
see [Bobkov and Ledoux, 2016] for background.
With these considerations we shall settle on (9) applied to each pair $\pi^1_t, \pi^2_t$ as our dissimilarity measure at time $t$. Note that the support of any $\pi^i_t$ is always contained in $\{0, 1, \ldots, t - 1\}$. Moreover, if the approximation technique suggested in section 2.5 is applied, each approximating distribution $\hat{\pi}^i_t$ (more details later) will have a number of support points uniformly upper bounded in $t$, and hence the cost of evaluating $W_1(\hat{\pi}^1_t, \hat{\pi}^2_t)$ is uniformly upper bounded in $t$.
Choosing the dissimilarity measure completes the first of the two steps described in section 1. What options are available for the second step? Hierarchical clustering can be performed immediately after evaluating the pairwise distances and we shall illustrate this approach through numerical experiments. For a centroid-based approach in the style of $k$-means, one needs to introduce the notion of Wasserstein barycentre, which is the Fréchet mean in the space of probability distributions equipped with the Wasserstein distance. Computing these barycentres is a non-trivial task in general, see [Peyré and Cuturi, 2019] for numerical methods.
### 2.3 Online implementation
The number of terms in the summation in (4) clearly increases linearly with $t$. Hence the cost of computing this recursion from time zero up to some time $t$ is quadratic in $t$. A simple route towards an online algorithm, i.e. one whose computational cost per time step does not increase with time, is to introduce an approximation to each $\pi_t$ with a number of support points uniformly upper bounded in $t$.
For instance, consider a simple pruning strategy: fix a number of support points $n \geq 1$. For $t \leq n$, computer $\pi_t$ exactly using the recursion (4). For $t > n$ assume one already has an approximation to $\pi_t$, call it $\hat{\pi}_t$ which has support points in $\{0, \ldots, t - 1\}$. Then one can substitute $\hat{\pi}_t$ for $\pi_t$ in the right hand side of (4), and retain the $n$ of the $n + 1$ resulting support points associated with highest probabilities to give an approximation $\hat{\pi}_{t+1}$ to $\pi_{t+1}$.
A further consideration for online implementation of (4) is the cost of evaluating $p(y_{t+1}|\tau_{t+1}, y_{0:t})$, does this also increase with $t$? In the instance of the change-point model described in section 2.4, we shall show that $p(y_{t+1}|\tau_{t+1}, y_{0:t})$ depends on $y_{0:t}$ through statistics which can be updated online as data arrive, and hence it is possible to evaluate the terms $p(y_{t+1}|\tau_{t+1}, y_{0:t})$ sequentially in $t$ at a fixed cost per time step.
### 2.4 A particular instance of the change-point model
Let $(T_n)_{n \geq 0}$ be distributed as in section 2.1. We now introduce a specific model for the returns $(y_t)_{t \geq 0}$ which, upon analytically marginalizing out certain parameters, will satisfy (2.1) with a closed-form
expression for \( p(y_{t+1} | \tau_{t+1}, y_{0:t}) \). In turn, this can be plugged into the recursion (4) or its approximation discussed in section 2.3, in order to evaluate the dissimilarity measure.
Consider a sequence of triples of parameters \((\mu_n, \alpha_n, \sigma^2_n)_{n \in \mathbb{N}_0}\) and assume that:
\[
y_t = \mu_{N(t)} + \alpha_{N(t)} y_{t-1} + \sigma_{N(t)} \epsilon_t,
\]
(10)
where \((\epsilon_t)_{t \geq 1}\) are i.i.d. \( \mathcal{N}(0, 1) \). Thus \((\mu_n, \alpha_n, \sigma^2_n)\) parameterize the conditional joint distribution of the data between the \(n\)’th and \((n+1)\)’th change-points, i.e. \((y_{\tau_{n-1}}, \ldots, y_{\tau_n})\), given \(y_{\tau_n}\).
We assume the following prior independence properties: the sequence \((\mu_n, \alpha_n, \sigma^2_n)_{n \geq 0}\) and the sequence \((T_n)_{n \geq 0}\) are independent, and the triples \((\mu_n, \alpha_n, \sigma^2_n)_{n \geq 0}\) are independent across \(n\). It can be shown that as a consequence of these independences and (10),
\[
p(y_{t+1} | \tau_{t+1} = s, y_{0:t}) = p(y_{t+1} | \tau_{t+1} = s, y_{s:t}),
\]
(11)
\[
p(\mu_{N(t)}, \alpha_{N(t)}, \sigma^2_{N(t)} | \tau_t = s, y_{0:t}) = p(\mu_{N(t)}, \alpha_{N(t)}, \sigma^2_{N(t)} | \tau_t = s, y_{s:t}).
\]
(12)
The intuitive interpretation of these identities is that conditional on the time of the most-recent change-point being \(s\), data strictly prior to \(s\) are irrelevant to: predicting the next data point, as per (11), and inference for \(\mu_{N(t)}, \alpha_{N(t)}, \sigma^2_{N(t)}\), i.e., the parameters associated with the most recent change-point, as per (12).
To arrive at a closed-form expression for \( p(y_{t+1} | \tau_{t+1} = s, y_{s:t}) \) we set a zero-mean Normal-Inverse-Gamma prior distribution on each parameter triple:
\[
p(\mu_n, \alpha_n, \sigma^2_n) = \frac{1}{2\pi |V_0|^{1/2} \Gamma(a)} \left( \frac{1}{\sigma^2_n} \right)^{a+2} \exp \left( -\frac{2b + \beta_n^\top V_0^{-1} \beta_n}{2\sigma^2_n} \right),
\]
(13)
where \(\beta_n := [\mu_n \ \alpha_n]^\top\), \(V_0 := \text{diag}(\delta^2_0, \delta^2_1)\), and \(a, b, \delta_0, \delta_1\) are hyper-parameters which are common across \(n\).
The following proposition gives the expression for \( p(y_{t+1} | \tau_{t+1} = s, y_{s:t}) \) as desired, and marginal posterior densities for the parameters \(\beta_{N(t)}\) and \(\sigma^2_{N(t)}\) conditional on the time of the most recent change-point.
**Proposition 1.**
\[
p(y_{t+1} | \tau_{t+1} = s, y_{s:t}) = \text{St} \left( 2a_{s,t}, h_{t+1} w_{s,t}, \frac{b_{s,t}}{a_{s,t}} (1 + h_{t+1} V_{s,t} h_{t+1}^\top) \right),
\]
(14)
\[
p(\beta_{N(t)} | \tau_t = s, y_{s:t}) = \text{St} \left( 2a_{s,t}, w_{s,t}, \frac{b_{s,t}}{a_{s,t}} V_{s,t} \right),
\]
(15)
\[
p(\sigma^2_{N(t)} | \tau_t = s, y_{s:t}) = \text{IG}(a_{s,t}, b_{s,t}),
\]
(16)
where
\[
w_{s,t} := V_{s,t} H_{s,t}^\top y_{s+1:t},
\]
(17)
\[
V_{s,t} := (V_0^{-1} + H_{s,t}^\top H_{s,t})^{-1},
\]
(18)
\[
a_{s,t} := a + \frac{t-s}{2},
\]
(19)
\[
b_{s,t} := b + \frac{1}{2} (\|y_{s+1:t}\|^2 - w_{s,t}^\top V_{s,t}^{-1} w_{s,t}),
\]
(20)
\(H_{s,t} := [h_t^\top \cdots h_{s+1}^\top]^\top\), \(h_t := [1 \ y_{t-1}]\), and \(y_{s+1:t} \equiv [y_t \ y_{t-1} \cdots y_{s+1}]^\top\).
**Proof sketch.** Note from (10),
\[
y_{\tau_{t+1}:t} = \begin{bmatrix} y_t \\ \vdots \\ y_{\tau_{t+1}} \end{bmatrix} = H_{\tau_{t+1}:t} \beta_{N(t)} + \sigma_{N(t)} \begin{bmatrix} \epsilon_t \\ \vdots \\ \epsilon_{\tau_{t+1}} \end{bmatrix}.
\]
The expressions in (14)-(16) can therefore be obtained by conditioning on \(\tau_{t+1} = s\) or \(\tau_t = s\), and then applying standard results for Bayesian linear regression under a Normal-Inverse-Gamma prior, see for example [Murphy, 2012, Sec 7.6.3]. \(\square\)
Further to the considerations in section 2.3 it is important to notice that \((w_{s,t})_{t \geq s}, (V_{s,t})_{t \geq s}, (a_{s,t})_{t \geq s}, (b_{s,t})_{t \geq s}\) can be calculated in a recursive manner, so that the cost of evaluating each term of the form \(p(y_{t+1}|\tau_{t+1}, y_{0:t})\), \(p(y_{t+2}|\tau_{t+2}, y_{0:t+1})\), etc. does not increase with \(t\). The following lemma gives the details.
**Lemma 2.** For fixed \(s \geq 0\),
\[
V_{s,s+1} = (V_0^{-1} + h_{s+1}^T h_{s+1})^{-1},
\]
\[
\tilde{y}_{s,s+1} = y_{s+1} h_{s+1}^T,
\]
\[
\|y_{s+1:s+1}\|^2 = y_{s+1}^2,
\]
\[
a_{s,s+1} = a + \frac{1}{2},
\]
\[
V_{s,t+1} = V_{s,t} - \frac{V_{s,t} h_{t+1}^T h_{t+1} V_{s,t}}{1 + h_{t+1} V_{s,t} h_{t+1}^T},
\]
\[
\tilde{y}_{s,t+1} = \tilde{y}_{s,t} + y_{t+1} h_{t+1}^T,
\]
\[
\|y_{s+1:t+1}\|^2 = \|y_{s+1:t}\|^2 + y_{t+1}^2,
\]
\[
a_{s,t+1} = a_{s,t} + \frac{1}{2},
\]
and for \(t \geq s\),
\[
w_{s,t} = V_{s,t} \tilde{y}_{s,t}.
\]
**Proof.** The expression for \(V_{s,t+1}\) follows from
\[
V_{s,t+1}^{-1} = V_0 + H_{s,t+1}^T H_{s,t+1} = V_0 + H_{s,t}^T H_{s,t} + h_{t+1}^T h_{t+1} = V_{s,t}^{-1} + h_{t+1}^T h_{t+1},
\]
and the Sherman-Morrison formula. The other expressions are quite straightforward. \(\square\)
### 2.5 Interpretation and relation to GARCH
It is widely recognized that returns data at daily or higher frequencies often exhibit certain stylized features:
1. long-run mean or median close to zero, and heavy tails;
2. long-run auto-correlation of returns which is small or decays quickly with lag-length, but auto-correlation of absolute or squared returns which decays slowly;
3. time-dependent volatility.
To explain the interpretation of the change-point model in this context, consider GARCH(1,1):
\[
y_t = \zeta_t \epsilon_t, \tag{21}
\]
\[
\zeta_t^2 = c_0 + c_1 y_{t-1}^2 + \rho \zeta_{t-1}^2, \tag{22}
\]
where \((\epsilon_t)_{t \geq 0}\) is a white noise process. This is perhaps the most widely used time series model which accommodates the stylized features described above:
1. in the original presentation of Bollerslev [1986], \((\epsilon_t)_{t \geq 0}\) were taken as i.i.d. standard Gaussian, so that the marginal distribution of \(y_t\) under (21) is a scale-mixture of zero-mean Gaussians. To further account for heavy-tails, Bollerslev [1987] suggested instead a \(t\)-distribution centered at zero for \((\epsilon_t)_{t \geq 0}\), with unit scale parameter;
2. due to the independence of the \((\epsilon_t)_{t \geq 0}\) and the centering of their common distribution at zero, it is easily seen that the autocorrelation of \((y_t)_{t \geq 0}\) (assuming it exists) is zero. The sequence of squared returns \(y_t^2\) from GARCH(1,1) is an ARMA process [Andersen et al., 2009, Thm 7, p.61] and hence may exhibit non-trivial autocorrelation;
3. time-dependent volatility is modelled through the ‘conditional-variance’ equation (22).
These properties manifest themselves in the predictive distributions \(p(y_{t+1}|y_{0:t})\) associated with GARCH(1,1); if indeed \((\epsilon_t)_{t \geq 0}\) are unit scale and zero-centered student’s-\(t\) variables with \(2a\) degrees of freedom, then:
\[
p(y_{t+1}|y_{0:t}) = \text{St}(2a, 0, \zeta_{t+1}^2), \tag{23}
\]
where by writing out (22),
\[
\zeta_{t+1}^2 = c_0 \sum_{s=0}^{t} \rho^s + c_1 \sum_{s=0}^{t} \rho^s y_{t-s}^2 + \rho^{t+1} \zeta_0^2. \tag{24}
\]
Let us now explain the connection to (14). For purposes of exposition, suppose that the parameters \((\mu_n)_{n \geq 0}\) are omitted from the change-point model, in the sense that (10) is simplified to:
\[ y_t = \alpha_{N(t)} y_{t-1} + \sigma_{N(t)} \epsilon_t, \tag{25} \]
and suppose the prior on each parameter pair \((\alpha_n, \sigma_n^2)\) is just the marginal prior of these two parameters under (13).
**Proposition 3.** Omitting \((\mu_n)_{n \geq 0}\) in the sense of (25) results in the following expression for (14):
\[ p(y_{t+1} | \tau_{t+1} = s, y_{s:t}) = \text{St}(2a + t - s, \hat{\alpha}_{s,t} y_t, \hat{\sigma}_{s,t}^2), \tag{26} \]
where
\[ \hat{\alpha}_{s,t} := \frac{\sum_{i=s}^{t-1} y_i y_{i+1}}{\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2}, \tag{27} \]
\[ \hat{\sigma}_{s,t}^2 := \left[ (1 - \hat{\alpha}_{s,t}^2) \frac{\sum_{i=s}^{t-1} y_i^2}{2a + t - s} + \frac{2b + y_t^2 - y_s^2 - \delta_1^{-1}}{2a + t - s} \right] \left( 1 + \frac{y_t^2}{\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2} \right). \tag{28} \]
Before giving the proof let us compare the predictive densities (26) and (23).
- Consider the number of parameters in (24) and in (27)-(28). The former involves \(a, c_0, c_1, \rho\) and \(\varsigma_0^2\). The latter involves \(a, b, \delta_1\), but these parameters can effectively be removed by considering the uninformative prior limits \(\delta_1 \to \infty, a, b \to 0\), under which \(p(y_{t+1} | \tau_{t+1} = s, y_{s:t})\) remains well-defined as a probability density assuming \(y_i \neq 0\) for some \(i \in \{s, \ldots, t - 1\}\). By contrast, there appears not to be a prior distribution under which one can analytically integrate out \(a, c_0, c_1, \rho\) in GARCH(1,1), so one must estimate these parameters or integrate them out numerically, which would complicate the fitting of a change-point model.
- Concerning the stylized features of returns described above, the median of \(p(y_{t+1} | y_{0:t})\) in (23) is clearly zero. If \(y_{s:t}\) exhibits little lag-one auto-correlation, in the sense that \(\hat{\alpha}_{s,t} \approx 0\), then the median of (26) is approximately zero also. However, if this auto-correlation is non-zero, this will be captured in (26), both in terms of the centering at \(\hat{\alpha}_{s,t} y_t\) and through \(\hat{\sigma}_{s,t}^2\). Thus the change-point model accommodates but does no insist upon stylized feature 1) and zero autocorrelations of returns in stylized feature 2); the model is flexible enough to explain away variations in data which cannot be well modelled in terms of dynamic volatility, such as short-lived trends and brief periods of correlated returns. The squared scale parameter \(\hat{\sigma}_{s,t}^2\) in (24) is an exponentially-weighted average of the previous squared returns \((y_i^2)_{i < t}\). This is what allows GARCH(1,1) to capture the auto-correlation of squared returns as per stylized feature 2). The predictive distribution in (26) achieves this in a slightly different manner: \(\hat{\sigma}_{s,t}^2\) involves a uniformly-weighted average of the squared returns, \((y_i^2, \ldots, y_{s-1}^2)\), where \(s\) is the time of the most recent change-point appearing in the conditioning in (26). Thus the change-point model can represent memory in the process of squared returns whilst avoiding the need for the parameter \(\rho\) in GARCH(1,1). Finally, Regarding stylized feature 3), obviously the change-point model accommodates changing volatility from one change-point to the next.
- The degrees of freedom in (23) is constant at \(2a\); in (26) the degrees of freedom is \(2a + t - s\), hence increasing as the time since the most recent change-point, \(t - s\), grows. As per (25), the change-point model assumes volatility is constant between change-points and this increase in the degrees of freedom reflects accumulation of data since the most recent change-point, assuming it is known or we are conditioning upon it. Integrating out the time of the most recent change-point results in the following identities:
\[ p(y_{t+1} | y_{0:t}) = \sum_{u=0}^{t} p(y_{t+1} | \tau_{t+1} = s, y_{s:t}) p(\tau_{t+1} = s | y_{0:t}), \]
\[ p(\tau_{t+1} = s | y_{0:t}) = \begin{cases} \sum_{u=s}^{t-1} \frac{G(t-u) - G(t-1-u)}{1-G(t-1-u)} \pi_t(u), & s = t, \\ \frac{G(t-s)}{1-G(t-1-s)} \pi_t(s), & s \in \{0, \ldots, t - 1\}. \end{cases} \]
Thus for the change-point model, the predictive density \(p(y_{t+1} | y_{0:t})\) is a mixture of densities of the form (26), i.e. of student’s-t distributions with varying degrees of freedom, centering and scale
parameters, where the mixing distribution is derived from the posterior change-point distributions \( \pi_s \). The parameter posteriors \( p(\beta_{N(t)}|y_{0:t}) \) and \( p(\sigma^2_{N(t)}|y_{0:t}) \), i.e. also with the time of the most recent change-point integrated out, have similar mixture representations, the details are left to the reader.
- Re-introducing the parameter \((\mu_n)_{n \geq 0}\) in (10) allows non-zero median returns to be modelled, which may be desirable over short periods or to accommodate short-lived market trends, but is not accommodated in (21),(21). Thus again the change-point model is flexible: if the data indicate the median/mean is zero, as per stylized feature 1), or not, then this will be reflected in the predictive distribution (23).
In summary, the model described in section 2.4 has the convenient property that the parameters \((\mu_n, \alpha_n, \sigma^2_n)_{n \in \mathbb{N}_0}\) can be integrated out analytically, thus allowing it to interface with the generic change-point model and inference recursion in section 2.1. Its predictive distributions are closely related to those of GARCH(1,1) and it accommodates the standard stylized features of returns, but is flexible enough to also model short-lived auto-correlations and trends.
**Proof of Proposition 3.** Omitting \((\mu_n)_{n \geq 0}\) results in the simplifications: \( \beta_n = \alpha_n \), \( H_{s,t} = [y_{t-1} \cdots y_s]^\top \), \( h_t = y_{t-1} \), and \( w_{s,t} \) and \( V_{s,t} \) become scalars, in particular:
\[
w_{s,t} = V_{s,t} \sum_{i=s+1}^{t} y_i y_{i-1},
\]
\[
V_{s,t} = (\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2)^{-1},
\]
\[
a_{s,t} = a + \frac{t-s}{2},
\]
\[
b_{s,t} = b + \frac{1}{2} \left[ \sum_{i=s+1}^{t} y_i^2 - \frac{\left( \sum_{i=s+1}^{t} y_i y_{i-1} \right)^2}{\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2} \right].
\]
Turning to the parameters of (14), we find the simplifications:
\[
h_{t+1} w_{s,t} = y_t \frac{\sum_{i=s+1}^{t} y_i y_{i-1}}{\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2},
\]
\[
\frac{b_{s,t}}{a_{s,t}} \left( 1 + h_{t+1} V_{s,t} h_{t+1}^\top y_{t+1} \right) = \frac{b + \frac{1}{2} \left[ \sum_{i=s+1}^{t} y_i^2 - \frac{\left( \sum_{i=s+1}^{t} y_i y_{i-1} \right)^2}{\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2} \right]}{a + \frac{t-s}{2}} \left( 1 + \frac{y_t^2}{\delta_1^{-1} + \sum_{i=s}^{t-1} y_i^2} \right).
\]
A little rearranging completes the proof. \( \square \)
## 3 Numerical results for constituents of the S&P 500
### 3.1 Data and parameter settings
All numerical experiments were based on a data set of daily prices for stocks which were constituents of the S&P500 index continuously from 1998 to mid 2013. The data set was taken from https://quantquote.com/historical-stock-data. According to source these data are split/dividend adjusted. All returns referred to below are daily closing log returns, i.e. \( y_t = \log(\text{price at } t) - \log(\text{price at } t-1) \).
When applying the change-point model from section 2.1, the prior on each of the inter-change-point times, e.g., \( T_n - T_{n-1} \), was taken to be a geometric distribution shifted so its support is \{1,2,\ldots\} rather than \{0,1,\ldots\}. The parameter of the geometric distribution was set to 0.02. The hyper-parameters in the prior distribution (13) were taken to be \( a = b = 5 \times 10^{-6} \), corresponding to a fairly uninformative prior over \( \sigma^2_n \)'s; and \( \delta_0 = 10 \) and \( \delta_1 = 0.02 \), corresponding respectively to an uninformative prior over the \( \mu_n \)'s and a prior over the \( \alpha_n \)'s which places substantial mass on \([-1,1]\). The approximation method described in section 2.3 was implemented with the number of support points \( n \) taken to be 100.
3.2 Application of the change-point model to AMZN
The objective of this section is to illustrate the output from the change-point model applied to a single time series.
The top plot in figure 1 shows the returns for AMZN. The second plot shows the number of trading days since the maximum-a-posterior (MAP) most recent change-point. To be precise, let $t$ be time since the start of the data set on 1/1/1998 in units of trading days and let $\tau_t^{\text{MAP}} := \arg\max_s \pi_t(s)$. Then the plot shows $t - \tau_t^{\text{MAP}}$ against the calendar date corresponding to $t$.
The third and fourth plots show means and 95% credible regions for $p(\mu_{N(t)} | \tau_t = \tau_t^{\text{MAP}}, y_{\tau_t^{\text{MAP}}, t})$ and $p(\alpha_{N(t)} | \tau_t = \tau_t^{\text{MAP}}, y_{\tau_t^{\text{MAP}}, t})$, i.e. the two marginals of (15) with $\tau_t^{\text{MAP}}$ plugged in. The interpretation of these distributions are that they are the posterior distributions of the parameters associated with the MAP most recent change-point. The bottom plot in figure 1 is constructed by finding the mode and 95% credible region of $p(\sigma_{N(t)}^2 | \tau_t = \tau_t^{\text{MAP}}, y_{\tau_t^{\text{MAP}}, t})$, i.e. (16) with $\tau_t^{\text{MAP}}$ plugged in, and then mapping through $x \mapsto \frac{1}{2} \log x$, to give the corresponding point estimate and credible region for $\log \sigma_{N(t)}$.
To illustrate inference about change-point times beyond the simple point estimate $\tau_t^{\text{MAP}} := \arg\max_s \pi_t(s)$, figure 2 shows a snapshot of the returns from April 2007 until July 2009 and the change-point distributions $\pi_t$ for $t$ corresponding to 28/09/2008, 23/02/2009, 05/05/2009, 16/07/2009. On 28/09/2008, i.e. just before the market crash, the change-point distribution (second plot from top) shows a small amount of evidence for a recent change, but most probability mass is associated with 24/07/2007 when the stock price surged after better-than-expected Q2 results were announced. The third plot down, showing the change-point distribution for $t$ corresponding to 23/02/2009 puts most of its mass around the September 2008 market crash. In the fourth plot, corresponding to 05/05/2009, the multiple modes in the distribution can be interpreted as competing hypotheses about the most recent change point: the September 2008 market crash is amongst them, followed by crises in December 2008 and January-March 2009. The bottom plot picks up the change to a period of lower volatility around the end of March 2009.
Figure 2: Change-point model applied to AMZN. Posterior distributions over time of most recent change-point, $\tau_t$, for $t$ corresponding to 29/09/2008, 23/02/2009, 05/05/2009, 16/07/2009. Red lines on the horizontal axes indicate range of the support of the distributions.
The top plot in figure 3 shows the returns along with the 95% credible region for each of the one-step-ahead posterior predictive distributions $p(y_{t+1} | \tau_{t+1} = \tau_t^{\text{MAP}}, y_{\tau_t^{\text{MAP}}:t})$, i.e. (3) with $\tau_t^{\text{MAP}}$ plugged in. The bottom plot shows these predictive credible regions pushed forward to the price.
Figure 3: Change-point model applied to AMZN. Blue plot shows adjusted daily closing log-returns (top) and prices (bottom). Red shading indicates posterior predictive 95% credible interval conditional on MAP most recent change-point. See text for definition.
3.3 Hierarchical clustering
Figure 4 shows the dissimilarity matrix of Wasserstein distances $W_1(\pi^t_i, \pi^t_j)$ as in (9) across the first 80 S&P 500 constituents by alphabetical order for $t$ corresponding to 16/07/2009. The reason for considering only 80 constituents is to keep the following visual results simple and easy to read. The date 16/07/2009 was chosen for purposes of illustration as it post-dates the global financial crisis and the onset of the subsequent recovery.
Whilst the dissimilarity matrix seems to show rich structure, it is not easy to directly interpret. This is where hierarchical clustering comes in: figure 5 shows the result of agglomerative clustering with the average linkage method, implemented in Python using the Seaborn statistical data visualization library, see https://seaborn.pydata.org and https://SciPy.org for details of the underling linkage method.
This clustering method proceeds by initializing each stock in a separate cluster, then sequentially combining nearby clusters and re-calculating between-cluster distances. The output is a dendrogram, shown on the right of figure 5, and a re-ordering of the rows/columns of the dissimilarity matrix to respect the structure of the dendrogram.
Once clusters of stocks are identified from this dendrogram, one may then interrogate their respective change-point distributions. To illustrate the idea, three clusters are highlighted in figure 5. The first cluster consists of:
- AIV, Apartment Investment and Management, a real estate investment trust;
- AFL, AFLAC Incorporated, an insurance company;
- AVB, AvalonBay Communities Real estate, an investment trust;
- AON, Aon, an insurance broker, risk, retirement and health services consulting company;
- BK, Bank of New York;
• BXP, Boston Properties, a real estate investment trust;
• ALL, Allstate, an insurance company;
• BAC, Bank of America.
There is a clear theme of financial, real-estate and insurance sectors to this cluster. Let us examine their change-point distributions $\pi_t$ for $t$ corresponding to 16/07/2009; they are shown in figure 6 and the common feature is probability mass around May 2009. It was at this time that some stocks badly effected by the crisis in 2008 and early 2009 showed signs of recovery. Indeed inspecting the estimates of $\sigma^2_{N(t)}$, for each of these stocks (not shown) reveals there was a discrete in each of their volatilities around May 2009.
The second cluster is less sector-specific, consisting of:
• APA, Apache Corporation, a hydrocarbon exploration company;
• AZO, AutoZone, an automotive parts retailer;
• CHK, Chesapeake Energy, a hydrocarbon exploration company;
• AAPL, Apple;
• AGN, Allergan, a pharmaceutical company;
• CL, Colgate-Palmolive, a consumer products company.
Inspecting figure 5, it is clear that this cluster is one component of a larger cluster of 30+ stocks which have similar change-point distributions. Figure 7 indicates the feature they have in common is evidence of a volatility change, or several volatility changes, in December 2008, but little evidence of a change-point between then and June 2009. Broadly speaking, these stocks were hit by the crisis in around October 2008, but their volatility subsequently decreased sooner than the stocks in the first cluster, around the end of 2008.
The third cluster is smaller, consisting of the three stocks:
• ABT, Abbott Laboratories, a healthcare company;
• AXP, American Express;
• CAT, Caterpillar, a construction equipment manufacturer.
Figure 8 reveals that the feature these three stocks have in common is evidence of a change-point around September 2008, about the time of the market crash, but little evidence of a change-point between then and June 2009. In fact inspecting the estimated volatility parameters $\sigma^2_{N(t)}$ for these stocks (not shown) shows that all three of these stocks remained in a state of relatively high volatility from September 2008 until around July 2009.
Figure 5: Hierarchical clustering dendrogram and re-ordered dissimilarity matrix for first 80 constituents of S&P 500 on 16/07/2009. Red highlighting of three clusters \{AIV, AFL, AVB, AON, BHK, BXP, ALL, BAC\}, \{APA, AZO, CHK, AAPL, AGN, CL\}, \{ABT, AXP, CAT\}. The associated change-point distributions are shown in figures 6-8.
Figure 6: Posterior distributions of time of most recent change-point as of 16/07/2009 for a cluster of S&P500 constituents extracted from the dendrogram in figure 5, from top to bottom: AIV, AFL, AVB, AON, BK, BXP, ALL, BAC.
4 Extensions
There are a number of avenues open for further investigation.
In terms of the modelling of individual time series, there are number of ways the model from section 2.4 could be extended. As it stands, it doesn’t explicitly model leverage effects - that increases in volatility tend to be larger when recent returns have been negative. A number of variants of the basic GARCH model, such as Threshold-GARCH and Exponential-GARCH do model leverage effects, but involve parameters for which conjugate priors are available. It might be useful to find a half way point between such models and that of section 2.4, to achieve more accurate modelling, whilst retaining the analytic tractability which allows parameters to be integrated out.
It could be desirable to develop a more principled approach to calibrating the hyper-parameters $a, b$, $\delta_0, \delta_1$, and the parameters of the prior on the inter-change-point times. This could be approached, for example, as a maximum likelihood or Bayesian inference problem. Particle Markov Chain Monte Carlo methods for the latter are given in [Whiteley et al., 2009].
It could also be interesting to explore alternative probability metrics and alternative clustering methods, for instance $k$-means using Wasserstein Barycenters [Ye et al., 2017].
References
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Figure 7: Posterior distributions of time of most recent change-point as of 16/07/2009 for a cluster of S&P500 constituents extracted from the dendrogram in figure 5, from top to bottom: APA, AZO, CHK, AAPL, AGN, CL.
Figure 8: Posterior distributions of time of most recent change-point as of 16/07/2009 for a cluster of S&P500 constituents extracted from the dendrogram in figure 5, from top to bottom: ABT, AXP, CAT.
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CINÉ-ETHNOGRAPHY
JEAN ROUCH
edited and translated by Steven Feld
Ciné-Ethnography
**VISIBLE EVIDENCE**
Edited by Michael Renov, Faye Ginsburg, and Jane Gaines
| Volume | Author(s) | Title |
|--------|-----------|-------|
| 13 | Jean Rouch | Edited and translated by Steven Feld
Ciné-Ethnography |
| 12 | James M. Moran | There’s No Place Like Home Video |
| 11 | Jeffrey Ruoff | “An American Family”: A Televised Life |
| 10 | Beverly R. Singer | Wiping the War Paint off the Lens: Native American Film and Video |
| 9 | Alexandra Juhasz, editor | Women of Vision: Histories in Feminist Film and Video |
| 8 | Douglas Kellner and Dan Streible, editors | Emile de Antonio: A Reader |
| 7 | Patricia R. Zimmermann | States of Emergency: Documentaries, Wars, Democracies |
| 6 | Jane M. Gaines and Michael Renov, editors | Collecting Visible Evidence |
| 5 | Diane Waldman and Janet Walker, editors | Feminism and Documentary |
| 4 | Michelle Citron | Home Movies and Other Necessary Fictions |
| 3 | Andrea Liss | Trespassing through Shadows: Memory, Photography, and the Holocaust |
| 2 | Toby Miller | Technologies of Truth: Cultural Citizenship and the Popular Media |
| 1 | Chris Holmlund and Cynthia Fuchs, editors | Between the Sheets, in the Streets: Queer, Lesbian, Gay Documentary |
Ciné-Ethnography
Jean Rouch
Edited and Translated by Steven Feld
University of Minnesota Press
Minneapolis
London
Copyright 2003 by the Regents of the University of Minnesota
Publication information for previously published material reprinted in this book is on pages 390–92.
All photographs are courtesy of Jean Rouch and the Comité du Film Ethnographique, Musée de l’Homme, Paris.
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.
Published by the University of Minnesota Press
111 Third Avenue South, Suite 290
Minneapolis, MN 55401-2520
http://www.upress.umn.edu
Library of Congress Cataloging-in-Publication Data
Rouch, Jean.
Ciné-ethnography / Jean Rouch ; edited and translated by Steven Feld.
p. cm. — (Visible evidence ; v. 13)
Essays and interviews translated from French.
Includes bibliographical references and index.
ISBN 0-8166-4103-X (HC : alk. paper) — ISBN 0-8166-4104-8 (PB : alk. paper)
1. Motion pictures in ethnology. 2. Rouch, Jean. 3. Ethnology—France.
I. Feld, Steven. II. Title. III. Series.
GN347.R57 2003
305.8—dc21
2002013793
Printed in the United States of America on acid-free paper
The University of Minnesota is an equal-opportunity educator and employer.
## Contents
Acknowledgments vii
Editor’s Introduction 1
**PART I. ESSAYS BY JEAN ROUCH**
The Camera and Man 29
The Situation and Tendencies of the Cinema in Africa 47
On the Vicissitudes of the Self: The Possessed Dancer, the Magician, the Sorcerer, the Filmmaker, and the Ethnographer 87
The Mad Fox and the Pale Master 102
**PART II. INTERVIEWS AND CONVERSATIONS WITH JEAN ROUCH**
A Life on the Edge of Film and Anthropology
Jean Rouch with Lucien Taylor 129
Ciné-Anthropology Jean Rouch with Enrico Fulchignoni 147
Les maîtres fous, *The Lion Hunters*, and *Jaguar*
Jean Rouch with John Marshall and John W. Adams 188
The Politics of Visual Anthropology Jean Rouch with Dan Georgakas, Udayan Gupta, and Judy Janda 210
**PART III. CHRONICLE OF A SUMMER: A FILM BOOK**
By Jean Rouch and Edgar Morin
Chronicle of a Film Edgar Morin 229
The Cinema of the Future? Jean Rouch 266
*Chronicle of a Summer*: The Film 274
The Point of View of the “Characters” Edgar Morin and Jean Rouch 330
PART IV. WORKS BY JEAN ROUCH
Annotated Filmography 345
Selective Bibliography 385
Publication Information 390
Index 393
Acknowledgments
Since 1972 I’ve enjoyed a number of conversations about Jean Rouch’s work and how and why it matters for cinema and anthropology. For these I’d like to thank Emilie de Brigard, James Clifford, Jean-Paul Colleyn, Manthia Diawara, Barry Dornfeld, Faye Ginsburg, Karl Heider, Jay Ruby, Paul Stoller, Lucien Taylor, the late Annette Weiner, Carroll Williams, Joan S. Williams, and the late Sol Worth.
Jay and Sol deserve a very special thanks for encouraging and enthusiastically publishing my original translations of Rouch’s work in the journals they edited, as does Faye, for encouraging publication of this collection in the Visible Evidence series.
I am neither a professional translator nor a fluent French speaker, much less an anthropologist of West Africa. Thus the translations would not have been possible without a great deal of aid. The early ones benefited from the help of Marielle Delorme, and the later ones from the collaboration of Shari Robertson, Anny Ewing, and Catherine Maziére. The historical, ethnographic, and linguistic knowledge of James Clifford, Jean-Paul Colleyn, and Paul Stoller was also invaluable.
For help assembling the collection, I am grateful to Jay Ruby, who prepared the collection of photographs; to Françoise Foucault of the Comité du Film Ethnographique, who coordinated texts, images, and permissions; and especially to Ruti Talmor and Jennifer Soroko, who tackled numerous editorial details with skill and patience.
Over the years, Jean Rouch has always helped unpack his mysteries, even when producing new and bigger ones and acknowledging that he prefers ideas to fall more toward the poetic side of complication than the precise side of determination. In a spirit of warm friendship and solidarity
with this mad master and pale fox (or is it mad fox and pale master? All, no doubt), it has been a great pleasure to translate and edit this collection of his work.
S. F.
Editor’s Introduction
Chronicle of a Book
I first encountered Jean Rouch’s films in 1972, at a National Science Foundation Summer Institute in Visual Anthropology organized by Jay Ruby, Sol Worth, Karl Heider, and Carroll Williams. I had just finished my first year of graduate school in African studies and anthropology, and I was deeply moved by the complex layers of the Africa I saw represented in *Les maîtres fous*, *The Lion Hunters*, and *Jaguar*. I wanted to know more. If these were the kinds of films and ethnography Rouch had done in the 1950s and 1960s, what could he possibly be doing in the 1970s? I decided to devote a year to filmic anthropology.
That’s how I ultimately arrived at the Musée de l’Homme in January 1974. As promised for the season, the Parisian light was as crisp as the air. By instant contrast, the dark cases and heavy displays I encountered at the Musée de l’Homme seemed of a piece with the ones I knew well from New York’s American Museum of Natural History, where I’d spent so much time in the African collection as an undergraduate. There I had learned that museums were places where virtually every corner, closet, and passageway held important things, which must be why I was hardly surprised to find the Comité du Film Ethnographique located on a converted fire escape.
“Yes! Yes! Your passport is stamped!” Punctuated by a grin, those were Rouch’s first words to me, overlapping my clumsy attempt to say something formal in French when Marielle Delorme first introduced us on the stairwell. Before I could recover, Rouch disappeared, and Françoise Foucault ushered me away to the editing room down the hall, with cans of film to occupy me for the rest of the afternoon. With that I learned how much Rouch was on the move. Exuberant and enigmatic, he could be quite
difficult to pin down for even a few moments. But during the following semester I attended his Saturday morning classes at the Cinémathèque, and the Thursday film séances he convened in the Musée de l’Homme’s screening room. And thanks to the familiar generosity of Marielle and Françoise, I got to spend a great many afternoons, whenever the editing table was free, looking shot by shot at numerous films from the Comité’s collection.
I came home saturated with French ethnographic film, especially cinema about and occasionally by Africans, and with a notebook crammed with sketches and details about the hundred films I’d seen. These included some thirty films by Rouch. I had studied most of them closely, from his earliest films, made silently with a twenty-five-second-per-shot spring-wound camera, to the later ones made in ten-minute-long sync-sound shot sequences.
I also returned with a rough translation of an essay Rouch had recently written. When I showed it to Sol Worth at the Annenberg School of Communication, he instantly suggested that *Studies in the Anthropology of Visual Communication*, the new journal he was editing with Jay Ruby, would be a perfect venue to publish translations of Rouch’s key essays on ethnographic cinema. So “The Camera and Man” appeared in the journal’s first issue in 1974, followed by “The Situation and Tendencies of the Cinema in Africa,” in two installments in 1975.
Then, by way of detour from Africa and film, I ended up in Papua New Guinea. When I returned home in fall 1977, I hardly had time for culture shock; the real shock that greeted me was the news of Sol Worth’s recent death. Within days I met up with Rouch again; he was appearing as the guest of honor at the first Margaret Mead Film Festival at the American Museum of Natural History. At the reunion, it was Jay Ruby who insisted that we continue the plan of publishing Rouch’s key essays in the journal, and so “On the Vicissitudes of the Self” appeared in 1978. Jay was also excited by the possibility of publishing *Chronique d’un été* (*Chronicle of a Summer*), the innovative and provocative book about the film that Rouch produced with Edgar Morin. I drafted translations of several of the sections, but it wasn’t until 1985 that the project was finally realized as an entire issue of *Studies in Visual Communication*, the successor journal that Jay edited with Larry Gross.
A few years later, it was again Jay who took the initiative, as editor of the journal *Visual Anthropology*, with the idea of a Festschrift issue in Rouch’s honor. When it appeared, in 1989, as both a complete journal issue and a book, it featured my translation from the longest retrospective interview Rouch had given about his work. It also included an expanded edition of the complete filmography, translated from the 1981 catalog *Jean Rouch: Une rétrospective*, still the most comprehensive work on Rouch by Rouch.
During all this time, many of my connections with film and Africa slipped away, overcome by work in music and Papua New Guinea. In fact, I wasn’t in much contact with Rouch or his films from the late 1980s through the late 1990s. But in April 2000, Faye Ginsburg, director of New York University’s Center for Media, Culture, and History, produced Rouch 2000, a weeklong film retrospective at NYU. I was inspired by a reunion, after twelve years, with Jean Rouch. And the chance to see some of the films again with Françoise Foucault, Jay Ruby, and other friends led to several enjoyable dialogues. But what excited me most was seeing a new generation of film and anthropology students respond so deeply to the stimulus of Rouch’s cinema. And with that it seemed obvious that despite the continued annoyance of having so few of Rouch’s films in North American distribution, the time was right to publish a Rouch dossier to bring together all of my out-of-print translations with some other key documents.
At the NYU retrospective, Rouch himself was in mourning for his friend and colleague Germaine Dieterlen. In her honor and memory, he devoted the first night of the festival to a screening of *Le Dama d’Ambara*, their 1974 film collaboration about Dogon funerary rituals. That suggested adding an additional essay, the one he had written in 1978 as the introduction to a collection in Dieterlen’s honor. Rouch was most pleased by the thought. With the book plan then in place, a translation was drafted, the filmography updated, all the translations reviewed, and the manuscript assembled.
It should be clear now that the idea all along has been for this to be a book in Rouch’s voice. The varied dates and contexts of the essays and interviews certainly make it possible for his stories to emerge. From his personal biography to his intellectual history, from his convictions and methods to his politics and aesthetics, the texts map his passion for uniting cinema and ethnography, for linking documentary and drama, for bridging empirical science and surrealist dreams.
Given the breadth and depth of Rouch’s works included here, not to mention the existence of several recent studies and films about him—Paul Stoller’s *The Cinematic Griot: The Ethnography of Jean Rouch* (1992); the *Cinema of Jean Rouch* Festschrift issue of *Visual Anthropology* (1989); Manthia Diawara’s film *Rouch in Reverse* (1995); Steef Meyknecht, Dirk Nijland, and Joost Verhey’s film *Rouch’s Gang* (1993)—a long introduction may seem quite unnecessary. Nonetheless, I’d like to review some of the basic biographical matters and themes in Rouch’s work, and cite some of the relevant historical and parallel texts for the benefit of those approaching this remarkable career and array of films for the first time.
Jean Rouch’s Ciné-Ethnographic Path
Jean Rouch was born in Paris in 1917. After studies in mathematics and engineering, he went to West Africa during the war, in 1941, as a bridge and causeway engineer. He became interested in local cultures during this time and, when he found himself in Dakar, Senegal, began spending time at the library of l’Institut Français d’Afrique Noir (IFAN), where Théodore Monod encouraged him to study African ethnography and write up his observations. When Rouch returned to France, he decided to take a doctorate in anthropology under the supervision of Marcel Griaule. In 1946 Rouch returned to Africa with some friends from his engineering days; they spent nine months descending the Niger River by canoe. Before his return, Rouch purchased a wartime Bell and Howell 16 mm spring-wound camera at a flea market in Paris. During his voyage he shot black-and-white footage and continued taking ethnographic notes (see “The Mad Fox and the Pale Master” and “A Life on the Edge of Film and Anthropology,” in this volume, for Rouch’s narratives of this early history).
This trip marked the real beginnings of Rouch’s intertwined career as an ethnographer and a filmmaker. With his notes, he completed a dissertation in anthropology (Rouch 1953). With his films, he was able to do much less. Sixteen millimeter was still an amateur medium, editing equipment was not available, and there was no way to make prints for distribution. Rouch used his films to experiment with editing and screened them publicly only at lectures where he would speak an on-the-spot commentary for a sound track. Actualités Françaises became interested in the material, and some of it was blown up to 35 mm.
Shortly thereafter Rouch returned to Niger to do more ethnography and film, this time in color. He made three short films in the course of his work: *La circoncision*, *Les magiciens de Wanzerbé*, and *Initiation a la danse des possédés*. When these films were completed (a term used loosely, as 16 mm editing was still crudely done with a projector and hand splices, and sound tracks were unwedded to film), Rouch got his first break, a showing at the Festival of Biarritz. During the screening to an audience that included directors such as Clement and Cocteau, Rouch was shocked to realize that the films held the attention of sophisticated viewers. Later, the three shorts were reedited into a single film, *Les fils de l’eau*; it was the first color film blown up from 16 mm to 35 mm in France.
During the late 1940s and early 1950s, Rouch continued his ethnographic trips, working with the Sorko and Songhay peoples of Niger. He
began to concentrate on the topics of migration and religion and collaborated with Roger Rosfelder on several short films on these themes.
At the beginning of the 1950s, Rouch became one of the first to experiment extensively with the early “portable” field sound recorders (again, a loose notion, as they were tremendously heavy and difficult to use compared to technologies from the 1960s onward). He recorded West African music and also recorded sounds at the same time as images, for pseudosynchronous filming, as no method of synchronization existed then for portable equipment. Also during this period, Rouch made his first film among the Dogon in Mali (a group he had not studied but who, since 1931, had been the subject of many periods of research by Marcel Griaule and his collaborators).
Both the endorsement of Griaule and growing recognition of Rouch’s own ethnographic and film work in Niger helped establish Rouch and ethnographic film in France. In 1952, with the backing of André Leroi-Gourhan, the Comité du Film Ethnographique was formed as a department at the Musée de l’Homme, with Rouch as secretary-general. Shortly afterward, at the Fourth International Congress of Anthropological and Ethnological Sciences in Vienna, Rouch was instrumental in the formation of the Comité International du Film Ethnographique et Sociologique (CIFES), an organization devoted to the production, compilation, conservation, and distribution of ethnographic films on an international scale.
In the mid-1950s, Rouch’s continuing research on migrations led him to follow Songhay men from Niger to large West African cities such as Accra and Abidjan. In Ghana he made the films *Madame l’eau* and *Les maîtres fous* and also began filming *Jaguar* about these migrations.
*Les maîtres fous* was his first departure from purely descriptive cinema into a more synthetic approach to event structures. Having observed a ritual several times, he realized that he could break down the crucial aspects and approach them as theatrical narrative. Using montage to create contexting boundaries and making the most of the technical limitation of twenty-five-second shots (he was still using a spring-wound 16 mm camera), Rouch was able to make a short film with more explicative depth and synthesis than his previous ethnographic studies.
*Les maîtres fous* is about the Hauka, a possession cult among the Songhay that reached full expression in Ghana, where migrants from Niger brought it. The film shows cult members working at menial tasks in the city during the week, then in possession trances during the weekend, then back in the city context. Hauka members become possessed by colonial and technological masters. Because the actual ritual depicted in the film is
violent, and is disturbing to many viewers, Rouch was urged by friends to destroy the film; he refused on the grounds that the participants in the film had themselves requested it be made.\(^1\)
During the late 1950s, Rouch devoted the major part of his fieldwork to research on Songhay religion; this culminated in the completion of his *doctorat d’état*, published as *La religion et la magie Songhay* (Rouch 1960a, 1989). This remains his major ethnographic publication, of enduring value both in relation to the films that he has made about Songhay religion and cosmology and in relation to continuing studies of Songhay society and magic.\(^2\)
While Rouch continued to make shorter film studies of topics close to his research, colonial Africa was increasingly turbulent in the late 1950s. This led him to experiment with more overtly dramatic forms, choosing subject matter that, like *Les maîtres fous*, could have a more direct impact on a wide audience.
The first of these, *Moi, un Noir*, shows a group of Africans in an Ivory Coast slum, Treichville, playing out a psychodrama about themselves. It was filmed silently, and then Rouch asked the principal player, Oumarou Ganda, to improvise a narration as he saw a rough cut of the film. Ganda’s commentary consists of referencing his actions to the war in Indochina, from which he returned bitter and sad. This device made the film very dreamlike and confused many audiences. Rouch himself felt that the success of the film was in its deliberate attempt to be subjective and let Africans portray their own imaginary world and their own fantasies while being filmed in the context of their actual situation. The movements back and forth from the immediate reality of the players to their dramatic fantasies were taken by some to indicate that *Moi, un Noir* was the first film that actually gave a voice to Africans and allowed them to present the realities of their world. Indeed, its protagonist, Oumarou Ganda, went on to become a filmmaker. Nonetheless, the film was censored in Ivory Coast, and Rouch’s defense that “fiction is the only way to penetrate reality” was slow to gain sympathetic response, either from anthropologists or from African viewers.\(^3\)
The next film that emerged in the context of both Rouch’s interest in psychodrama and his desire to chronicle the intercultural politics of African modernities was *La pyramide humaine*. This film was an attempt to develop the method of improvised ethnographic fiction. It was acted out by a group of people who were given a general story line by Rouch, who in turn catalyzed the action by filming and interrupting the filming according to how he felt the group was progressing.
The actors are two sets of high school students from Abidjan, one
group white, the other group black. They had previously not socialized. Rouch proposed that they collectively act out a story on the topic of what would happen if they all newly met each other and decided to be friends and overcome racial prejudices. The film was shot silently, like the preceding one, with the plan of using postsynchronization: the players making up a sound track as they saw the edited film. This was done, then supplemented by bringing in blimped 16 mm synchronous-sound equipment and shooting several sync-sound sequences, with Rouch and the players in front of the camera. This makes it possible for Rouch to add to the self-conscious dimension of the film; indeed, the film begins with a sequence where he proposes his idea of a collectively improvised story. There is also a similar sequence in the middle of the film. The action breaks off, and all the actors comment on what they have been trying to do up until that point.
The making of these two films involved major technical obstacles to the kind of improvised spontaneity Rouch sought. At this time there were no noiseless portable 16 mm cameras for shooting synchronized sound; noiseless sync could only be accomplished by housing the camera in an enormous blimp. The films attempted to overcome the technical limitations of the medium at the time in part through experiments with reflexivity and narrative realism.
Continuing reflection on the question of how one films what is subjectively real about and for people and their cultural situation led to what is Rouch’s best-known film. Significantly, it was also his first film in his own society, *Chronicle of a Summer*, made in Paris in 1960 in collaboration with sociologist Edgar Morin. Rouch was responsible for organizing the filming, Morin for the fieldwork and organizing the participants. The film is presented as an inquiry into the lives of a group of Parisians in the summer of 1960. It combines the techniques of drama, fiction, provocation, and reflexive critique that Rouch developed from previous films. It was during this film that the prototype Eclair lightweight 16 mm camera was used for the first time with the Nagra recorder to achieve truly portable handheld synchronous sound.
This film is associated with the origins of the term “*cinéma-vérité*” to refer to a process, visual aesthetic, and technology of cinema. Additionally some took it as an ideology of authenticity, as well. But in the context of the experimental gestures in *Chronicle of a Summer*, *cinéma-vérité* came to mean four things: (1) films composed of first-take, nonstaged, nontheatrical, nonscripted material; (2) nonactors doing what they do in natural, spontaneous settings; (3) use of lightweight, handheld portable synchronous-sound equipment; and (4) handheld on-the-go interactive filming and recording techniques with little if any artificial lighting.
summed it up more directly, simply claiming that *Chronicle* was the first film to show that “you can film anything anywhere” (“Ciné-Anthropology,” this volume).
Immediately after *Chronicle of a Summer*, Rouch made *La punition* and *Rose et Landry*; the former appeared on French television and the latter on Canadian television. *La punition* was largely a response to the problem of editing *Chronicle*, for which there were twenty-two hours of rushes. *La punition* was made in two days, with Rouch again, in the fashion of *La pyramide humaine*, provoking a situation (a woman wanders through Paris and meets three different men, a student, an African, a middle-aged engineer, and . . .). It was filmed with single takes, no location setups, and handheld camera. *La punition* and *Rose et Landry* reflect very much of a concern with revisiting issues raised by *Les maîtres fous* and *Moi, un Noir*, namely, the impact of European racism on Africans, as well as African responses to European colonialism. Not surprisingly, these films were made at the height of both African independence movements and political debates about the psychological impact of colonialism, racism, and lingering European anti-Semitism. From this standpoint, the films can be seen as merging filmic experimentalism with engaged antiracist politics.
Rouch’s developing interest in filming in his own society and in the interplay of drama and reality led to another production in Paris during this period. In 1966 he participated (along with Eric Rohmer, Jean-Luc Godard, Claude Chabrol, Daniel Pollet, and Jean Douchet) in a film entitled *Paris vu par . . .*, in which each of the six directors contributed a short sequence on a different section of Paris. Rouch’s episode, *Gare du nord*, was a drama about a marital quarrel and suicide. The scene was improvised and simply provoked by Rouch, who told the participants the themes and what he generally had in mind (they were not professional actors). The film further gives the illusion of *cinéma-vérité* by its filmic style. It was done entirely in two shots, each the length of a camera magazine. The film magazine was changed in an elevator, between a shot of the closing and opening of the doors; thus the film presents the illusion that it consists of only one shot, of about twenty minutes’ duration. This film was yet another indication of the relevance of Rouch’s technical and narrative innovations to the French Nouvelle Vague film movement.
In 1964 *The Lion Hunters* was released. This is a feature-length ethnographic study that Rouch had been working on for eight years in between the series of films in Paris. It was immediately followed by *Un lion nommé “l’Américain,”* which tells the story of the capture of the lion that eluded the hunters in the first film. The two films indicate another synthetic turn
in Rouch’s approach, combining the older style of ethnographic reportage with a much more developed sense of plot and narrative structure, very much as in more dramatic films. In making these films, and a few shorter ethnographic studies in the early 1960s, Rouch experimented extensively with the new portable sync-sound equipment in Africa.\textsuperscript{6}
\textit{Jaguar}, begun in the mid-1950s, was finished in 1963. At the ethnographic level, this film is a distillation of Rouch’s research on migrations (Rouch 1956, 1960c). At the narrative level, it was also a distillation of his experiences with drama and fiction. In the film, three men, Lam, Damouré, and Illo, take a trip from Niger to the coast of Ghana (then Gold Coast). The film attempts to capture the spirit of preindependence West Africa, when borders were not difficult to cross, and when considerable adventure and possibility, as well as risk, were associated with going to large cities. The film was shot silently in the 1950s, when Rouch was still using a small 100-foot-load spring-wound camera. In finishing the film, Rouch maintained the continuity of that style and made it like the earlier fiction films. During a screening of the rough cut, the actors improvised a sound track with dialogue.\textsuperscript{7}
Also in the mid-1960s, Rouch began working again with the Dogon in Mali, this time in collaboration with the ethnographer Germaine Dieterlen, a member of the original Griaule research team. Between 1966 and 1973, Rouch filmed the Sigui ceremony. In the Dogon ceremonial cycle, Sigui occurs every sixty years for seven years.\textsuperscript{8} With ethnomusicologist Gilbert Rouget, also a collaborator on one of the \textit{Sigui} films, Rouch also made \textit{Batteries Dogon}, a study of Dogon drumming (Rouget 1965), and some shorter films among the Dogon, such as \textit{Funérailles du Hogon}, an interesting contrast with his early 1951 Dogon funerary film \textit{Cimetière dans la falaise}. But perhaps the most developed sense of ritual, history, and cinematic poetics comes together in two longer Dogon funeral ritual studies completed in the early 1970s: \textit{Funérailles à Bongo: Le vieil Anai, 1848–1971} (1972), and \textit{Le Dama d’Ambara} (1974).
Also in the late 1960s and into the 1970s, Rouch continued to film with the Songhay, concentrating on studies of rituals and religion, specifically rainmaking rites, possession dances, and divination (Stoller 1992, 48–62). Many of these rituals are described both in Rouch’s book and in earlier films. But here they begin to be filmed in a very different way, due both to the use of direct cinema techniques (handheld sync sound, long takes) and to the depth of sophisticated observing gained from having seen so many of these ceremonies over a period approaching thirty years. Films such as \textit{Horendi}, \textit{Yenendi de Gangel}, and \textit{Tourou et Bitti} are made in the
style of continuous ten-minute shots, filmed while Rouch is walking among the participants in the events. Rouch calls these “shot sequence” (plan sequence) films.
In the verbal introduction to the sound track of *Tourou et Bitti*, he describes what is to come as “ethnography in the first person” because he plays the roles of both participant and catalyst as he films. The purpose of these films is not to break down and explicate events into component structures and sequences. Rather, they show how the familiar observer authors a subjectively experiential and interactive account of them at the moment he films. This style of shooting long sequences with a single focal-length lens (frequently wide angle, 10 mm) and extensive walking is also considered by Rouch to be an answer to the problem of editing; namely, to edit everything in the camera as it is being shot and then string the shot sequences together. The film is thus imaged as a way of seeing in the moment. It is at once a temporal index of observational experience and a spacial icon resembling the participatory dialectic of scanning and focusing.
Alongside this evolution in field filming, Rouch concentrated in the late 1960s and onward to the 1990s on producing feature-length ethnographic fiction films that descend directly from *Jaguar*, but also show the influence of *Moi, un Noir*, and *La pyramide humaine*. All are improvised and filmed directly by Rouch and jointly conceived by him, Damouré Zika, and Lam Ibrahim Dia (hence the name Films Dalarou, in some cases Dalarouta, to indicate the participation of Tallou Mouzourane, another longtime collaborator). These men have been in numerous Rouch films and have also worked as close field assistants. In this series of films are *Petit à Petit, Cocorico, Monsieur Poulet*, and *Madame l’eau*. Very broadly, the subject of these films is post- and neocolonialism and its effects on the lives of Africans, and their relations to a changing Africa and a changing Europe. There is a particular emphasis on dramatic storytelling, and on ironies of cross-cultural (mis)communication. In these films, Rouch continually works to refine a way of crossing lines and expectations; fantasy, absurdity, and surrealist scenarios are constantly juxtaposed with, or blended into, mundane everyday experiences of political and economic realities.
In *Petit à Petit*, for example, Rouch was responding directly to the changed political climate in France after May 1968, as well as the complexities of postcolonial African modernities and desires. Damouré, Lam, and Illo play the roles of African businessmen who go to Paris to investigate how people live in high-rise buildings so that they might build one themselves in Niger. In the course of the Parisian visit, Rouch provokes his actors to act out a reverse—some would say perverse—anthropology: measuring heads of Europeans with calipers in front of the Musée de l’Homme,
asking to inspect French mouths and count teeth, interviewing passersby on the street about their color categories. Through these absurdities, Rouch directly confronts the power positions of anthropologists and Africans. Decentering stereotypical subject/object relationships is particularly poignant in these fictions, as is the way the story unfolds, when the crew of expatriate Africans and French bohemians return to Africa and things fall apart.\textsuperscript{10}
The second film, \textit{Cocorico, Monsieur Poulet}, is much more of an attempt to deal with the subtleties of colonial response, namely, the development of a subculture of African marginals. This collective improvisation on a popular fable from Niger features Damouré, Lam, and Lam’s little Citroën 2 CV on a yearlong expedition that shifts from mundane peddling, to supernatural adventures with sorcery, to the allegory of how a car crosses a river (see “Ciné-Anthropology” and “The Politics of Visual Anthropology,” in this volume).
These fictions reach their most playfully ironic heights in \textit{Madame l’eau}. Damouré, Lam, and Tallou visit Holland, the land of windmills, in search of a way to irrigate their lands in Niger, which have been ravaged by drought. Encounters with Holland, and friendships with Dutch people, some quite comical, some quite bizarre, lead to the realization that a wooden windmill can be built on the banks of the Niger. And indeed, in time, one is (the Dutch film \textit{Rouch’s Gang} chronicles the making of \textit{Madame l’eau}).
Among other central features—particularly a preoccupation with dreams—these films are an attempt to develop a visual poetic of African storytelling. Yet in all cases, Rouch eschews a film structure precisely parallel to African epics, depriving any single narrative and often developing an underlying tone that is extremely cynical about the self-serving nature of historical accounts. His concentration on the connection between desires for modernity and marginals, whom he occasionally refers to as a “populist avant-garde,” involves a perception of both the injustices and ironies of postcolonial Africa that tends to provoke strong responses from critics and audiences in both Africa and Europe.
Throughout the later 1970s and through the 1980s and 1990s, Rouch continued on several tracks in addition to ethnographic fiction. One involved continuing fieldwork in Niger on Songhay ritual and everyday life and producing new film studies in the “shot sequence” style. An additional series of films begun in the late seventies includes ciné-portraits; subjects include Margaret Mead, Germaine Dieterlen, Taro Okamoto, and Paul Levy.
At the time of this writing there are more than one hundred finished films, and at least another twenty-five in various stages of completion (see annotated filmography, this volume). Of this extraordinary output, it is remarkable—in the extreme negative, that is—that only five films, \textit{Les
maîtres fous, The Lion Hunters, Jaguar, Chronicle of a Summer, and Paris vu par . . . (Paris Seen by . . .), are available in the United States. Indeed, until the mid-1970s, Rouch’s other films were rarely been seen outside of Europe and Africa, and it was only in the 1970s and 1980s that his basic publications on ethnographic film and African cinema were translated and substantial interviews published in English.
Beginning in the late 1970s, Rouch’s appearances at U.S. film festivals, summer seminars, and retrospectives brought considerably more U.S. attention to his work. Around this time as well, anthropologists and filmmakers began to more regularly discuss the specifically theoretical implications of Rouch’s film style for a more participatory and reflexive ethnographic cinema. In recent years, however, Rouch’s work has been the subject of considerably more attention in different quarters of the anthropological and film communities.
Thematics of Rouch’s Ciné-Ethnography
To further situate this general overview of Rouch’s career and films, it is useful to review the four key themes that are revealed in his films and writings. These are an attempt to synthesize and elaborate the key documentary impacts of Robert Flaherty and Dziga Vertov; the refinement of the concepts of cinema verite and direct cinema; the development of the ethnographic fiction genre; and the preoccupation with filmic conventions of reflexivity, authorship, autocritique, and “shared anthropology.”
In published interviews and writings, as well as public discussions, Rouch has continually cited his esteem for Robert Flaherty and Dziga Vertov. For Rouch, Flaherty and Vertov “invented” a new discipline of filmmaking by “experimenting with cinema in real life” (“Vicissitudes”). In doing so, they “discovered the essential questions that we still ask ourselves today: must one ‘stage’ reality (the staging of real life) as did Flaherty, or should one, like Vertov, film ‘without awareness’ (seizing improvised life)?” (“The Camera and Man”). To understand why Rouch finds these the “essential” questions, one must examine their relation to ethnography.
Rouch sees Flaherty—specifically the Flaherty of Nanook of the North—as the unconscious originator of filmic equivalents of the most basic ethnographic field methods, participant observation and feedback. Specifically, Rouch views the film as a celebration of a relationship; it combines the familiarity that accrues from observation with the sense of contact and spontaneity that comes from rapport and participation. By developing and printing rushes on location and screening them with Nanook
and other Inuit, Flaherty initiated filmic feedback as a form of stimulation and rapport.
Moreover, Rouch takes it as critical that Flaherty was able to teach Nanook that in order to make a film, actions could not take place as they normally do. Flaherty was not interested in simply recording things as they happened, nor was he technically able to do so. He instead solicited Nanook’s help to get people to enact themselves, but with the understanding that such enactments could only take place at the point when he was ready to film them. Citing the phrase of Luc de Heusch (1962, 35), Rouch applauds this achievement of the “participating camera,” and its connection to the “staging” of reality.\(^{14}\)
Rouch’s debt to Dziga Vertov seems less romantic and mythologizing, as well as more specifically filmic. It concerns the development of a cinematic realism in which the theory of realism was not confused with “reality.” Vertov was concerned with the structures of film realism and the methods of filming real life, as opposed to theatrical enactment. He articulated his theory and method in ways that showed that cinema was different from lived reality and that the camera was not a human eye but a specifically mediated mechanical one. For Vertov, film realism was thematic and structural, built up from tiny units of observation of real people doing real things. These units were always organized by the filmmaker to express his version or statement of the content.
For Rouch, Vertov’s importance rests in the break from cinema realism that was confined to isolated observations and the espousal of a cinema realism that had an explicit notion of editing and organizing these “crumbs,” as Vertov called them, into a thematic reality. Although Vertov insisted on filming improvised life (no actors, no scripts, no costumes) to seize reality, he both stressed and resorted to extensive montage and metaphoric juxtapositions to “decipher” reality, that is, to elaborate it from the “crumbs” of the footage.
The key factor here is that Vertov described the kino-eye not as a model for seeing the truth but as a new kind of seeing that created its own peculiar truth. Rouch writes that Vertov “called the entirety of this discipline kino-pravda (cinéma-vérité, film truth), an ambiguous or self-contradictory expression, since, fundamentally, film truncates, accelerates, and slows down actions, thus distorting the truth. For me, however, ‘kinopravda’ (cinéma-vérité) is a precise term, on the same order as ‘kinok’ (ciné-eye), and it designates not ‘pure truth’ but the particular truth of the recorded images and sounds—a filmic truth, ciné-vérité” (“Vicissitudes,” this volume). Describing Vertov’s impact on *Chronicle of a Summer*, years later, he continues, “With the ciné-eye and the ciné-ear we recorded in sound and image a
ciné-vérité, Vertov’s kinopravda. This does not mean the cinema of truth, but the truth of cinema” (“Ciné-Anthropology,” this volume).
In this regard, Rouch’s use of Vertov goes beyond his use of Flaherty. This is because with Vertov, the camera gains consciousness, and the mediating work of the filmmaker is itself put on the screen as a way of making a work process explicit. It is this self-consciousness of process, the idea that the truth or the reality of a film is always a socially constructed one, that Rouch derives from Vertov (Sadoul 1971; Sauzier 1985).
Of these concerns raised by Flaherty and Vertov—participant observation, feedback, staging reality, seizing improvised life, editing for thematic subjective truth, ciné-vérité, making the camera the principal actor, revealing the process of making and the authorship of the director—Rouch is heir. His claim, all told, is that film and anthropology share the same essential concerns with the nature of intersubjectivity.
From Vertov, Rouch focused on a cinema concerned with exposing its own process of seizing improvised life and simultaneously commenting on its own form of seeing, hearing, and organizing. It was with this in mind that the term “cinéma-vérité” was actually first used in an article by Morin reporting on the Florence International Ethnographic Film Festival of 1960 (see Morin’s essay, this volume). Morin was on the jury with Rouch and after the festival wrote a newspaper article for France-Observateur titled “Pour un nouveau cinéma-vérité.” His intention was to pay homage to Vertov. The same phrase was used on the publicity flyer when Chronicle of a Summer premiered at Cannes in 1961. At the time, both Morin and Rouch held that the important word in the phrase was “nouveau.” They stressed the realization of a combined cine-eye and ear, the development of portable synchronous sound, the new potential for the role of speech in the cinema, and the closeness and contact of direct filming without the intervention of a large crew. In short, they stressed both the arrival of the technical means that Vertov lacked and its role in realizing, with new sophistication, the self-revelatory and self-critical process kinopravda promised.
Like many other filmmakers, however, Rouch dropped the term “cinéma-vérité” as the generic name for the film style in which he was engaged, fearing that it was tainted by the pretension of an absolutist notion of truth. Instead, he adopted the term “cinéma-direct” (direct cinema, as it was immediately termed in English), first suggested by Mario Ruspoli (Marsolais 1974, 21–25). Gilles Marsolais presents a consensus definition of cinéma-direct as “a cinema that records directly in the field, not the studio, words and gestures through the use of synchronous camera and tape recorder that is lightweight and flexible to handle. This, in other words, is
a cinema that establishes direct contact with people, trying to ‘paste together reality’ as best as possible while always taking into account that the enterprise is mediated” (1974, 22). Since 1963 Rouch has used this term to denote both a set of attitudes and a set of techniques; the two are felt to be mutually interdependent and are not concerned with “truth” in any positivist sense. Karel Reisz and Gavin Millar, in the classic manual on documentary film editing, stress this intersection of the technical and processual in the editing of Chronicle of a Summer: “It has as its aim not ‘truth’ but the many truths out of which some picture of reality can be built” (1968, 303).
Direct cinema brought together the technical breakthroughs that took place at the Canadian Film Board, in France, and in the United States between 1958 and 1960 (Issari 1971; Mamber 1974). These developments centered on portability. The possibility to film with cameras quieted by their own material casing (called “self-blimped”) developed simultaneously with techniques of synchronization between the camera and an independent portable recorder. These developments were also accompanied by the manufacture of faster film stocks and laboratory forced processing (“pushing”) of film stocks to higher speeds so that heavy lighting equipment could be minimized.
These innovations came together considerably during the making of Chronicle of a Summer, during which Coutant developed the prototype Eclair 16 mm self-blimped camera (which became known as the NPR, or “noiseless portable reflex”). With feedback from Rouch on design, this camera was used with a portable Nagra tape recorder with a neopilot system for synchronizing image and sound. At the same time, a new wide-angle lens that had considerably less distortion problems than earlier models was introduced. Simultaneously, two additional aspects of portability were brought from Canada by Michel Brault of the Canadian Film Board. These were the lavalier microphone and the technique of walking with the handheld camera.\(^{15}\)
The basic spirit of a new cinema, of a direct cinema, was quickly established. This meant reliance on synchronous sound, avoidance of voice-over and narration associated with classical documentary, and insistence on “live” natural settings and “first takes” with no repetition of what really happened (so that the camera could film it from another angle for match cutting, for example). Rouch insisted that this approach make no abstract claims for truthfulness, only for the necessity of contact, and the hope that it will play a catalytic role in the film process. This is the sense in which Rouch prefers “direct cinema” to either “observational cinema,”
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The Board of County Commissioners convened in regular session at 8:00 a.m. on Tuesday, April 28, 2015 in the Commissioners’ Chambers with the following members present: Douglas A. Spencer, Don Regula and John N. Bergman. The meeting of the Board was called to order by President Spencer.
**AGENDA**
8:00 a.m. Commissioners sign resolutions/documents (Chambers)
8:30 a.m. Staff Meeting (Chambers)
9:00 a.m. Gayle Flaczynski, Paul Tecpanecatl, Lauren Falcone – Phone Conference to discuss FY15 allocation and RLF Fund (Chambers)
10:30 a.m. Rick Bice & Sheriff Solomon – Discuss HFAC system for the LEC building (Chambers)
1:30 p.m. Craig Moeller, Susan Crotty, Kraig Noble, Greg Foxhoven from City of St. Marys – meeting to discuss allocation and RLF fund (Chambers)
2:00 p.m. Mary Ruck, Greg Myers, Bills Rains and Rodney Metz from City of Wapakoneta – meeting to discuss allocation and RLF fund (Chambers)
2:30 p.m. Russ Bailey – Monthly meeting for County Dog Warden (Dog Shelter Building)
3:00 p.m. Cancelled – LFA monthly meeting with Mercer County (220 W. Livingston Street, Room A201, Celina, Ohio)
3:00 p.m. Brian Baumer from Secretary of State Office (Chambers)
3:30 p.m. Present and discuss upcoming resolutions (Chambers)
**PROCEEDINGS OF THE DAY**
8:00 a.m. Commissioner Regula moved to approve the resolutions as presented. Commissioner Bergman seconded the motion. The resolutions were then distributed for each Commissioner’s vote and execution.
8:35 a.m. Clerk Leffel read the minutes of the April 23, 2015 meeting. The minutes were approved with some clarification.
8:45 a.m. Clerk Leffel reported the following:
- Reviewed the meeting calendar through May 8th.
8:50 a.m. Administrator Preston conveyed the following:
- Received the quote from Flow-Liner for repair of pipes at the Law Enforcement Center
- More information for tank removal at the airport – concerning a possible grant through BUSTER
- Received a request for a subordination agreement from a CHIP recipient.
9:00 a.m. The Commissioners, County Administrator and Clerk of the Board, participated in conference call with Gayle Flaczynski, Paul Tecpancatl and Laura Falcone of Poggemeyer Design Group to discuss CDBG funding applications.
9:54 a.m. Commissioner Bergman moved to go into executive session for the purpose of discussing the compensation of an employee and invited County Administrator Erica Preston to attend. Commissioner Regula seconded the motion. Chairman Spencer called the roll: Bergman-yes; Regula-yes and Spencer-yes.
9:59 a.m. Commissioner Regula moved to go back into regular session. Commissioner Bergman seconded the motion. Chairman Spencer called the roll: Regula-yes; Bergman-yes and Spencer-yes. No action was taken.
10:00 a.m. Commissioner Regula moved to go into executive session for the purpose of discussing union negotiations progress and invited County Administrator Erica Preston to attend. Commissioner Bergman seconded the motion. Chairman Spencer called the roll: Regula-yes; Bergman-yes and Spencer-yes.
10:09 a.m. Commissioner Regula moved to go back into regular session. Commissioner Bergman seconded the motion. Chairman Spencer called the roll: Bergman-yes; Regula-yes and Spencer-yes. No action was taken.
10:25 a.m. Commissioner Bergman gave a report on the EMA meeting he attended last Thursday evening. He met with landowner Steve Egbert and Airport Manager Matt Bailey to view a drainage issue that Mr. Egbert is experiencing. The tile runs through the county’s property. The group also viewed an area on the south side of the runway that Mr. Egbert would like to have reshaped to minimize the habitat for groundhogs and to provide for easier mowing by the Airport.
10:30 a.m. Maintenance Supervisor Rick Bice, Sheriff Al Solomon, County Administrator Erica Preston and the Commissioners met to discuss the quote from Flow-Liner for the repair of the sanitary sewer lines at the Law Enforcement Center. Mr. Bice will review the quote. Ms. Preston will coordinate a list of questions for the company. Rick Bice also expressed a concern about the amount of dollars that has been spent on repairs of the original chiller unit at the Law Enforcement Center and what is anticipated to be spent this year. The Commissioners are considering the costs associated with the various options, which could include a complete chiller replacement.
1:30 p.m. Clerk of the Board Esther Leffel, County Administrator Erica Preston and the Commissioners met with representatives of the City of St. Marys: City Solicitor Kraig Noble, Engineer Craig Moeller, Safety/Service Director Greg Foxhoven and Economic Development Director Susan Crotty to discuss the funding of eligible CDBG allocation projects and the requirements as it relates to revolving loan fund dollars.
2:10 p.m. The Commissioners, County Administrator Erica Preston and Clerk of the Board Esther Leffel met with Wapakoneta City representatives: Mayor Rodney Metz, Zoning and Engineering Superintendent Mary Ruck, Safety/Service Director Bill Rains and WAEDC Director Greg Myers to discuss funding of eligible CDBG allocation projects and the requirements as it relates to revolving loan fund dollars.
3:05 p.m. Dog Warden Russ Bailey updated the Commissioners on the activity in the department this past month. The Wapakoneta Daily News reporter Tom Wehrhahn was also present.
3:14 p.m. The Commissioners and County Administrator Preston met with Board of Elections Director Michelle Wilcox and Secretary of State Representative Brian Baumer to discuss online voter registration and wanted to know if the Commissioners would support this proposal. The Commissioners are in support of the plan.
3:30 p.m. The resolutions for consideration at the April 30, 2015 meeting were presented.
3:40 p.m. Commissioner Bergman left the office for the day.
The following Resolutions were presented to the Board, for its consideration (the entire texts of same are documented in the Board’s Journal by the Clerk of the Board):
#15-188 Matter of granting an annexation of 3.21 acres, more or less, to the Village of Minster from Jackson Township; petitioned by Joint Township District Memorial Hospital.
#15-189 Matter of authorizing the continuance/termination of tax incentive agreements within the active enterprise zones located in the county.
4:15 p.m. With no further business to bring before the Board, President Spencer adjourned the meeting the day.
The MINUTES constitute a synopsis on matters brought to the attention of the Board of County Commissioners of Auglaize County, Ohio on this 28th day of April 2015.
Douglas A. Spencer, President
Don Regula, Vice President
John N. Bergman, Member
Erica L. Preston, County Administrator
Esther Leffel, Clerk of the Board
Dated April 30, 2015
The Board of County Commissioners convened in regular session at 8:00 a.m. on Thursday, April 30, 2015 in the Commissioners' Chambers with the following members present: Douglas A. Spencer and John N. Bergman. The meeting of the Board was called to order by President Spencer.
**AGENDA**
- 8:00 a.m. Commissioners sign resolutions/documents (Chambers)
- 8:30 a.m. Staff meeting (Chambers)
- 9:00 a.m. Gayle Flaczysnki and Paul Tecpanecatl along with representatives from City of St. Marys & City of Wapakoneta – Phone conference to discuss FY15 allocation & RLF Fund (Chambers)
- 10:00 a.m. Bid Opening for Joint Board Ellerman Group Ditch Improvement Project (Chambers)
- 11:00 a.m. Will Cook – Meeting to discuss sanitary sewer district (Chambers)
- 12:00 p.m. Kim Sudhoff – Phone Conference (Chambers)
- 11:45 a.m. – 1:00 p.m. Don – Wapakoneta Area Chamber of Commerce – Speaker Series – Matt Lauth – Voice of the Customer (Wapakoneta Eagles Ball Room, Wapakoneta)
- 1:00 p.m. Sales Tax Discussion (Chambers)
- 2:00 p.m. Auglaize County – along with Commissioners from Mercer, Hardin & Van Wert Counties – Meeting to discuss WIOA and Designation (Assembly Room)
- 3:30 p.m. Present and discuss upcoming resolutions (Chambers)
- 3:30 p.m. Telephone Conference with Arthur Gallagher - Wellness Fair Options (Chambers)
- 5:00 p.m. Doug – WLIO Interview (Courthouse, Wapakoneta, Ohio)
**PROCEEDINGS OF THE DAY**
- 8:00 a.m. Commissioner Regula was excused for the day.
- 8:00 a.m. Commissioner Bergman moved to approve the resolutions as presented. Commissioner Spencer seconded the motion. The resolutions were then distributed for each Commissioner's vote and execution.
- 8:05 a.m. The Commissioners reviewed and signed the check register as presented by the County Auditor's Office.
- 8:30 a.m. Clerk Leffel read the minutes of the April 28, 2015, meeting. The minutes were approved with some clarification.
- 8:35 a.m. Clerk Leffel reported the following:
- Sarah Belton wanted some information relating to the Doenges #2 Ditch Project which Clerk Leffel provided
- Reminded the Board of an opening on the Mental Health Board
- 8:45 a.m. Administrator Preston conveyed the following:
- Discussed the renewal levy for the Auglaize County Council on Aging
- Need to discuss the upcoming expiration of the permissible sales tax
- Request from housekeeping to plant some perennials around the Administration Building
- 9:00 a.m. The Board hosted a conference call between Poggemeyer Design Group and representatives from WAEDC and the Cities of St. Marys and Wapakoneta to further discuss the CDBG programs. Those present were: St. Marys Economic Development Director Susan Crotty, St. Marys Engineer Craig Moeller, Wapakoneta Engineering Superintendent Mary Ruck, Wapakoneta Mayor Rodney Metz, WAEDC Director Greg Myers, County Administrator Erica Preston and Clerk of the Board Esther Leffel. Paul Tecpanecatl and Gayle Flaczynski from Poggemeyer Design Group participated by phone. After the conference call concluded the group discussed various options on how to better utilize funds from the State of Ohio.
- 10:00 a.m. The Commissioners opened bids for the Ellerman Joint County drainage project. Bids were received from: Gerding Ditching from Columbus Grove, Ohio; Sand Ridge Excavating from Cloverdale, Ohio; Gene Topp Drainage Service from New Bremen, Ohio; Cy Schwieterman Inc. from Wapakoneta, Ohio; Braun Excavating LLC from Celina, Ohio. Present for the bid opening were: Assistant Engineer Kevin Schnell, SWCD Technician T.J.
Place and contractor representatives Bill Gerding and Helen Topp. The bids will be reviewed by the Auglaize County Engineer with a recommendation forthcoming to the Joint Board. A copy of these approved minutes will be placed in the Joint Ditch file.
10:30 a.m. The Commissioners and County Administrator met with Sherwood Forest resident Will Cook and his son Donald Cook to discuss the Findings and Orders from the Ohio EPA.
12:00 p.m. Auglaize Acres Administrator Kim Sudhoff discussed administrative concerns with the Commissioners and County Administrator.
1:20 p.m. The Commissioners and County Administrator discussed the permissible sales tax that expires in 2016.
2:00 p.m. The Commissioners met with fellow Commissioners from Mercer and Van Wert counties to discuss the WIOA program.
3:30 p.m. The County Administrator and Commissioners held a conference call with Kyle Anthony, Tracey Jaycox, Robin Serwatka and Cindy Morris representatives from Arthur Gallagher about a wellness program for county employees.
4:17 p.m. The resolutions for consideration at the May 5, 2015 meeting were presented.
The following Resolutions were presented to the Board, for its consideration (the entire texts of same are documented in the Board’s Journal by the Clerk of the Board):
#15-190 Matter of approving and authorizing the amendment to the lease agreement with the Lima Allen Council on Community Affairs (LACCA); authorizing the President of the Board to execute said amendment.
#15-191 Accepting the quote from ThyssenKrupp Elevator Americas for Voice Enunciator Project in the elevator in the Courthouse; and authorizing execution of quote.
#15-192 Matter of amending the contract between Auglaize County Department of Job and Family Services and the Adriel, Inc.
#15-193 Matter of authorizing the county auditor to draw warrants for Then & Now Certificate payments.
#15-194 Setting a date and time to receive bids for bituminous materials for the Highway Department.
#15-195 Documenting the receipt of bids for aggregate and concrete materials to be used by the highway department during 2015 at the discretion of the County Engineer.
#15-196 Matter of ratifying the collective bargaining agreement with the employees of Auglaize Acres represented by District 1199, the Health Care and Social Service Union.
#15-197 Approving a contractor’s partial pay request #8 to VTF Excavation LLC for the Village of Buckland’s sewer facilities improvements, a CDBG FY 2013 Residential Public Infrastructure Program.
#15-198 Matter of authorizing a pay increase for Robert Chandler Airport Assistant Grounds Position for Auglaize County.
#15-199 Matter of requesting from the County Auditor, the amount of revenue generated by a one mill renewal levy for the Auglaize County Council on Aging.
4:30 p.m. With no further business to bring before the Board, President Spencer adjourned the meeting for the day.
The MINUTES constitute a synopsis on matters brought to the attention of the Board of County Commissioners of Auglaize County, Ohio on this 30th day of April, 2015.
Douglas A. Spencer, President
Don Regula, Vice President
John N. Bergman, Member
Erica L. Preston, County Administrator
Esther Leffel, Clerk of the Board
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Minutes of the executive meeting
Held in the Shimna Valley Centre, on Wednesday 23rd May 2012
The Chairman, John Davidson, opened the meeting, following which the Secretary, Bob McGlone, read the minutes of the previous meeting. The Minutes were passed, proposed, and seconded as a true record by Raymond Connor and Joe Patterson.
The Secretary read out some details received. The Chairman continued to read out details of questions and help requested via the helplines.
Copies of the financial report were distributed to all present. The Treasurer, Davy Larmour, went through it in detail, giving explanations where necessary. It was proposed as a true record of our financial standing to date, proposed and seconded by Jim McCaul and Bob McGlone.
The Chairman proceeded to describe the benefits of solar panels being fitted by HIS Group. He advised clubs to apply for them on a rental basis, rather than buy them outright. This keeps maintenance costs with the installing company.
A club was in touch regarding the renewal of membership to members who do not attend regularly. They were informed that this was unlawful as it discriminates against members, who may have justifiable reasons for being unable to attend regularly.
Another club requested advice on the installation of a defibrillator. This will require ensuring that appropriate training is provided on the equipment.
A further query referred to the barring of members, which is not as straight forward as one might think.
We are informed of major local alarm company ‘Scan Alarms’, who are already established in the club sector but who wish to develop the service to include an extremely cost effective package for member clubs.
The P.R.O. provided an update on the success of the dinner and dance which was a resounding success.
A meeting took place with Kieran Devine of BSKYB who confirmed that a new tariff system is being considered which will hopefully lead to better terms for member clubs.
The matter of rates relief was raised. It should be remembered that at least 20% of a club needs to be used for a prescribed recreation under the rating act to qualify for the reduction which equates to 80% reduction on the percentage used for sport.
We engaged with the PSNI in respect to settling some other club issues, which were subsequently resolved satisfactorily.
Quite a few club issues were raised this month including one on seeking advice on how to suspend or bar a member. Again appropriate advice was provided.
An update on the ‘Voluntary Code of Practice’ was provided. The code aims to provide control over particular type of drinks promotion in the drive to resolve the many issues not least of which is alcohol abuse.
The meeting was concluded with the Chairman thanking the staff of Shimna Valley for hosting the meeting and providing hospitalities.
Bob McGlone, Secretary
Minutes of the executive meeting
Hosted by Belfast Indoor Bowling Club,
on Wednesday 13th June 2012
The Chairman, John Davidson, opened the meeting, following which the Secretary, Bob McGlone, read the minutes of the previous meeting held in the Northern Ireland Cancer Fund for Children’s (NICFC) Shimna Valley Respite Centre in Newcastle County Down, a respite facility for children with cancer and their families. The minutes were passed, proposed and seconded as a true record by Jim Hanna and Joe Patterson.
The Secretary read a letter of thanks received from the NICFC in appreciation for our support and for affording time to visit the charity’s respite centre at Shimna Valley in Newcastle County Down.
The Chairman then provided details of assistance provided to member clubs since the last Executive Committee meeting. A few clubs have asked advice on holding functions on areas outside their actual club premises. Guidance on this matter is being sourced via our legal advisor. He did say that we should advise clubs when renewing their registration to include the whole property and not just the clubhouse.
In order to form a constitution there were enquiries about the winding up of a club and how to deal with disposal of club assets as the club’s rule book should cover such an event, for example regarding the financial disbursements. The financial assets should be totalled and divided to members on the length of time of holding membership, e.g. a member of one year would receive a quarter of that available to a member who has four years membership.
Some discussion took place regarding the developments at the Shimna Valley Centre of the NICFC, which is importantly a Northern Ireland charity providing an outstanding service to children and their family members.
On club issues, the Federation has prepared a letter of recommendation for a club to continued on pg4
The executive committee pictured with Ken Armstrong, Hon. Secretary, Belfast Indoor Bowling Club.
underline our support of the club and its administration procedures.
Copies of the financial report were distributed to all present with the Treasurer, Davy Larmour, going through it in detail providing explanations where necessary. The report was proposed and seconded as a true record of our financial standing to date by Brian McCartney and Raymond Connor.
As there was no further business the meeting was closed with thanks extended to Mr Ken Armstrong, Hon. Secretary, Belfast Indoor Bowling Club for hosting the meeting and providing hospitalities.
Bob McGlone, Secretary
Machine games duty begins in February 2013
Machine Games Duty (MGD) is a new tax on gaming machines which, subject to the relevant provisions in the Finance Bill 2012 receiving Royal Assent, (expected July 2012) will start on 1st February 2013. MGD will tax the net takings from “machine games” - games played on a machine for a cash prize where any prize the machine offers is greater than the cost to play.
For clubs this means that machines of present Category B4 (maximum stake/prize £1/£250) and Category C (maximum stake/prize £1/£70) will be liable to MGD, and so will skill machines if they offer any prize higher than the cost to play. Category B3A and pull tab lottery machines will be exempt from MGD and VAT.
TRANSITION: Amusement Machine Licence Duty (AMLD) will continue until 31st January 2013. Current VAT arrangements on machines will also continue to that date after which machine takings liable to MGD will become exempt from VAT. As clubs’ licences become due for renewal in the remaining period to 31st January 2013, HMRC will advise licensees of the arrangements for licensing their machines up to that date.
REGISTRATION FOR MGD: Clubs with a club gaming or club machines permit intending to continue operating liable machines after the 1st February 2013 will be required to register with HMRC, starting late 2012, and so will become responsible for accounting for and paying MGD.
RATES: MGD is charged on net takings. This means the amount players pay to play less what is paid out as winnings. The Standard Rate is 20% and applies to the vast majority of club machines; (there is a lower rate of 5% but this only applies to machines with a maximum stake/prize level of 10 pence/£8 (present AMLD Category “D”).
Standard accounting periods will be for three calendar months and MGD returns and payment will have to be made within 30 days after the end of each accounting period. Clubs will have to keep records to substantiate their MGD returns and the amounts declared for payment.
VAT: As stated above VAT will not be payable on machines liable to MGD from 1st February 2013. The overwhelming majority of clubs will already be partially exempt because they make both Vatable supplies (eg alcohol) and exempt supplies (eg sale of bingo and lottery tickets). The switch from taxable to the exempt status of machine takings will need to be taken into account.
A basic principle of VAT is that input tax relating to exempt outputs (eg VAT on lottery tickets and (from 1st February 2013) VAT on machine-hire charges is not normally recoverable. However, many clubs are nevertheless able to recover all of their input VAT because their total input tax is what is known as “de minimis”.
Your financial advisors will be familiar with the partial exemption and de minimis rules.
The NIFC is hopeful that the great majority of clubs will continue to benefit from de minimis rules, and the abolition of AMLD will be beneficial in that clubs will avoid having to pay large AMLD licence fees up front and will only pay MGD commensurate with the profitability of their machines.
HMRC/TRADE WORKING GROUP: The NIFC continues as a member of this working group convened by HMRC to work with machine suppliers and users to facilitate the transition from AMLD to MGD.
The above is a brief explanation only for general guidance. The full rules, procedures and tests to be satisfied for full recovery of input VAT are set out in VAT Notice 706 (Partial Exemption).
A lasting legacy
Former MLA, David Ervine, has left a lasting legacy to people suffering from cardiovascular disease, five years after his death. Members of the Raven Social Club in east Belfast, of which he was President, have raised £2,500 in the past year for N.I. Chest Heart & Stroke. The Chief Executive of NICHs, Andrew Dougal, pictured with David Ervine’s widow Jeanette and former MLA Dawn Purvis, said, “The members of the Raven Social Club have been more than generous in the past five years, and this is their finest effort yet. What a great legacy David Ervine left, helping us to continue saving and improving lives”.
A high quality yet affordable service
Would you become ‘Alarmed’ if you were unable to contact your alarm company? I’m quite certain you would be. Well that could quite easily be the case if utilising the services of a company without a suitable backup team!
YOU NO LONGER HAVE TO GO DOWN THIS PATH as Scan Alarms have established a package specifically for member clubs which is affordable, and more importantly, totally reliable. What’s more, you can be assured that Scan Alarms is a legally qualified commercial and domestic installer who will provide a maintenance and monitoring service that will fully comply with club insurance policies.
But what about cost? Fear not, the Northern Ireland Federation of Clubs has been offered a cost-effective tariff for both its member clubs and their respective members’ domestic requirements. In the past, cost played a big part in the decision making, but thankfully, due to this new tariff, this is a thing of the past.
If you are in doubt regarding your compliance with regulations and your club insurance policy you are encouraged to utilise this Scan Alarms offer. Remember it costs nothing to ask!
Fire Risk Assessments ‘a timely reminder!’
Due to the disaster that has befallen Carrickfergus Sailing Club, it is incumbent upon the Federation to advise you to focus your attention on the legal requirement for every club to carry out a Fire Risk Assessment.
What is changing? The Fire and Rescue Services (NI) Order 2006 (The Order) which come into effect on 15 November 2010, replaced and simplified fire legislation at that time in non-domestic premises using a modern risk based approach to fire prevention. It meant that any person who has some level of control in premises must take reasonable steps to reduce risk from fire and make sure people can safely escape if there is a fire.
What will happen to Fire Certificates? The introduction of The Fire & Rescue Services (NI) Order 2006 and The Fire Safety Regulations (NI) 2010 saw the repeal of The Fire Services (NI) Order 1984 and consequently the requirement for certification.
What will happen if you have carried out a fire risk assessment under the The Fire Precautions (Workplace) Regulations (N.Ireland) 2001? If a fire risk assessment for the premises has been carried out under the Fire Precautions (Workplace) Regulations
(Northern Ireland) 2001 and this assessment has been regularly reviewed, then all that should be required is a revision of that assessment taking into account the wider scope of the new legislation as described in the guidance documents.
**What are relevant premises?**
The Order will apply to almost all premises including: registered clubs, pubs, night clubs and restaurants. It does not apply to people’s private homes, including individual flats in a block or house.
**What is a Fire Risk Assessment?**
A Fire Risk Assessment can be defined as an organised and methodical look at premises, the activities carried out there and the likelihood that a fire could start and cause harm to those in and around the premises. Whilst there are no fixed rules about how a fire risk assessment should be carried out, it is nonetheless important to adopt a structured approach that ensures all significant risks are addressed.
**Do I need to get a Fire Risk Assessment?**
The answer is yes! Any premises used for business or by voluntary organisations come under The Order. It will mean significant changes to the ways in which employers and people in control of premises are required to manage fire safety. Responsibility for fire safety in the workplace now clearly rests with the employer and those with any degree of control of premises.
**Who can carry out a Fire Risk Assessment?**
In many cases, those with the responsibility for premises are likely to be best placed to maintain fire safety precautions and understand and address the risk to lives and property that a fire could present. Under The Order, the duty to carry out and implement a fire risk assessment lies with the appropriate person. Achieving fire safety is often a matter of common sense, and in many cases there may be no need for specialist or formal knowledge or training, providing the appropriate person makes enough time available to go through all the necessary steps.
In carrying out a risk assessment, however, the appropriate person may decide that, given the nature of the premises or the people involved, they do not have the necessary competence to discharge their duties under The Order. In that case, they could choose to appoint one or more competent persons to assist him/her. The level of necessary competence is not prescribed in The Order, which recognises that the extent of competency will vary according to the nature and complexity of the premises involved.
**How do I carry out a Fire Risk Assessment?**
It is generally considered that for fire risk assessment to be suitable and sufficient the person responsible should be competent and follow the elements of the five step approach.
**Who is a competent person?**
A competent person is someone with sufficient training and experience or knowledge, and other qualities, to enable them to implement the appropriate fire safety measures. The level of competence is not prescribed in The Order/Regulations, which recognise that the extent of competency required will vary according to the nature and complexity of the premises involved. When complying with fire safety duties, under Regulation 17(7), an employer shall use a competent person in his employment to assist him, in preference to a competent person not in his employment.
**How often should I do a risk assessment?**
You should keep your fire risk assessment under regular review as risks may change over time. If you make changes to your premises, you should ensure that the assessment and risk management plan remains current.
**Will the N.I. Fire and Rescue Service inspect my premises?**
NIFRS will be the enforcing authority in respect of the majority of premises and will visit premises to ensure compliance with fire safety law. NIFRS will achieve this by an appropriate risk based inspection programme.
**Where can I find further guidance?**
Further guidance on managing fire safety for smaller premises is available in our booklet Make Sure You’re Fire Safe - A Short Guide To Making Your Premises Safe From Fire.
A fire risk assessment checklist is available to download from the NIFC website:
www.nifederationofclubs.com
We are delighted to complete our coverage of the 2012 Dinner and Dance of the N.I. Federation of Clubs held at the Members’ Rooms, King’s Hall, Belfast.
We wish to thank members for the many positive comments we have received following the evening.
At this stage the date for the 2013 Dinner and Dance has not been confirmed. Confirmation of the final date will be published in due course.
We thank you for your support and look forward to seeing you all again next year.
Pictures courtesy of ‘The Party Press’.
Carrick Amateur Band Club members with David Hilditch MLA (right), Chairman of Carrick Rangers Football Club.
Representatives of Bangor Football Club.
Federation accountant, Lawrence Shearer with Treasurer, Davy Larmour.
Goodyear Sports & Social Club, Craigavon.
Gerry Bennett, Hamilton & Kirk, and Stephen Watson, Ulster Sports Club.
1. (Left) Thomas Flynn, Chairman, Harland & Wolff FSC with Tommy Dealey.
2. (L/R) Anne Freethurn, Ligoniel HPS Club, Hugh Stockman, West Belfast HPS and Marilyn Allen on a visit home from Lanzarote.
3. Raymond Connor and Eileen Harris, Ulster Maple Leaf Club, Belfast.
4. Members of RACB Headquarters, Belfast.
5. Gerard Watson with his partner Caroline Conway.
6. Representatives of Dundela Football Club.
7. Margaret McCullough and Ken Nelson, Classic Interiors.
8. Guests from Dundela Football & Social Club.
9. Richard Dean (left), Windsor Snooker Club, George McKinley (right), Chairman, North Belfast Workingmens Club and his guest Michael McKeever.
10. Sam Dinsmore, Computer Accounting Bureau, with his wife Edith and daughter-in-law Wendy.
11. Guests from West Belfast HPS.
12. Guests from (L-R) Taughmonagh Social Club and Bangor Football Club.
13. Mae McFettridge with Mary Patterson, wife of Federation Executive Committee member Joe Patterson.
14. (L-R) Mr & Mrs Murphy, Mrs Lynn Lindorse and Mrs Elaine McKee, Millisle Royal British Legion.
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Molson Coors survey reveals optimism
The recent survey carried out by Molson Coors is an important insight to the effects of the downward trend on the leisure sector and particular pubs throughout the island. However, despite the doom and gloom, particularly highlighted in the media, the registered club sector is, we feel, well placed to overcome the effects of this latest recession. However, we cannot afford to ignore that changes have to be made to meet the challenge ahead.
Molson Coors, one of the world’s biggest brewers, established its operations in Belfast and Dublin in 2010 and controls 10% of the lager market with the aim of attaining 20% share in the next 5 years.
In respect of the registered club sector, the volunteer base on which the sector is based has, and continues to play, a major role and is something which the Federation sees as one of the essential ingredients with which to take the sector through the recession.
One cannot ignore change in social behaviour with the ‘drink at home’ culture showing no signs of abating. Despite the adverse effects on the leisure industry, it is also affecting the health of the nation and is playing a major part in the issues surrounding anti-social behaviour. With lower cost alcohol being available in local supermarkets it is understandable why, particularly in a recession, people opt to consume in the uncontrolled environment of the home. How to turn this around is another matter!
So do clubs just grin and bare it or change to meet the challenge? The Federation has for some years now expressed the view that those who prepare best suffer less and while there have been a small number of club closures the majority have met the challenge by a mixture of things such as reducing opening hours and reducing staff working hours by utilizing the availability of their volunteer management committee members.
Some will say the old saying, ‘when the going gets tough, the tough get going,’ has never been more appropriate. The recently launched Voluntary Code of Practice by Pubs of Ulster, the Northern Ireland Federation of Clubs, and other major suppliers, has adequately displayed the commitment of those sectors to addressing serious issues and will hopefully bring improvements, creating a more desirable environment such as that which exists in Europe.
The NIFC appreciate the support of Molson Coors and other major suppliers in underpinning the aforesaid code without which the downward trend was surely set to continue. Although the registered club sector did not add to the adverse effects of the social issues it was nevertheless important that it played a part in a solution. Indeed, promotional material produced by the NIFC carried the message ‘We may not be part of the problem - but we can be part of the solution’.
We welcome the survey carried out by Molson Coors and the insight it has provided.
BRILLIANTLY REFRESHING.
drinkaware.ie
drinkaware.co.uk for the facts
CARLING
SINCE 1880
FREE electricity for your club and home!
As we enter our summer months and the thoughts of heating and lighting our buildings is in the distant future we need to remember that over the past few years energy prices have been rising at four times the rate of inflation. The likelihood is that they will continue to rise at this rate and we all know what that will mean for the cost of providing electricity for our clubs.
But what can we do?
“Nothing!” I hear you say with exhausted acceptance. Now however there is something which can be done, you can get FREE, yes you heard me, FREE electricity. Through the installation of Solar Photovoltaic panels on the roofs of your buildings you can avail of the electricity generated by this renewable energy source totally free. Simply by signing up to a new scheme, being introduced in Northern Ireland by a local Communications and Renewables company, you can have a solar PV panel fitted to your building and avail of all the electricity generated, free of charge.
HIS Solutions (Formerly known as Finlay’s Communications) in partnership with Soventix, a worldwide leading renewable energy company, are introducing a new energy programme in Northern Ireland which will give every club, household or commercial premises the opportunity to change the way they think about electricity supply.
The most unusual part of this programme is that it is completely FREE – the installation is FREE and the electricity generated is free to the consumer.
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Questions & Answers
What is solar photo voltaic (PV) energy?
The Power of the sun exceeds humanity’s energy needs many times over. PV power generation uses panels composed of cells containing photovoltaic material which generate electrical power by converting light rays into direct current electricity.
Is it popular worldwide?
PV generation can generate electricity even in low light and is now used in more than 100 countries and represents 5% of worldwide electricity demand.
Where is it installed and how?
Installations are generally built into the roof or walls of a building. A surveyor will come to your property to assess the suitability and size of the installation.
How much am I likely to save?
A typical domestic system is likely to give a saving of £350 per annum based on using only 50% of the electricity generated.
Commercial systems on Club roofs could generate savings of £3,000 per annum which, given the projected increase in electricity rates, could save your Club more than £100,000 over the next 20 years.
Who will install my Solar panels?
HIS Solutions has over 20 years of experience and they have overseen the delivery of communications, energy and environmental services into over 1 million homes throughout the United Kingdom.
Book a free survey on 028 90 455136.
Questions & Answers
Q. We have just held our yearly elections and a Member who previously served on the Committee but resigned part way through his tenure was re-elected. Some Members have said he should not have been allowed to stand as he had previously resigned from the Committee. Is this correct?
A. I confirm that the Rules would not prevent a member who had previously resigned from Office from standing for re-election. Therefore, the re-election of the Committee member in question was, strictly speaking, under the Rules, acceptable. However, my own view is that members should not take the resignation from the Committee too lightly. If members are prepared to stand for election and to serve on a Committee then they must also be prepared to accept collective management decisions and collective responsibility. It is not possible for decisions to be made which are entirely agreeable to all members of a Committee but if a person joins a management team, then I consider it to be important to fulfil the terms of an election period even when decisions may not always go an individual’s way.
Q. A question has been raised regarding our CCTV system. Currently the CCTV is positioned in order to monitor the entrance to the Club and the feed is displayed on a monitor in the bar area so that the Steward can see who enters the Club. The feed can also be seen by the Members in the bar area and privacy issues have been raised; should we be concerned over this set up?
A. I think the short answer is that you shouldn’t be too concerned about the current way the Club operates its CCTV system. I have never heard of a Club being prosecuted for using the system that you describe.
For your information though, here is the specific advice from the Information Commissioners Office, ICO, on the question you pose. The entire advice from the ICO on using CCTV Cameras is also attached.
Viewing of live images on monitors should usually be restricted to the operator unless the monitor displays a scene which is also in plain sight from the monitor location.
Example: Customers in a bank can see themselves on a monitor screen. This is acceptable as they cannot see anything on the screen which they could not see by looking around them. The only customers who can see the monitor are those who are also shown on it.
Example: Monitors in a hotel reception area show guests in the corridors and lifts, i.e. out of sight of the reception area. They should be turned so that they are only visible to staff, and members of the public should not be allowed access to the area where staff can view them.
I will leave it to you to decide, following this advice, if the Club requires any change to its standard operating procedure regarding the use and operation of its CCTV equipment.
Musgrave Wholesale Partners
competitive prices for your club
Musgrave are Northern Ireland’s largest food and retail wholesaler, with 6 Musgrave Marketplace and Holmes Cash & Carry branches across the province.
They offer a convenient and versatile one-stop-shop for their customers, ensuring that they can fulfil their promises to customers of being ‘First for Value’, ‘First for Choice’ and ‘First for Service’.
Musgrave constantly benchmark their prices to ensure they offer their customers the best in value all year round. Not only are they committed to consistently selling key lines at discounted prices, they also operate a full calendar of deep-cut promotions. Pick up our promotional leaflet in-store or contact them to receive a copy. They make a Lowest Price Guarantee* to all their valued customers and they uphold their Price Promise on over 200 products in their promotional leaflet. If you find a cheaper price, within a current leaflet, on a product that’s in stock with a competitor, they will not only match the price, but beat it by 10% of the difference (* terms & conditions apply).
For added convenience their branches are open on Saturday mornings and they also provide a delivery service across Northern Ireland.
Call in to one of their branches or contact them today. To speak to a member of their sales team contact the Telesales Department on 028 9066 2138.
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Crumlin Road, Belfast
BT14 7BT
Phone: 028 9035 1210
Fax: 028 9035 2636
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Killyhevlin Industrial Estate,
Dublin Rd, Enniskillen,
Co. Fermanagh
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**Belfast**
1-15 Dargan Crescent,
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BT3 9HU
Phone: 028 9078 4800
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**Derry**
Pennyburn Industrial Estate,
Bluncrana Road, Derry
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William Street, Lurgan,
Co. Armagh
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Phone: 028 3832 2771/5612
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Deep RiverRock glass range
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In the licensed trade tap water is ordered more than 6 out of 10 times with food, resulting in cost and lost revenue for you!
To tap into this market, Deep RiverRock supplies a range of glass bottles in 330ml and 750ml sizes.
The Benefits:
- Premium stylish packaging
- £2.5m brand marketing investment
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- Investing in local community including:
- Belfast City Marathon
- Ulster Rugby
The Facts:
- Deep RiverRock is the No.1 Water Brand in Northern Ireland.
- Deep RiverRock is the fastest growing brand in the Licensed Trade, accounting for 1/3 of total volume and the only brand within top 5 in growth.
Please call Coca-Cola HBC Northern Ireland Customer Services Centre: 0845 6088889
Source: (1) Global Consulting Research & Oct 2014, (2), AC Nielsen Grocery data MAT Apr 2014, (3), AC Nielsen On Trade data MMJ Dec 2011.
Cancer Focus Northern Ireland is the new name for the Ulster Cancer Foundation. The announcement was made at a special event celebrating the charity’s proud history and more than 40 years experience of supporting cancer patients and their families in Northern Ireland.
Master of ceremonies, UTV news anchor Paul Clark, joined staff, patients, carers, supporters and corporate partners to unveil the new name – Cancer Focus Northern Ireland.
Roisin Foster, Chief Executive, Cancer Focus Northern Ireland, said, “As the Ulster Cancer Foundation we have had a very proud history and more than 40 years experience of supporting cancer patients and their families in Northern Ireland. Every year we’ve helped more than 3,000 people living with cancer – men and women, young and old, with all types of cancer and at all stages of illness. We’ve funded five major research projects, reached 60,000 people with our cancer prevention services including 29,000 school children, campaigned for patients’ rights and every year we invest more than £3.5m in our local community.
“Changing our name will not change the work we do or the services we provide free of charge – these things will never change – and as Cancer Focus we remain absolutely committed to helping and supporting local cancer patients.
“What will change is the number of people we want to reach and support. At present there are 70,000 families in Northern Ireland living with cancer – a huge number of people! Our goal is to reach out to as many of them as possible by extending our services and bringing them to more venues across Northern Ireland.
“As Cancer Focus Northern Ireland I want to pay tribute to all those who led the organisation to where we are today. We want to assure everyone associated with us that we treasure our history and founding principles. We will carry forward the mission of the Ulster Cancer Foundation with the same heart, drive and enthusiasm both now and in the future.”
Men’s health was the focus of the annual ManAlive conference held in Armagh on 12th June, hosted by Cancer Focus Northern Ireland, the new name for the Ulster Cancer Foundation.
The conference provided an opportunity to promote and share best practice on male health issues across Ireland, the UK and internationally. It was launched by Health Minister Edwin Poots and was organised by Cancer Focus to mark Men’s Health Week 2012.
Health Minister Mr Poots said, “Men and boys’ health is a vitally important challenge for us all, both in Northern Ireland and the Republic of Ireland. In recent years, there has been growing concern about the very real differences we are witnessing in health outcomes between men and women. Not least of these is the fact that, on average, life expectancy for men is almost five years shorter than it is for women. The results of ill-health suffered by men, both mentally and physically, have a corresponding effect on families, relationships, communities, and the workplace. Not to mention the impact on the man himself.”
Magners craics on with new home for comedy
Magners Irish Cider, long established as Northern Ireland’s favourite cider brand, has launched a major new campaign which will have Northern Ireland laughing out loud all year long!
Magners Comedy Core will be the new home for comedy in Northern Ireland, encompassing live events, fun packed promotions and Magners Fridays - a weekly online celebration of exclusive comedic content plus complimentary pints of refreshing Magners Irish Cider.
Kicking off the innovative campaign was the first exclusive Magners Comedy Core live event that took place in Belfast recently (Thursday 14th June), headlined by Tom Deacon. Already one of the most talked about names on the country’s comedy scene, Deacon’s recent appearances on the Rob Brydon Show and Dave’s One Night Stand sealed the deal for the young comic talent who is now firmly on the road to stardom.
Local stand-up Sean Hegarty (described by Jason Munford as ‘very very funny’) and home grown Internet sensation, Colin Geddis a.k.a. Barry the Blender, added the comic impact, as did compere Micky Bartlett, and brought their own takes on the famously robust Northern Irish humour.
The recent gig will be followed in October with comedy Adisters over three nights at The Mandela Hall in Belfast, details of which are being kept firmly under wraps.
But that’s not all …
Magners is also setting out to get to the very heart of Northern Irish craic, with a little research to discover what really tickles our regional fancy. The Magners Comedy Core Survey, running on the Magners Comedy Core tab at facebook.com/magnersciderni, aims to home in on humour … revealing whether men and women laugh at different things … which college here has the funniest students …even which accent is best when it comes to joke telling. The findings of the Survey, together with some of the Province’s favourite jokes and video clips, will be revealed at the start of July. Local humorists who complete the survey will have the chance to win a £500 prize. Checking out the Magners Comedy Core facebook tab on a Friday also delivers the chance to kick off the weekend with a free pint at participating ‘Magners Fridays’ bars across Northern Ireland.
For those who think they have what it takes to be a favourite funny themselves, Magners Comedy Core is also bringing comic wannabes the opportunity to stand up and be counted. The Magners Comedy Cami state of the art video booth will be popping up in venues across Northern Ireland this Summer to record the good, the bad and the ugly as amateurs test their joke-telling skills onsite and on-line.
Launching the ‘Magners’ Comedy Core’ campaign, Nicola McCleery, Head of Marketing at Tennent’s NI, said, “Magners is no stranger to comedy, but in developing the Magners Comedy Core, we want to take humour to new heights. Comedy today is quick, quirky … and, increasingly, viral and our innovative campaign delivers just that. Magners has had strong ongoing associations with comedy and, for us, humour is very much part of our brand personality. Magners Comedy Core drives this still further, using a multi-stranded approach to recruit consumers, enhancing their in trade experience and ensuring that they enjoy the conviviality and craic that has always been associated with Northern Ireland’s favourite cider”.
To keep up to date with laughs, offers, local events, exclusive live event content and more: Like Comedy – Like Magners Comedy Core at facebook.com/magnersciderni
Guinness taste test
Pictured at the recent Belfast leg of the Guinness Mid-Strength Taste Test are, Master Brewer, Fergal Murray and former Irish Rugby International, Mick Galwey.
To celebrate the roll-out of Guinness Mid-Strength to outlets in Belfast and across the island of Ireland, Guinness & Co held a Guinness Mid-Strength Taste Test tour which stopped off in Belfast last month. Guinness Mid-Strength has all the distinctive taste and is brewed in exactly the same way as Guinness, just with less alcohol at 2.8%.
Hosted by Guinness Master Brewer, Fergal Murray, and former Irish rugby international and Guinness Mid-Strength ambassador, Mick Galwey, the free event was an opportunity for Guinness lovers to do the Mid-Strength taste test and get a fascinating insight into the brewing process and history behind the iconic Irish stout.
Master Brewer and Global Brand Ambassador, Fergal Murray said, “I love visiting Belfast as I know the people are passionate about Guinness. We have invested a lot of time in developing this product so that there is no compromise on taste. I am always delighted to share the history, stories and heritage of the brand with people. It’s also great to have Mick Galwey with me on tour. I admired him as a sportsman and he has been a friend for a long time.”
Bushmills Live: global stars perform at landmark event
Gary Lightbody of Snow Patrol fame performs at Bushmills Live.
Snow Patrol and Elijah Wood headline first festival of whiskey and music at an Irish distillery.
Global stars including, Snow Patrol, Elijah Wood of DJ Wooden Wisdom, Foy Vance and Iain Archer, performed last night at Bushmills Live, the landmark festival of handcrafted whiskey and music which took place at the Old Bushmills Distillery on Ireland’s north coast.
The two-day festival was attended by more than 400 music and whiskey fans from around the world, including people from countries as far apart as the USA, Bulgaria and Russia.
Stars such as Gary Lightbody, more used to playing in front of sell out arenas, performed intimate gigs in age-old buildings at the Old Bushmills Distillery, where the art of whiskey making has been practiced for generations.
Master Distiller at the Old Bushmills Distillery, Colum Egan, said, “This was an incredible occasion for Bushmills Irish Whiskey and for everyone here. Last night, we welcomed artists that are both known and loved around the world. Their music, like our whiskey, represents the very best in craftsmanship. It was fantastic to see so many people enjoying their music and of course sharing a glass of Bushmills.”
Snow Patrol’s Jonny Quinn said, “Last night was pretty special for us as a band. We have played many gigs at home before, but this one, in a whiskey distillery was unique.”
Snow Patrol’s performance at ‘Bushmills Live’ will go some way to help establish a legacy for new music in Northern Ireland with their fee being donated in full to the Oh Yeah Music Centre in Belfast, which was co-founded by lead singer Gary Lightbody to help to support up-and-coming local musicians.
For further photographs and highlights from Bushmills Live go to facebook.com/bushmills1608
Bushmills Irish Whiskey, which has been handcrafted on the North Coast of Ireland for centuries, agreed a deal to sponsor the 2012 Irish Open at Royal Portrush Golf Club.
The sponsorship meant that Bushmills Irish Whiskey was the official whiskey of the 2012 Irish Open and had exclusive whiskey pouring rights at the tournament, which took place between 28th June and 1st July.
The Old Bushmills Distillery and Royal Portrush Golf Club are two icons of the North Coast of Ireland. Just four miles apart, both are known and loved around the world, both are award winners and both represent the very best of what the region has to offer.
To celebrate the sponsorship, Colum Egan, Master Distiller, offered the winner of the tournament the ‘Freedom of the Old Bushmills Distillery’, an honour that saw them granted the keys to his private reserve.
Colum Egan said, “It has been 65 years since the Irish Open was contested at Royal Portrush Golf Club and I am delighted that Bushmills Irish Whiskey was part of one of the biggest sporting events to have ever been staged on the North Coast of Ireland.”
(L-R) Master Distiller, Colum Egan, pictured with Philip Tweedy, Captain at Royal Portrush Golf Club.
Photo: William Cherry/Purseye
Arthur Guinness Fund awards €700,000
The Arthur Guinness Fund has awarded €700,000 to ten Social Entrepreneurs throughout Ireland including Alan Brown and Shirley Agnew of Step by Step NI. Alan and Shirley are pictured (right) Michael McCann, Country Director, Diageo Northern Ireland, after receiving their Award from the Arthur Guinness Fund.
Cash on tap...
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The great company? The warm, friendly atmosphere? The tasty meals? The well-stocked bar? The best entertainment?
For many clubs, the answer is cash machines. They’re right at the club. But then do all real businesses in commerce. Cash. They won’t be doing anything without it. And they’ll be taking it out of your pocket and you, not keeping your members and their cash in your Club.
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As recommended by the NI Federation of Clubs
Ballygowan Water sign exclusive deal
Ballygowan Natural Mineral Water recently announced a new and exclusive three year agreement with the European Tour as official water and soft drinks partner to the Irish Open. Pictured at Royal Portrush Golf Club from left is - Kevin Donnelly, Marketing Director Britvic Ireland with local golfing hero Darren Clarke.
Picture by Darren Kidd/PressEye.com
UGAAWA Monthly Merit Award
Dick Clerkin being presented with his May Merit Award by (lr) Damien McManus, Quinn-direct, and UGAAWA Chairman, J.P. Graham.
It has been a long wait for Dick Clerkin but his patience has paid rich dividends.
The Monaghan midfield engine has waited for 19 years wondering if he would ever match his uncle, Ray McCarron, as a winner of the Quinn-direct/UGAAWA Monthly Merit Award and now the dream has come true.
Former Monaghan star McCarron collected the honour for his deeds in May 1993 and, ironically, it is also the May award that Clerkin has taken home, 19 years later. “I remember Ray winning this award and I thought it was wonderful. I wondered then, and ever since, if I would ever win the same award and now it has happened. I’m delighted,” enthused Dick when presented with the honour.
He follows in the footsteps of his Uncle Ray after a sizzling performance against Antrim in the Ulster SFC, at Clones, when he contributed two points to his team’s winning total. It was his leadership and strong performance that swung the game in Monaghan’s favour when Antrim took a grip of the action and looked like edging through to the semi-final.
This is the Currin clubman’s 13th season in the Monaghan senior team. In that time, he has collected a Railway Cup winner’s medal in 2007 and helped the Oriel County to win the NFL Division Two and the Dr McKenna Cup. He has a Colleges’ SFL award and a Monaghan JFL medal with his club.
He is the third Monaghan footballer, behind Darren Hughes and Caoimhe Mohan, to win this award in the last four months. “We must be doing something right in these parts,” he cracked, “and, hopefully, the success will continue.”
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From Information to Action: Right-to-Know Laws in the European Community
Margaret C. Liu
firstname.lastname@example.org
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Recommended Citation
Liu, Margaret C. (1992) "From Information to Action: Right-to-Know Laws in the European Community," University of Chicago Legal Forum: Vol. 1992: Iss. 1, Article 14.
Available at: http://chicagounbound.uchicago.edu/uclf/vol1992/iss1/14
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From Information to Action: Right-to-Know Laws in the European Community
Margaret C. Liu†
Laws requiring the communication of hazardous substance data, community right-to-know laws, are recent developments in environmental regulation. Community right-to-know laws focus on industry's use and release of hazardous substances and the attendant health and environmental risks of such use. Their goal is to reduce both use and emissions levels. However, unlike environmental laws that command and control industry's use of hazardous substances through regulatory standards or economic incentives, right-to-know laws rely on information-based public action to encourage change.
The concept of a right to know addresses numerous facets of pollution prevention: industry's duty to disclose information pertaining to its use of hazardous substances, the public's right to access such information, and the community's need to develop emergency notification and response plans for accidental release. This Comment focuses primarily on reporting requirements for hazardous substance storage, use, and release created by right-to-know statutes and on the right of the public to obtain such data.
Both the United States and the European Community ("EC") have established community right-to-know standards. Right-to-know law in the United States is set out in the Emergency Planning and Community Right-to-Know Act ("EPCRA"), which obligates industry to report hazardous chemical data and requires governmental authorities to disclose such data. Similarly, the EC has
† A.B. 1988, Harvard University; J.D. Candidate 1993, University of Chicago.
1 The information produced by right-to-know laws also benefits other environmental regulation schemes. Data collected can be used to revise and implement command- and control-type standards and can also be used to improve enforcement of existing environmental laws. See General Accounting Office, Toxic Chemicals: EPA's Toxic Release Inventory is Useful but Can Be Improved 20-24 (GAO, June 1991).
2 Pub L No 99-499, Title III, §§ 300-30, 100 Stat 1728 (1986), codified at 42 USC §§ 11001-50 (1988).
adopted a set of directives establishing a framework for community right-to-know laws in the individual Member States.\textsuperscript{3}
EC right-to-know laws are less developed than their counterparts in the United States. The EC directives establish the groundwork and rely on each Member State to implement provisions through domestic legislation. Whereas Community standards for industrial disclosure of hazardous chemical data were initially adopted in 1982, the 1990 Directive on Freedom of Access to Information on the Environment only recently established perhaps the most important component of a right-to-know regime—broad public access to such information.\textsuperscript{4}
Right-to-know laws depend on public action for their success. If made available, information should drive individuals to make the correct economic and political decisions concerning industry's use of toxic substances. Therefore, the challenge in creating an effective right-to-know regime lies in providing to the public sufficient, comprehensible data. In the EC, this task falls on both the Community government and the national governments.
Part I of this Comment examines the reasoning behind information strategies and the mechanisms through which right-to-know laws can improve industrial behavior. Parts II and III examine, respectively, EC right-to-know standards and U.S. right-to-know laws. Part IV examines some of the problems of informational remedies, namely cognitive dysfunctions that inhibit the proper functioning of such laws and undermine the efficacy of such strategies. Finally, Part V analyzes the functions of right-to-know laws in the EC and proposes measures to enhance their effectiveness.
I. Functions of Informational Remedies
Informational strategies address two intertwined characteristics of industrial use of toxic chemicals: externalities (third party costs) and failures in the distribution and use of information (market failures of information).\textsuperscript{5} Often, industry will not fully internalize the associated environmental and health costs of its use of toxic
\textsuperscript{3} Council Dir 82/501, 1982 OJ L230:1 (On the major-accident hazards of certain industrial activities); Council Dir 88/610, 1988 OJ L336:14 (Amending Directive 82/501/EEC on the major-accident hazards of certain industrial activities); Council Dir 90/313, 1990 OJ L158:56 (On the freedom of access to information on the environment).
\textsuperscript{4} Council Dir 90/313, art 1, 1990 OJ at L158:57 (cited in note 3).
\textsuperscript{5} For a discussion of externalities and market failures of information, see Executive Office of the President, Office of Management and Budget, \textit{Regulatory Program of the United States Government} 33, 653-54 (US Gov't Printing Ofc, 1989).
chemicals: a facility may not, and perhaps cannot, bear the full costs of its industrial processes. It thus passes on to others certain costs. This problem can be attributed, in part, to industry's ignorance of the full environmental effects of its operations. Reporting requirements, therefore, can make a company more aware of the externalities involved in its use of hazardous substances.
Whether or not industry fully recognizes the ecological and health risks its operations pose, externalities will exist as long as industry knows more about the effects of its hazardous chemical than the public. Right-to-know laws seek to correct this disparity in information, while also addressing the larger externality problem of environmental risks.
Distinct from command and control strategies, informational remedies seek to affect industry conduct through public action. Because the risks associated with hazardous chemical use are often not apparent, informational strategies possess particular importance. Making hazardous substance data available to the public enables individuals to act in the market, political, and public arenas, and in the courts to create more environmentally sound industrial practices. Informational remedies give individuals the data they need to express their political and economic preferences, without inhibiting preference formation or precautionary behavior.
Right to know laws can be as effective as more costly command and control strategies in reducing a facility's use or release of a hazardous substance. Command and control strategies restrict both industrial and public choice. Conversely, right-to-know laws give both individuals and society the information they need to properly assess the costs and benefits of industrial action, thereby enabling them to negotiate for the optimal levels of environmental/health protection and industrial activity. Because right-to-know laws use the formation and exercise of personal preferences to drive the cost-benefit analysis, they are more flexible and efficient than their command and control counterparts.
---
6 Marcia R. Gelpe, Organizing Themes of Environmental Law, 16 Wm Mitchell L Rev 897, 899 (1990).
7 Id at 909.
8 Mary L. Lyndon, Information Economics and Chemical Toxicity: Designing Laws to Produce and Use Data, 87 Mich L Rev 1795, 1830 (1989).
9 Id at 1831.
10 W. Kip Viscusi and Wesley Magat, Learning about Risk: Consumer and Worker Responses to Hazard Information 60, 126 (Harvard U Press, 1987).
11 Lyndon, 87 Mich L Rev at 1830 (cited in note 8).
A. The Market Function
Individuals frequently express their preferences with their pocketbooks. Consumer choice depends on sufficient information regarding a good's relevant characteristics. Potential risks constitute part of the bundle of characteristics that any given good possesses.\textsuperscript{12} An informed consumer can balance the risks of a certain economic decision against its benefits.\textsuperscript{13} Even if risks cannot be calculated with precision or certainty, more useable and reliable information should enable the consumer to more accurately value the risks associated with a given product.
This market function of informational strategies works particularly well in the area of consumer goods, where the buyer makes purchases based on knowledge of the product or group of products concerned. In such circumstances, sufficient, accurate, and properly presented labelling, as well as other information programs, facilitates informed consumer choice.\textsuperscript{14}
However, with respect to environmental hazards resulting from industrial processes, information-based market strategies may not function as well.\textsuperscript{15} Industries whose processes adversely affect the environment may not themselves directly produce a good that affected individual consumers buy. Neither the individual ultimately purchasing an end-product, nor the customer of an industrial facility, necessarily has the same incentives as an individual who will bear the environmental and health costs imposed by that same facility.\textsuperscript{16} Therefore, informed individual purchasing decisions may not improve industrial conduct and attitudes.\textsuperscript{17}
B. The Democratic Function
In addition to improving economic decisionmaking, right-to-know laws serve an important democratic function. The availability of information affects not only individual economic decisions, it also affects political choices.\textsuperscript{18} Information enables the public to
\textsuperscript{12} Peter Asch, \textit{Consumer Safety Regulation: Putting a Price on Life and Limb} 88-89 (Oxford U Press, 1988).
\textsuperscript{13} Viscusi & Magat, \textit{Learning about Risk} at 60 (cited in note 10).
\textsuperscript{14} For a detailed discussion of consumer response to labelling, see W. Kip Viscusi, \textit{Predicting the Effects of Food Cancer Risk Warnings on Consumers}, 43 Food Drug Cosm L J 283 (1988).
\textsuperscript{15} W. Kip Viscusi, \textit{Reforming Products Liability} 160 (Harvard U Press, 1991).
\textsuperscript{16} Id.
\textsuperscript{17} Id.
\textsuperscript{18} Robert F. Blomquist, \textit{The Logic and Limits of Public Information Mandates under Federal Hazardous Waste Law: A Policy Analysis}, 14 Vt L Rev 559, 563 (1990).
identify and hold accountable polluters, thereby facilitating informed political choice.\textsuperscript{19} This democracy-enhancing feature is essential for improving industrial practices: disclosure of hazardous substance data provides impetus for public pressure, particularly at the state and local level, on both government and industry.\textsuperscript{20} This feature of informational remedies allows a community, once fully informed, to negotiate for optimal, preference-driven levels of risk and exposure.\textsuperscript{21}
Right-to-know laws, by imposing reporting requirements, also heighten industry awareness of the environmental effects of its operations. This increased awareness may generate greater concern for the firm's legal liabilities, thereby encouraging voluntary action\textsuperscript{22} to reduce environmental and health risks to reduce such liability. Specifically, EPCRA's reporting requirements have pressured industry to change its use of hazardous substances.\textsuperscript{23} In the aftermath of Bhopal and other similar disasters during the 1980s,\textsuperscript{24} companies have also become acutely image conscious. The Environmental Protection Agency ("EPA") has used reporting requirements as a means of encouraging voluntary initiatives.\textsuperscript{25} Companies have responded and have often sought to preempt or mitigate negative public attention and reputational harm by voluntarily es-
\textsuperscript{19} Keith Schneider, \textit{For Communities, Knowledge of Polluters is Power}, NY Times 4-5 (Mar 24, 1991) (quoting Mary Lee Orr, Director of the Louisiana Environmental Action Network).
\textsuperscript{20} Blomquist, 14 Vt L Rev at 563 (cited in note 18). For example, the Silicon Valley Toxics Coalition used data generated by EPCRA to pressure an IBM facility to begin phasing out use of ozone depleting chlorofluorocarbons ("CFCs"). The facility was the largest CFC emitter in California. Environmental Protection Agency, \textit{Toxics in the Community: National and Local Perspectives} 323 (US Gov't Printing Ofc, 1991).
\textsuperscript{21} Informational remedies might prove important to a community forced to choose between the environmental benefits of closing a facility and the cost in jobs that such closure may incur. The community can reach the best compromise if it is fully informed as to both the costs and benefits of the industrial operation.
\textsuperscript{22} Schneider, NY Times at 4-5 (cited in note 19).
\textsuperscript{23} In September 1990, nine companies entered into voluntary agreements with the EPA pledging an 80 percent reduction in toxic emissions by the end of 1993. These agreements cover 40 of the nation's worst polluters. EPA Administrator, William K. Reilly, attributed this progress to the reporting requirements of EPCRA. George Lobsenz, \textit{Toxic Reductions Promised at 40 Worst-Polluting Plants}, United Press Intl (Sept 19, 1990).
\textsuperscript{24} See, for examples, Robert Abrams and Douglas H. Ward, \textit{Prospects for Safer Communities: Emergency Response, Community Right to Know, and Prevention of Chemical Accidents}, 14 Harv Env L Rev 135, 141-43 (1990) (discussing accidental toxic substance releases in Basel, Switzerland; Seveso, Italy; and Institute, West Virginia).
\textsuperscript{25} Lobsenz, \textit{Toxic Reductions} (cited in note 23).
tablishing emissions reduction targets and replacing hazardous substances with less toxic ones.\textsuperscript{26}
C. The Civil Liability Function
In the United States, right-to-know laws also use private litigation to change industrial behavior. As the amount of civil litigation and the size of jury awards increases, public awareness of hazardous substance risks can only rise, thereby encouraging additional litigation.\textsuperscript{27} Right-to-know laws, by properly organizing and presenting hazardous substance information, thus spur litigation: they can help establish causation by connecting a facility's operations to the plaintiff's alleged harms, they can help identify defendants, and they can facilitate discovery.\textsuperscript{28} Additionally, as noted above, the mere threat of litigation, with its attendant costs and damage to reputation, has encouraged industry to voluntarily alter its use of hazardous substances.\textsuperscript{29}
II. EC Framework for Right-to-Know Regimes
EC right-to-know laws were enacted in the early 1980s in response to the threat posed by major chemical accidents. More recently, these laws have been broadened to enhance public awareness by encouraging disclosure of hazardous chemical data.
A. The Seveso Directive
The EC adopted a directive in 1982 on Major-Accident Hazards of Certain Industrial Activities, commonly known as the Seveso Directive.\textsuperscript{30} The Seveso Directive seeks to "prevent[] the creation of pollution or nuisances at source" by creating Commu-
\textsuperscript{26} In December 1990, Chevron ceased its use of chlorine at one refinery after environmental groups began voicing concerns about the storage and use of this chemical. Also in December of 1990, Raytheon, reacting to criticism from a citizens' group, pledged to replace ozone-depleting cleaning agents with safer, water-based solutions. Schneider, \textit{NY Times} at 4-5 (cited in note 19).
\textsuperscript{27} For an example of such litigation, see John Riley, \textit{Environmental Group Tries to Nail Kodak}, \textit{Gannett News Service} (March 14, 1990).
\textsuperscript{28} Lyndon, \textit{87 Mich L Rev} at 1833 (cited in note 8).
\textsuperscript{29} GAO, \textit{Toxic Chemicals} at 24 (cited in note 1).
\textsuperscript{30} Council Dir 82/501, 1982 OJ at L230:1 (cited in note 3). This directive is named after the Italian city of Seveso, site of a major dioxin release from a Hoffman LaRoche plant in 1978. Michael S. Baram, \textit{Risk Communication Law and Implementation Issues in the United States and the European Community}, 6 BU Intl L J 21, 27 (1988).
nity standards for manufacturers who use hazardous substances.\textsuperscript{31} As originally adopted, the Directive requires facilities to inform relevant state authorities of the chemicals it uses and stores, the risks and hazards posed by such substances, and the safety and emergency-response measures it has adopted to minimize such risks.\textsuperscript{32}
Under the Seveso Directive, all parties engaged in industrial activity involving or possibly involving dangerous substances and "capable of presenting major accident-hazards" must "identify] existing major-accident hazards."\textsuperscript{33} Article 5 of the Directive requires businesses to disclose the following types of information pertaining to their use of hazardous chemicals: substances stored or used by a facility—including by-products, residues, quantities present, and chemical behavior during normal conditions of use; type of production and storage; and nature of the technical processes employed.\textsuperscript{34} Additionally, under Article 5, companies must disclose short- and long-term environmental and health risks posed by their use of hazardous substances.\textsuperscript{35}
The Seveso Directive does not establish measures to ensure compliance with its reporting requirements. It leaves this to the Member States.\textsuperscript{36} The Directive does, however, authorize relevant national authorities to evaluate information disclosed pursuant to the Directive, to request supplementary information, and to conduct on-site investigations.\textsuperscript{37}
\textsuperscript{31} Council Dir 82/501, preamble, 1982 OJ at L230:1 (cited in note 3). As used in the Seveso Directive, "manufacturer" describes any person responsible for
any operation carried out in an industrial installation . . . involving . . . one or more dangerous substances and capable of presenting major-accident hazards, and also transport carried out within the establishment for internal reasons and the storage associated with this operation within the establishment.
Id, art 1(2)(a)-(b), 1982 OJ at L230:2.
\textsuperscript{32} Id, arts 3-5, 1982 OJ at L230:3-4.
\textsuperscript{33} Id, art 1(2)(a), 1982 OJ at L230:2; id, art 4, 1982 OJ at L230:3.
\textsuperscript{34} Council Dir 82/501, art 5, 1982 OJ at L230:3; annex V, 1982 OJ at L230:16 (cited in note 3). Annex V specifies data and information to be supplied in connection with the notification provided for in Article 5.
\textsuperscript{35} Id, annex V, 1982 OJ at L230:16. The provisions of the Directive apply to both existing and new industrial activities. Id, art 9, 1982 OJ at L230:4-5.
\textsuperscript{36} However, Community-level procedures do exist to enforce the Directive against Member States that do not comply with the Directive's requirements. Rolf Wägenbaur, \textit{The European Community's Policy on Implementation of Environmental Directives}, 14 Fordham Intl L J 455, 461-65 (1990-91).
\textsuperscript{37} Council Dir 82/501, art 7, 1982 OJ at L230:4 (cited in note 3). This inspection and review authority can also assist national authorities in imposing, through domestic law, technical and system requirements on facilities. Baram, 6 BU Intl L J at 29 (cited in note 30).
The "right to know" encompasses not only industry's obligation to disclose chemical risk data, but also, and perhaps more importantly, the dissemination of such information to the public. Article 8 of the original Seveso Directive requires Member States to
ensure that persons liable to be affected by a major accident originating in a notified industrial activity . . . are informed in an appropriate manner of the safety measures and of the correct behavior to adopt in the event of an accident.\(^{38}\)
The policy behind this provision, therefore, focused not on public disclosure, but rather on providing the specific information that affected individuals "need to know"\(^{39}\) in the event of accidental release.\(^{40}\)
Article 8 was amended in 1988 by a Directive enacted to strengthen and better define the public information components of the Seveso Directive.\(^{41}\) The amended language of the Seveso Directive now provides that
Member States shall ensure that the information on safety measures and on the correct behaviour to adopt in the case of an accident is supplied in an appropriate manner, and without their having to request it, to persons liable to be affected by a major accident . . . [Such information] shall also be made publicly available.\(^{42}\)
These amendments also specify the types of information to be communicated to the public, including such data as the common names of on-site hazardous substances, an "indication of their principal dangerous characteristics,"\(^{43}\) and "[g]eneral information relating to the nature of the major-accident hazards, including their potential effects on the population and the environment."\(^{44}\)
Although these amendments broaden Member States' obligations to include the dissemination of data to the general public, the
\(^{38}\) Council Dir 82/501, art 8, 1982 OJ at L230:4 (cited in note 3) (emphasis added).
\(^{39}\) Baram, 6 BU Intl L J at 29 (cited in note 30).
\(^{40}\) See Council Dir 82/501, art 8, 1982 OJ at L230:4 (cited in note 3). Additionally, Article 4 of the Directive provides for notification of workers of relevant safety information. Id, art 4, 1982 OJ at L230:3.
\(^{41}\) Council Dir 88/610, preamble, 1988 OJ at L336:14 (cited in note 3).
\(^{42}\) Id, art 1, 1988 OJ at L336:14-15 (emphasis added). Unless otherwise indicated, all subsequent references to the Seveso Directive refer to the Directive as amended by the 1988 Directive.
\(^{43}\) Id, annex B, 1988 OJ at L336:18.
\(^{44}\) Council Dir 88/610, annex B, 1988 OJ at L336:18 (cited in note 3).
content of this obligation is left undeveloped, with no specifics on the means or extent of public disclosure. Additionally, the information disclosed remains limited to, primarily, that needed to respond properly to an accidental release.\textsuperscript{48}
Implementation of the Seveso Directive remains incomplete. Although most Member States have developed emergency response programs pursuant to the Directive's guidelines,\textsuperscript{49} the Member States have been inconsistent in implementing risk communication standards. Consequently, some nations have minimal reporting requirements while others\textsuperscript{50} have more extensive requirements that predate implementation of the Seveso Directive.\textsuperscript{51}
B. The Information Directive
Recent EC Council action may establish broad standards for public disclosure of hazardous chemical data. With respect to public disclosure, the 1990 Directive on the Freedom of Access to Information on the Environment ("Information Directive") suggests a way to remedy the Seveso Directive's shortcomings.\textsuperscript{52} Notwithstanding certain narrow exceptions,\textsuperscript{53} the Information Directive directs Member States to:
ensure that public authorities are required to make available information relating to the environment to any natural or legal person at his request and \textit{without his having to prove an interest}.\textsuperscript{54}
Member States must fully implement these provisions through domestic legislation by the end of 1992.\textsuperscript{55} The language of the Information Directive seems to amend the original Seveso Directive lan-
\textsuperscript{48} See id.
\textsuperscript{49} Restrictive Waste Management Measures Expected from Commission, Attorney Says, 13 Intl Env Rptr Current Rpt 149 (1990).
\textsuperscript{50} Id.
\textsuperscript{51} The general record of the Member States' progress in implementing environmental directives is poor and a matter of concern to Community authorities. See Wagenbaur, 14 Fordham Intl L J at 455 (cited in note 36).
\textsuperscript{52} Council Dir 90/313, 1990 OJ at L158:56 (cited in note 3).
\textsuperscript{53} Data exempted from the reporting requirements of the information directive include information affecting commercial and industrial confidentiality, such as trade secrets. Id, art 3(2), 1990 OJ at L158:57.
\textsuperscript{54} Id, art 3(1), 1990 OJ at L158:57- (emphasis added).
\textsuperscript{55} Id, art 9, 1990 OJ at L158:58.
guage to give the public access to virtually all hazardous substance data.\textsuperscript{53}
III. RIGHT-TO-KNOW LAW IN THE UNITED STATES
Congress, spurred by unions, public interest groups, and events such as the Bhopal disaster,\textsuperscript{54} enacted the Emergency Planning and Community Right-to-Know Act ("EPCRA") as Title III of the Superfund Amendments and Reauthorization Act of 1986 ("SARA").\textsuperscript{55} Described by some as a prime example of Reagan's "new federalism,"\textsuperscript{56} EPCRA distributes the burden of policing industrial disclosure and use of hazardous substances among federal, state, and local governments, as well as private individuals.\textsuperscript{57} EPCRA seeks to improve both emergency planning and public access to information. It imposes extensive reporting requirements on industry, mandates public access to reported information, and creates a multi-tiered system of hazard communication, emergency planning, and enforcement.\textsuperscript{58}
EPCRA requires states to establish Emergency Response Commissions and local Emergency Planning Committees.\textsuperscript{59} These state and local authorities, as well as the EPA, serve as the repositories of the hazardous substance data generated by EPCRA.\textsuperscript{60} Under EPCRA, manufacturers, processors, and users of hazardous substances must complete three forms: (1) they must submit material safety data sheets to state and local authorities;\textsuperscript{61} (2) they must also submit emergency and hazardous chemical inventory forms to the same authorities;\textsuperscript{62} and (3) they must submit toxic chemical release forms to federal and state authorities.\textsuperscript{63} Like the Seveso Directive, these provisions mandate disclosure of virtually every aspect of industrial use of hazardous chemicals: hazardous components of chemicals used,\textsuperscript{64} description of storage,\textsuperscript{65} average
\textsuperscript{53} See Council Dir 90/313, preamble, 1990 OJ at L158:56-57, art 3(2), 1990 OJ at L158:57 (cited in note 3).
\textsuperscript{54} Abrams & Ward, 14 Harv Env L Rev at 135 (cited in note 24).
\textsuperscript{55} Pub L No 99-499, Title III, §§ 300-30, 100 Stat. 1728 (1986), codified at 42 USC §§ 11001-50 (1988).
\textsuperscript{56} Baram, 6 BU Intl L J at 37 (cited in note 30).
\textsuperscript{57} See 42 USC §§ 11001, 11021-23, 11045, 11046.
\textsuperscript{58} See 42 USC §§ 11001, 11003-05, 11021-23, 11044-46.
\textsuperscript{59} 42 USC §§ 11001(a), 11001(c).
\textsuperscript{60} See 42 USC §§ 11021-23.
\textsuperscript{61} 42 USC § 11021.
\textsuperscript{62} 42 USC § 11022.
\textsuperscript{63} 42 USC § 11023.
\textsuperscript{64} 42 USC § 11021(a)(2)(A)(iii).
daily amounts present, specific locations of chemicals within a facility, nature of use, annual quantities released into the environment, and estimates of the efficiency of treatment programs.
Although both EPCRA and the Seveso Directive require industry to disclose hazardous chemical data, EPCRA places greater emphasis on the public access component of a right-to-know regime. While the amended Seveso Directive, in conjunction with the Information Directive, may create a very broad public right to hazardous substance data, EPCRA explicitly states that:
[Each emergency response plan, material safety data sheet, . . . inventory form, . . . [and] toxic chemical release form . . . shall be made available to the general public.]
This provision clearly requires relevant federal, state, and local authorities to disclose to the public any information they obtain.
EPCRA also establishes several different enforcement mechanisms at every level of government. The statute establishes administrative and civil penalties for failure to comply with reporting requirements. At the federal level, a person or entity that violates reporting requirements can be held liable for up to $25,000 per day, per violation. Empirical data indicate that the EPA has successfully enforced EPCRA, though limited resources have restricted the number of enforcement actions it has been able to initiate. The EPA has also used EPCRA enforcement measures to encourage industry to reduce its use of hazardous substances. It has entered into consent decrees with companies, reducing fines
---
64 42 USC §11022(d)(2)(D).
65 42 USC §11022(d)(2)(C).
66 42 USC § 11023(g)(1)(C)(i).
67 42 USC § 11023(g)(1)(C)(iv).
68 42 USC § 11023(g)(1)(C)(iii).
69 42 USC § 11044(a).
70 42 USC § 11045-46.
71 42 USC § 11045(c).
72 See EPA Seeks $525,000 from Mobil Oil of Paulsboro, N.J., for Notification Failures under Right-To-Know Law, PR Newswire (June 25, 1991); EPA Slaps Fines on Boeing Co., Seattle Steel, The Seattle Times H1 (Dec 19, 1990); Mary Ann Gwinn, EPA Levies Precedent-Setting Fine against O-Cel-O Division of General Mills of Tonawanda, N.Y. for a Hazardous Chemical Release, PR Newswire (Nov 16, 1990); EPA Announces Enforcement Initiative Under the Emergency Planning and Community Right-To-Know Act, PR Newswire (Oct 22, 1990).
73 GAO, Toxic Chemicals at 49-57 (cited in note 1).
where firms agree to implement new technologies or to replace chemicals currently in use with less toxic substances.\textsuperscript{76}
EPCRA also authorizes civil claims by state and local governments against facility owners and operators for failure to submit the required information.\textsuperscript{77} However, EPCRA, unlike the Seveso Directive, does not grant explicit inspection authority as part of its enforcement procedures.\textsuperscript{78} Finally, EPCRA creates a private right of action; "any person may commence a civil action on his own behalf" against an owner or operator who fails to properly meet EPCRA reporting requirements.\textsuperscript{79}
IV. COGNITIVE DYSFUNCTIONS
Laws designed to correct failures of information, in order to be effective, must generate data that the public can understand. An informational strategy should not merely provide for total disclosure, but should also inform in a manner that fosters improved decisionmaking.\textsuperscript{80} Right-to-know regimes must account for limited information processing ability and deficiencies in the information actually produced.
Individuals must understand and order new data for it to affect their political and economic decisions.\textsuperscript{81} New data must first be accepted. It must convince individuals to alter their understanding of the environmental impact of industrial use of hazardous substances.\textsuperscript{82} It must thus possess sufficient authority and validity to cause individuals to rethink their valuations of environmental and health risks.\textsuperscript{83}
Even if accepted, cognitive dysfunctions can still impair the use of newly acquired data. An individual's ability to absorb and process new data is not unlimited. Individuals who are over-
\textsuperscript{76} Four New Jersey Firms Agree to Improve Facility Operations to Benefit Environment: EPA Collects $45,000 for Right-to-Know Violations, PR Newswire (January 24, 1991).
\textsuperscript{77} 42 USC § 11046(a)(2).
\textsuperscript{78} See GAO, Toxic Chemicals at 55 (cited in note 1). In practice, EPA regional inspectors do conduct investigations to identify facilities that violate EPCRA reporting requirements, though facility operators have challenged the EPA's authority to conduct such investigations. Therefore, the EPA must often rely on authority provided under other environmental statutes. Id.
\textsuperscript{79} 42 USC § 11046 (a)(1).
\textsuperscript{80} Viscusi, Reforming Products Liability at 133 (cited in note 15).
\textsuperscript{81} Cass R. Sunstein, Democratizing America through Law 19 (Dec 1991) (unpublished manuscript on file with the University of Chicago Legal Forum).
\textsuperscript{82} Viscusi & Magat, Learning About Risk at 7 (cited in note 10).
\textsuperscript{83} Id at 126.
whelmed with new data may forget an important portion of it or may fail to properly process it.\textsuperscript{84} Without some means of analyzing and ordering the data, particularly large amounts of data, individuals cannot properly value it.\textsuperscript{85} These quantitative limits may thus render information-based regulation ineffectual,\textsuperscript{86} because right-to-know statutes may generate unmanageable amounts of environmental and toxic chemical data.\textsuperscript{87}
Moreover, individuals may be qualitatively limited in the types of data that they can digest. Much of the data generated by right-to-know laws consists of "raw" data. Such information may not enable the public to better assess the risks an industrial facility presents. To digest such data, one may have to process highly complex and technical information and reduce it to a form more amenable to risk-benefit analysis. Without assistance, individuals are likely to make errors that can distort risk valuation.
Complex raw data, when married with scientific uncertainty, may make individual risk valuations so flawed as to be of little or no assistance in regulating industry use of hazardous chemicals.\textsuperscript{88} The environmental and health effects of chemicals may not yet be known.\textsuperscript{89} If science cannot accurately determine the hazards associated with a particular industrial operation, individuals probably cannot be expected to properly assess the risks posed by such an operation.
Uncertainty about the risks associated with the use of particular chemicals may also result in individual inaction. Uncertainty generates anxiety. To reduce such anxiety, individuals may deny uncertainty and undervalue the risks posed by present use levels.\textsuperscript{90}
\textsuperscript{84} Id at 140.
\textsuperscript{85} Id.
\textsuperscript{86} However, Professor Lyndon suggests that this difficulty does not exist, as individuals frequently deal with large amounts of complex data. Lyndon, 87 Mich L Rev at 1831 (cited in note 8).
\textsuperscript{87} Viscusi, Reforming Products Liability at 139-40 (cited in note 15).
\textsuperscript{88} See Asch, Consumer Safety Regulation at 91-94 (cited in note 12) (where individuals moderately underestimate risks, only the mildly safety-conscious individual will change his preferences; moderate overestimation of risk will affect only moderately price-conscious consumers).
\textsuperscript{89} See id at 158. This time lag between exposure and the manifestation of its effects creates significant difficulties in any hazardous substance, regulatory regime. These difficulties include establishing effective production and technology standards and determining when liability should attach so that tort claims can create effective risk reduction incentives.
\textsuperscript{90} Paul Slovic, Baruch Fischhoff, and Sarah Lichtenstein, Informing the Public about the Risks from Ionizing Radiation, in Hal R. Arkes and Kenneth R. Hammond, eds, Judgment and Decision Making: An Interdisciplinary Reader 114, 117 (Cambridge U Press, 1986).
Also, because the hazards associated with toxic substance use generally involve future risks, the potential for error increases and confidence in one's ability to properly value risks diminishes.\textsuperscript{91}
Beyond these difficulties, even unambiguous information may provoke improper response. Individuals may overestimate the likelihood of low probability events.\textsuperscript{92} If they fail to analyze or prioritize risk data, they may overestimate the likelihood of rare, but highly sensational and publicized, toxic substance catastrophes.\textsuperscript{93}
V. PROPOSAL FOR EC MEMBER STATE IMPLEMENTATION
Existing EC directives provide little more than the skeleton for a right-to-know regime. Architects of domestic implementing legislation, as well as of future Community initiatives, must retain the most effective functions of informational remedies while addressing those cognitive dysfunctions that inhibit proper and effective information-based public action. Within this framework, a right-to-know regime, aggressively enforced at the national level and using Community institutions to process and coordinate hazardous substance data, would do much to enhance the effectiveness of EC regulation of hazardous substance use.
A. Weaknesses of the Market and the Civil Liability Functions
Whether in the United States or in the EC, if no transaction exists between the polluter and those bearing the risks associated with his industrial processes, individual consumer choices may have little persuasive or coercive effect. Therefore, market-based strategies alone may fail to create the incentives needed to change industrial behavior.
Moreover, the incentive effect of the threat of civil litigation in the EC is much less than that in the United States. European attitudes toward litigation differ greatly from the litigious inclinations of many in the United States. Americans frequently tend to view
\textsuperscript{91} Richard H. Thaler, \textit{Illusions and Mirages in Public Policy}, in Arkes & Hammond, eds., \textit{Judgment and Decision Making} at 165.
\textsuperscript{92} Viscusi & Magat, \textit{Learning About Risk} at 128 (cited in note 10).
\textsuperscript{93} Viscusi, \textit{Reforming Products Liability} at 135 (cited in note 15). See also Slovic, Fischhoff, & Lichtenstein, \textit{Informing the Public} at 116 (cited in note 90). The authors cite a 1978 study demonstrating that:
the frequencies of dramatic or sensational causes of death, such as accidents, homicide, cancer . . . and tornadoes, were greatly overestimated, [whereas] [f]requencies of undramatic causes, such as asthma . . . and diabetes, which take one life at a time and are common in nonfatal form, were greatly underestimated.
Id.
lawsuits as a viable means of resolving disputes and redressing wrongs. Conversely, Europeans do not feel that "they have a God-given right to go to court as people in the U.S. do,"\textsuperscript{94} and thus "you don't have attorneys running around dropping cards."\textsuperscript{95}
Procedural and substantive elements of European legal systems also may make litigation a less attractive alternative than in the United States. With respect to procedure, class actions are extremely rare,\textsuperscript{96} and plaintiffs assume substantial economic risks in initiating suits: not only are contingency fees nonexistent,\textsuperscript{97} but the United Kingdom and some other EC countries also require a losing plaintiff to pay the defendant's attorney fees and costs.\textsuperscript{98} A litigant faces additional hurdles in Civil Law countries: the dearth of pre-trial discovery and of compelled discovery of documents and witnesses create significant difficulties in adducing the proof needed to recover damages.\textsuperscript{99} Even in common law countries such as the United Kingdom, whose system resembles that of the United States,\textsuperscript{100} the scope of discovery remains quite limited.\textsuperscript{101}
With respect to substance, the financial rewards of civil litigation in the EC countries simply do not approach those of United States jury awards. Generally, civil matters are not tried before a jury, awards are limited to actual damages and related expenses, and courts virtually never award punitive and trebled damages.\textsuperscript{102}
Despite these differences, European legal systems may be moving toward more civil actions and larger awards.\textsuperscript{103} A pending
\textsuperscript{94} David C. Jones, \textit{U.S.-Style Litigation Not Seen Invading EC}, Property & Casualty/Risk & Benefits Management Edition 35 (Aug 27, 1990) (quoting Sheila O'Donnell, attorney with Thieffry & Associates, Paris, France).
\textsuperscript{95} Meg Fletcher, \textit{Events Abroad Trouble Risk Managers at Home}, Bus Ins 14, 16 (Oct 22, 1990) (quoting Harold Lang, Director, Insurance and Risk Management, Kohler Co.).
\textsuperscript{96} Patrick Thieffry, \textit{Arbitration Expected to Increase New Incentives}, Natl L J 21 (Mar 19, 1990).
\textsuperscript{97} One European lawyer has described contingency fees as "not only illegal, but immoral as well." Jones, \textit{Property & Casualty/Risk & Benefits Management} Edition at 35 (quoting Sheila O'Donnell, attorney with Thieffry & Associates, Paris, France) (cited in note 94).
\textsuperscript{98} Id at 48.
\textsuperscript{99} Id.
\textsuperscript{100} \textit{English Justice: The Slow and Costly Civil Courts}, The Economist 52 (August 20, 1983).
\textsuperscript{101} Jones, \textit{Property & Casualty/Risk & Benefits Management} Edition at 48 (cited in note 94).
\textsuperscript{102} See id. See also Thieffry, Natl L J at 21 (cited in note 96).
\textsuperscript{103} Baram, 6 BU Intl L J at 25 (cited in note 30). See also, David P. Hackett, "New Developments in International Environmental Law" (Nov 15, 1991) (speech delivered at the University of Chicago Law School) (on file with the \textit{University of Chicago Legal Forum}).
Community proposal may signal and encourage such a trend.\textsuperscript{104} The proposed directive holds waste generators strictly liable\textsuperscript{105} for any environmental damage they may cause and makes them jointly and severally liable for any such damage.\textsuperscript{106} If adopted, such measures would greatly facilitate recovery of damages from hazardous waste generators. Plaintiffs' problems of proof would diminish greatly, as the proposed directive shifts the evidentiary burden to potential defendants, and joint and several liability would make it much easier for plaintiffs to obtain compensation.\textsuperscript{107}
However, this new legislation remains in the proposal stage, and it is unclear when, if ever, the Council will adopt it.\textsuperscript{108} Therefore, the incentive effect of civil litigation in the EC remains speculative. The prospect of crushing liability imposed by courts remains a distant one for EC industry. Thus, toxic tort and environmental litigation in the EC may not have a highly effective and persuasive impact on industrial attitudes toward and use of hazardous chemicals.
B. Predominance of the Democratic Function
Informational remedies in the EC must rely heavily on the democratic function for their success. By increasing industry's public accountability and empowering the populace, right-to-know laws can effectively precipitate public action in the EC. The high level of toxic chemical use in the EC, combined with the success of the Green movement,\textsuperscript{109} suggests that information-driven public action may prove quite effective.
The role of the "Greens" in European politics reflects the potential for both political activism on environmental issues and public concern for environmental protection.\textsuperscript{110} Individually, how-
\textsuperscript{104} Commission Prop for a Council Dir on Civil Liability for Damage Caused by Waste, 1989 OJ C251:3.
\textsuperscript{105} Id, art 3, 1989 OJ at C251:5.
\textsuperscript{106} Id, art 5, 1989 OJ at C251:5.
\textsuperscript{107} Michael J. Murphy and Ellen M. Gross, \textit{Risk Awareness on Rise in Europe}, Property & Casualty/Risk & Benefits Management Edition 9, 47 (April 30; 1990).
\textsuperscript{108} Murphy and Gross, however, suggest that Council approval is "virtually inevitable." Id.
\textsuperscript{109} Andrew Rosenbaum, \textit{Being 'Green' Pays Off}, Industry Week 62 (Aug 7, 1989). The Green movement in Europe has been involved in parliamentary politics since 1980 and has become firmly enmeshed in the region's political landscape. Brad Knickerbocker, \textit{Greens Slowly Work Their Way into U.S. Political Mix}, The Christian Science Monitor 8 (Oct 10, 1990).
\textsuperscript{110} The multi-party parliamentary systems of the EC countries are also a key factor in facilitating the growth of Green parties in Europe. Such systems, unlike the American twoever, European nations frequently lag behind the U.S. in environmental regulation.\textsuperscript{111} Information-based public pressure on industry, both direct and through political institutions, can help fill this gap between the promising national and supranational political attention that environmental matters receive, and the disappointing level of substantive environmental regulation.
Public awareness of environmental and health issues already affects the way that European companies use toxic substances.\textsuperscript{112} Beyond the growth of the Green parties, private groups ranging from local citizens' groups to international organizations, such as Greenpeace,\textsuperscript{113} pressure both governments and industry. Under the Seveso and Information Directives, greater availability of hazardous substance data should encourage both public and industrial initiatives to improve industrial practices.
C. Enforcement
The Seveso Directive and the Information Directive establish a solid framework for Community right-to-know regimes, requiring thorough and detailed reporting and creating a potentially extensive public right of access to disclosed information. These Directives, however, depend heavily on adequate implementation at the national level.\textsuperscript{114} National implementation permits various states to use Community standards to create right-to-know laws that effectively regulate industry's use of hazardous substances. Unfortunately, domestic implementation may also dilute the impact of the
\textsuperscript{111} Andrew Gimson, \textit{Force that through the Green Fuse Drives the Flower}, The Independent 20 (Sept 23, 1990). This seems somewhat odd, because a Green movement did not emerge in the United States until the mid 1980s and remains, today, far from mainstream politics.
The "Green movement," as distinct from environmentalism, describes the development of a third political party in the U.S. with a platform favoring, but not limited to, environmental protection. Id. For a discussion of the Green movement in the United States, see Knickerbocker, \textit{The Christian Science Monitor} at 8 (cited in note 109); Brad Knickerbocker, \textit{The Greening of the U.S. Political Scene}, \textit{The Christian Science Monitor} 13 (Jan 16, 1992).
\textsuperscript{112} See Rosenbaum, Industry Week at 62 (cited in note 109). Moreover, American and multinational firms, particularly aware of the potential ramifications of such public pressure, have often led the way by adopting policies that benefit both the environment and their corporate images. Id.
\textsuperscript{113} \textit{Business and Environment: Seeing the Green Light}, \textit{The Economist} 88 (Oct 20, 1990); Nazli Choucri, \textit{The Global Environment and Multinational Corporations}, Technology Rev 52, 56 (Apr 1991).
\textsuperscript{114} See text at notes 36-37.
Directives, resulting in either no or improper information-driven, individual action.
Strict enforcement of the reporting requirements and the provisions for public access is crucial to the success of right-to-know laws in the EC. Such enforcement must be established and carried out entirely through national legislation. Because of the difficulties with private litigation in the EC, national governments should ensure compliance by establishing thorough, objective, and aggressive administrative review of industry reporting practices, including substantial fines and penalties for facilities that violate reporting requirements.\textsuperscript{115}
Limited resources and potential agency or government bias may make national enforcement problematic. The Seveso Directive seems to account for such difficulties, however. It authorizes national authorities to evaluate reported information, to request supplemental information, and to conduct on-site inspections.\textsuperscript{116} To best utilize these provisions, national governments should establish objective criteria for use in identifying and penalizing violators. An agency can then collect citizen complaints and evaluate and rank the complaints against a list of predetermined standards. This would assist them in allocating limited enforcement resources and would make biased agency action more difficult.
D. Structuring the Information
The data disclosed must be made available to the public in a comprehensible manner. Right-to-know laws should seek not just to maximize public disclosure but also to inform in a manner that enables rational and accurate decisionmaking.
Although they each contain limited requirements concerning health and ecological risk data,\textsuperscript{117} the reporting requirements of both the Seveso Directive and EPCRA focus primarily on generating raw data. As discussed in Part IV, such unorganized and disorderly data present difficulties when individuals are required to
\textsuperscript{115} United States right-to-know law includes a citizen suit provision, 42 USC § 11046(a)(1), which the EPA anticipates will be a significant component of EPCRA enforcement. To date, however, private suits have been rare. Conversation with Attorney, EPA, Chicago, Illinois (Nov 1991).
\textsuperscript{116} Council Dir 82/501, art 7, 1982 OJ at L230:4 (cited in note 3).
\textsuperscript{117} See 42 USC § 11022(d)(1)(A), requiring certain emergency and hazardous chemical inventory data to be organized according to health and physical hazards; Council Dir 88/610, annex B, 1988 OJ at L336:18 (cited in note 3), requiring communication to the general public of “[g]eneral information relating to the nature of the major-accident hazards, including their potential effects on the population and the environment.”
make uncertain valuations of costs and benefits. The burden of ordering and distilling data must fall on someone beyond individual citizens if right-to-know laws are to succeed in regulating industry's use of hazardous substances.
The national governments, as the enforcers of the reporting requirements and the collectors of data, are the obvious candidates to refine raw data for individuals. However, limited administrative resources suggests the need for independent, learned intermediaries. The political importance of environmental issues in the EC suggests that public interest groups would gladly undertake the task of refining the raw data.\textsuperscript{118} Not only can environmental groups use such data to pressure industry and government, but environmental groups can also use the data to compile listings and indices of facilities.\textsuperscript{119}
Equally important, the potential exists for a Community system of organizing and analyzing hazardous substance information. In May 1990, the Council of the European Communities adopted a regulation establishing the European Environment Agency ("EEA") and the European environment and observation network.\textsuperscript{120} The EEA, an independent agency,\textsuperscript{121} is designed to collect, process and analyze data\textsuperscript{122} and to provide the Member States with "the objective information necessary for framing and implementing sound and effective environmental policies."\textsuperscript{123} The regulation gives the EEA a broad mandate covering a wide array of environmental concerns.\textsuperscript{124} Finally, the regulation provides that
\textsuperscript{118} A GAO study of EPCRA's toxic release reporting requirement (42 USC § 11023) found that environmental and public interest groups have used this data extensively. GAO, \textit{Toxic Chemicals} at 25 (cited in note 1).
\textsuperscript{119} See id. Of course, private industry groups will also have an interest in serving as a learned intermediary. In the United States, for example, the Chemical Manufacturers Association uses information produced by EPCRA as a basis for annual reports tracking industry progress in pollution control and other environmental management practices. EPA, \textit{Toxics in the Community} at 324 (cited in note 20). Such involvement by private interest groups on both sides of the issue should help to ensure a balanced presentation of data and should promote democratic deliberation.
However, interest groups, though significant in filling a void requiring knowledgeable "middlemen," should not be relied upon as the sole entities performing the learned intermediary function. Such a regime guarantees neither consistency nor breadth of coverage. Even where groups from both sides are involved, slanted analyses may nevertheless obscure the true significance of information.
\textsuperscript{120} Council Reg 1210/90, 1990 OJ L120:1.
\textsuperscript{121} Id, preamble, 1990 OJ at L120:1.
\textsuperscript{122} Id, art 2(i), 1990 OJ at L120:2.
\textsuperscript{123} Id, art 2(ii), 1990 OJ at L120:2.
\textsuperscript{124} See Council Reg 1210/90, art 3(2), 1990 OJ at L120:2 (cited in note 120). The EEA does not yet exist. It cannot be established until after the Community has selected a site for
"[e]nvironmental data supplied to or emanating from the [EEA] may be published and shall be made accessible to the public."\textsuperscript{126}
Without stifling governmental and private interest groups in their activities in distilling and organizing raw data, the creation of a Community entity designed to handle raw environmental data will give both structure and support to national efforts. The EEA, therefore, may be the most efficient learned intermediary: charging a Community institution with responsibility for processing and assessing hazardous substance data avoids potential duplication and enables Member States to pool their resources.
\textbf{CONCLUSION}
Effective right-to-know laws are a powerful tool in environmental regulation. Properly implemented, such informational remedies shift the regulatory burden from government to individuals. Public action based on full and comprehensible information induces changes in industry's use of hazardous substances.
The EC countries currently have the opportunity to use Community legislation—the Seveso Directive, the Information Directive, and the regulation establishing the EEA—to develop highly effective right-to-know regimes. For these to succeed, however, Member States must establish strict enforcement measures, and they (and the Community as a whole) must impartially and accurately analyze and organize the data in order to catalyze individual decisionmaking.
\textsuperscript{126} Council Reg 1210/90, art 6, 1990 OJ at L120:3 (cited in note 120). |
Paris-CARLA-3D: A Real and Synthetic Outdoor Point Cloud Dataset for Challenging Tasks in 3D Mapping
Jean-Emmanuel Deschaud \(^1\)*, David Duque \(^2\), Jean Pierre Richa \(^1\), Santiago Velasco-Forero \(^2\), Beatriz Marcotegui \(^2\) and François Goulette \(^1\)
\(^1\) MINES ParisTech, PSL University, Centre for robotics, 75006 Paris, France;
\(^2\) MINES ParisTech, PSL University, Centre for mathematical morphology, 77300 Fontainebleau, France;
firstname.lastname@example.org (D.D.); email@example.com (J.P.R.);
firstname.lastname@example.org (S.V.-F.); email@example.com (B.M.);
firstname.lastname@example.org (F.G.)
* Correspondence: email@example.com
Abstract: Paris-CARLA-3D is a dataset of several dense colored point clouds of outdoor environments built by a mobile LiDAR and camera system. The data are composed of two sets with synthetic data from the open source CARLA simulator (700 million points) and real data acquired in the city of Paris (60 million points), hence the name Paris-CARLA-3D. One of the advantages of this dataset is to have simulated the same LiDAR and camera platform in the open source CARLA simulator as the one used to produce the real data. In addition, manual annotation of the classes using the semantic tags of CARLA was performed on the real data, allowing the testing of transfer methods from the synthetic to the real data. The objective of this dataset is to provide a challenging dataset to evaluate and improve methods on difficult vision tasks for the 3D mapping of outdoor environments: semantic segmentation, instance segmentation, and scene completion. For each task, we describe the evaluation protocol as well as the experiments carried out to establish a baseline.
Keywords: dataset; LiDAR; mobile mapping; laser scanning; 3D mapping; synthetic; point cloud; outdoor; semantic; scene completion
1. Introduction
Data in the form of a 3D point cloud are becoming increasingly popular. There are mainly three families of 3D data acquisition: photogrammetry (Structure from Motion and Multi-View Stereo from photos), RGB-D or structured light scanners (for small objects or indoor scenes), and static or mobile LiDARs (for outdoor scenes). The advantage of this last family (mobile LiDARs) is their ability to acquire large volumes of data. This results in many potential applications: city mapping, road infrastructure management, construction of HD maps for autonomous vehicles, etc.
There are already many datasets published on the first two families, but few are available on outdoor mapping. However, there are still many challenges in the ability to analyze outdoor environments from mobile LiDARs. Indeed, the data contain a lot of noise (due to the sensor but also to the mobile system) and have significant local anisotropy and also missing parts (due to occlusion of objects).
The main contributions of this article are as follows:
- the publication of a new dataset, called Paris-CARLA-3D (PC3D in short)—synthetic and real point clouds of outdoor environments; the dataset is available at the following URL: https://npm3d.fr/paris-carla-3d, accessed on 18 November 2021;
- the protocol and experiments with baselines on three tasks (semantic segmentation, instance segmentation, and scene completion) based on this dataset.
2. Related Datasets
With the democratization of 3D sensors, there are more and more point cloud datasets available. We can see in Table 1 a list of datasets based on 3D point clouds. We have listed only datasets available in the form of a point cloud. We have, therefore, not listed the datasets such as NYUv2 [1], which do not contain the poses (trajectory of the RGB-D sensor) and thus do not allow for producing a dense point cloud of the environment. We are also only interested in terrestrial datasets, which is why we have not listed aerial datasets such as DALES [2], Campus3D [3] or SensaUrban [4].
First, in Table 1, we performed a separation according to the environment: the indoor datasets (mainly from RGB-D sensors) and the outdoor datasets (mainly from LiDAR sensors). For outdoor datasets, we also made the distinction between perception datasets (to improve perception tasks for the autonomous vehicle) and mapping datasets (to improve the mapping of the environment). For example, the well-known SemanticKITTI [5] consists of a set of LiDAR scans from which it is possible to produce a dense point cloud of the environment with the poses provided by SLAM or GPS/IMU, but the associated tasks (such as semantic segmentation or scene completion) are only centered on a LiDAR scan for the perception of the vehicle. This is very different from the dense point clouds of mapping systems such as Toronto-3D [6] or our Paris-CARLA-3D dataset. For the semantic segmentation and scene completion tasks, SemanticKITTI [7] uses only one single LiDAR scan as input (one rotation of the LiDAR). In our dataset, we wish to find the semantic and seek to complete the “holes” on the dense point cloud after the accumulation of all LiDAR scans.
Table 1 thus shows that Paris-CARLA-3D is the only dataset to offer annotations and protocols that allow for working on semantic, instance, and scene completion tasks on dense point clouds for outdoor mapping.
**Table 1.** Point cloud datasets for semantic segmentation (SS), instance segmentation (IS), and scene completion (SC) tasks. RGB means color available on all points of the point clouds. In parentheses for SS, we show only the number of classes evaluated (the annotation can have more classes).
| Scene | Type | Dataset (Year) | World | # Points | RGB | Tasks |
|-------|------|----------------|-------|----------|-----|-------|
| | | | | | | SS | IS | SC |
| Indoor | Mapping | SUN3D [8] (2013) | Real | 8 M | Yes | ✓ (11) | ✓ |
| | | SceneNet [9] (2015) | Synthetic | - | Yes | ✓ (11) | ✓ | ✓ |
| | | S3DIS [10] (2016) | Real | 696 M | Yes | ✓ (13) | ✓ | ✓ |
| | | ScanNet [11] (2017) | Real | 5581 M | Yes | ✓ (11) | ✓ | ✓ |
| | | Matterport3D [12] (2017) | Real | 24 M | Yes | ✓ (11) | ✓ | ✓ |
| Outdoor | Perception | PreSIL [13] (2019) | Synthetic | 3135 M | Yes | ✓ (12) | ✓ |
| | | SemanticKITTI [5] (2019) | Real | 4549 M | No | ✓ (25) | ✓ | ✓ |
| | | nuScenes-Lidarseg [14] (2019) | Real | 1400 M | Yes | ✓ (32) | ✓ |
| | | A2DD [15] (2020) | Real | 1238 M | Yes | ✓ (38) | ✓ |
| | | SemanticPOSS [16] (2020) | Real | 216 M | No | ✓ (14) | ✓ |
| | | SynLiDAR [17] (2021) | Synthetic | 19,482 M | No | ✓ (32) | ✓ |
| | | KITTI-CARLA [18] (2021) | Synthetic | 4500 M | Yes | ✓ (23) | ✓ |
| Outdoor | Mapping | Oakland [19] (2009) | Real | 2 M | No | ✓ (5) |
| | | Paris-rue-Madame [20] (2014) | Real | 20 M | No | ✓ (17) | ✓ |
| | | iQmulus [21] (2015) | Real | 12 M | No | ✓ (8) | ✓ |
| | | Semantic3D [7] (2017) | Real | 4009 M | Yes | ✓ (8) |
| | | Paris-Lille-3D [22] (2018) | Real | 143 M | No | ✓ (9) | ✓ |
| | | SynthCity [23] (2019) | Synthetic | 368 M | Yes | ✓ (9) |
| | | Toronto-3D [6] (2020) | Real | 78 M | Yes | ✓ (8) |
| | | TUM-MLS-2016 [24] (2020) | Real | 41 M | No | ✓ (8) |
| | | Paris-CARLA-3D (2021) | Synthetic+Real | 700 + 60 M | Yes | ✓ (23) | ✓ | ✓ |
3. Dataset Construction
This dataset is divided into two parts: a first set of real point clouds (60 M points) produced by a LiDAR and camera mobile system, and a second synthetic set produced by the open source CARLA simulator. Images of the different point clouds and annotations are available in Appendix B.
3.1. Paris (Real Data)
To create the Paris-CARLA-3D (PC3D) dataset, we developed a prototype mobile mapping system equipped with a LiDAR (Velodyne HDL32) tilted at 45° to the horizon and a 360° poly-dioptic camera Ladybug5 (composed of 6 cameras). Figure 1 shows the rear of the vehicle with the platform containing the various sensors.
**Figure 1.** Prototype acquisition system used to create the PC3D dataset in the city of Paris. Sensors: Velodyne HDL32 LiDAR, Ladybug5 360° camera, Photonfocus MV1 16-band VIR and 25-band NIR hyperspectral cameras (hyperspectral data are not available in this dataset; they cannot be used in mobile mapping due to the limited exposure time).
The acquisition was made on a part of Saint-Michel Avenue and Soufflot Street in Paris (a very dense urban area with many static and dynamic objects, presenting challenges for 3D scene understanding).
Unlike autonomous vehicle platforms such as KITTI [25] or nuScenes [14], the LiDAR is positioned at the rear and is tilted to allow scanning of the entire environment, thus allowing the buildings and the roads to be fully mapped.
To create the dense point clouds, we aggregated the LiDAR scans using a precise SLAM LiDAR based on IMLS-SLAM [26]. IMLS-SLAM only uses LiDAR data for the construction
of the dataset. However, our platform is equipped with a high-precision IMU (LANDINS iXblue) and a GPS RTK. However, in a very dense environment (with tall buildings), an IMU + GPS-based localization (even with post-processing) achieves lower performance than a good LiDAR odometry (thanks to the buildings). The important hyperparameters of IMLS-SLAM used for Paris-CARLA are: $n = 30$ scans, $s = 600$ keypoints/scan, $r = 0.50 \text{ m}$ for neighbor search (explanations of these parameters are given in [26]). The drift of the IMLS-SLAM odometry is less than 0.40% with no failure case (failure = no convergence of the algorithm). The quality of the odometry makes it possible to consider this localization as “ground truth”.
The 360° camera was synchronized and calibrated with the LiDAR. The 3D data were colored by projecting on the image (with a timestamp as close as possible to the LiDAR timestamp) each 3D point of the LiDAR.
The final data were split according to the timestamp of points in six files (in binary ply format) with 10 M points in each file. Each point has many attributes stored: $x$, $y$, $z$, $x_{\text{lidar\_position}}$, $y_{\text{lidar\_position}}$, $z_{\text{lidar\_position}}$, intensity, timestamp, scan_index, scan_angle, vertical_laser_angle, laser_index, red, green, blue, semantic, instance.
For the data annotation, this was done entirely manually with 3 people involved in 3 phases. In phase 1, the dataset was divided into two parts, with one person annotating each part (approximately 100 hours of labeling per person). In phase 2, a verification of the annotations was performed by the other person on the part that he did not annotate with feedback and corrections. In phase 3, a third person outside the annotation carried out the verification of the labels on the entire dataset and a consistency check with the annotation in CARLA. The software used for annotation and checks was CloudCompare. The total time in human effort was approximately 300 h to obtain very high quality, as visible in Figure 2. The annotation of the data consisted of adding the semantic information (23 classes) and instance information for the vehicle class. The classes are the same as those defined in the CARLA simulator, making it possible to test transfer methods from synthetic to real data.
**Figure 2.** Paris-CARLA-3D dataset: (left) Paris point clouds with color information on LiDAR points; (right) manual semantic annotation of the LiDAR points (using the same tags from the CARLA simulator). We can see the large number of details in the manual annotation.
### 3.2. CARLA (Synthetic Data)
The open source CARLA simulator [27] allows for the simulation of the LiDAR and camera sensors in virtual outdoor environments. Starting from our mobile system (with Velodyne HDL32 and Ladybug5 360° camera), we created a virtual vehicle with the same sensors positioned in the same way as on our real platform. We then launched simulations to generate point clouds in the seven maps of CARLA v0.9.10 (called “Town01” to “Town07”). We finally assembled the scans using the ground truth trajectory and then kept one point cloud with 100 million points per town.
The 3D data were colored by projecting on the image (with a timestamp as close as possible to the LiDAR timestamp) each 3D point of the LiDAR. We used the same colorization process used with the real data from Paris.
The final data were stored in seven files (in binary ply format) with 100 M points in each file (one file = one town = one map in CARLA). We kept the following attributes per point: $x, y, z, x\_lidar\_position, y\_lidar\_position, z\_lidar\_position, timestamp, scan\_index, cos\_angle\_lidar\_surface, red, green, blue, semantic, instance, semantic\_image$.
The annotation of CARLA data was automatic, thanks to the simulator with semantic information (23 classes) and instances (for the vehicle and pedestrian classes). We also kept during the colorization process the semantic information available in images in the attribute semantic_image.
### 3.3. Interest in Having Both Synthetic and Real Data
One of the interests of the Paris-CARLA-3D dataset is to have both synthetic and real data. The synthetic data are built with a virtual platform as close as possible to the real platform, allowing us to reproduce certain classic acquisition system issues (such as the difference in point of view of LiDAR and cameras sensors, creating color artifacts on the point cloud). Synthetic data are relatively easy to produce in large quantities (here 700 M points) and with ground truth without additional work for various 3D vision tasks such as classes or instances. It is thus of increasing interest to develop new methods on synthetic data but there is no evidence that they work on real data. With Paris-CARLA-3D and therefore with particular attention to having the same annotations between synthetic and real data, a method can be learned on synthetic data and tested on real data (which we will do in Section 5.2.6). However, we will see that the results remain limited. An interesting and promising approach will be to learn on synthetic data and to develop methods of performing unsupervised adaptation on real data. In this way, the methods will be able to learn from the large amount of data available in synthetic and, even better, from classes or objects that do not frequently meet in reality.
### 4. Dataset Properties
Paris-CARLA-3D has a linear distance of 550 m in Paris and approximately 5.8 km in CARLA (the same order of magnitude as the number of points ($\times 10$) between synthetic and real). For the real part, this represents three streets in the center of Paris. The area coverage is not large but the number and variety of urban objects, pedestrian movements, and vehicles is important: it is precisely this type of dense urban environment that is challenging to analyze.
#### 4.1. Statistics of Classes
Paris-CARLA-3D is split into seven point clouds for the synthetic CARLA data, Town1 ($T_1$) to Town7 ($T_7$), and six point clouds for the real data of Paris, Soufflot0 ($S_0$) to Soufflot5 ($S_5$).
For CARLA data, cities can be divided into two groups: urban ($T_1, T_2, T_3,$ and $T_5$) and rural ($T_4, T_6, T_7$).
For the Paris data, the point clouds can be divided into two groups: those near the Luxembourg Garden with vegetation and wide roads ($S_0$ and $S_1$), and those in a more dense urban configuration with buildings on both sides ($S_2, S_3, S_4$ and $S_5$).
The detailed distribution of the classes is presented in Appendix A.
#### 4.2. Color
The point clouds are all colored (RGB information per point coming from cameras synchronized with the LiDAR), making it possible to test methods using geometric and/or appearance modalities.
4.3. Split for Training
For the different tasks presented in this article, according to the distribution of the classes, we chose to split the dataset into the following Train/Val/Test sets:
- Training data: $S_1$, $S_2$ (Paris); $T_2$, $T_3$, $T_4$, $T_5$ (CARLA);
- Validation data: $S_4$, $S_5$ (Paris); $T_6$ (CARLA);
- Test data: $S_0$, $S_3$ (Paris); $T_1$, $T_7$ (CARLA).
4.4. Transfer Learning
Paris-CARLA-3D is the first mapping dataset that is based on both synthetic and real data (with the same “platform” and the same data annotation). Indeed, simulators are becoming more and more reliable, and the fact of being able to transfer a method from a synthetic dataset created by a simulator to a real dataset is a line of research that could be important in the future.
We will now describe three 3D vision tasks using this new Paris-CARLA-3D dataset.
5. Semantic Segmentation (SS) Task
Semantic segmentation of point clouds is a task of increasing interest over the last several years [4,28,31]. This is an important step in the analysis of dense data from mobile LiDAR mapping systems. In Paris-CARLA-3D, the points are annotated point-wise with 23 classes whose tags are those defined in the CARLA simulator [27]. Figure 2 shows an example of semantic annotation in the Paris data.
5.1. Task Protocol
We introduce the task protocol to perform semantic segmentation in our dataset, allowing future work to build on the initial results presented here. We have many different objects belonging to the same class, as it the case in towns in the real world. This increases the complexity of the semantic segmentation task.
The evaluation of the performance in semantic segmentation tasks relies on True Positives (TP), False Positives (FP), True Negatives (TN), and False Negatives (FN) for each class $c$. These values are used to calculate the following metrics by class $c$: precision $P_c$, recall $R_c$, and Intersection over Union $IoU_c$. To describe the performance of methods, we usually report mean IoU as $mIoU$ (Equation (1)) and Overall Accuracy as $OA$.
$$mIoU = \frac{1}{C} \sum_{c=1}^{C} \frac{TP_c}{TP_c + FN_c + FP_c}$$ \hspace{1cm} (1)
where $C$ is the number of classes.
5.2. Experiments: Setting a Baseline
In this section, we present experiments performed under different configurations in order to demonstrate the relevance and high complexity of PC3D. We provide two baselines for all experiments with PointNet++ [29] and KPConv [30] architectures, two models widely used in semantic segmentation and which have demonstrated good performance on different datasets [4]. A recent survey with a detailed explanation of the different approaches to performing semantic segmentation on point clouds from urban scenes can be found at [28,31].
One of the challenges of dense outdoor point clouds is that they cannot be kept in memory, due to the high number of points. In both baselines, we used a subsampling strategy based on sphere selection. The spheres were selected using a weighted random, with the class rates of the dataset as probability distributions. This technique permits us to choose spheres centered in less populated classes. We evaluated different radius spheres ($r = 2, 5, 10, 20\text{m}$) and we
evidenced that using $r = 10 \text{ m}$ was a good compromise between computational cost and performance. On the one hand, small spheres are fast to process but provide poor information about the environment. On the other hand, large spheres provide richer information about the environment but are too expensive to process.
5.2.1. Baseline Parameters
The first baseline is based on the Pointnet++ architecture, commonly used in deep learning applications. We selected the architecture provided by the authors [29]. It is composed of three abstraction layers as the feature extractor and three MLP as the last part of the model. The number of points and neighborhood radius by layer were taken from the PointNet++ authors for outdoor and dense environments using MSG passing.
The second baseline is based on the KPConv architecture. We selected the KP-FCNN architecture provided by the authors for outdoor scenes [30]. It is composed of a five-layer network, where each layer contains two convolutional blocks, as originally proposed by the ResNet authors [32]. We used $d l_0 = 6 \text{ cm}$, inspired by the value used by the authors for the Semantic3D dataset.
5.2.2. Implementation Details
We fixed similar training parameters between both baselines (Pointnet++ [29] and KPConv [30]) in order to compare their performance. As pre-processing, point clouds are sub-sampled on a grid, keeping one point per voxel (voxel size of 6 cm). Models learn, validate, and test with these data. Then, when testing, we perform inference with the under-sampled point clouds and then give the labels in “full resolution” with a KNN of the probabilities (not the labels). Spheres were computed in pre-processing (before the training stage) in order to reduce the computational cost. During training, we selected the spheres by class (class of the center point of the sphere) so that the network considered all the classes at each epoch, which greatly reduces the problem of class imbalance of the dataset. At each epoch, we took one point cloud from the dataset ($T_i$ for CARLA and $S_i$ for Paris) and set the number of spheres seen in this point cloud to 100.
Two features were included as input: RGB color information and height of points ($z$). In order to prevent overfitting, we included geometric data augmentation techniques: elastic distortion, random Gaussian noise with $\sigma = 0.1 \text{ m}$ and clip at 0.05 m, random rotations around $z$, anisotropic random scale between 0.8 and 1.2, and random symmetry around the $x$ and $y$ axes. We included the following transformations to prevent overfitting due to color information: chromatic jitter with $\sigma = 0.05$, and random dropout of RGB features with a probability of 20%.
For training, we selected the loss function as the sum of Cross Entropy and Power Jaccard with $p = 2$ [33]. We used a patience of 50 epochs (no progress in the validation set) and the optimizer ADAM with a default learning rate of 0.001. Both experiments were implemented using the Torch Points3D library [34] using a GPU NVIDIA Titan X with 12Go RAM.
Parameters presented in this section were chosen from a set of experiments varying the loss function (Cross Entropy, Focal Loss, Jaccard, and Power Jaccard) and input features (RGB and $z$ coordinate or only $z$ coordinate or only RGB or only 1 as input feature). The best results were obtained with the reported parameters.
5.2.3. Quantitative Results
Prediction of test point clouds was performed by using a sphere-based approach using a regular grid and maximum voting scheme. In this case, the spheres’ centers were calculated to keep the intersections of spheres at 1/3 of their radius ($r = 10 \text{ m}$ as done during the training),
We report the obtained results in Table 2. We obtained an overall $13.9\%$ mIoU for PointNet++ and $37.5\%$ mIoU for KPConv. This remains low for state-of-the-art architectures. This shows the difficulty and the wide variety of classes present in this Paris-CARLA-3D dataset. We can also see poorer results on synthetic data due to the greater variety of objects between CARLA cities, while, for the real data, the test data are very close to the training data.
**Table 2.** Results in semantic segmentation task using PointNet++ and KPConv architectures on our dataset, Paris-CARLA-3D. Results are mIoU in %. For $S_0$ and $S_3$, training set is $S_1$, $S_2$. For $T_1$ and $T_7$, training set is $T_2$, $T_3$, $T_4$ and $T_5$. Overall mIoU is the mean IoU on the whole test sets (real and synthetic).
| Model | Paris | CARLA | Overall |
|-------------|-------|-------|---------|
| | $S_0$ | $S_3$ | $T_1$ | $T_7$ | mIoU |
| PointNet++ [29] | 13.9 | 25.8 | 4.0 | 12.0 | 13.9 |
| KPConv [30] | 45.2 | 62.9 | 16.7 | 25.3 | 37.5 |
### 5.2.4. Qualitative Results
Semantic segmentation of point clouds is better on Paris than on CARLA in all evaluated scenarios. This is an expected behavior because class variability and scene configurations are much more complex in the synthetic dataset. By way of an example, Figures 3–6 display the predicted labels and ground truth from the test sets of Paris and CARLA data. These images were obtained from the KPConv architecture.
From the qualitative results of semantic segmentation, it is evidenced the complexity of our proposed dataset. In the case of Paris data, color information is discriminant enough to separate sidewalks, roads, and road-lines. This is an expected behavior because the point clouds were from the same town and were acquired the same day. However, in CARLA point clouds, color information in ground-like classes changed between different towns. Additionally, in some towns, such as $T_2$, we included rain during simulations, visible in the color of the road. This characteristic makes the learning stage even more difficult.
*Figure 3.* Left, prediction in $S_0$ test set of Paris data using KPConv model. Right, ground truth.
5.2.5. Influence of Color
We studied the influence of color information during training in the PC3D dataset. In Table 3, we report the obtained results on the test set of semantic segmentation using the KPConv architecture without RGB features. The rest of the training parameters were the same as in the previous experiment. We can see that even if the colorization of the point cloud can create artifacts during the projection step (from the difference in point of view between the LiDAR sensor and the cameras or from the presence of moving objects), the use of the color modality in addition to geometry clearly improved the segmentation results.
Table 3. Results in semantic segmentation task using KPConv [30] architecture on our PC3D dataset with and without RGB colors on LiDAR points. Results are mIoU in %. For $S_0$ and $S_3$, training set is $S_1$, $S_2$. For $T_1$ and $T_7$, training set is $T_2$, $T_3$, $T_4$ and $T_5$. Overall mIoU is the mean IoU on the whole test sets (real and synthetic).
| Model | Paris | CARLA | Overall |
|------------------------|-------|-------|---------|
| | $S_0$ | $S_3$ | $T_1$ | $T_7$ | mIoU |
| KPConv w/o color | 39.4 | 41.5 | 35.3 | 17.0 | 33.3 |
| KPConv with color | 45.2 | 62.9 | 16.7 | 25.3 | 37.5 |
5.2.6. Transfer Learning
Transfer learning (TL) was performed with the aim of demonstrating the use of synthetic point clouds generated by CARLA to perform semantic segmentation on real-world point clouds. We selected the model with the best performance in the point clouds of the test set from CARLA data, i.e., taking the KPConv architecture (pre-trained on urban towns $T_2$, $T_3$, and $T_5$ since real data are urban data). Then, we took it as a pre-training stage with Paris data.
We carried out different types of experiments as follows: (1) Predict test point clouds of Paris data using the best model obtained in urban towns from CARLA without training in Paris data (\textit{no fine-tuning}); (2) Freeze the whole model except the last layer; (3) Freeze the feature extractor of the network; (4) No frozen parameters; (5) Training a model from scratch using only Paris training data. These scenarios were selected to evaluate the relevance of learned features in CARLA and their capacity to discriminate classes in Paris data. Results are presented in Table 4. The best results using TL were obtained in scenario 4: the model pre-trained in CARLA without frozen parameters during fine-tuning on Paris data. However, scenario 5 (i.e., \textit{no transfer}) ultimately showed superior results.
Table 4. Results in transfer learning for the semantic segmentation task using KPConv architecture on our PC3D dataset. Results are mIoU in %. Pre-training was done using urban towns from CARLA ($T_2$, $T_3$, and $T_5$). \textit{No fine-tuning}: the model was pre-trained on CARLA data without fine-tuning on Paris data. \textit{No frozen parameters}: the model was pre-trained on CARLA without frozen parameters during fine-tuning on Paris data. \textit{No transfer}: the model was trained only on the Paris training set.
| Transfer Learning Scenarios | Paris | Overall |
|--------------------------------------|-------|---------|
| | $S_0$ | $S_3$ | mIoU |
| \textit{No fine-tuning} | 20.6 | 17.7 | 19.2 |
| \textit{Freeze except last layer} | 24.1 | 31.0 | 27.6 |
| \textit{Freeze feature extractor} | 29.0 | 41.3 | 35.2 |
| \textit{No frozen parameters} | 42.8 | 50.0 | 46.4 |
| \textit{No transfer} | 45.2 | 62.9 | 51.7 |
From Table 4, a first finding is that the current model trained on synthetic data cannot be directly applied to real-world data (the \textit{no fine-tuning} row). This is an expected result, because objects and class distributions in CARLA towns are different from real-world ones.
We may also observe that the performance of \textit{no frozen parameters} is lower than that of \textit{no transfer}: pre-training the network on the synthetic and fine-tuning on the real data decreases the performance compared to training directly on the real dataset. Alternatives are now introduced in order to close the existing gap between synthetic and real data, such as domain adaptation methods.
6. Instance Segmentation (IS) Task
The ability to detect instances in dense point clouds of outdoor environments can be useful for cities for urban space management (for example, to have an estimate of the occupancy of parking spaces through fast mobile mapping) or for building the prior map layer for HD maps in autonomous driving.
We provide instance annotations as follows: in Paris data, instances of *vehicle* class were manually point-wise annotated; in CARLA data, *vehicle* and *pedestrian* instances were automatically obtained by the CARLA simulator. Figure 7 illustrates the instance annotation of vehicles in $S_3$ Paris data. We found that pedestrians in Paris data were too close to each other to be recognized as separate instances (Figure 8).
6.1. Task Protocol
We introduce the task protocol to evaluate the instance segmentation methods in our dataset.
Evaluation of the performance in the instance segmentation task is different to that in the semantic segmentation task. Inspired by [35] on *things*, we report Segment Matching (SM) and Panoptic Quality (PQ), with $IoU = 0.5$ as the threshold to determine well-predicted instances. We also report the mean IoU, based on IoU by instance $i$ ($IoU_i$), calculated as follows:
$$IoU_i = \begin{cases}
IoU & IoU \geq 0.5 \\
0, & \text{otherwise}
\end{cases}$$
(2)
A common issue in LiDAR scanning is the presence of far objects that are unrecognizable due to the small number of points. In the semantic segmentation task, such objects do not affect evaluation metrics, due to their low rate. However, in the instance segmentation task, they may considerably affect the evaluation of the algorithms. In order to provide an evaluation metric having relevance, metrics are computed only with instances closer than $d = 20$ m to the mobile system.
Figure 8. Pedestrians in Paris data: we can see inside the red circle the difficulty of differentiating the instances of pedestrians.
6.2. Experiments: Setting a Baseline
In this section, we present a baseline for the instance segmentation task and its evaluation with the introduced metrics. We propose a hybrid approach, combining deep learning and mathematical morphology, to predict instance labels. We report the obtained results for each point cloud of the test sets.
As presented by [36], urban objects can be classified using geometrical and contextual features. In our case, we start from already predicted things classes (vehicles and pedestrians, in this case) with the best model introduced in Section 5.2.3, i.e., using the KPConv architecture. Then, instances are detected by using Bird’s Eye View (BEV) projections and mathematical morphology.
We computed the following BEV projections (with a pixel resolution of 10 cm) for each class:
- Occupancy image ($I_b$)—binary image with presence or not of things class;
- Elevation image ($I_h$)—stores the maximal elevation among all projected points on the same pixel;
- Accumulation image ($I_{acc}$)—stores the number of points projected on the same pixel.
At this point, three BEV projections were computed for each class: occupancy ($I_b$), elevation ($I_h$), and accumulation ($I_{acc}$). In the following sections, we describe the proposed algorithms to separate the vehicle and pedestrian instances. We highlight that these methods rely on the labels predicted in the semantic segmentation task (Section 5.2.1) using the KPConv architecture.
6.2.1. Vehicles in Paris and CARLA Data
One of the main challenges of this class is the high variability due to the different types of objects that it contains: cars, motorbikes, bikes, and scooters. Additionally, it also includes moving and parked vehicles, which makes it challenging to determine object boundaries.
From BEV projections, vehicle detection is performed as follows:
1. Discard the predicted points of the vehicle if the $z$ coordinate is greater than 4 m in $I_b$;
2. Connect close components with two consecutive morphological dilations of $I_b$ by a square of 3-pixel size;
3. Fill holes smaller than ten pixels inside each connected component; this is performed with a morphological area closing;
4. Discard instances with less than 500 points in $I_{acc}$;
5. Discard instances not surrounded by ground-like classes in $I_b$.
6.2.2. Pedestrians in CARLA Data
As mentioned earlier for vehicles, the pedestrian class may contain moving objects. This implies that object boundaries are not always well-defined.
We followed a similar approach as described previously for vehicle instances based on the semantic segmentation results and BEV projections. We first discarded pedestrian points if the $z$ coordinate was greater than 3 m in $I_b$, and then connected close components and filled small holes, as described for the vehicle class; we then discarded instances with less than 100 points in $I_{att}$ and, finally, discarded instances not surrounded by ground-like classes in $I_b$.
6.2.3. Quantitative Results
For vehicles and pedestrians, instance labels of BEV images were back-projected to 3D data in order to provide point-wise predictions. In Table 5, we report the obtained results in instance segmentation using the proposed approach. These results are the first of a method allowing instance segmentation on dense points clouds from 3D mapping, and we hope that it will inspire future methods.
**Table 5.** Results on test sets of Paris-CARLA-3D for the instance segmentation task. SM: Segment Matching. PQ: Panoptic Quality. *mIoU*: mean IoU. All results are in %.
| | # Instances | SM | PQ | mIoU |
|----------------------|-------------|------|------|------|
| $S_0$—Vehicles | 10 | 90.0 | 70.9 | 81.6 |
| $S_3$—Vehicles | 86 | 32.6 | 40.5 | 28.0 |
| $T_1$—Vehicles | 41 | 17.1 | 20.4 | 14.2 |
| $T_7$—Vehicles | 27 | 74.1 | 72.6 | 61.2 |
| $T_1$—Pedestrians | 49 | 18.4 | 17.0 | 13.9 |
| $T_7$—Pedestrians | 3 | 100.0| 9.0 | 66.0 |
| **Mean** | 216 | 55.3 | 38.4 | 44.2 |
6.2.4. Qualitative Results
In our proposed baseline, instances are separated using BEV projections and geometrical features based on semantic segmentation labels. In some cases, as presented in Figure 9, 2D projections can merge objects in the same instance label if they are too close.
Close objects and instance intersections are challenging for the instance segmentation task. The former can be tackled by using approaches based directly on 3D data. For the latter, we provide timestamp information by point in each PLY file. The availability of this feature may be useful for future approaches.
Semantic segmentation and instance segmentation could be unified in one task, Panoptic Segmentation (PS); this is a task that has recently emerged in the context of scene understanding [35]. We leave this for future works.
7. Scene Completion (SC) Task
The scene completion (SC) task consists of predicting the missing parts of a scene (which can be in the form of a depth image, a point cloud, or a mesh). This is an important problem in 3D mapping due to holes from occlusions and holes after the removal of unwanted objects, such as vehicles or pedestrians (see Figure 10). It can be solved in the form of 3D reconstruction [37], scan completion [38], or, more specifically, methods to fill holes in a 3D model [39].
Semantic scene completion (SSC) is the task of filling the geometry as well as predicting the semantics of the points, with the aim that the two tasks carried out simultaneously benefit each other (survey of SSC in [40]). It is also possible to jointly predict the geometry and color during scene completion, as in SPSC [41]. For now, we only evaluate the geometry prediction, as we leave the prediction of simultaneous geometry, semantics, and color for future work.
The vast majority of the existing methods of scene completion (SC) work focus on small indoor scenes, while, in our case, we have a dense outdoor environment with our Paris-CARLA-3D dataset. Completing outdoor LiDAR point clouds is more challenging than data obtained from RGB-D images acquired in indoor environments, due to the sparsity of points obtained using LiDAR sensors. Moreover, larger occluded areas are present in outdoor scenes, caused by static and temporary foreground objects, such as trees, parked vehicles, bus stops, and benches. SemanticKITTI [7] is a dataset conducting scene completion (SC) and semantic scene completion (SSC) on LiDAR data, but they use only one single scan as input, with a target (ground truth) being the accumulation of all LiDAR scans. In our dataset, we seek to complete the “holes” from the accumulation of all LiDAR scans.
### 7.1. Task Protocol
We introduce the task protocol to perform scene completion on PC3D. Our goal is to predict a more complete point cloud. First, we extract random small chunks from the original point cloud that we transform into a discretized regular 3D grid representation containing the Truncated Signed Distance Function (TSDF) values, which expresses the distance from each voxel to the surface represented by the point cloud. Then, we use a neural network to predict a new TSDF and finally, we extract a point cloud from that TSDF that should be more complete that the input. We used as TSDF the classical signed point-to-plane distance to the closest point of the point cloud as in [42]. Our original point cloud is already incomplete due to the occlusions caused by static objects and the sparsity of the scans. To overcome this incompleteness, we make the point cloud more incomplete by removing 90% of the points (by `scan_index`), and use the incomplete data to compute the TSDF input of the neural network. Moreover, we use the original point cloud containing all of the points as the ground truth and compute the target TSDF. Our approach is inspired by the work done by SG-NN [43] and we do this in order to learn to complete the scene in a self-supervised way. Removing
points according to their `scan_index` allows us to create larger “holes” than by removing points at random. For the chunks, we used a grid size of $128 \times 128 \times 128$ and a voxel size of 5 cm (compared to the voxel size of 2 cm used for indoor scenes in SG-NN [43]). Dynamic objects, pedestrians, vehicles, and unlabeled points are first removed from the data using the ground truth semantic information.
To evaluate the completed scene, we use the Chamfer Distance (CD) between the original $P_1$ and predicted $P_2$ point clouds:
$$CD = \frac{1}{|P_1|} \sum_{x \in P_1} \min_{y \in P_2} ||x - y||_2 + \frac{1}{|P_2|} \sum_{y \in P_2} \min_{x \in P_1} ||y - x||_2$$
In a self-supervised context, not having the ground truth and having the predicted point cloud more complete than the target places some limitations on using the CD metric. For this, we introduce a mask that needs to be used to compute the CD only on the points that were originally available. The mask is simply a binary occupancy grid on the original point cloud.
We extract the random chunks as explained previously for Paris (1000 chunks per point cloud) and CARLA (3000 chunks per town) and provide them along with the dataset for future research on scene completion.
### 7.2. Experiments: Setting a Baseline
In this section, we present a baseline for scene completion using the SG-NN network [43] to predict the missing points (SG-NN predicts only the geometry and not the semantics nor the color). In SG-NN, they use volumetric fusion [44] to compute a TSDF from range images, which cannot be used on LiDAR point clouds. For this, we compute a different TSDF from the point clouds.
Using the cropped chunks, we estimate the normal at each point using PCA as in [42] with $n = 30$ neighbors and obtain a consistent orientation using the LiDAR sensor position provided with the points. Using the normal information, we use the SDF introduced in [42], due to its simplicity and the ease of vectorizing, which reduces the data generation complexity. After obtaining the SDF volumetric representation, we convert the values to voxel units and truncate the function at three voxels, which results in a 3D sparse TSDF volumetric representation that is similar to the input of SG-NN [43]. For the target, we use all the points available in the original point cloud, and for the input, we keep 10% of points (by the scan indices) in each chunk, in order to obtain the “incomplete” point cloud representation.
The resulting sparse tensors are then used for training and the network is trained for 20 epochs with ADAM and a learning rate of 0.001. The loss is a combination of Binary Cross Entropy (BCE) on occupancy and L1 Loss on TSDF prediction. The training was carried out on a GPU NVIDIA RTX 2070 SUPER with 8 Go RAM.
In order to increase the number of samples and prevent overfitting, we perform data augmentation on the extracted chunks: random rotation around $z$, random scaling between 0.8 and 1.2, and local noise addition with $\sigma = 0.05$.
Finally, we extract a point cloud from the TSDF predicted by the network following an approach that is similar to the marching cubes algorithm [45], where we interpolate 1 point per voxel. Finally, we compute the CD (see Equation (3)) between the point cloud extracted from the predicted TSDF and the original point cloud (without dynamic objects) and use the introduced mask to limit the CD computation to known regions (voxels where we have points in the original point cloud).
#### 7.2.1. Quantitative Results
Table 6 shows the results of our experiment on Paris-CARLA-3D data. We can see that the network makes it possible to create point clouds whose distance to the original cloud is clearly smaller.
For further metric evaluation, we provide the mean IoU and $\ell_1$ distance between the target and predicted TSDF values on the 2000 and 6000 chunks for Paris and CARLA test sets, respectively. The results are also reported in Table 6.
**Table 6.** Scene completion results on Paris-CARLA-3D. CD is the mean Chamfer Distance over 2000 chunks for the Paris test set ($S_0$ and $S_3$) and 6000 chunks for the CARLA test set ($T_1$ and $T_7$). $\ell_1$ is the mean $\ell_1$ distance between predicted and target TSDF measured in voxel units for 5 cm voxels and $mIoU$ is the mean Intersection over Union of TSDF occupancy. Both metrics are computed on known voxel areas. $ori$ means original point cloud, $in$ is input point cloud (10% of the original), $pred$ is the predicted point cloud (computed from predicted TSDF).
| Test Set | $CD_{in \leftrightarrow ori}$ | $CD_{pred \leftrightarrow ori}$ | $\ell_1_{pred \leftrightarrow tar}$ | $mIoU_{pred \leftrightarrow tar}$ |
|-------------------|-------------------------------|----------------------------------|-------------------------------------|-----------------------------------|
| $S_0$ and $S_3$ (Paris) | 16.6 cm | 10.7 cm | 0.40 | 85.3% |
| $T_1$ and $T_7$ (CARLA) | 13.3 cm | 10.2 cm | 0.49 | 80.3% |
### 7.2.2. Qualitative Results
Figure 11 shows the scene completion result on one point cloud chunk from the CARLA $T_1$ test set. Figure 12 shows the scene completion result on one chunk from the Paris $S_0$ test set. We can see that the network manages to produce point clouds quite close visually to the original, despite having as input a sparse point cloud with only 10% of the points of the original.
  
**Figure 11.** Scene completion task for one chunk point cloud in Town1 ($T_1$) of CARLA test data (training on CARLA data).
  
**Figure 12.** Scene completion task for one chunk point cloud in Soufflot0 ($S_0$) of Paris test data (training on Paris data).
7.2.3. Transfer Learning with Scene Completion
Using both synthetic and real data of Paris-CARLA-3D, we tested the training of a scene completion model on CARLA synthetic data to test it on Paris data. With the objective of scene completion on real data chunks (Paris $S_0$ and $S_3$), we tested three training scenarios: (1) Training only on real data with Paris training set; (2) Training only on synthetic data with CARLA training set; (3) Pre-train on synthetic data then fine-tune on real data. The results are shown in Table 7. We can see that the Chamfer Distance (CD) is better for the model trained only on synthetic CARLA data: the network is attempting to fill a local plane in large missing regions and smoothing the rest of the geometry. This is an expected behavior, because of the handcrafted geometry present in CARLA, where planar geometric features are predominantly present. Point clouds of real outdoor scenes are not easily obtained and the need to complete missing geometry is becoming increasingly important in vision-related tasks; here, we can see the value of leveraging the large amount of synthetic data present in CARLA to pre-train the network and fine-tune it on other smaller datasets such as Paris when not enough data are available. As we can see in Table 7, pre-training on CARLA and then fine-tuning on Paris allows us to obtain the best predicted TSDF ($\ell_1$ and $mIoU$) and point cloud (Chamfer Distance).
**Table 7.** Results of transfer learning for the scene completion task. CD is the mean Chamfer Distance between point clouds. $\ell_1$ is the mean $\ell_1$ distance between predicted and target TSDF measured in voxel units for 5 cm voxels and $mIoU$ is the mean Intersection over Union of TSDF occupancy. The mean is over 2000 chunks for Paris data. $ori$ means original point cloud, $in$ is input point cloud (10% of the original), $pred$ for CD is the predicted point cloud (computed from predicted TSDF), $pred$ for IoU, $\ell_1$ is the predicted TSDF, and $tar$ is the target TSDF.
| Test Set: $S_0$ and $S_3$ Paris data | $CD_{in \leftrightarrow ori}$ | $CD_{pred \leftrightarrow ori}$ | $\ell_1_{pred \leftrightarrow tar}$ | $mIoU_{pred \leftrightarrow tar}$ |
|--------------------------------------|-----------------------------|-------------------------------|-------------------------------|-------------------------------|
| Trained only on Paris | 16.6 cm | 10.7 cm | 0.40 | 85.3% |
| Trained only on CARLA | 16.6 cm | 8.0 cm | 0.48 | 84.0% |
| Pre-trained CARLA, fine-tuned on Paris | 16.6 cm | 7.5 cm | 0.35 | 88.7% |
8. Conclusions
We presented a new dataset called Paris-CARLA-3D. This dataset is made up of both synthetic data (700M points) and real data (60M points) from the same LiDAR and camera mobile platform. Based on this dataset, we presented three classical tasks in 3D computer vision (semantic segmentation, instance segmentation, and scene completion) with their evaluation protocol as well as a baseline, which will serve as starting points for future work using this dataset.
On semantic segmentation (the most common task in 3D vision), we tested two state-of-the-art methods, PointNet++ and KPConv, and showed that KPConv obtains the best results (37.5% overall mIoU). We also presented a first instance detection method on dense point clouds from mapping systems (with vehicle and pedestrian instances for synthetic data and vehicle instances for real data). For the scene completion task, we were able to adapt a method used for indoor data with RGB-D sensors to outdoor LiDAR data. Even with a simple formulation of the surface, the network manages to learn complex geometries, and, moreover, by using the synthetic data as pre-training, the method obtains better results on the real data.
**Author Contributions:** Methodology and writing J.-E D.; data annotation, methodology and writing D. D. and J. P. R.; supervision and reviews S. V-F., B. M., F. G.
**Funding:** This research was partially funded by REPLICA FUI 24 project.
Data Availability Statement: The dataset is available at the following URL: https://npm3d.fr/paris-carla-3d, accessed on 18 November 2021.
Conflicts of Interest: The authors declare no conflicts of interest.
Appendix A. Complementary on Paris-CARLA-3D Dataset
Appendix A.1. Class Statistics
From CARLA data, as occurs in real-world scenarios, not every class is present in every town: eleven classes are present in all towns (road, building, sidewalk, vegetation, vehicles, road-line, fence, pole, static, dynamic, traffic sign), three classes in six towns (unlabeled, wall, pedestrian), three classes in five towns (terrain, guard-rail, ground), two classes in four towns (bridge, other), one class in three towns (water), and two classes in two towns (traffic light, rail-track).
In Paris data, class variability is smaller than in CARLA data. This is a desired (and expected) feature of these point clouds because they correspond to the same town. However, as is the case with CARLA towns, not every class is present in every point cloud: twelve classes are present in all point clouds (road, building, sidewalk, road-line, vehicles, other, unlabeled, static, pole, dynamic, pedestrian, traffic sign), three classes in five point clouds (vegetation, fence, traffic light), one class in two point clouds (terrain), and seven classes in any point cloud (wall, sky, ground, bridge, rail-track, guard-rail, water).
Table A1 shows the detailed statistics of the classes in the Paris-CARLA-3D dataset.
Table A1. Class distribution in Paris-CARLA-3D dataset (in %). Columns headed by $S_i$ are Soufflot from Paris data and $T_j$ are towns from CARLA data.
| Class | Paris | CARLA |
|----------------|-------|-------|
| | $S_0$ | $S_1$ | $S_2$ | $S_3$ | $S_4$ | $S_5$ | $T_1$ | $T_2$ | $T_3$ | $T_4$ | $T_5$ | $T_6$ | $T_7$ |
| unlabeled | 0.9 | 1.5 | 3.9 | 3.2 | 1.9 | 0.9 | 5.8 | 2.9 | - | 7.6 | 0.0 | 6.4 | 1.8 |
| building | 14.9 | 18.9 | 34.2 | 36.6 | 33.1 | 32.9 | 6.8 | 22.6 | 15.3 | 4.5 | 16.1 | 2.6 | 3.3 |
| fence | 2.3 | 0.6 | 0.7 | 0.8 | - | 0.4 | 1.0 | 0.6 | 0.0 | 0.5 | 3.8 | 1.5 | 0.6 |
| other | 2.1 | 3.4 | 6.7 | 2.2 | 2.5 | 0.4 | - | - | - | - | 0.1 | 0.1 | 0.1 |
| pedestrian | 0.2 | 1.0 | 0.6 | 1.0 | 0.7 | 0.7 | 0.1 | 0.2 | 0.1 | 0.0 | - | 0.1 | 0.0 |
| pole | 0.6 | 0.9 | 0.6 | 0.8 | 0.7 | 1.1 | 0.6 | 0.6 | 4.2 | 0.8 | 0.8 | 0.4 | 0.3 |
| road-line | 3.8 | 3.7 | 2.4 | 4.1 | 3.5 | 3.4 | 0.2 | 0.2 | 2.9 | 1.6 | 2.2 | 1.3 | 1.7 |
| road | 41.0 | 49.7 | 35.0 | 37.6 | 40.6 | 27.5 | 47.8 | 37.2 | 53.1 | 52.8 | 44.7 | 58.0 | 42.8 |
| sidewalk | 10.1 | 4.2 | 7.3 | 6.7 | 11.9 | 29.4 | 22.5 | 17.5 | 10.3 | 1.7 | 10.5 | 3.1 | 0.4 |
| vegetation | 18.5 | 9.0 | 0.1 | 0.3 | 0.1 | - | 8.7 | 10.8 | 2.7 | 12.8 | 4.6 | 8.1 | 23.1 |
| vehicles | 1.3 | 1.8 | 6.5 | 6.5 | 3.3 | 3.3 | 1.6 | 3.1 | 0.9 | 0.5 | 3.1 | 4.2 | 0.9 |
| wall | - | - | - | - | - | - | 1.9 | 3.6 | 1.4 | 5.4 | 5.3 | 3.4 | - |
| traffic sign | 0.1 | 0.4 | 0.1 | 0.1 | 0.3 | 0.1 | - | 0.0 | - | 0.1 | 0.0 | 0.0 | 0.1 |
| sky | - | - | - | - | - | - | - | - | - | - | - | - | - |
| ground | - | - | - | - | - | - | - | 0.0 | 0.2 | 1.4 | 0.3 | 0.1 | - |
| bridge | - | - | - | - | - | - | 1.7 | - | - | 0.7 | 6.6 | - | - |
| rail-track | - | - | - | - | - | - | - | - | 7.6 | - | 0.5 | - | - |
| guard-rail | - | - | - | - | - | - | 0.0 | - | - | 4.3 | - | 1.2 | 0.5 |
| static | 2.6 | 2.3 | 0.3 | 0.1 | 0.7 | 1.5 | 0.1 | 0.1 | - | - | - | - | - |
| traffic light | 0.1 | 0.2 | 0.1 | 0.1 | 0.1 | - | 0.8 | 0.5 | 0.3 | 0.3 | 0.3 | - | - |
| dynamic | 0.3 | 1.6 | 1.5 | 0.2 | 0.7 | 0.0 | 0.1 | 0.1 | 0.1 | 0.3 | 0.1 | 0.1 | 0.1 |
| water | - | - | - | - | - | - | 0.4 | - | 0.0 | - | - | - | 0.6 |
| terrain | 1.4 | 0.8 | - | - | - | - | - | - | 0.9 | 4.8 | 1.1 | 9.6 | 23.8 |
# Points 60 M 700 M
Appendix A.2. Instances
The number of instances in ground truth varies over the point clouds. In the test set from Paris data, Soufflot0 ($S_1$) has 10 vehicles while Soufflot3 ($S_2$) has 86. This large difference occurs due to the presence of parked motorbikes and bikes.
With respect to CARLA data, it was observed that in urban towns such as Town1 ($T_1$), vehicle and pedestrian instances are mainly moving objects. This implies that during simulations, instances can have intersections between them, making their separation challenging.
In the CARLA simulator, the instances of the objects are given by their IDs. If a vehicle/pedestrian is seen several times, the same instance_id is used at different places. This is a problem in the evaluation capacity of detecting correctly the instances. This is why we have divided the CARLA instances using the timestamp of points: separate instances based on a timestamp gap with a threshold of 10 s for vehicles and 5 s for pedestrians.
Appendix B. Images of the Dataset
Figures A1–A6 show top-view images of the different point clouds of the Paris-CARLA-3D dataset.
(a) Point clouds with color (b) Point clouds with semantic (c) Point clouds with instances
Figure A1. Paris training set. From top to bottom: $S_1$, $S_2$ (real data).
Figure A2. Paris validation set. From top to bottom: $S_4$, $S_5$ (real data).
Figure A3. Paris test set. From top to bottom: $S_0$, $S_3$ (real data).
Figure A4. CARLA training set. From top to bottom: $T_2$, $T_3$, $T_4$, $T_5$ (synthetic data).
Figure A5. CARLA validation set. $T_6$ (synthetic data).
Figure A6. CARLA test set. From top to bottom: $T_1$, $T_7$ (synthetic data).
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Who would have believed that we would ever surpass the 100 page mark in an ordinary issue.
Well done and thank you to all the contributors.
Dennis & Jacky Whicker
SEDBERGH & DISTRICT HISTORY SOCIETY
Wednesday 4th March
Motifs, monuments & mountains,
The carved stones of prehistoric Cumbria
Dr Kate Sharpe
Wednesday 18th March
Buildings of the YDNP
Don McLellan
Saturday 21st March
AGM & Jacob’s Join
All meetings in Settlebeck High School, start at 7.30pm unless stated.
Everyone is most welcome to attend any or all of our lectures.
Chairman: Richard Cann 20771
Secretary: Margaret Cann 21878
Treasurer: Marlene Mason 20509
Member Sec: Richard Cann 20771
SOUTH LAKES SOCIETY FOR THE BLIND
Do come to our friendly
COFFEE MORNING
10.am. Wednesday 4th March
SEDBERGH URC ROOMS
Raffle; Cakes; Good quality bric-a-brac.
Display of low vision equipment (magnifiers etc.)
Zebras
OPEN AFTERNOON
Wednesday 4th March
1.15pm to 3pm
Sedbergh Methodist Schoolroom
Come along and see what Zebras Baby & Toddler Group is all about.
Refreshments served all afternoon
Everyone welcome, especially babies.
We would welcome your comments on what on what you would like to see at Zebras.
CLOSING DATES: ALL ADVERTS - 15th; ALL ARTICLES - 19th
S & D Lookaround 13 Kings Yard, Sedbergh LA10 3BJ Telephone 015396 - 20788
e-mail: email@example.com – Web Site: http://www.sedberghlookaround.org.uk
| Advert Rates Groups | 101 |
|---------------------|-----|
| Bus Time Table | 99 |
| Religious Services | 101 |
| Bed & Breakfast | 100 |
| Crossword | 98 |
| Acupuncture | 90 |
| Allegri Singers | 43 |
| Allo | 46 |
| Alpacas | 97 |
| Baby Clinic | 96 |
| Book Town | 68 |
| Charity Tea Party 1 | 97 |
| Charity Tea Party 2 | 47 |
| Children’s Party | 44 |
| Christian Aid | 88 |
| Cobweb Orchestra | 50 |
| Conservation Area | 84 |
| Cookery Days | 40 |
| Councillor Kevin | 10 |
| Councillor Ian & Peter | 86 |
| Cumbria Wildlife Trust | 74 |
| Dent Committee | 44 |
| Dent Folk Festival | 25 |
| Dent Gala | 36 |
| Dent Heritage Centre| 48 |
| Dent Methodist Chapel | 38 |
| Dentdale Over 60’s | 42 |
| Dick Woodhams | 14 |
| Digital Switch-over | 97 |
| Digital TV | 45 |
| Family Musings | 18 |
| Gala | 30 |
| Gardening | 61 |
| Getting Married | 73 |
| Great War Bibles | 24 |
| HMS Pinafore | 45 |
| Hossana 3 | 56 |
| Howgill, Can you help? | 49 |
| HS Kendal | 78 |
| HS Registrars | 32 |
| ICE | 51 |
| Italy Visit | 16 |
| Joan Baldry | 5 |
| Katie Woof | 43 |
| KL Embroiderers | 41 |
| Ladies NFU | 55 |
| London Marathon | 26 |
| Meat Matters | 29 |
| Moving On | 36 |
| MS Table Top Sale | 37 |
| Neighbourhood Forum | 80 |
| Oral Society | 33 |
| Parish Dent | 8 |
| Parish Sedbergh | 6 |
| Pinfold Caravan Park| 35 |
| Producers Market | 55 |
| Property Matters | 48 |
| Pulse Gym | 38 |
| Quiet Garden | 97 |
| River Clough | 92 |
| Sedbergh Allotments | 42 |
| Settlebeck High School | 62 |
| Shaping of Time | 97 |
| South Lakeland Blind Group | 49 |
| Slovenia Singing | 28 |
| Slovenian Singers | 82 |
| Spring Show | 49 |
| SS Girls Fund | 22 |
| SS Heritage Centre | 54 |
| SS Runners | 47 |
| St Andrew’s Church, Sedbergh | 31 |
| Tim Farron | 94 |
| Town Band | 96 |
| UKIP | 39 |
| Weather | 34 |
| WI Dentdale | 27 |
| WI Frostrow | 52 |
| WI Howgill | 23 |
| WI Killington | 20 |
| YDNP Adopt a Hedge | 96 |
| YDNP Housing | 50 |
| Zebras | 51 |
Every month, there are Children’s Birthday Vouchers to the value of £10 awarded to a Child whose name appears on the Birthday Page.
The recipient this month is:-
Thomas Thexton who is 11 years old on 3rd March
Please collect your vouchers from Sedbergh Office Services
13 Kings Yard, Main Street,
Sedbergh
which can be used in any shop in Sedbergh & Dent.
| Day | Name | Age |
|-----|-----------------|-----|
| 1 | Alisha BREWER | 8 |
| 1 | Sam OVERSBY | 11 |
| 2 | Joseph DICKIE | 10 |
| 3 | Thomas THEXTON | 11 |
| 5 | Willow ASHWORTH | 2 |
| 5 | Beatrice DEIGHTON | 4 |
| 5 | Ethan CLARK | 6 |
| 6 | Cameron HORNER | 7 |
| 7 | Melissa HARTLEY | 8 |
| 8 | Tess PRALL | 8 |
| 9 | Aaron CAPSTICK | 9 |
| 10 | Alana WILLIAMSON| 4 |
| 10 | Sam FIDDLER | 11 |
| 12 | Edward DEIGHTON | 2 |
| 12 | Kate BROOKSBANK | 8 |
| 12 | John WOOF | 11 |
| 12 | Liam BALL | 11 |
| 13 | Emily BAINES | 4 |
| 13 | Sam LABBATE | 5 |
| 14 | Kate THOMPSON | 7 |
| 16 | Kathryn LAWSON | 10 |
| 17 | Fiona HOGGARTH | 1 |
| 18 | Danny HUNTER | 4 |
| 19 | Wesley BREWER | 11 |
| 20 | Holly HAMLETT | 2 |
| 25 | Kayleigh BROWN | 11 |
| 27 | Zoe COWIN | 3 |
| 27 | Jack GARNETT | 3 |
| 27 | Jessica LABBATE | 8 |
| 29 | Callum FERREIRA | 11 |
BAKER
To Bob. Happy 90th Birthday Dad on the 13th March 2009. Have a great day. Love from Doreen & Tom, Elizabeth & Johnny, Geraldine & Richard, Robert & Janice.
BAKER
To Bob. Happy 90th Birthday Grandad and Great-Grandad for the 13th March 2009. Love from all the Grandchildren and great Grandchildren
GARNETT
Happy Birthday Laura. Love from Joyce and Georgina, Nigel, Ann-Marie and Ben.
FINCH
I would like to thank all those who sent me cards, good wishes, or enquiries, during my recent stay in Manchester Royal Infirmary. A full recovery will take some time, but all is going well, thanks to the skills, patience, and caring of all the staff there. Brian Finch
WILSON
Colin of Underknotts, Firbank would like to thank everyone who have been so kind to him during his recent illness and stay in hospital and who have continued to support him since his return home.
WINN
Rachel wishes to thank all family, friends & medical staff for their help & support during her stays in hospital and since her return home.
WOODHAMS
Richard ‘Dick’ Woodhams, who has died recently at the age of 102, was a member of the Sedbergh Branch of the Royal British Legion for many years. The Committee extends its sincere sympathy to his daughter, Mrs Bridget Hough and to her family.
WOOF
Congratulations Katie on all your recent achievements in Gymnastics. I am so proud of you. Love Nanny Woof.
LOST
Red Leather Wallet/Purse on Tuesday 17th February during the daytime on Main Street area. Reward for finder. Tel: 20280 or 21777.
FOR SALE
Belling Format Electric Slot-in Cooker (as new). Double Self Clean Oven. Also Stainless Steel Hob. Phone Sedbergh 22192.
FOR SALE
Odd rolls of Pigs Netting £20. Plastic Water Pipe Approx 25mm 15mtr £20. Plastic Drainage Pipe Approx 15mts 8” £20. Also Rockery Stone, buyer to collect, offers. Telephone 20343.
FOR SALE
Krupps Coffee Maker. Makes Coffee, Espresso, Cappuccino & other hot drinks. Boxed & unused. £25. Tel: 01539 731296 or 07929 781 377.
JOAN BALDRY RIP
My aunt Joan Baldry died on 10 February in Peterborough. She lived in Sedbergh for over 50 years.
Joan lived most of her life at Ellerthwaite and was the District Nurse for a wide area. As District nurse, in the days when home confinements were common, she was responsible for the delivery of many of the present residents of Sedbergh.
Joan was born in East Barnet, Hertfordshire. She was trained as a nurse at the Middlesex Hospital and was promoted to Sister Tutor. She and her friend Alda Rogers moved to Sussex to work as a team of District Nurses. In the early 1950’s they transferred to Sedbergh and after a brief time in the centre of the town, they moved to Ellerthwaite. Joan and Alda continued to work as a team, firstly working for West Riding, Yorkshire and after the boundary change they worked for Cumbria until their retirement.
They bred dogs (including Poodles and Labradors) and kept a succession of cats.
After Alda moved away to be nearer her family, her arthritis and other health problems, persuaded Joan that Ellerthwaite was too isolated and she moved to Mary Fell. After a couple of years my father Ralph, her brother, invited her to move to London to live with him and my mother Doris. After a couple of years the three of them moved firstly to live near my sister Alison in Hertford and 2 1/2 years ago they moved to a nursing home near my other sister in Peterborough.
Ralph died last May and Doris last month.
Joan would have been 95 on 21 March.
Keith Baldry 🐾
MUNCHEON MUSIC
SEDBERGH SCHOOL
WEDNESDAY LUNCHTIME CONCERT
at 1:15pm
Wednesday 4th March
The Queen's Hall
Admission Free
Soup and a roll provided
WOMEN’S WORLD DAY OF PRAYER
In Christ there are many members yet one body
A Service Prepared by Christian Women of Papua New Guinea
Friday 6th March
2.30pm in
St Andrew’s Church, Sedbergh
Speaker: The Rev Angela Whitaker
Join us for tea after the Service
All Men, Women & Young People Welcome
SEDBERGH PARISH COUNCIL
The latest council meeting was held on Thursday 29th January at the People’s Hall. Councillors were pleased to see that many members of the public attended the meeting and it is hoped that those attending for the first time found the experience worthwhile.
The planning subcommittee had no objections to applications received. However a request that the Council urge Yorkshire Dales planners to delay a decision on the application for Udales in Main Street to allow negotiations to proceed with Heritage Trust for the N.W. was referred back to the planning subcommittee for a recommendation.
The main planning decision since the last meeting was the refusal of permission for the development of a convenience store and health centre at the former Auction Mart site. As this matter has aroused so much debate in the town the Chairman spoke briefly to the meeting outlining the various efforts that have been made to reconcile different points of view.
The public participation session included a statement from a member of the public supporting the refusal of the Auction Mart planning application. There was also a request that the temporary notice regarding the behaviour of young people at the bus shelter in Main Street, is replaced with a permanent Police sign. The Council indicated that it would make a financial contribution if needed.
A publication scheme under the Freedom of Information Act was adopted and this can be found in full at the Community Office.
It was reported that SLDC have agreed in principle to sell the tennis courts in Gudlrey Lane, to the Parish Council. The price has still to be negotiated but the meeting expressed its thanks to the Chairman and District Councillors for their efforts in bringing this about.
The Car Park subcommittee have rewritten the terms for the issue of car park passes to deal with some current abuses. These will be brought into effect from the 1st April 2009. It was agreed that once again there
would be no increase in parking charges.
It has also been agreed that the Parish Council will take over responsibility for the Monthly Summer Producers Market, with the day to day operations being overseen by the Community Office.
The working group looking at the production of a Parish Plan has met and recommends that a Management Plan is produced focussing on those areas where the Council can have an effect. A workshop to progress the plan further is to be arranged before the next meeting.
Following the recent resignation of Cllr Hirst, the Council had received three applications to be co-opted to the vacancy. A vote was held and Mr Tony Jameson was chosen to be co-opted.
There was a long list of correspondence to deal with as there was no meeting in December. Two letters were received asking for grants. One from Sedbergh Scouts asking for sponsorship of their summer camp which was rejected as the Council did not want to be seen to be supporting individuals. However the Council did indicate that it would be minded to make a grant for the Scout’s more general aims if they were to make such a request. There was also a request to sponsor a music event at Queens Gardens which received approval in principle. We also received confirmation that John Bell the Principle Traffic Engineer with Cumbria County Council will be attending the next council meeting in February to discuss a number of pressing highways issues.
YDNPA are having a meeting on 12th Feb to further explain the Call for Housing Sites initiative, and it was agreed that Parish Council representatives would attend.
The next meeting planned was at the People’s Hall at 7.30 on Wednesday 25th February and we hoped that members of the public continued to attend in the same numbers as last time. You are all very welcome.
Colin Robertshaw
Parish Clerk
DENT PARISH COUNCIL
The items below were some of those discussed at the February meeting, which started with a discussion with Karen Dakin, the local Police Community Support Officer. The full minutes are published as usual on the Dentdale website www.dentdale.com.
Links with the Police
Cumbria Police are trying to identify local policing priorities by attending parish council meetings on a more regular basis, and so when CPSO Karen Dakin came to the last meeting, councillors and members of the public asked for her help with a number of matters, including:
- a more visible police presence in the whole of Dentdale, particularly at community events
- setting up the promised meeting of Neighbourhood Watch coordinators
- reviving the Farm Watch scheme
- measures to deter motorists from speeding in The Laning
Karen noted the request for a more visible presence, and invited anyone organising a community event to contact her about police involvement. She also said that she would ask for a speed indicator to be placed at the entrance to the village.
Affordable Housing
A meeting was held in January between representatives from Two Castles Housing Association, South Lakeland District Council, the Bradford Diocese, Yorkshire Dales National Park and Dent Parish Council. Two Castles reaffirmed their commitment to building affordable housing in Dentdale, and agreed to put together an application for outline planning for eight affordable houses on part of the field next to Glebe Fold. The application, which will include a new vicarage, will be made in conjunction with the Bradford Diocese and submitted within the next six months.
In April, SLDC will be commissioning a new survey in the dale to obtain an up-to-date picture of local housing need. If you receive one of these survey forms, please take the time to complete and return it in so that an accurate picture of the current demand for housing in the dale can be established.
Dent Conservation Area
A group of consultants has been appointed by the National Park to review the Dent conservation area and make recommendations about its future management. Towards the
end of January, they held a preliminary meeting with a group of local people and councillors. The consultants seemed particularly keen to include in their report the views of people who live in the conservation area. Consequently, they will be holding an open session in Dent on the afternoon and evening of Thursday March 19th, followed by an open walkabout in the village on Saturday March 21st.
Road Accidents
Last month I reported on the meeting with Cumbria Highways, the police and others about the tragic drowning accident in Flood Lane. As a result of that meeting, Cumbria Highways have devised a barrier of concrete posts and metal tubes along the side of the river, and will shortly be sending the plans to the parish council for its comments.
The February council meeting also discussed the accident in Deepdale, where a car overturned and rolled off the road after losing control in icy conditions. Cumbria Highways do not grit this section, but the road is to be reviewed by them in the next financial year. The parish council have asked North Yorkshire County Council for better signage at the A65 end of the road, and Cumbria Highways for a sign at the junction with the Occupation Road.
Next Meeting
The next meeting will be at 7.30pm on March 2nd in the Sportsman’s Inn, Cowgill. The public is welcome to attend as always, and to raise matters of concern in the Public Forum item which takes place about 8pm.
Jock Cairns
Chair, Dent Parish Council
Tel: 25655
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COUNCILLORS CORNER
The first half of February gave us more snow here at Fellgate than we have had for several years. In spite of that the lane, which is designed to trap drifting snow was always passable, at least with my four wheel drive tractor. For contrast I remember the year after I left school it was filled a few days before Christmas and remained blocked until Easter Sunday.
My role as chairman of the National Park gave me a couple of breaks off the farm at the end of January. Firstly, there was a day in Leeds interviewing applicants to be a Secretary of State appointee to the National Park Authority. There will be a vacancy in April when Deborah Millward will have reached the maximum length of time which an SoS member can serve, ten years. Debbie has always been a generous and warm-hearted colleague and whilst we haven’t always agreed on everything, I for one will miss her contributions greatly. I cannot say who will be appointed as the final decision rests with the Minister of State although I am told it would be most unusual if he did not follow the advice of the group which met in Leeds.
Secondly I had an overnight stay in London. The first day was a meeting of the “English National Park Authorities’ Association” followed the
next day by a meeting of the UK ANPA – the “Association of National Park Authorities”. The latter includes the three Welsh NPAs and the two Scottish ones. The meeting in Leeds gave me a good long opportunity to talk with Pam Warhurst, the member of the Board of Natural England who concentrates on Yorkshire Dales.
That in London gave a chance to speak, albeit in a larger forum with the acting chairman and the national director of the same body as well as my NPA chairman colleagues.
Back in South Lakeland House I attended a meeting of the main committee which I still serve on, the Audit Committee. This is a very small but important group with just five members. It takes a broad brush look at financial issues and works closely with both the internal and external auditors. As a former Finance / Resources Portfolioholder I am in some ways the poacher turned gamekeeper. Philosophically, every time there has been a financial problem in local government, either real or perceived, national government has added a new level of regulation on top of the existing structures rather than adapting them. This has resulted in a labyrinthine degree of complexity which tends to promote confusion rather than resolve it.
**AUCTION MART SITE:** There is little I wish to add to my comments last month. There have been meetings and discussions at various levels. Please watch out for any changes in the situation, I will report them as, when and if they come into the public domain. Do however remember that planning is a quasi-judicial process: members of the determining committee or the Inspector at appeal are obliged to decide on planning applications in accordance with the Yorkshire Dales Local Plan, unless material considerations indicate otherwise. Members of most public authorities receive regular training on the subject, often from outside specialists. One firm which Yorkshire Dales has used in the past is Trevor Roberts Associates. Anyone who is particularly interested might like to type the name into Google. They have some web pages which provide a good generalised introduction into planning law.
**SOUTH LAKELAND BUDGET:** As a former Finance and Resources Portfolioholder, I am well aware that
(Continued on page 12)
the budget has been a difficult one to bridge for several years. This is primarily because the district was the third greatest loser in the whole of England in 2001 when the local government funding formulae were altered by John Prescott. The rationale given at the time was to move money away from prosperous areas of the country to areas of greater need. That was always a dubious assertion and the district has never fully recovered.
In turn this means that South Lakeland has become even more dependent upon funding sources which are not controlled by national government and that inevitably includes car park charges. This year rather than further increases in charges the controlling group hit upon the rather strange idea of extending the charging period from 6pm to 9pm. This was going to be extremely harmful in Kirkby Lonsdale and I strongly supported members of my own group who called the decision in. I was somewhat taken aback when three Lib Dem councillors chose to do the same thing. At the call-in meeting it looked as if the decision was likely to be upheld but it has thankfully been over-turned. As I said last month, it is greatly to the advantage of Sedbergh and Dent that both have control of their own car parks and so are not affected by things like this.
**CALL FOR HOUSING SITES:**
There was a meeting at Bainbridge last Wednesday night which interested members of the public were invited to attend. Once again the weather had not been good and whilst a fair few did turn up, numbers were down on what could have been expected in better conditions. So far there have been towards forty expressions of interest and more are expected before the deadline of 27
February. By the way, that deadline is slightly flexible so please do contact YDNP if you are interested and haven’t done so yet.
**DENT AFFORDABLE HOUSING:**
Last month both Dent Parish Council and I reported difficulties with the affordable housing scheme at Ghyllside in Dent. I think we both tried to report the facts in a straight, non-judgmental way and we both expressed the hopes that the difficulties were temporary and not permanent. Since then the owner of the site has been in contact and I remain hopeful that progress will be made. Once again this scheme has shown how difficult it is to develop affordable housing especially in times of economic downturn.
Finally, I have been selected to stand as the Conservative candidate in the forthcoming County Council elections to be held on 4 June. I believe I have a good track record both as councillor for the former Sedbergh District ward and now for the combined Sedbergh and Kirkby Lonsdale ward. It is probably unique in England that the county division is actually slightly less than the District ward, excluding as it does Mansergh.
To contact me please ring 015396 20800 or 07980 844 695 (preferred) or email firstname.lastname@example.org or else write to me at Fellgate, Dowbiggin, SEDBERGH, Cumbria. LA10 5LS
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**THE BULL HOTEL**
Tel: 015396 20264
44 Main Street, Sedbergh LA10 5BL
**RED NOSE DAY ’09**
Friday 13th March
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**JAMES BOND THEMED NIGHT**
Prizes for best Fancy Dress
**Casino Night**
Followed by Disco until late
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**NEW MENU**
With home cooked dishes starting at £5.99
DICK WOODHAMS
Long-time Sedbergh resident Dick Woodhams died on February 11, aged 102. Dick grew up in Barnard Castle, and came to Sedbergh in 1938 as the #2 man in the Midland Bank (now HSBC), bringing with him his wife Rhoda and 2-year old daughter Bridget. He liked Sedbergh so much he always refused to leave the district even if it would have meant promotion.
During WW2 he served in the RAF as an officer; too old to fly and also suffering from airsickness (!) he was ground staff. Nevertheless he was posted to North Africa, then Sicily and Italy. Several weeks behind the advancing Allied front lines, his job was to keep airfields open and the fighters supplied. Returning to UK on compassionate leave when his father died near the end of the war, he was RTO (Railway Transport Officer) at Preston station, making sure de-mobbed servicemen got home.
Eventually de-mobbed himself he returned to the Sedbergh Branch of the Midland and started to acquire a succession of cars – starting with a pre-war Morris 8 painted emerald green. Over the years these got faster and flashier – by 1952 he owned a particularly handsome silver-blue Sunbeam Talbot 90. For the last ten years of his bank career he was Manager of the Midland Bank Branch in Hawes, to where he commuted in a succession of vehicles which included a Triumph Herald and one of the original Mini-Coopers. He retired in 1968; he and Rhoda had moved to Cannon House on Back Lane in the early 1960s and there Dick remained even after Rhoda’s death in 1999 at the age of 92. The cars kept being up-dated; several Peugeots gave way to a series of Honda Preludes, and eventually a large Alfa-Romeo saloon. By 2003 the Alfa was 17 years old and he decided he needed a new car. So it
came about that Sedbergh was treated to the sight of a 96-year-old zooming around in an aquamarine Mazda MX5!
Dick’s keen mathematical mind was fascinated by the game of Contract Bridge, which he took up the year it first arrived in the UK, some time in the 1930s. He continued to play a very effective strategic game right up to the night before he had the fall which led to his death.
Dick’s daughter Bridget emigrated to Canada in 1959. Bridget and her family (Dick has 3 grandchildren and 3 great-grandchildren living in Canada) will miss him sorely. They would like to express their gratitude to the many people in Sedbergh and surroundings who befriended Dick in his last years, and whose support and companionship enabled him to go on living a rewarding and independent life well after his hundredth birthday. There are so many of you it is difficult to name names, but we would particularly like to recognize his bridge-playing friends and the members of the White Hart Bridge Club, and his dear friend and neighbour Bob Turner.
At his particular request there was no funeral; his ashes will be scattered within sight of Sedbergh, and on the West Coast of Canada where his descendants live.
Thank you, Sedbergh.
Bridget Hough
Cobble Country
Dales & Lakes
Town & Country Property Agents Est. 1992
- Free Valuation
- Property Marketing Consultation
- Maintained mailing list
- Full colour particulars with floor plans
- Office open during 6 days a week
- Full property particulars on our website
- Negotiable commission
- Residential & Commercial Sales, Lettings and Holidays
59 Main Street, Sedbergh, Cumbria LA10 5AB 015396 21000
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Meat Matters
Free Tastings Free admission
Peoples Hall Monday March 16 at 8.00 pm to celebrate National Butchers Week, 16 – 22 March
A cutting demonstration of modern cutting methods
A talk by Garth Steadman on Meat and Meat cuts.
The merits of maturing beef, traceability and the benefits of shopping locally.
An introduction to British Rose Veal
Cheap cuts. More time and effort also how to save money on meat purchases
Everyone welcome
LATE SUMMER IN ITALY
If the idea of a late summer break in Italy appeals to you, there are still vacancies on our planned visit to the Rome area from September 2nd to 9th this year. This is earlier than usual, enabling us to benefit from the longer days when we can sit outside in the evening sun. As usual the party will consist of 23 people, the nucleus being students of the Italian language. During the week we have three optional morning sessions devoted to Italian Life and Language, and hopefully a Sunday evening recital by a professional pianist.
We stay in a family-run hotel in the attractive spa-town of Fiuggi, about thirty miles from Rome. The Barberio family regard our Sedbergh group as friends rather than hotel-guests - and the food is wonderful! There must be at least a hundred Sedbergh people who over the past few years have stayed at the Elma Hotel. During the week an enjoyable programme of visits is arranged for us. Things are not yet finalised for September but we shall certainly be spending a full day in Rome with guided tours to places such as The Catacombs, The Vatican, or Ostia, the old port of Ancient Rome. The exact destinations are yet to be decided. We also have some half-day visits to fascinating places in Lazio, such as the castle of Fumone perched on a rocky peak from which smoke signals were sent to warn people long ago of the approach of marauding barbarians; Tivoli, home of the first water gardens in Europe; Palestrina, birthplace of the eponymous sixteenth century musician; or Arpino where the great orator Cicero once had his farm. We always have our own coach and an excellent Englishspeaking guide who makes these visits come alive for us.
We travel by coach from Sedbergh to Newcastle Airport and the holiday is practically full-board, including some amazing meals out. The total cost for what one of our group members called a "cultural and gastronomic tour" is likely to be around £700 per person, and reservations need to be made by the end of the first week in April. Because of the size of our coach, numbers are limited to 23 and we have about half that number already. Please contact me on firstname.lastname@example.org or by phone at Sedbergh 21411 if you are interested.
Incidentally, we have a similar visit to the area from May 25th to June 1st, and, because two members of the group have had to cancel, there are two places remaining on that visit.
George D Handley
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**Conservation Area Reviews**
- **Dent Open Day**
- Tuesday 17th March
- Sedgwick Room
- 3:00pm - 7:30pm
- **Sedbergh Open Day**
- People's Hall
- Friday 20th March
- 3:00pm - 7:30pm
- **Dent Walkabout**
- Dent Car Park
- Sunday 22nd March
- 9:30 am - 12:00pm
- **Sedbergh Walkabout**
- Joss Lane Car Park
- Sunday 22nd March
- 1:00pm - 4:30pm
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**March diary at the Barbon Inn & Restaurant**
- **Monday 16th March to Thursday 19th March**
- we celebrate St. PATRICK’S DAY with a special menu
- **BUY ONE GET ONE FREE (buy a main course get a dessert free)**
- GUINNESS AND BAILEYS Irish cream Special Price
- **Tuesday 17th March 2009**
- QUIZ NIGHT
- come join in Free light supper.
- **Mothering Sunday 22nd March 2009**
- We will make Mums and grand mums feel special
- Glass of pink bubbly or cranberry juice cocktail
- free to all mums and grand mums
- Sunday lunch 1, 2, or 3 Courses
- You must book to take advantage of this offer.
- **CHARITY BIG SCREEN RACE NIGHT**
- Friday 27th March 2009
- Horses and jockeys on sale now
- Come in for a bite to eat choose your horses and jockeys then come back on the night to join in with the race atmosphere
- **Nibbles and Bubbly on arrival**
- Restaurant will be open for that special RACE NIGHT supper
- Telephone for more details and make your booking
FAMILY MUSINGS
We were talking recently about how long we have been together and hubby decided he would be much the richer if he wasn't married to me!
However he conceded that his life could not have been anything as interesting had it not been for me in his life so that is good. We had an errand to do the other night which included going through a field in the dark and the torch did not work.... This reminded me of a VERY wet morning "helping" move sheep at the farm lots of years ago, the dog gave up, my umbrella blew away and we ALL got soaked! The children were all small and could not understand the "fun" aspect of it, they would much rather have gone to Grannies. There was an unending scope for and supply of fun at Gran and Grandpa's and the garden often rang with the happy sounds of children's giggles and laughter, except when Bertie, next door's Goose flew over the fence. The immediate response was to run and of course he chased after them, more than once they were located huddled in a big hug shut in the summer house to escape.
A close friend who recently celebrated her 90th birthday once many years ago brought two of her grand-daughters to play in my parents garden and we had tea in the summer house, they were amazed when it started to move. The idea was so it could face the sun at different times of the day, now it faces across the lawn and I sit there and in my minds eye I am looking over the beach towards the sea in my beloved Cornwall. In August I really will be back in that beloved county and walk Pendower Beach again. It is all booked. The same friend thinks she and I are the same age but that she is "wearing better than me", she could
be right!
When our loved family members and friends die they stay near to us in our heart and in our memories, when they have lived to a great age as a dear friend of mine has recently I don't subscribe to the idea of many which says "She was old, what else could you expect". Yes, this particular lady WAS old, she was 95, but because we had known her and she has been part of our lives for such a long time the parting was hard. Also this particular lady was such an inspiration to us all through a long life well lived and she coped with old age and infirmity so very boldly. She also loved Family Musings and I remember her, (Nana) Cissie Middleton with great affection and send love and sympathy to her family.
This also leads into happy remembrances of a little girl to whom I was God-Mother, on whose grave the Snowdrops grow and who also lives on in hearts and minds of those who loved her.
A client recently invited me to go fly-fishing with them, I did not commit myself but then heard someone tell them that it would be no good taking me, I could not keep quiet enough for that length of time! Now, as regular readers know I do like a challenge and where some will "do" the Great North Run, a Bungee Jump or scale high mountains, I might just try the fishing, anyone sponsor me? Hubby, yes back to him again, says I seem to find I have to talk to him just as he is drifting off to sleep, I do like to live up to expectations. Enjoy yours. Sarah
KILLINGTON WI
I refuse to be surprised that it is February already! (When you read this it will be March –approaching the vernal equinox, when day and night will be of equal duration). Even now (February 10th) the evenings are pulling out nicely. In an earlier incarnation I was a geography teacher so I know about these things!
Our February meeting was today, so I can say with certainty that Barbara Kooper won the competition for ‘an old recipe book’, with a tome which originally belonged to her mother-in-law. The competition was, as usual, designed to link with our speaker, ‘Sarah M’, now duly famed for her local jams, chutneys, and other delicious produce. As it turned out our competition could have had a myriad of themes, for Sarah Scarr told us of her adventurous life. This included spells as a nanny in London, the Grand Cayman Islands, Japan, and the Alpine resorts of Europe. Each time Sarah found herself in a new place she made full use of the opportunities it presented. Hence she has become a scuba diver (despite having a profound aversion to putting her head under water!), a skier, a bather in sulphur springs, a publisher of children’s books, a maker of Japanese dolls, and a master of many other crafts, and much loved by the many children who have been in her charge. I had anticipated that her
talk would be all about her recent, highly successful business which certainly was included, but it was so much more. I never cease to be amazed at the wealth of talent which Sedbergh holds. Thank you, Sarah, for a most entertaining talk.
The raffle was won by Sue Sharrocks (but don’t ask me what she won!)
The business meeting preceded our speaker and we look forward to various outings and activities. We are making plans for our WI Group Meeting when we will play host to other WIs from the Lune Valley area. This will be in May when Alan and Chris Clowes will tell us about their work with an African community, in Thandi. Non WI persons will be welcome too. We have a couple more garden visits planned for the summer. Isn’t it wonderful to see the snowdrops nodding their heads and the other spring flowers poking their heads above the ground. We are also planning to win back the WI cup at the forthcoming Spring Show – March 28th – (entries by 21st March). End of commercial!
February is the month when the greatest number of Killington WI members have birthdays (romantic May blossom?), and Dawn Stevens birthday was on the actual day of our meeting! (Say to yourself, ‘I needed to know that’!).
Our tea hostesses once again did us proud, with lemon cake and fresh cream scones. Look out for digestive biscuits when it’s my turn.
We were short of quite a few of our members today, with horrid winter colds and other ailments. We send them our good wishes, and are specially thinking of Marjorie Henson who has had a longish spell in the care of the NHS. They couldn’t have a nicer guest.
It really was a lovely meeting which I thoroughly enjoyed.
Next meeting, at which you would be most welcome, March 10th, 2.00pm, People’s Hall, splendid company!
W.F.U.
SEDBERGH SCHOOL GIRLS FUND
The Committee of Management will meet shortly to consider applications for grants for educational tuition and/or educational facilities from girls resident in the parishes of Sedbergh, Garsdale and Dent. The Scheme of Management for the Girls’ Fund quotes the following principles of application:
1. The income of the Fund shall be applied by the Committee for the benefit of beneficiaries, in one or more of the following ways:
a) The award of Scholarships, Bursaries or Maintenance Allowance tenable at any School, University or other place of learning approved by the committee;
b) The provision of financial assistance, outfits, clothing, tools, instruments or books to enable beneficiaries on leaving school, a University or any other educational establishment, to prepare for, or to assist their entry into, a profession, trade or calling;
c) The award of Scholarships or Maintenance Allowances to enable beneficiaries to travel abroad to pursue their education;
d) The provision, or assistance towards the provision, of facilities, of any kind not normally provided by the Local Education Authority, for recreation and social and physical training, including the provision of coaching in athletics, sports and games, for beneficiaries who are receiving primary, secondary or further education;
e) The provision of financial assistance to enable beneficiaries to study music or other arts; and
f) In otherwise promoting the education of beneficiaries.
In this Scheme, the expression of “beneficiaries” means girls who were born, or who have for not less than three years been resident in the Parishes of Sedbergh, Garsdale and Dent, and who in the opinion of the Committee, are in need of financial assistance.
Anyone wishing to make an application for a grant from the Fund should contact the Honorary Secretary, Mr P S Marshall, at The Bursary, Sedbergh School, Sedbergh, LA10 5RY. Telephone 015396-20303.
HOWGILL W.I.
We met at Firbank Church Hall for the February meeting. There was a good turn out of members and we were pleased to welcome three guests.
The two resolutions chosen by Cumbria-Westmorland Federation to be sent to national are S.O.S. on Honey Bees and Poly Clinics. Two members have received an invitation from Casterton W. I. To join them in celebrations to mark their 90th Anniversary. The W. I. News was read, members are interested in the Art and Craft days to make covered boxes.
Helen Beare will be leading the next Howgill Hikers walk on March 10th in the Lake District.
Following the business part of the meeting Mary Silva gave a warm welcome to Stuart Manger, a former English and Drama Teacher at Sedbergh School. He gave us a fascinating insight into Poetry highlighting the fact there is more to a poem than words and language. The rest was up to us, so it was on with the thinking caps and heads together to translate the words and reveal the story behind the poems. Working together in a group is both enjoyable and stimulating resulting in an interesting evening. Mary Silva expressed thanks for bringing poetry to life.
Stuart then had to task of judging the monthly competition ‘A Poem on Howgill’. This was won by Mary Silva with Audrey Hoggarth second. Vera Hodgson was the raffle winner. The evening was brought to a close with our usual Jacobs Join and get together.
Next month we meet on March 5th and Howgill Village Hall when Fiona Cartmell will be speaking on the International Red Cross Movement, at home and abroad. Visitors welcome.
A. H.
GREAT WAR BIBLES
a sequel
Readers may remember an article in the November Lookaround about John Cyril Hindson and the Bible which was presented to his family following his death in the Great War. An appeal was made for news of any other Bibles, given to families of other casualties, which might have survived. Mrs June Pickles of Cromer in Norfolk has been in touch with the Editor to say that her family has one, which is identical save for the name and date on the bookplate. This Bible was given to the family of her grandfather, Thomas (Tom) Cragg, who was killed in action on 14th April 1918 while serving with the 1st Battalion the Duke of Wellington’s (West Riding) Regiment. He was aged 40.
Thomas Cragg was born in Dent and was the son of Joseph Henry and Annas Cragg. In 1881 Joseph was a grocer and agricultural labourer in Gawthrop and Thomas was two years old. By the time of the next census in 1891 the family had moved to Broad Yeat, Dowbiggin. On the night of the census, however, Thomas was staying with his grandmother at Low Hall in Dent.
Joseph and Annas Cragg lost another son in the Great War. Thomas’s younger brother, James, was killed in action on 9th September 1917 while serving with the Northumberland Fusiliers; he was aged 33.
Thomas was married and, at the time of the 1901 census, he and his wife, Anne, were living in Garston near Liverpool. He was working as a sawyer’s labourer at a bobbin mill. They later had three children, including Joseph Henry, the father of Mrs Pickles.
Thomas Cragg has no known grave but his name is inscribed on the Tyne Cot Memorial, which is about six miles north east of Ypres in Belgium. Also, he is remembered on his wife’s gravestone in Sedbergh Cemetery. She died on 19th September 1960, aged 82.
The History Society has a copy of a beautiful card which was designed in memory of Thomas Cragg. Around the edge are the words: ‘Their bodies are laid in peace but their names live for evermore’. There is a sketch of the Howgill Fells with the church steeple in the middle ground. The wording is: ‘1914-1919. In Mem. Thomas Cragg’ with the first verse of Rupert Brooke’s poem, The Soldier, which starts, ‘If I should die think only this of me . . .’.
Grateful thanks are due to Mrs June Pickles for contacting the Lookaround & to Shirley Tebay for the information from the census records.
DENT FOLK FESTIVAL
Well is been all go at Dent HQ and we have quite a bit of news. Firstly, we have an outstanding international line up for Dent 2009...
Artists playing the main marquee include Adrian Edmondson and The Bad Shepherds; Transglobal Underground; Solas; Andy Irvine; Tony Wilson; Kila; The Karine Polwart Trio; Faustus; Chris Wood; The Black Umfolosi 5; Keith Donnelly and Les Barker as ‘Idiot and Friend’; Katalena; And a great programme of free events including Children’s Songs, Stories, Puppets, Street Theatre and Crafts. Music in the Beer Tent with guests of the festival. The Session Tent hosted by Bill Lloyd and The Lakeland Fiddles. Song walks from the festival site with David Burbidge. Workshops in Appalachian Dance, New Tunes, Circus Skills, Arabic Dance and more. Dance spots from invited dance teams and The Legendary Dent Folk Festival Ceilidh!!!
Stunning new site!
As you may well know the festival is moving to a new site near Sedbergh. In a nutshell we have outgrown our original site in Dentdale and although we are very sad to leave we didn’t really have much choice if the festival was to continue. So we are moving to an absolutely stunning setting at Buck Bank Farm under the Howgill Fells near Sedbergh, England’s book town. If you would like to read the full background to this move see our website. There will be a free shuttle bus to and from Sedbergh from the site to get supplies and visit the local pubs for a few tunes!
This year we will have on site camping!
We’re really pleased about this as many of our regulars have asked us over the years to run a festival campsite. By camping on the festival site you will be making a major contribution to the sustainability of the festival. The camping will be basic but comfortable. The site is in a fantastic setting and you’ll be with a great crowd of other festival goers, so lots of potential for sessions and meeting people from all over the place with a shared passion for music. We will have a limited amount of camping tickets available for people who wish to camp on the site and just attend our free events or are just coming to play tunes in the sunshine and go for a walk.
Full details of our 2009 programme are on our website: www.dentfolkfestival.co.uk
LONDON MARATHON
I didn't expect to be running the London Marathon on Sunday 26th April again, but when my daughter Sarah said 'How about it?' I could hardly say 'no'.
So, we are going to run it together, to raise sponsorship for the North West Air Ambulance. They are hoping to upgrade one of their helicopters this year, so have a target of £3.9 million to raise. Every little helps, so don't be shy!
You can sponsor either of us directly by logging onto the websites: justgiving.com/johnioannou71, or Sarah's site: justgiving.com/sarahioannou.
Alternatively ring me on 015396 25023.
I am sure that there are others from our area that will be running the London Marathon. Why not let us have your details and who you will be raising money for followed by an update as to how much you raised. It will all be printed and it is all free.
Ed
DENTDALE W.I.
The February meeting was well attended and the business agenda quite full with all the events of the New Year unfolding.
The Dent Run on 14th March is on the horizon and as usual, members have been asked to help in preparing the refreshments and offering contributions of baking for the runners. Also in March, Kate Cairns and Rosalie Dodgson will be attending a group planning meeting and Judith Newsham and Thelma Belfield are representing us at Casterton WI Birthday Party in Casterton Village Hall on 4th March.
Jenny Pilgrim outlined an offer by the Red Cross to give First Aid training to a group of people in the village, enabling them to be resilient in times of crisis, and several members expressed an interest.
There was considerable interest too in an idea to start a few craft taster afternoons. Dortelis Stephenson showed a couple of large woven boxes made from recycled fruit juice cartons. Dale Smith showed jewellery she had made on a Federation day course.
We welcomed our speaker for the evening, Kay Whittle, talking about Footcare. Kay has her own chiropodist practice in Sedbergh. She covered a wide range of problems that we might encounter from diagnosing diabetes to the more familiar cold feet and chilblains giving sensible and practical advice.
Our competition for the evening had been to finish a limerick from the first line “I’ve been standing hours on my feet”. Rita Corpe read out a selection of excellent contributions and announced, Catherine Sugden as the winner. Catherine won a pot of Kay’s Lavender and Comfrey skin cream to moisturize those tired feet! Alice Ellison took home the raffle prize.
Our next meeting is on 11th March when we will be learning more about cheese and doing some cheese tasting courtesy of the Churchmouse Cheese Shop in Kirkby Lonsdale. New members and visitors always welcome.
SINGING SLOVENIA
Many of us will remember what was probably the best concert to be staged in Sedbergh for several years when the visiting Slovene male voice group Oktet performed alongside the dazzling girls’ choir Amabile last year. The 45 girls from Sedbergh and South Lakeland led by Sedbergh music teacher Charlotte Jackson are now jetting off to meet the boys again when they tour Slovenia over the last weekend in March.
The choir had of course wanted to stay in Zrece but unfortunately with fairly short notice we were unable to arrange accommodation there – so instead they’ll be staying in Bled where they will perform in Bled Castle on Saturday night. They’re also doing concerts with the Slovene National Youth Choir Veter in Ljubljana and meeting other singers and schools as well as taking in some of the beauty spots of Slovenia.
As well as Amabile, many other of our singers when they have gone to Zrece have also visited other parts of the Slovenia, and in order to make it more personal than just sightseeing we have always arranged to meet Slovenian choirs. Many of these have become our friends and now this year we will be meeting them when they come to tour in Britain.
BRITISH ROSÉ VEAL
British dairy farmers have no market for their veal, thousands of live male calves are exported from Britain to supply the Continental market. High-welfare veal campaigners hope that a stronger home market will mean that fewer animals will be making the journey to the Continent each year.
Milk cows are separated from their calves after giving birth and made to continue lactating. Female calves can become milk cows but the herd does not need males and dairy breeds are not ideally suited to rearing for beef. So redundant male calves can be kept with the herd and reared for rose veal.
A spokesperson for the National Farmers’ Union (NFU) says, “The key to reducing calf exports is to develop [home] markets, so the calves are worth more at home than they would be abroad.” The choice is horrific: either shoot them when they’re a few days old, or condemn them to a horrendous fate by exporting them to Europe, where veal production thrives. There they will be reared in conditions that are illegal in the UK.
British veal is produced to the highest welfare standards has pink, not white, flesh and is tender and delicately flavoured. Called ‘rosé veal’ it is the meat for the conscientious carnivore.
Calves are suckled by their mothers, eat natural food and live outdoors in summer. The RSPCA gives high-welfare veal its approval with its Freedom Food label and would like more meat-eaters to buy it. But production can only be driven by demand. Until demand grows unwanted dairy calves will continue to be shot or exported.
Although veal is a popular meat in Continental countries it has never been so in Britain. Much of its continuing unpopularity is doubtless a result of the well-reported, and inhumane, practices used to produce white, or milk-fed, veal that is produced on the Continent.
Members of the Guild of Q Butchers are committed to British beef. Ask yours for British rose veal from calves raised on a diet of milk, water and roughage, reared in open housing with natural light and straw bedding. A good independent butcher should be able to respond to customers’ requests.
“The more veal you eat in this country, the greater the incentive for farmers to rear veal calves here in Britain,” said Anthony Gibson, of the National Farmers Union.
It’s not as though, if you are a meat-eater, you don’t eat other young animals “veal is to a cow what lamb is to a sheep”.
Compassion in World Farming backs British veal – but only as long as it is reared to the highest standards.
If you drink milk, eat meat, and believe in buying local, then you really should give British rosé veal a try.
SEDBERGH GALA
The Theme for Gala Fancy dress this year will be Musicals.
On a different subject the Gala group are concerned about the future of our events following the disappointing turnout on bonfire night. This event costs a lot of money and effort to put on and we are aware that many people would prefer to watch the fireworks from the roadside rather than contribute by paying the minimal gate fee. Bonfire night is dependant on the support from our community and we would very much appreciate any feedback from the town about the evening and how they can help us to improve it.
Following much debate we have decided not to try to recoup the money lost on Bonfire Night by raising the gate charges at the Gala. We are aware this is a difficult time and despite keeping the gate price at £2.50 for many years this is not the time to change it.
The Gala group is looking for anyone who can offer a little time to help out with the preparations for the Gala, We would like to see more games and stalls organised by local people or organisations, these would not only provide more entertainment but keep costs down for parents/carers.
If you have any time or ideas please contact Sarah Goad 01539620402. 🎭
SEDBERGH SCHOOL
We have a variety of opportunities for employment, including career development.
We may have a job to suit you, such as Matron/Housekeeper, domestic cleaners, pastoral care assistant, catering, laundry assistant & administrators.
Perhaps you would like just a few hours during the week, week-ends or some evenings to fit around your other life commitments.
To find out more, please contact Michelle for an informal chat, she will happily detail all of our current opportunities and will answer any questions you may have.
We look forward to hearing from you
All positions will require a full satisfactory enhanced CRB application.
Call Michelle on 015396 20303 or email at: email@example.com
By the time you read this we will be in Lent, Ash Wednesday which marks the beginning of this fasting period before Easter, was on the 25th February. During Lent, on each Wednesday at 1200 noon, a light lunch of soup and rolls and fruit will be served in the Church Rooms. The proceeds this year will be sent to India to help victims of the Bophal chemical disaster who are still suffering many years after the event.
This year Lent lunches have a special significance for the Ladies who produce them as they will be operating in our newly refurbished kitchen which has been funded by the Friends of St. Andrews. We hope to see you at the Lent lunches.
The Annual Parish Meeting takes place on Friday 20th March at the Peoples Hall. The evening starts with a Parish Supper, which will then be followed by the business meeting. There will be short reports from the officers, and then election of officers for the coming year. Anyone interested in joining us at the supper and subsequent meeting would be most welcome. Please contact one of the Church Wardens, our phone numbers are, L.M. 21740 and T.R-S. 21081.
A month or so ago we said we hoped to mount a Flower Festival at the Church. Plans are now well under way. Lesley Alban and Linda Hopkins are contacting flower arrangers from the community to come and help and join in. It will take place during 28-31 August to link with The Sedbergh Town Book Fair which takes place later in the month. Our Flower Festival will have a literary theme. We also suggested that we would have a garden trail. To give us an idea of what interest there may be for this particular event we propose to add a garden trail entrance form to our piece in next months Lookaround. This event to take place on Saturday 11th July.
Lavinia Mahon and Tony Reed-Screen,
Church Wardens
SEDBERGH AND DISTRICT HISTORY SOCIETY
The meeting on 21st January concerned a topic which is of considerable importance to local and family historians – the work of the registrar of births, marriages and deaths. In a lively and informative presentation, Susan Oliver who is based in Kendal and has been a registrar for 23 years, traced the history of the registry service and described the work of the present day office.
In her historical survey, Susan recounted that in the reign of Henry the Eighth, his Chancellor Thomas Cromwell instituted the system of keeping parochial, or parish, records. From 1597, each parish was also responsible for making an annual return of its baptisms, marriages and deaths to the diocesan registrar. However, since the local vicar was responsible for maintaining the registers, this method of record keeping was not foolproof. Although some of these very early parish registers have survived, many have deteriorated or have been destroyed over the centuries. Most are now deposited in county record offices. Susan also mentioned two further developments which were associated with the ‘life events’ recorded in the parish registers: the Wool Act of 1666 which stipulated that every corpse had to be buried in a wool shroud, and the Marriage Act which required a formal ceremony of marriage, males to be at least fourteen years of age and females at least twelve years of age. In addition, parental consent had to be given if the parties were not at least twenty one years old.
Then Susan moved closer to the present day when she described how in 1837 the registration of births, marriages and deaths became a compulsory civil procedure. Since that time very little change has occurred in the system. The most significant development had occurred in 1995 when ceremonies of marriage and civil partnership were allowed in premises which had been licensed for the purpose.
DENT & SEDBERGH ORAL SOCIETY
The extract from the Society’s archive this month comes from Mr Jack Dawson, who will be well known to many of you. Mr Dawson carried on the coal merchant business which was founded by his grandfather in the nineteenth century and remains in the family today. Here he talks of Sedbergh before the second world war and his words seem specially apt in these recessionary times.
Interviewer: “Where did you get your clothes when you were a child?”
Jack Dawson: “Oh yes, it’s a very interesting one because there were two or three very good tailors, bespoke tailors, who would measure you up, like when I wore shorts as a very, very small boy. You’d be measured for the suit and it would be made for you. We had very good tailors in Sedbergh. I don’t think many people bought off the peg suits in those days because mothers used to make kiddies’ clothes.”
Interviewer: “And when did this stop, that you went to the tailor’s in Sedbergh?”
Jack Dawson: “Well I think one could say it was beginning to stop just before the war and people started going to Kendal for ‘off the peg’ clothes. Kendal became more and more the place to go to shop, which rather spoiled Sedbergh. Yes, I can think of one, two, three good clothiers in Sedbergh. My father always insisted that we bought anything we could buy in Sedbergh because we traded with the shopkeepers and they naturally appreciated our shopping in Sedbergh and buying from them. Even to the banks, we had to bank at every bank to give them a bit of custom because they all got their coal off us. And that also applied to the butchers and bakers and the candlestick makers and all the other tradesmen. We all traded with each other and it was looked upon as something quite disloyal if you went to Kendal to buy something that you could buy in Sedbergh. And indeed, it would be disloyalty.”
You can read, and listen to, more from the Oral History Society’s archive at Westwood Books, where Mark and Evelyn Westwood have kindly given us space for a computer at the back of the shop. And please don’t let the word ‘computer’ put you off, the instructions are quite simple.
Anthea Boulton
JANUARY WEATHER
Generally a cool, wet and windy month on the whole. We started with 6 dry days which added onto December gave us an official drought. When the rain came we then had only 2 days which were dry for the rest of the month. It wasn’t to last though and we ended the month with 5.67 inches of rain. Snow fell as the children went back to school. At the end of the first week we had a day with no wind registered and it was foggy. Being fairly breezy with a maximum, on the last day of 29.1mph, only on 3 days did the wind chill not get below freezing. On the 6th of the month temperatures stayed below freezing all day and the minimum for the month of 15.6F was recorded. The maximum for the month was 47.3F. From the 17th to the 26th we recorded atmospheric pressure below 29 inches of mercury. This is the longest spell of low pressure I have recorded.
Tawny owls were heard during the first few dry days but not much afterwards. They apparently do not like rain and barn owls, in particular, suffer during prolonged wet spells. Signs of life, in the form of daffodils pushing shoots through, appeared. By the end of the month the first snowdrops were turning white in sheltered spots. On of the earliest shrubs to show signs of life, the honeysuckle, had its first green leaves showing. The winter jasmine seems to have had another flush of flowers. One night I heard oystercatchers and next morning there were a couple in the field but they seem to have moved on. Perhaps the cold weather has sent them back to the coast. One morning I was busy feeding the sheep when I saw a Land Rover stop. As I looked towards it there was a fox in the field. He obviously knew his way around as he proceeded to run up the field, under a gate where I lost him in the copse at the top of the field. The long tailed tits continue to visit the nuts, often several times a day. I haven’t seen a woodpecker for some time now. Let’s hope it make an appearance again soon.
PINFOLD CARAVAN PARK 2
Long-term residents will know far more about the history of Pinfold Park than I do.
The park is currently owned by a non-resident of Sedbergh, who is able to lease out sites on the park to licence holders. There are resident wardens, Fred, Maureen and Andy Joynes. They were regular visitors for many years and took over as wardens just over twelve months ago.
There are a number of different types of resident, all of whom use the local facilities and hence contribute to the economy of Sedbergh in one way or another. In last month’s Lookaround I referred to some of those who consider themselves to be – or are hoping to become - permanent residents. Not all of the ‘ten month’ licence holders are older residents. There are some who live at Pinfold Park as their first experience of home ownership, and some who would regard themselves as ‘second homers’ who join the community regularly for weekends. Some visit more regularly than others.
In addition there are some people who keep their touring caravans on the site, and others who visit with their tourers or motorhomes, to ‘park up’ for a fortnight, a week or overnight for a few nights. Some are regular repeat visitors: others just passing through.
Finally there are the campers who pitch their tents and are far more subject to the whims of the British weather than the rest of us.
The site appears to have been started when pre-fabricated houses were placed here shortly after the war. You can still see some of the concrete bases for these. At that time the residents were allowed to stay for twelve months a year.
The location is idyllic. Close to the River Rawthey and within a short walk from the town – or is Sedbergh a village? – nestling between the Howgills, Frostrow and Baugh Fell. Just a step from Farfield Mill. Even the site entrance is a treat, with a real historic significance provided by the Pinfold itself. It is clear that in Sedbergh, sheep are important – how fitting that the site is named after the fold where lost sheep were penned.
Helen Wilberforce
MOVING ON
As many of you will know, Chris and I will be moving on this month. I will be taking on a New job in West Cumbria as Chaplain to the Nuclear Industry and as Team Vicar to the parishes of Egremont, Bigrigg and Haile. We have very much enjoyed and learnt from nearly three years here. Many thanks to all those who have helped and supported us so much, especially while Chris went through the cancer treatment.
Here you have all encouraged me to try and live more carefully about the environment and the future of this planet. In small ways I have shopped in Sedbergh and walked as much as I can. I have put meetings in other places together so that I only travel once instead of three times. We have cut down our heating consumption. I have read and thought and prayed through other peoples writing on the problem. I have for most of my life been concerned with the environmental challenge that faces the disposal of nuclear waste. I was reminded that waste is not only from producing electricity, but also other waste, one of which is that from the Radiotherapy treatment of Chris, alongside so many others! The need for newer ways to produce electricity with less CO2 emission throughout the world has also increased so much, and I began to feel myself that in spite of the challenges this brings, we do need to think about Nuclear Energy Production.
All of this thinking, reflection, and some action, grew during my time here so I felt when this job was advertised that I ought to offer myself. During the coming years, nuclear energy and waste disposal are going to be major issues that have to be faced and worked with. I am sorry to be leaving so many wonderful people here, but I hope your prayers and thoughts will be with both Chris and I as we move on. I’m sure we will call back over here for some “book” events – or just a break! Our thoughts and prayers will still be with you.
Revd Lindsay and Mr Chris Gray 🌟
DENT GALA
Yes I know it is 5 months away but because life gets busy I am getting busy in good time! Our Gala committee is growing but there is still room for you if you would like to join us. Please can you start saving any crockery you no longer want as we will once again have the Crockery Smash Sideshow which proved so very popular last year.
Have you a Dog? Has he or she got any presents which are surplus to his/her requirements and are unused? Could they be donated to us towards prizes for the Dog Show?
Would you like to get-together to make some bunting? Have you some pinking shears?
Dent Gala Day is Bank Holiday Monday, August 31st 2009.
The AGM of the Memorial Hall Committee is on Monday March 30th 7.30pm in the Hall, members of the public are very welcome.
Please feel free to contact me about any of the above. S E Woof 25212 🐶
MULTIPLE SCLEROSIS
On the evening of Friday 21st November 2008, me and my helpers went and got the hall tables out for the M. S. Table Top Sale on the following day. The centre of the ball tables were put in a square shape to put the donations on such as raffle prizes, cakes, bric-a-brac, toys and books and the tables round the outer sides went side ways with peoples names on for the morning for the pre booked tables.
Saturday 22nd morning soon came with the boards and posters all round town telling people about the sale. I rushed to the hall setting things out and stall holders came and set up their own tables, the people in the kitchen setting up for refreshments of cakes and biscuits and before we knew it 9.30 had arrived and we were open for business.
The hall was buzzing with people buying and selling and there was a great friendly feeling all around. Before we knew where time went it was packing up time. People were going home with less stuff than they came with and some dosh in their pockets and a smile cos it had been a really nice morning. I then went home, made a brew, and started to count the dosh we had raised during the morning. After taking off the costs of the hall and advertising the event the sale made £687.56p which was BLINKING BRILLIANT. Friends and townsfolk, when they saw me, continued to give me donations because they couldn’t make it to the hall, bringing the total to £700.56. Adding to that £83.65 raised at a previous event, and our Bill adding a further £15.79 and the staggering total was £800.00 and a cheque for this amount was sent to London to M. S. Research.
So, after I have finished waffling on, I would like to thank EVERYONE who helped, had a table or came on the day. The success of the day was all down to you and it was BRILL.. Ta.
Sandra X
P.S. Someone bought an incomplete dinner service which got lost on the day. It is now in my kitchen so give me a ring on 07815-069394 to come and collect it.
DENTDALE METHODIST CHAPEL
This month we celebrate the coming together of the two “chapels”. Dent and Deepdale as Dentdale with our Anniversary Service on March 1st and then we share Tea together. On Mothering Sunday we honour the tradition of Deepdale chapel and meet with our Anglican friends at St John’s Church, Cowgill for their service.
We seek God’s will for us in the community in which we live and feel led to offer prayer and, where possible, practical support to people in our Dale. If you need prayer or a listening ear or support please do get in touch in complete confidence.
As we approach Easter we will place “symbols” of Holy Week besides a Cross and then empty it for Good Friday ready to decorate with bright material and/or flowers on Easter Day, if you would like to be part of this do join us, you will be very welcome.
Sarah & John Woof (25212)
PULSE COMMUNITY GYM
Hi to all our members and potential members. We would just like to bring you up to date on what’s happening to help you keep fit and well; by popular demand we have introduced a 6 monthly membership. At just £95 you can use the gym any time – it is open from 6.30am until 10.00pm (if you wish to pay by standing order this will be £20 per month).
We are awaiting delivery of a new ‘stepper’ machine and another rowing machine. This does of course mean that a couple of items will be removed from the gym to avoid overcrowding, but we carried out a survey over a few weeks to determine which of the machines were used the least. The least used was the ‘squat’ machine and another weight machine, but Garry Holmes, our fitness advisor, would discuss alternative exercises with anyone who is concerned about losing these machines. If anyone is interested in buying any of this equipment at a very reasonable cost, please ring to discuss this or any other gym related issue – contact Dot (gym secretary) at Baliol School 015396 20232.
Our Annual General Meeting is on Friday 24 April at 7.30pm in the White Hart Social Club. All our welcome and we’d be delighted to hear your views and ideas, after all - it is the community gym. Watch for posters in the shop windows.
We are concerned at the moment that some people are using the gym, who are non members. The committee and members will be monitoring this closely during the next few weeks. No-one makes a profit from the gym but if some people are using it without paying, this means less income to purchase new equipment and to keep the same high standard of maintenance.
On a lighter note, spring is just around the corner, so time to get off the sofa and get fit and feel better for summer – yes I’m optimistic we will have one.
Dear Sir,
WHY HAS ENGLAND BEEN ABOLISHED BY THE EUROPEAN UNION?
It is illegal to display the English (or Welsh or Scottish) flag on car number plates [only EU stars are legal].
Several English citizens have already been fined and given a criminal conviction for this "offence".
Several English universities prohibited students from showing England's flag at the recent world cup. All other national flags were allowed. At one U.K. university, students were barred from setting up an English Society.
Several councils have tried to prevent citizens from flying Union Jacks or St. George's flags from their homes.
K. Livingstone, ex Mayor of London, spent £100,000 of public money on St. Patrick's Day but not a penny to celebrate St. George's Day.
British Merchant Navy vessels have been ordered not to fly the Red Ensign, but only the EU Stars.
England no longer exists as a separate country on most EU maps. It is replaced by 9 Regions, to be governed by Regional Assemblies with members chosen by Brussels. At that point, Westminster M.P.'s will be superfluous.
The Encyclopaedia Britannica states:-
"England no longer officially exists as a country and enjoys no separate political status in the U.K."
English wine growers have been told by the E.U. that it is illegal to advertise English wine "as England no longer exists".
Clearly, all the above are potentially lethal assaults on our right to exist. An even bigger attack on all of us is the "scientifically" based lie that we are "racist" if we uphold the best elements of our nationhood. It is no more racist to do this than for South Africans, Australians, Brazilians and hundreds more nationals to celebrate their countries. There are only 3 biological races: Mongoloid, Caucasoid and Negroid. Nations are not races.
The European Union, to which no European Citizen has ever assented in a free vote, is a dangerous, totalitarian, Continental Empire. All the 3 major UK parties are quite content for the United Kingdom to fall totally into its power. If you are aghast at what we are telling you, there is only one alternative on 4th June 2009. Do not vote for any of them; the only party who will remove the UK from extinction is the United Kingdom Independence Party who polled over 2,500,000 votes in 2006.
Support your country!
John M. Mander (Sed. 20905)
UKIP Parliamentary Candidate
Westmorland & Lonsdale 2010
Edwin Bateman (Sed. 20217)
Secretary and Agent
COOKERY DAYS and B&B in Ravenstonedale
Fantastic cookery days exploring the magic of great food are now available in the village of Ravenstonedale. High Chapel House – formerly the village Manse – has been beautifully restored by its present owners, and now offers mouth-watering cooking experiences, as well as ensuite B&B accommodation.
Cook in Cumbria, run by experienced cookery teacher Yelly de Jong, offers day and evening classes exploring everything from local Cumbrian dishes to exotic Far Eastern cuisine. “Courses are very relaxed,” says Yelly, “with plenty of great food to sample, but you’ll also learn new skills and tempting new recipes to try out at home.”
Yelly, with husband John, have sympathetically restored the Grade II Listed property which now provides very comfortable accommodation. Guest rooms either overlook the large garden (complete with red squirrels) or have dramatic views of the Howgill Fells, with the peace only disturbed by the occasional tractor. The village itself was described by the famous fell-walker Alfred Wainwright as “a most blessed place”, and is a wonderful place to relax and unwind with a great local pub and a golf course. You probably won’t want to travel much beyond the front door, but if you do, the Lakes and Dales National Parks are within easy reach, and Sedbergh – “England’s Book Town” – is just a few miles away.
The house occupies an enviable location, with perhaps the best views in the village, close to some of England’s finest walking country. The purpose-built kitchen, with a cosy wood-burning stove, can accommodate groups of up to ten people, and Yelly will soon make you feel at home. “We start the day with great Italian coffee and home-made biscuits. I then demonstrate several dishes that we eat for lunch, followed by some hands-on work – something to take home. As it’s only a small group, people love getting involved and asking questions. It’s a great way to learn as well as have fun!”
Quality local ingredients from Cumbria’s ‘Taste District’, Yelly’s ‘secret’ recipes, and the stunning location overlooking the Howgill Fells, will make this a day to remember.
For more information about cookery days and current special offers, please visit www.cookincumbria.com, or for B&B accommodation, www.highchapelhouse.com. Yelly can be contacted on 015396 23411, or you can email her at firstname.lastname@example.org.
YOGA and POSITIVE THINKING: Panacea or Peril?
A day exploring yoga and positive thinking through postures, breath work, visualisation, affirmation, meditation, discussion and relaxation.
No experience necessary – just an open mind and willing body!
Saturday 4th April, 10-4 p.m. Peoples Hall
Cost £27 including free book.
Book through Deyna on 015396 21556
KIRKBY LONSDALE EMBROIDERERS
Our February meeting was an all day affair, with us stitching rainbow squares, which are to be featured at the Embroiderers’ Guild, in the morning and a speaker came for the afternoon session. This was very interesting as it featured servicemens’ embroideries and the talk was given by Clyde Oliver, himself a talented embroiderer. This puts aside the myth that men do not stitch! Considering that the servicemen did not have the availability of materials that we have today, the embroideries were stunning, using just items that came to hand.
Our March meeting is also to be an all day one, with nationally known textile artist Josephine Storey. We will be having a workshop in the morning starting at 10am with Josephine, entitled Frayed Fabric Gardens and then, in the afternoon, starting at 2pm we will have a talk and display of work. If coming for the full day please bring a packed lunch with you.
An advance notice is about our April meeting on Thursday 9th at 2pm when we will be welcoming the Reverend Canon J Arthur Dobb. We are very lucky to have Canon Dobb coming and he will be talking about and showing us his wonderful ecclesiastical embroideries.
As always, visitors and guests are most welcome and we meet at Barbon Village Hall. For more details please contact either Pat Mann on 015242 21017 or Ann Hunter on 015242 41120.
We look forward to welcoming you to our very friendly group.
Philip Horner
Fencing Contractor
Walling
Man & Tractor
Tel: 015396 21984
Mob: 07855 349157
e-mail: email@example.com
A Journey to Easter
Join us on a journey through Lent. A series of short, informal, reflections focused on stories and characters in the Easter story.
Using our senses to make sense of the stories!
4th March ------ Imagination
11th March ---- Smell
18th March ---- Touch
25th March ---- Taste
1st April -------- Hearing
ALL Welcome
6pm- 6.30pm
Wednesday Evenings
At the United Reformed Church, Main St.
For more details please contact Carole on 22030.
DENTDALE OVER 60’S
This year we are planning a few minibus trips for residents over 60. The idea is to leave Dent about 10 am returning by 3 pm, allowing time for coffee, lunch, shopping and exploring etc.
We would anticipate paying for our own refreshments and a small charge (£3/£4) towards bus costs, depending on the venue.
Some ideas so far include Orton Farmers Market, Hayes Garden Centre, Ambleside, Hawes, Settle, Kirkby Stephen (on Market Day), Heysham Nuclear Power Station, or Grange over Sands etc.
Each trip will be limited to 14 people, so pre-booking will be essential.
We need to know if there is enough interest before we proceed further. If you would like a good, informal day out with friends please contact Sue Johnson on 25742 or John Hyde on 25503. Please also let us know if you have any other ideas for places to visit.
ALLOTMENTS PROJECT
Sedbergh Allotments Project, Birks Lane
Many readers will have observed that work is now well under way at the Birks Lane Allotment site. In January almost 100 metres of boundary hedge (mainly hawthorn, blackthorn, hazel and willow) was planted with assistance provided by the Friends of the Lake District, the Yorkshire Dales National Park Authority and pupils from Settlebeck School. Digging has commenced on most plots and compost bins and raised beds are being formed (no buildings will be permitted on the site). By the time this article appears, it is hoped that the overgrown roadside hedge will have been laid and further rabbit-proof netting put in place. The provision of a water supply and repairs to the existing shed will be the next projects.
(Please note that, although the site has been developed as community allotments, there is no public right of way into or through the land, which remains in private ownership.)
A ‘Sedbergh Allotment Association’, affiliated to the National Society of Allotment & Leisure Gardeners Ltd., has been formed and is responsible for the day to day management of the site. All 26 plots have been allocated and the Association already has a short waiting list. Plot-holders are committed to organic methods of cultivation, as far as is reasonably practicable, and it is intended that the development should enhance the wildlife value of the area.
The Association is grateful for the grant assistance received Sedbergh Parish Council, Cumbria County Council’s Neighbourhood Forum, the Friends of the Lake District and the Sedbergh & District Community Fund. The favourable comments and words of encouragement from passers-by have also been much appreciated!
Please contact the Association via the Community Office (Jim Atkins) for any information relating to the allotments project.
ALLEGRI SINGERS
The Allegri Singers return to Sedbergh on Sunday 8th March with a programme that combines masterpieces of 16th century sacred music and 20th century English song.
The first half of Allegri's programme is made up of 'paired anthems': settings by two composers of the same text. Compare two beautiful settings of Salvator Mundi by Palestrina and John Blow. Or wonder why Gabrieli needed an eight-part chorus to portray the words Salve Regina while Peter Philips manages with only five voices.
The second half consists of English secular works from the twentieth century, with local composer David Collins' settings of four poems by Kathleen Raine, solos by Vaughan Williams and Warlock, and glorious part songs by Gerald Finzi.
In the six years since their formation Allegri, whose 20 singers come from an area bounded by Sedbergh, Lancaster and Barrow, have built a reputation for adventurous and enjoyable programmes. Sedbergh is represented by singers Penny Carruthers, Alison McLeod and Dorcas Thomas, together with Director Owen Davies.
The concert is at St Andrew's Church, Sedbergh on Sunday 8th March at 7:45. There will be a retiring collection for church & choir funds.
TO LET
3 Bedroom Terrace House in centre of town. Complete refurbishment. Garden & Parking. Gas Central Heating. Unfurnished. No Pets.
Tel: 07973 704664
SEDBERGH BRANCH ROYAL BRITISH LEGION
ANNUAL DINNER
Friday 1st May
7.00 for 7.30pm
Queen's Hall, Sedbergh School
Tickets £14.50
from The Green Door from April or Secretary Rose Pease
015396 21575
KATIE WOOF GYMNAST
Recently, 10 year old Katie Woof of Sedbergh has taken part in a two piece Gymnastics Competition at Barrow on 8th February where she competed against girls from Carlisle, Barrow and other team members form Kendal.
Katie gained a Silver Medal on the Vault with a personal best score in the 11 year and over section. She also came 4th on the Uneven Bars. Well done.
Do you need a simple, reasonably priced Web Site?
Then visit
robpowell.co.uk
or ring
015396 20482
CHILDREN’S PARTY 2009
On the 10th January we once more held our Children’s party for the younger children in Sedbergh.
Once more it was a popular and lively event with about 100 children attending. The party was great fun for all children and adults attending. This year we decided to not bring in a children’s entertainer, the feedback we had from the children was that they would rather have a more traditional party with lots of games and plenty of noise.
Thanks to Mrs Swallow and Mr Kendal and many other helpers we had a wonderful time playing games and winning prizes.
This year the children were invited to dress up and we had a colourful array of princesses, spacemen, cowboys we would like to thank the parents who put so much time and effort into the fancy dress. All children behaved well and are a delight to spend time with, even when the party tea was served they queued quietly and helped the younger ones with their food and drinks.
We would like to thank them for making this event such a lovely day.
At the Chair Workshop
- Chair seating
- Supplies – cane, rush, seagrass, ropes, cords
- Tool sharpening
- Haberdashery
- Bead jewellery
- Restoring
- Repairs – clasps, earrings, chains
99 Main Street, Sedbergh.
Tel 015396 21489
TO LET
PLEASANT ONE BEDROOM FLAT
86, MAIN ST, SEDBERGH
RENT £350 pmt, NO SMOKING
RING HILARY 20314
FRIENDS OF DENT COMMITTEE
The Friends of Dent Committee would like to express their thanks to all those who helped the Annual Promise Auction raise a fantastic £4000 last November for Dent C of E Primary School.
We would particularly like to thank the George and Dragon pub in Dent for providing a venue and buffet, Matthew Clayton for providing the sound equipment and of course David Hunter, the auctioneer (as seen on TV!).
The auction however would not be a success without the generous donations of local businesses and individuals and of course all those of you who turned up to bid!! Many, many thanks to you all!
The school have been able to purchase many things using the proceeds, including playground equipment, books, musical instruments and even some new non-smelly toilets!
The promise auction will take place again this coming November – any donations will be very gratefully received nearer the time and if you haven’t yet been to a Dent promise auction – make a note in your calendar and come along and see what you can pick up – there are always some great items on offer!
DIGITAL TELEVISION
The digital rip-off: your help needed
Some time soon our analogue TV signals will disappear forever. The official information campaign is trying hard to make sure that people won't be left without TV, but unfortunately this can come across in a slightly panicky way and it is causing some people to make rash decisions.
Elderly people, especially those who are housebound, are very reliant on television and many are really scared that they will be cut off.
Of course, there's always someone ready to exploit these fears. The result is that a lot of money is being wasted by those who can least afford it. There have already been many instances of people (mainly elderly) spending many hundreds of pounds on unnecessary aerials or new TV sets.
Crooked aerial installers are having a field day, and unscrupulous TV salesmen are telling people that they have to buy an expensive new set or they will have no reception. A lot of people have already subscribed unwillingly to pay TV (£500 per year?), under the impression that they have to do this or they will lose the BBC and ITV channels.
There is now a website - http://www.paras.org.uk/01-intro.shtml - that tries to cut through all the guff. It's been set up by trade insiders who are sickened by the rip-offs. Its totally non-commercial and the idea is that people with internet access can print pages and hand them to those that might need them. It would be great if your readers would take a look at the site and pass on the information to any vulnerable people they know.
Bill Wright
This article has been received and printed in good faith with respect to Digital TV. If you have any questions, we do have three businesses that advertise with us and are willing to answer them.
Ed.
FOR SALE
In Woodside Avenue, Sedbergh
2 Bedrooms - Semi-Detached House
Central Heating – Good Sized Garden – Off Road Parking
£175,000
Tel: 20792
H.M.S. PINAFORE
Or The Lass That Loved a Sailor by Gilbert and Sullivan.
Trial by Jury was Gilbert and Sullivan's first real success and HMS Pinafore followed soon after, with the Mikado, Yeomen of the Guard, Gondoliers, Pirates of Penzance and others enjoying great popularity as time went by.
Pinafore is full of good tunes and comic situations, poking fun at class divisions, naval incompetence and social conventions of the time.
The Summer Singers will start rehearsing this light hearted work on Monday March 9th. at 7.00pm in St. Andrew's Parish Room in preparation for a concert-performance in June. All singers will be most welcome. An excellent DVD is available: Faveo OA F4009D, which also contains Trial by Jury.
‘ALLO from the Rose Theatre Group.
Not long now until the thrills and spills of WWII come to the People’s Hall. This explosive production is presented by The Rose Theatre Group who also brought you Noah’s Lark, Spar Wars, Hazardous Hilda and Robin Hood. Come along and support the RTG’s review of two very popular TV programmes and enjoy the Evacuees choir with the children from the primary school. In keeping with the wartime theme all prizes for the raffle are black market specials. Hush, mums the word.
‘Allo - Is this Dads Army? has been adapted for the small stage with, of course, a few songs thrown in. It promises to be ridiculous in the extreme…. but it’s all in a good cause. All proceeds go to the People’s Hall Rebuild Fund.
Many thanks go to the Pulse Gym for sponsorship and to local business for help and support. The Charity Shop and Sedbergh School are also to be thanked for help on the costume front. Tickets are £3.50 adults £2 children plus family tickets are all available from the TIC (Tourist Information Centre) or on the door. For details call 015396 21808.
Performances are Thursday 12, Friday 13, Saturday 14 March, beginning at 7.30pm.
SEDBERGH SCHOOL
Congratulations to Sedbergh School runners, who posted one of their best ever results to finish fifth in the King Henry VIII Relay last week. This annual event is the biggest independent schools’ national cross country race, involving some 210 of Britain’s top schoolboy runners in teams of 6, each of which had to complete a testing 2.3 mile course in a relay. Beating the likes of Millfield, Manchester GS, Rugby and Shrewsbury, Sedbergh finished the best School in the North.
Sedbergh’s U17 Welsh International, James Brock (Y10), set the pace for Sedbergh with an eighth-fastest leg-time of 12.50, Josh Thompson’s (Y12) time of 12.56 was good enough to keep the School in the game, and its on-form running captain, Will Manners (Y13), put in a tremendous effort (12.51) to take Sedbergh up to sixth position. Excitement mounted as Sedbergh’s U19 Scottish International, Peter Harrison (Y11), finished his leg as fourth-fastest (12.55), before Tom Hinton (Y12), fresh from his Morgan Run win a couple of weeks ago, took Sedbergh over the finishing line in 13.17, for a combined time of 77.44.
Sedbergh’s running profile continues to go from strength to strength. This will be given a further boost on 3 March, when the School hosts the famous Sedbergh 3 Peaks Race. Then, on 8 March, the English Fell Running team will be at Sedbergh to provide pupils with a first-class coaching experience. And, on 14 March, the top independent running schools from the Midlands and North will be coming to Sedbergh for the 50th MANISCC.
CHARITY TEA PARTY
A cold and snowy day in Dent was brightened up very considerably by Janet Browning’s annual tea party. Hot drinks, scones and cakes were served to all visitors free of charge. Guests ate, drank, relaxed and socialised in front of a roaring fire. Many thanks to Janet and helpers for looking after everyone so well.
J.G.L.
PROPERTY MATTERS
Property and Economics for Red Nose Day 13th March
In the current economic meltdown, there doesn’t seem much to laugh at for those with savings or even those in ‘the property market’, but in true human spirit, life goes on and in many cases, strife generates a unifying effect among those able to stand up and fight the problem.
On two fronts, Cobble Country Property, your local professional Estate Agent in the area for nearly 20 years has decided to join the fun crowd on Red Nose Day and raise money for others.
Firstly, we’ll be hosting an event on Red Nose day where anyone can come and share their thoughts on where the economy and property market are going and also hear some thought provoking views from those whose jobs and careers and wealth are interdependent upon the health of the property sector.
Secondly, we are offering an unbeatable deal for those who choose our services for the next 3 months of March, April and May. We will match your best offer for the same service package as we offer to sell or rent your property AND donate £100 to Red Nose charity for every property we sell and £25 for every property we rent.
Full details available in our office windows at Sedbergh and Kendal and on the www.cobblecountry.co.uk website.
SEDBERGH SCHOOL GIRLS FUND
A meeting of the Committee will take place on Thursday 28th March at 4pm in the Bursary, Sedbergh School.
Applications for Grants should be made to the Honorary Secretary/Treasurer, The Bursary, Sedbergh School LA10 5RY by Wednesday 25th March.
DENT VILLAGE HERITAGE CENTRE
Someone borrowed a large hard back scrap book from the centre which was known to belong to Kenneth Cragg who sadly passed away.
It is causing great distress to his widow and family and for sentimental reasons would like to have it back.
Have you borrowed the scrap book or know of its whereabouts?
Could it pleased be returned to Jim or Margaret Taylor, High Laning Farm, Dent or Ring 25239
HOWGILL. CAN YOU HELP?
Each Church of England Parish is a registered Charity and must have a “Parochial Church Council” to keep the charity going and the parish church as a church for baptisms, weddings and funerals as well as Sundays. The PCC meets about four times each year. Several people have worked so hard over the years and many thanks to them, BUT the annual meeting is this month and we are in NEED of a new Treasurer and a new Secretary. You don’t have to be resident in the parish to be on the electoral role and to be voted on to these posts. Please can everyone think about whether they could help and get in touch with Dorothy Parker (Tel 20493) or Carol Capstick (Tel 21032).
MATHS TUITION
Key Stage 2, Key Stage 3, GCSE or A Level
Regular or occasional lessons with an experienced Teacher to suit individual needs
Contact: Marjory Glover 015396 25438
SEDBERGH SPRING SHOW
Come on folks! Let’s be having your entries. Without you there is no show. We know that you all have talents. Look out that photograph of little Jimmy, or even Grandma! What about that piece of pottery you made at school? Or that tray cloth you embroidered ages ago? Remember, it doesn’t have to be new, just never before exhibited at the Spring Show. The schedules and entry forms are widely available around the town, so pick one up today.
Make sure that you come along at 1pm on Show Saturday and admire all the beautiful exhibits. Mrs. Maggie Cullen, head teacher of our Sedbergh Primary School will officially open the show at 1.15pm. The Town Band will play at 2 o’clock, and then you can enjoy a delicious ‘afternoon tea’. (Oh yes! We have class!)
We look forward to seeing you all on the day.
Any queries to the chairman, Margaret Milburn, on 20160, or secretary, Wendy F-U on 21902.
SOUTH LAKES SOCIETY FOR THE BLIND
Sedbergh Group
Betty Harper arranged another delightful quiz afternoon, this time based on local place names. It created lots of fun and argument, and only a small amount of cheating!
There followed some discussion concerning the coffee morning to be held in the URC Rooms on 4th March. Requests were made for contributions to the cake stall and for raffle prizes. (Please come and join us if you are free.)
The next meeting of the group is on March 17th at 2.00 p.m. in the People’s Hall, the discussion topic being ‘A Grandparent.’ Enquiries to 21019.
JGL
YDNP
Landowners in the Yorkshire Dales National Park are being given the chance to put forward sites that could be used to ease demand for affordable housing.
The Yorkshire Dales National Park Authority (YDNPA) is asking residents to suggest areas that could be built on in an effort to create more housing for local need.
An appeal for sites was launched in January with members of Parish Councils and Parish Meetings being asked to put on their thinking caps and to talk to local landowners.
Landowners are being asked to submit sites with a closing date of noon on Friday, February 27. Details of how to submit a site are available on the Authority's website at www.yorkshiredales.org.uk.
After the closing date, a list of all the submitted sites will be published and members of the public will be given six weeks in which to comment on their suitability.
Those comments, together with all the relevant planning considerations, will then be used by a working group to draw up a shortlist of the best sites to present to the Authority.
That list will then be published in a draft Housing Development Plan document that will go out for a six-week period of consultation.
A final version incorporating any further amendments will then be published and examined by a Planning Inspector at a public hearing.
THE COBWEB ORCHESTRA
The annual, highly popular residential weekend of music will be held again this year in Sedbergh School’s Powell Hall. The orchestra will spend the period April 3rd - 5th playing a wide range of music, having fun and getting to know lots of people.
The weekend closes with an OPEN REHEARSAL (rather than the conventional concert) to which all are welcome, when the orchestra will demonstrate some of the works they have been learning. There will be no entrance charge though a retiring collection for Cobweb’s funds and the British Heart Foundation will be taken. Refreshments in the Hall will be available.
The Cobweb Orchestra, now in its 12th year, is open to all standards of musician, meeting regularly in groups, in Cumbria (Tebay), Durham and Northumbria. The groups come together for workshops, rehearsals, study days and, frequently, complete weekends. Its activities also include trips abroad: last year Germany was visited whilst this summer sees a return to Tuscany.
The group meetings often receive expert help and tuition from professional musician, member of Northern Symphonia.
Anyone interested in “dusting off the cobwebs” from their instruments and playing for fun are invited to contact Sheila Blackwell on (015396) 20056.
ZEBRAS NEW TO YOU SALE
Zebras are having their Spring Sale on Wednesday 25th March, from 1pm to 4pm. If any one would like to donate clothes, toys etc, please can they bring them on the Wednesday morning from 10am.
We will also be doing the commission sales, for a form please see Trish, Mags or Christine. Thank You.
On Thursday 31st March we are having a Bags 2 School collection, if you have any type of clothes, curtains, sheets etc, soft toys, bags and belts, we would be very grateful if you would donate them. To arrange collection please give Trish a ring.
Tel: 015396 21644. You can drop any bags in to Chapel either on Wednesday 30th between 1-3pm or Thursday 31st between 10-11am. We get paid by the ton so the more bags, the more money we raise.
We are grateful for all the support that we have.
ICE
Most people now carry a mobile phone with names & numbers stored in its memory. If we were to be involved in an accident or were taken ill, the people attending us would have access to our mobile phone but wouldn’t know who to call. Yes, there are hundreds of numbers stored but which one is the contact person in case of an emergency?
ICE stands for In Case of Emergency.
If you were to put the name of ‘ICE’ in your phone with the telephone number of the person you wish to be contacted in an emergency, it would make things a lot easier and quicker for the Emergency Services. If you have a number of persons that would fit this category, then name them ‘ICE 1’, ‘ICE 2’, etc which again would be easier for the Emergency Services if they could not contact the first person.
I know that this system is being looked at elsewhere in the country so maybe setting it off in Sedbergh & District will give it a big push.
Comments are invited from the Emergency Services on this subject which will appear next month.
D J Whicker
FROSTROW W.I.
What a wonderful Winter we’re having this year! The Howgills have been stunning with their icing of snow. We’ve had some lovely walks in the frosty weather. The December walk, led by Denise Thomson, started with a crash and a bang! As we were travelling towards Ravenstonedale, a Parcel Force van skidded on the ice and came hurtling towards us! We sat in stunned silence (we were stationary at the time) and waited for the inevitable bang!! Luckily the damage to our car was minimal so we were able to carry on to the edge of Orton to start our walk. We were a bit shaken but not stirred! A farm track took us past a stone circle and up onto the limestone pavements of Great Asby Scar. Passing through the Nature Reserve, we should have had stunning views but the mist decided otherwise! Another time perhaps? There was quite a lot of snow underfoot but by lunchtime the mist had cleared and the sun was shining. We stopped for the compulsory tea and cakes at the Garden Centre in Newbiggin, where the irresistible traybakes had just come out of the oven! What a glorious ending to our walk.
We had a very entertaining talk by Sarah Scarr, who kept us amused with her stories about her travels as a nanny. Although born and bred in Sedbergh, she has worked in places
THE HEAD AT MIDDLETON
Nr Kirkby Lonsdale, Cumbria Tel: 015396 20258
A Charming Country Inn in an area of outstanding natural beauty situated on the A683 between Sedbergh and Kirkby Lonsdale
Accommodation available
Family Room From £75.00 ~ Double/Twin From £65.00 ~ Single From £35.00
Prices includes Full English Breakfast
All Rooms En Suite, TV, Phone, Tea/Coffee Facilities
BAR MEALS or RESTAURANT and a LOVELY BEER GARDEN
ENQUIRIES WELCOME FOR GROUP PARTY MENUS & BUFFET PRICES
BASKET MEALS SERVED after 9.00 pm
PIZZA AND GARLIC BREAD TO EAT IN OR TAKE-AWAY SERVED UNTIL CLOSING TIME
USUAL OPENING TIMES
Monday to Friday 6 pm until 10.30 pm
Closed Monday to Friday Lunch times
Saturday open all day 12 noon to 11 pm
Sunday open all day 12 noon to 10.30 pm
Proprietors: David and Elizabeth Martin
ranging from the Cayman Islands to Japan. After experiencing sunburn, skiing and hot sulphur springs, she came back to this area and worked in a private school for twelve years. Medical problems cut short her career with children, so she came back home to Sedbergh and wondered what on earth she could do next. She had always been good at making cakes, jams and chutneys so she thought she might try to sell some. Her first stall on the Charter Market sold out! The business was launched! Sarah still grows her own vegetables and in 2001 her courgette chutney won a two star Gold Award.
She is hoping to expand the business in the very near future. We wish her every success.
We were very lucky with the weather again on the day of our January walk. The sun shone and there was a promise of Spring in the air. The views were glorious as June Mudd led us along the river banks of Dentdale and Deepdale and back along part of the Dalesway. The landscape looked very soft and gentle as we made our way towards Dent. We walked through the churchyard, where the snowdrops were in flower and called at the tea rooms where a lovely, warm fire welcomed us.
SEDBERGH SCHOOL
The Archive and Heritage Centre on Back Lane has had a super winter season. Whether visitors make appointments in advance or just pop in to escape the rain and snow everyone is welcome to come in and look around. Although the Heritage Centre is part of Sedbergh School we have historical documents and artefacts which relate to a wide range of local and national issues over the last five hundred years. This winter alone we have been donated a First World War Sword, a unique collection of photographs taken by a soldier who helped liberate Brussels and a portfolio of drawings and paintings by Tim Birdsall who contributed to ‘The Spectator’, ‘Private Eye’ and ‘That Was the Week that Was’.
The Heritage Centre has collections about both World Wars, maps of the school and surrounding area dating from the 1800’s, architectural drawings of the school buildings and an extensive library of books relating to the local area.
So whether you are doing a school, college or university project or are just interested to learn more please pop in or get in touch to arrange a visit. Groups are also very welcome and evening visits can be arranged to accommodate groups who have regular meetings in the evenings from the Scouts to the WI! So if you want to handle a gas mask worn round the neck of a Sedbergh child or pore over old maps to see how the town has changed you will be very welcome!
For further details contact me, Katy Iliffe, on 015396 22275, email firstname.lastname@example.org or pop in the Heritage Centre on Back Lane, next to the School Library building.
SEDBERGH
PRODUCERS MARKET 2009
Producers Markets will be held on
the last Wednesday of the month
April to September.
Previously operated by the Chamber
of Trade, the Producers Markets are
now under the auspices of Sedbergh
Parish Council and will be
administered by the Community
Office.
A number of innovations and
incentives are proposed to help
promote the markets and ensure their
vitality and sustainability.
These include
- Reduced charges for regular producers
- A ‘first week free’ offer for new
producers resident within the
LA10 postal district
- A Made in Sedbergh and District
stall selling craft items made as a
hobby or pastime by LA10
residents, to include greeting
cards, jewellery, wood turning,
rugs, knitted goods etc., with a
10% commission on sales to
cover expenses. Exhibitors will
hopefully assist with supervising
the stall on a rota basis.
It has also been suggested that a
little live, but not overly loud, music
could also be introduced. An
opportunity here to busk for a local
good cause or your favourite charity.
Any offers?
For further details or with other
suggestions, please contact the
Community Office on 20504.
Start
Easter Sunday in Style!
The Annual Churches Together
Sunrise Service
at Winder Trig will take place
on Easter Sunday 12th April.
Times will be posted outside the
URC, Joss Lane for leaving from
Joss Lane Car Park and for
the time to meet at the top.
All humans
and dogs welcome
If the weather is bad a cancellation notice
will be posted by midday on Saturday 11th.
Please check the board.
For details contact
Carole on 22030
SEDBERGH LADIES NFU
On 20th January 2009 Members
enjoyed a very interesting talk and
slide show about the establishment
and work on Jubilee Wood, given by
Mrs Susan Garnett, who kindly
stepped in at the last minute to
replace the advertised speaker who
had flu. She was thanked by our
President Mrs Marlene Mason.
24 members enjoyed a very good
meal at the Sedbergh Cafe on the
evening of 3rd February.
An interesting array of speakers are
lined up for the coming year and new
members are welcome. Meetings are
on the 3rd Tuesday of the month in
the Peoples Hall Committee room.
HOSSANA 3
Continued from the February Issue
Wednesday 5th
A meeting has been arranged by Duncan with a Water Aid representative and the Hossana Water Board for the late afternoon. I suggest he telephone Ato Lemma the Water Board manager and offer our engineering assistance to get the town water flowing again.
Ato Lemma comes immediately and takes Geraint, Nigel and me to the pumping station and leaves us there (got a meeting), but not before he advised me not to stand by the storage tank as there were virulent ants there. I can confirm this!
The pumping station foreman explained how the plant works. It is very much like a 1940s UK plant, and reasonably effective. What had happened was that as the pumping station was below the reservoir in a "hole" in the ground it had flooded in the torrential rain immersing the electric motors, pumps and some control equipment under four foot of water.
The foreman and his team had dried the plant out on Monday and Tuesday, but didn't seem to know what to do next. I sent the foreman to a borehole ½ km away to start its pump to fill the storage tank. When this was done we ran one of the pumps and the town started to get water. I noticed a take off valve and...
asked what it was and was told it went to an industrial area. So I had it turned off! (Might still be off!) The medics had indicated the dangers of disease (dysentery, etc.) if the water stayed off, so water in the town seemed the highest priority to me. Meanwhile on the lift Baby had changed all the burnt out contacts (from the spares) and Keith had rewired the car top and got the doors to close. A team of four arrived from Danlift, examined the lift and left taking Baby with them.
In the afternoon several of us examined the water system at the hospital. Remember the hospital was existing on grey water alone. The storage tanks were empty, the pump was missing (gone for repair) and there was no roof level storage tanks in the hospital building at all. We were told that when the pump worked, it only pumped to the ground and first floors only. As there was no storage tank in the hospital building maybe this is why the pump burnt out!
Then Duncan, Robin (who had now joined us from Yir Galem) and I go with the Water Aid representative to see the Water Board. They tell us that only 46% of the town has piped water. The World Bank is sponsoring a reservoir above the
(Continued on page 58)
hospital with a target of 75%, but it may not supply the hospital. We explain the importance of water at the hospital.
Duncan is to write to the funding bodies to get priority for the hospital. No water yet at the Heme.
Thursday 6th
Wake up to water at the Heme! Hooray, or "Hossana in the Highest". Keith and I go up the hospital to say goodbye and we all leave for Addis after lunch.
Friday 7th
We stay at a posh, two-month, old hotel called the Beshale in Addis. Keith and I go to Danlift with Nigel and negotiate the replacement of the controller, door gear, shaft wiring, ropes, etc. The cost is about £16,000. However, this includes 60% tax, VAT, customs duty, etc. As the hospital is a government project this should reduce the cost to £6,500. This will involve a lot of bureaucracy!!! Maintenance for four visits is about £300 pa. It is also possible that Keith and I could get the prices of the imported items reduced for a good cause.
Danlift take our photographs, video an interview with me and then they took us for a lunch at the Dembel Shopping Centre. Very nice.
In the afternoon, Keith goes back to Dubai for a day's well deserved rest before work on Sunday.
Duncan had spent the day "running"
all over town to get the medical equipment out of customs, including seeing the Deputy Minister of Health. He succeeded in the end.
During the debriefing session before dinner the power went off in the hotel. A diesel generator started up in clouds of black smoke. After 30 minutes the lights are still off so we send our manager Robin to ask the Bashale manager if “our engineers” could help. Yes please they say. So Geraint and I go into a room behind reception and find a harassed man in a boiler suit trying to manually turn the isolation switch from “normal” to “standby”. He explains that the unit has been serviced yesterday. Aha a clue!
Looking at the panel I noted a control knob was missing. With a pair of pliers the harassed man set it to “auto”. Geraint noticed another switch was set to “off” so we set that to “auto” and clatterbang (I jumped four feet in the air as I had seen the size of the incoming cables) and the changeover switch operated. Eureka, the lights came on. The whole process took about two minutes. We got wine on the house that night!!!
Saturday 8th
We had a further debrief. I said the lift could be fixed for a comparatively small sum of money. However, does
Hossana Hospital consider the lift is what they need. During our time in Hossana, Geraint had discovered unused medical equipment (autoclaves, anaesthetic, suction pumps, centrifuges, hundreds of spectacles, etc.) in a store room: some in their original boxes. I felt that the Hospital should produce a business plan to justify the expenditure. [Nigel already had ideas of re-locating the medical departments.] To this end I proposed that:
(1) The Hospital produce a convincing plan of how they would use the lift.
(2) The Hospital approach the Ministry of Health to ensure the 60% tax remission was available without the fuss Duncan had had.
(3) The Hospital find at least 25% of the capital cost. If they do this I will match their contribution.
(4) The Hospital commit to a five year maintenance contract.
Duncan said the Link could provide some funding and Keith had told me he would organise a sponsorship for funding similar to his charity walks.
Finally
I felt that we should not been seen as “do gooders” who flit in, make a lot of suggestions, and then are never seen again. I also felt that the Hospital would take more care of the lift if they had paid (at some sacrifice elsewhere) something towards it. We could always buy them other things, such a water tanks.
What an experience!
Without Keith’s help I would not have got so much achieved. Thanks Keith. Without Danlift we would not have had the local support we needed. We both felt honoured to be part of the visiting medical team and we admired their dedication. The background arrangements made by Duncan in organising hotels, transportation, etc. was much appreciated (Oh! I do love a bath!).
As Keith said in his farewell speech “If all the people in the NHS were like our companions then it would surely be in good hands.”
For some strange reason the medics have asked if I would go again. They apparently found me entertaining. Of course I will go again if asked, I feel I can do some good in Hossana. It gives me a warm feeling.
GARY ALLAN
Welding & Fabrication
Structural Steelwork, Farm Equipment, Farm Buildings Erected or in Kit Form, Specialist Ornamental Gates & Railings, Fabricated Steel supplied to the Building Trade, On-Site Welding & Repairs.
Light Oaks, Killington Kirkby Lonsdale Carnforth LA6 3EY
Tel: 015242 76426 Mobile: 07968 411787
MARCH GARDENING
They say that if you work in a chocolate factory, or a cake factory, you very quickly find that you never want to eat chocolate or cake again. I have never had the slightest inkling to not eat either, but I have on a couple of occasions suffered from a surfeit of a particular type of plant, so I can understand that it might happen and there can be too much of a good thing.
It must be about 25 years since I worked as a student with the National Collection of *Skimmia* plants which was then held at Leicester University Botanic Garden, and having planted, dug up, moved, propagated, weeded around, fed and watered a few hundred of the things, I did decide that I never wanted to see another one ever again.
However, I have found in the last couple of years that a *Skimmia* plant which was given to me as a cutting has proved to be one of the most reliable plants for all year round colour, neat habit and little need for maintenance in the garden, so I am now ready to acknowledge that
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For further details and an application form, please contact
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Closing date for applications:
Monday 16th March 2009
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Skimmias are good things to grow. My *Skimmia* (S. x confusa ‘Kew Green’), has aromatic mid green evergreen leaves and bears an abundance of richly fragrant, cream coloured flowers in spring. It thrives in a rubbly, stony patch of soil up against the east facing wall of the house and due to a happy accident involving a collapsed trellis on the house wall, it supports some of the arching stems of an old fashioned rambling rose, *R. ‘Veilchenblau’*, whose violet flowers make a stunning show against the glossy foliage.
Being a male plant, this *Skimmia* does not bear the bright red berries of some other cultivars. Perhaps when I have recovered a little more from my *Skimmia* overdose I may think of planting one of the female cultivars (S. ‘Foremanii’ is the most reliable) to complete the picture.
Elaine Horne
SETTLEBECK HIGH SCHOOL
Yorkshire Rangers
Year 11 student Chris Duncan has been working with the Yorkshire Dales Rangers. As part of this work he was asked to contribute to a health and safety poster advising walkers and visitors to the Dales. They were so impressed with his ideas that the poster is about to be published and will soon be on display. Chris said "Making the Countryside Accessible to Disabled"
Year 10 student Brad Reid is also working on a project with the Yorkshire Dales Rangers. He is currently sampling walking routes using a new vehicle … a Tramper which is intended to allow access to countryside walks for non able bodied people. The intention is that he will test each of the routes to check they are disability friendly. He has already pointed out problems with some of the gates.
Brad is also working with various people at Hawes museum to improve their disability access. Next month he is helping to devise an MP3 system in the museum. We are all extremely proud of the work Brad is doing to improve access for disabled people in the area.
John Muir Award
17 Settlebeck students have won an award to develop a part of the school grounds into a conservation area.
Eden Recycling Skip Hire
We provide environmentally friendly Skip hire, recycling over 80% of all waste brought into our fully licensed and approved Waste Transfer Station situated in Kirkby Stephen
Contact
• Tel 017683 72322
• Mob 07860 426716
• www.edenrecycling.co.uk
• Email firstname.lastname@example.org
We can supply Mini, Midi, Builders size skips and 25 yd Roll on off bins. Demolition, asbestos testing, and removal. Crusher Hire Recycled Aggregates delivered, as well as sand, and concrete mix, supplied loose, or in 1 ton dumpy bags
Waste carriers license CMA/192914 waste management license EAWML57540 issued by environment agency
The proposal is to create an area that attracts wildlife such as birds, insects and small mammals. The material used in the creation of the area will be recycled and the emphasis will be on sustainability, conservation and climate change. The area will include weather recording equipment which has been purchased through the schools initiative scheme. We hope to make the area accessible to all students during social times and use it to teach aspects of conservation through the science curriculum. The project will also involve creating a fenced off area in the school field limed via a path to the school yard, enabling disabled access.
**Stone Walling**
A number of Settlebeck students have been working with the Dales Rangers to repair a dry stone wall near the river at the back of the school grounds. They have also been working to improve the area by planting bulbs and making a path behind the pavilion to allow disabled access. The students involved in the project are Tom Coates, Harry Ellison, Peter Brown and Martin Woof.
Year 9 student Martin has enjoyed the project hugely. “It was great to be outdoors and learning new skills.”
**Kendal Brewery**
(Continued on page 64)
On 3rd February Lizzie Hunt represented Settlebeck at the Kendal Brewery Schools Music Platform. She performed Prelude in C# minor on the piano. The event is a showcase for musical talent in the area and she performed extremely well. "There were some very talented musicians at the event," said Lizzie "I enjoyed the experience although it was a little nerve wracking playing to such a large audience."
A New Look!
From September Settlebeck students will be wearing a new uniform. Dr Greene has involved the newly elected school council in the consultation for a brand new uniform. We have also launched a competition to design a new school logo which better represents Settlebeck High School. Watch this space for details!
Interview Day
Another very successful Year 11 Interview Day took place at the Bull Hotel on Thursday 5th February. Local business owners and representatives from sixth forms, colleges and other organisations interviewed students and de-briefed them on their performances. The students agreed that this was an excellent opportunity to practise interview skills in a formal situation outside school and to learn how feedback is given after an interview. Interviewers included Paul Lucas (QES), Mark Westwood (Westwood
Books), Steve Ball (M.K Conversions), Sarah Timms (Kirkbie Kendal School) and Alice Clegg (Dolphin Stairlifts). We are very grateful to all sixteen of the interviewers who gave up their time to help with this valuable annual event.
The day ran smoothly thanks to the help of the Year 10 guides and caterers; Jack Sunter, Lizzie Benson, Joe Clare, Lizzie Farrel, Emma Rennison, Robert Scully, Luke Ingham and Luke Cragg. As always, many thanks go to Dean and the staff at the Bull, who looked after us very well, maintaining the excellent standard of hospitality and catering.
Some comments from the Interviewers
"The students were well-presented and had a positive attitude, showing interest in how they could improve at a future interview."
"All the students had clear and well-stated aims and career objectives."
"I continue to be impressed by the maturity and personable nature of Settlebeck students."
"The students were able to converse freely with adults; they were positive and took the event very seriously."
"A good helper team made this a really fine day."
Contributions from Paul Lucas, Judith Bush, Annie Carol Gallagher, Anne Pitt and Stuart Manger.
Some contributions from Students
"I was really nervous before but it has helped me such a lot to prepare for the future."
"This was a valuable and informative day for us all."
"We are grateful to the interviewers for giving up their time to help us in this way."
"It was a mild wake-up call to the reality of life at sixth form!"
"A very realistic experience which has prepared me for my college interview."
Contributions from Jake Hodgson, Alex Lavery-Hoffe, Rose Bannister, Oliver Winn, Robin Littlewood, Jack Gill.
Judith Walsh
Maths Results
Year 10 students recently sat the first of their maths GCSE module exams. At Settlebeck we use data provided by a national organisation called the Fisher Family Trust which sets students individual target grades for their GCSEs. The most challenging of these targets is called the FFT 'D' target. Students achieving this target are performing in the top 25% of similar students nationally.
We are very pleased that the following students not only met this very challenging target but exceeded...
Congratulations to Xav Baines, Vicky Barnes, Lizzie Benson, Lauren Burrow, Dan Cressey, Hannah Hodgson, Robert Scully and Sean Winn. They deserve to be extremely proud of their efforts. Well Done!
We are also very pleased to announce that Jack Sunter scored 100% in this maths module – an outstanding achievement! Congratulations to Jack.
Zreece
Unfortunately the long awaited trip to Zreece ended in disappointment as the snow led to their flight being cancelled. Year 9 student Simon Hunter explains what happened. "We left for Stanstead airport at 2.30 a.m. on Monday 2nd February and had no idea of the transport chaos the snow was causing. Arriving at the airport about 9, we realised something was wrong. Mrs Brown came on the microphone to announce our flight had been cancelled. At this stage we thought we might be Ok as the airline had said they were going to try to find another flight. We got off the coach and went into the airport to await another flight but we were disappointed and had to get back on the coach and back to Sedbergh." Mrs Brown, the organiser of the trip was full of praise for the way the students behaved. "They made a very difficult situation far more bearable..."
and they deserve to be congratulated on the way they dealt with a clearly very disappointing event."
We are planning to try again next month!
**Sporting Stars!**
We have had some amazing success over the past term and we have highlighted some of the performances below.
**County Honours!**
Year 9 student Simon Hunter has just been selected for the U14s County Rugby Squad. "I can't wait to begin training" said Simon.
Lydia Gorst has shown her potential for some time now and after some outstanding performances she has been selected for U12 Cumbria county Cross Country team.
Simon Hunter is not just a star at rugby; he is also demonstrating a great deal of potential in golf. He, along with Year 8 students Jake Woof and Kieran Milburn have participated in county training once a month in Kendal. The boys are being coached by Andrew Pickering. "We are working on our swing and grip a lot," said Jake. "We are also learning how best to use each of the different clubs." Jake recently won the school golf competition organised by Head of PE Mike Orme.
We are also extremely proud to announce that four of our students are now the County Badminton Champions. Joe Clare, Xav Baines, Adam Robinson and Jamie Game beat Cartmel in Round 1, 5-0 which meant they progressed to the finals in Penrith. They beat William Howard School 3-2 in the second round and met Millom School in the final. They beat Millom 4-1 to win the county title. "They were tough games but we battled on and won through in the end," said Joe.
They will now go on to represent Cumbria at the regional North West finals in Wigan and we wish them the very best of luck.
**U15's Boys Basketball**
Settlebeck High School v Kirkby Stephen Grammar School
Settlebeck beat local rivals 37 – 17 in a one sided contest.
Settlebeck enjoyed their 1st win of 2009 against Kirkby Stephen with good team play.
Settlebeck stormed off to a 14 point lead in the 1st half with passing plays and strong rebounding. Playing a ½ court man to man defence gave Kirby little room to develop any scoring opportunities.
In the 2nd half a more individual approach let Kirby back into the game, but the result was never in doubt.
Man of the match was Alistair Bainbridge with 16pts and 8 rebounds, other notable contributions were from Luke Cragg 4pts, Xav Baines 8pts dazzled at times with his mazy dribbling skills.
The Squad: - Luke Ingham, Luke Cragg, Robin Littlewood, Harry Porter, Adam Robinson, Harry Porter, Xav Baines, Joe Clare, Alistair Bainbridge, Phil Baines and Robert Scully.
SEDBERGH BOOK TOWN
What difference has the Book Town made to Sedbergh & District?
Maybe you would be able to answer the question above, but it’s definitely possible that your answer would be ‘I haven’t a clue!’ Here’s a summary of some facts, figures and future hopes for the Book Town project, we hope you will be interested and impressed.
The Book Town consists of 2 companies, the limited company runs the TIC and the Dales and Lakes Book Centre and the charity is the Literary Trust which runs the festivals, events and workshops. Until June 2008 the limited company had a regeneration grant from Rural Regeneration Cumbria/now Cumbria Vision. Each quarter we have been required to report to them with figures to prove that their grant is being used correctly. The results which we have been measuring are both financial and social. This is a summary of the results of the project as accepted proved by Cumbria Vision at June 2008 the end date of the funding, the figures are the totals of 3 years trading. The figures do not refer to book shops only, any business which on being asked has said that the book town influenced their decision to open in Sedbergh is included. Their verbal remark is not accepted, a signed letter from them is required for the data to be included. (NB. None of this money has helped to set up any
of the private businesses in Sedbergh.)
1) **Jobs created:** jobs are listed as Full Time Equivalent FTE, this means that part time jobs hours are added and then divided by the number of hours that equates to a full time job. We have proved 11 FTE jobs have been created.
2) **Social Enterprises started:** 2 Sedbergh Book Town Ltd & Sedbergh Book Town Literary Trust
3) **Businesses assisted with management skills:** 40. This refers mainly to accommodation providers (B&Bs) who have been trained, given information, and helped with bookings and publicity through the TIC.
4) **Number of adults taking work based training:** 33. This refers to staff in the TIC and accommodation providers.
5) **Number of square meters of business space either new or upgraded:** 558 sq. meters.
6) **Value of grant funding which has been received by the Book Town to match fund the RRC grant:** £79,000. This is not necessarily cash and all is restricted funding meaning it cannot be used for anything other than the purpose for which it was given e.g. £20,000 has been received from SLDC to pay staff in respect of information services to visitors, £22,500 allowance against rent of £22,500 from YDNPA in respect of information services, £990 Sedbergh Chamber of Trade in respect of services to Sedbergh businesses, £15,000 for the Crisp advertising project which is taking place at present and which is for Sedbergh as a whole, etc.
7) **Number of Visitors:** when the project started in 2005 visitor numbers, as measured by the clicker on the TIC door, were around 26,000 per year and were down on the best years, which were before foot and mouth. To June 2008 142,386 visitors have passed through the TIC doors or approximately 47,500 per year, an increase of almost 100%. Obviously these visitors have supported Sedbergh businesses as a whole.
8) **Marketing Spend:** around £50,000 in total has been spent to advertise Sedbergh as a whole.
9) **Private inward investment:** this is an estimate of the money spent by...
those setting up businesses in Sedbergh as a result of the book town project. Over £400,000 or more than £750,000 if purchase of premises is counted.
There are many other figures which could have been collected but it is obviously from the above that the book town project must have made a considerable economic and employment difference to Sedbergh.
Some facts and figures from the Festivals and Events:
Those who have attended events over the past 4 years will know that we have had some terrific events and some very starry people have popped up here as a result of those events. It is a fact that almost all of the grant funding used to mount these events and all of the money taken in tickets has gone into the local community either as payment for services connected with the events or as free workshops provided to the community. It is a policy of the festivals that contractors are drawn from this community.
Grant funding for events from 2005: £96,750
Ticket sales: £29,000 (this money was also used within this community)
Total single visits to events over the last 4 years: 11,000, this means tickets sold or people taking part in events free of charge.
Participants – who takes part in events and what do they do?
Some figures from 2008 Festival of Books and Drama: 480 local people had a chance to take part in this one festival other than simply as members of the audience.
Primary school children and their parents, 60 attended the performance of Sedbergh Story Web the culmination of a weekly writing group led by John Rice.
Classes from Settlebeck attended 2 workshops (Swordfighting and The Football Reading Game) around 80 children took part in each workshop, total 160.
All of Balliol’s pupils took part in 2 workshops as above, 27 children. A group from Sedbergh School attended a workshop about street performance, 15.
70 writers, poets and actors took part in the Fringe Day, including Garsdale Scribblers, and people from Ulverston, Barrow, Bolton, Lancaster, Grassington writer’s groups. Around 70 children attended events on this day.
40 local writers took part in writing seminars of various sorts provided by the festival.
Around 10 local writers presented their work.
4 took part in a sword-fighting workshop.
This year these initiatives helped local people to take part; Golden tickets (free entry) for members of
(Continued on page 72)
Gladstone House and their carers, Golden Ticket for 150 school children from Settlebeck, we intend if funds allow and programmes are suitable to issue the tickets to all Sedbergh schools children in future.
Perhaps you are still wondering what the book town is doing that directly affects you? Here are some suggestions:
Do you have a youngster with a Saturday job in the family? Would that job be there if we did not have visitors?
Do you enjoy events at the People’s Hall? The book town is now the biggest user of the hall.
Do you know someone who has a B & B business, the TIC is really working hard to make sure that all the people who put visitors up or feed them are advertised well.
Do you think Sedbergh is really quite an interesting place to live?
Do you enjoy the opportunities the events and workshops give you and your family?
Have you noticed how much goes on in Sedbergh these days? Perhaps everyone in Sedbergh now has more confidence to look for grants and get things done because the book town has been successful.
Sedbergh is a wonderful place with a real spirit of CAN DO! People here have the imagination and energy to realise both big dreams and small dreams. All that effort and the extra money it brings into the town in every way make our community more able to do something more, to keep progressing, to keep offering everyone something that they value and that enhances their lives.
The Book Town company will keep working to make sure the town centre is lively and full while the charity will be more and more in evidence bringing fun and education to anyone who wants to join in.
The Conclusion
We hope these brief notes will allow readers to see that the Book Town project has already been of considerable value to Sedbergh in many ways, and if the results achieved so far are continued over a period of say up to 10 years a huge difference will have been made to the well-being of the town and its people.
Carole Nelson
GETTING MARRIED IN CHURCH
Part 2!
It was good to read Alan Fell’s explanation of the new rules around getting married at St Andrews in the December issue. It has led to a number of questions to me about getting married in Sedbergh United Reformed Church so I thought perhaps it would be helpful to hear from the other churches too about getting married in church.
Statistics prove that many people now walk away from the church when they want to get married. One of the reasons is confusion over what is ‘allowed’. In the United Reformed Church the phrase ‘anything goes’ is nearer the mark.
When a couple wish to get married in a United Reformed Church they approach the minister and a time to meet and chat is arranged. The Minister then reports back to the Elders who give permission for the wedding to go ahead.
A registrar is booked from Kendal and a time and date arranged. Together the minister and couple plan and prepare the service. Choosing hymns, words, promises and readings. I enjoy preparing services that have the personal touch and often when couples have children it is great to include them too.
It doesn’t matter where you live or plan to settle, if you’ve been married before or whether you attend regularly at Sunday worship. We feel it is the churches role to welcome everyone who wishes to begin married life together with God’s blessing.
Also possible are Blessing services for special anniversaries and civil partnerships.
I spent 3 years out of local church ministry before coming to Sedbergh whilst I worked in training and as a music tutor. It was the events such as baptisms, weddings and funerals that I missed the most. They are such a privilege to share with people, important times of life when God’s blessing is sought even by the sceptical.
So a little more of the Sedbergh Church jigsaw is in place, perhaps the Methodists, Quakers and Catholics could fill in a few more pieces in the next few issues.
Carole (22030) 🌸
Cobble Property ‘Prattle’
Do you wonder what to believe in the current times when all talk of property value direction is seemingly one way?
Ever felt like attending a focused discussion about what is generally our biggest personal investment?
Want some facts behind the headlines and scare stories?
Cobble Country Property invite you to register for a place at an upcoming discussion group when we host a short meeting where you can listen or share thoughts on the current market.
We are running the first meeting to coincide with Red-Nose day around March 13th so please call 015396 21000 now or look online at www.cobblecountry.co.uk for full details.
As part of our fundraising for this event you will be invited to guess the date that an average house on Bainbridge Road, Sedbergh may be priced at £2,500,000 (that’s £2.5 MILLION)
CUMBRIA WILDLIFE TRUST
Hill-Farming and Wildlife
Once upon a time there were “Wicked Landlords” and they set man-traps and employed guardians called Keepers to keep us all away. That was in the days before the Bicycle, and after the Bicycle came the Ramblers and after the Ramblers came the Environmentalists. The Cyclists looked, the Ramblers rambled and the Environmentalists pointed the finger. And high time you may well say. Then the Government saw that there was an untapped source of votes amongst the finger-pointers (more than farmers) then, some of the finger-pointers formed themselves into splinter-groups called Rewilders. This was very American and trendy and nice Natural England thought… Hey! this is groovy, let’s introduce Sea Eagles into Norfolk. But they weren’t alone. Other people thought it a shame that there weren’t Hedgehogs in the Hebrides, Wolves and Beevers in the Highlands, Boar in the New Forest, Grey Squirrels in all our woods, Himalayan Balsam and Japanese Knotweed, Bracken and Scrub all over the place … … and how about resurrecting the Dodo? (we almost can, you know) So we entered the
Yes please,
I want to join you and other like minded individuals for an informal discussion covering some aspects of the current property market and considering where the future lies for property in this country and beyond.
In particular, I am interested to know and share thoughts on the following (marking in the left column 1-5 where 1 is most important)
| When might be the best time to sell a property with or without possible negative equity? |
|------------------------------------------------------------------------------------------|
| Is it possible to rent a property at a ‘profit’ or cover mortgage costs? |
| How soon might it be a good time to buy property again? |
| Property market comparisons on the world stage |
| Please suggest your topic- |
Name(s) .......................................................... Number of attendees .......................
Address ..............................................................................................................................
Telephone (H) ................................................................. (M) ..........................................
Email ...........................................................................................................................................
Preferred time .. Morning Afternoon Evening
Anticipated duration 1-2 hours
Great Era of Free Market
Environmentalism ...the devil take the hindmost... like the farmers who feed us.
But there were many finger-pointers who were becoming embarrassed by all this. They’d been doing wonderful work all along: monitoring our birds, beasts and flowers, making nature reserves, feeding and providing nest boxes, and discouraging the destructive immigrants. They wanted to maintain a "Living Landscape" all around us, not only in the Reserves.
So, one Wednesday evening, a group of us enlightened ones went along to Settlebeck to discuss all this (January 28th). We enjoyed a fascinating evening starting with the DVD “Common Interests” and continuing with a discussion led in his usual thoughtful manner by Harry Hutchinson, Chairman of the Federation of Cumbria Commoners and of the Baugh Fell Commoners Association.
It transpired that we, in Cumbria, are surrounded by almost a third of the Common land in England (which, contrary to what many people think, is private) and that represents 16% of all land in Cumbria: a very significant
(Continued on page 76)
proportion. These Commons have been managed for over 800 years by generations of Commoners (mainly hill sheep farmers). If anyone or anything can be said to be indigenous to these landscapes, the Commoners have a better claim than most. For centuries the Commoners were totally self-reliant: dependent on inherited skills to make a living against the predators and the climate but without competition from other interests. Recently, however, immigrant interests (environmentalists, archaeologists, geologists and so on) have arrived to challenge this monopoly and seem to be winning more official support than the indigenous grazier communities.
Defra and Natural England, fearing that an increase in stocking numbers (due in large part to encouragement by government to make our country more self-supporting ... and surely we should be ...) was damaging the heather on the hills and archaeological sites, have sought to limit grazing intensity. As the value of sheep has fallen (fleeces costing far more to shear than they are worth (1,000 sheep shorn = 2 weeks work = £57, and the price of lamb and mutton hardly reflecting their production costs) and as essential outgoings are rising, farms' budgets have been coming under strain. Add
to this clumsily handled crises like Foot and Mouth and we should not be surprised to hear that many hill farmers are going, saddened, out of business. The palliative of support and environmental grants goes so far towards easing the hardship, but handouts are a poor incentive for any ambitious youngster choosing between his traditional family way of life and easier alternatives.
Our discussions highlighted the damage that predators (Crows, Buzzards, Foxes, Mink and even Badgers) do not only to new-born lambs but to other wildlife (destroying according to a 15 year study by the Game and Wildlife Conservation Trust almost half the clutches of ground-breeding birds ... and clearly there will be unkept areas, where the proportions will be much higher).
In our hills, the notable increase in Badger, Buzzard and also Oyster Catcher populations (for instance) seem to have been counterbalanced by the loss of many other species: Bullheads in the streams, Lizards, Cuckoos, Lapwings and Curlews and many smaller mainly ground-breeding species. These sobering thoughts were delightfully contrasted with fascinating anecdotes about Hedgehog communication, the intelligence of Sheepdogs, (who understand their job so well that they will frequently reunite lost lambs with their mothers and find them under snow-drifts...even flouting the whistles of the shepherd to do this) or the acute hearing of Foxes, Mink and Hares which makes it possible to call them right up to you, if you know how...
We went away saddened that a fine way of life was under threat, one of ideals and caring and of integration into the environment when so much around us is utilitarian and expendable, wondering who else would tend the magnificent countryside around us if our hill farming became uneconomic but aware that in that event the Wildlife Trusts would have to take on a much higher profile (some already hanker after just that): natural human integration into the countryside would have given way to the artificial "...wildlife tourism destinations!" (pace MPR). This must not happen. Nor should we sacrifice the produce of our local Communities to foreign interests for fear of the ogre of Protectionism. The Commoners have long been hospitable towards visitors...long may that last. We should start by asking where the meat on our plate comes from ..."Just ask".
J.W.G.C
Trevor Hughes followed up last year's talk on "Old Kendal-Now and Then" with another fascinating insight into the changes in the town's urban and social landscape over the last two centuries, this time - Part 2 - concentrating on the northern part of Kendal. His descriptions and entertaining anecdotes were woven around a series of photographic images which contrasted buildings, events and life in general from early in the 19th century and through much of the 20th century with recent photographs that Mr Hughes had taken himself, usually from the same viewpoint as the older ones. There was also a surprise 'hands-on' experience for his audience.
Beginning with the old Moot Hall and market place area and then working northwards and eastwards, we were taken on a whirlwind tour of public buildings, houses, streets and yards, depicting a plethora of changes: how the original frontage of the first public library (1855) at the top of the market place, for example, is now a shop front in Sandes Avenue; St George's Church by Stramongate Bridge was shown with its impressive original two towers; the old Black Hall brush factory is now (or was) the Halifax; the old workhouse became Kendal Green Hospital; the 'house of correction', a large prison between 1817 and 1894, prominent on the hillside above Windermere Road, is no more (Were the folk of Kendal and Westmorland too law-abiding?); the mass of cottages crammed onto Fell Side where about 8,000 people lived, sometimes with 15 to a single dwelling - now demolished, contrasted sharply with the handsome townhouse, still standing as the Post Office in Stricklandgate (which, apparently, was the first road in the country to be 'macadamised'- by John McAdam, who lived in Kendal) and owned by the Strickland family of Sizergh Castle; and there were hundreds of shops, including 38 butchers (many up Beast Banks where bulls were once baited), coffee shops, refreshment rooms, 'purveyors of meat', bakers, grocers (the first supermarket, the Co-operative Wheatsheaf, was established in 1962) and, of course, a great many public houses such as the 'Hyena', the 'Elephant', the 'Pump Inn' and the 'Duke of Cumberland', some of which have survived up to the present.
Old markets were shown (stalls run by men could be set up under cover, whilst those run by women had to be outdoors!), some vendors selling direct from their carts. Although, as today, market days were Wednesdays and Saturdays, there were special fish, meat, hen and pig markets in different parts of town in addition to general produce. Twice a year, in spring and autumn, hiring fairs for farmhands took place, and for the entertainment of the townsfolk there was the fairground, occasional visits from circuses (we were shown parades of elephants and camels from an early Barnum and Bailey's Circus, plus Chipperfield's in the
1960s), ice skating on the specially flooded Rink Field, the national '1,000 mile trial' for cars regularly came through Kendal, there were annual Sports Days on Scout Scar, and several cinemas such as the Palladium provided a permanent leisure venue.
Photographs of floods, including one of 1898 when Miller Bridge was almost submerged and 'Longpool' was under water, were shown and, as we are now being made more aware of extreme climate, one image showed people skating across a completely frozen River Kent!
We saw the old Lancaster and Kendal canal in its heyday, with the industrial area around Canal Head where Gilbert and Gilkes now stands and barges carrying not only the inbound coal for the gasworks and outbound limestone (thus giving rise to its nickname, the 'Black and White' canal), but also groups of Sunday School children on a day's outing to Levens. Above the canal head loomed the castle ruins, little changed since the 16th century when owned by William Parr, the last Baron of Kendal.
Mr Hughes paused only once through this whistle-stop tour, and that following a photograph of Charlie's Cafe in Stricklandgate near the corner of Sandes Avenue. It appears almost certain that, in the original building one night in 1746, Bonnie Prince Charlie slept there on his journey northwards when returning from Derby. Mr Hughes produced a jewellery box containing a short length of plaid which he had obtained from the Graham family of Ellerton Grange and which formerly belonged to the Prince himself. It was a privilege to touch the piece of cloth as it was handed around the audience.
So, in little over an hour, the Old Kendal had been vividly brought to life alongside the New. Thanks to Trevor Hughes we could clearly see how much more diverse the town used to be compared with the uniformity of shops, occupations and buildings seen today; though, in the case of Kendalians such as Mr Hughes, the people still take great pride and interest in their heritage.
Mike Beecroft.
SEDBERGH & KIRKBY LONSDALE NEIGHBOURHOOD FORUM
Summary of meeting held at Kirkby Lonsdale Institute on 20th January POLICE
Sergeant Jonathan Sizer outlined the policing structures for the area. Cumbria has 1200 police officers as well as support staff including Police Community Support Officers. The County is divided into three areas: north, south and west. There are seven Neighbourhood Policing Teams in South Cumbria including Kendal Rural which takes in Kirkby Lonsdale and Sedbergh. This is led by Inspector Ian Carruthers and includes three sergeants, twenty constables and three PCSO’s.
There are main “reporting offices” at Milnthorpe and Sedbergh as well as office room at Kirkby Lonsdale and Grange. Two teams operate in the area: ‘response’ and ‘community’. Specialist support e.g. Traffic, CID, Protection unit (domestic violence) is available to the area teams. Sergeant Sizer leads five colleagues (soon to be six) in the Community Team.
GRANTS
Sedbergh Wanderers Football Club Requested £300 Awarded £300
TRAVELLER & SETTLED RESPECT GROUP IN SOUTH LAKELAND
District Councillor Kevin Lancaster, Chair of the Traveller & Settled Respect Group in South Lakeland, outlined the constitution and purpose
of the group. He explained that it is a body which involves elected representatives (Parish, Town, District and County Councillors) and officers from the District and County Councils (Police, Environmental Health, Highways, Community Unit). The group is fortunate in that it benefits from good officer support.
Historically problems have come and gone. However, there have been issues in the Cautley area associated with the New Fair in recent years. Kevin suggested the approach has to be one of ‘give and take’. The intention is for the group to establish a plan for managing the lead up to, and dispersal from, the Fair in Appleby throughout the Lune Valley. Recently the group has looked at ‘pinch points’ for caravans in South Lakeland.
The group is integrating its work with neighbouring areas, particularly Eden, and will seek to expand this cooperation to include Lancashire and North Yorkshire.
HIGHWAYS ISSUES
A report was given on Highways issues raised at a previous (March 2008) Forum meeting.
Repairs to Straight Bridge and Lincoln’s Inn Bridge. *Both now repaired.*
Road edges e.g. Howgill Lane, are disintegrating due to large vehicles pushing out the verge and damaging the margin of the road. *Safety inspections take place to identify the worst sections. Details of sections of damaged road can be passed to the Highways Hotline on 0845 6096609.*
Additional examples were given at the meeting …
A684 Garsdale Road is ‘falling into’ the river. The barriers have also been damaged and one side of the road is now not protected by a barrier. Despite the significant amount of work done recently a combination of bad weather and heavy lorries has badly eroded the road surface.
A683 Badly eroded surface. Will Highways be involved in the Auction Mart planning application.
*Cumbria Highways were consulted on the highway aspects of the application. Permission refused by Yorkshire Dales National Park.*
Parked cars obscure visibility at road junctions in Sedbergh making it difficult to exit safely. *A future assessment may be possible using the Annual Review of Signs and Lines if Members of the Local Committee approve it.*
The next Sedbergh & Kirkby Lonsdale Neighbourhood Forum will be held the **People’s Hall**, 7.30pm on Tuesday 17th March 2009. All welcome.
VISITING SLOVENIAN SINGERS
The choral director Igor Velepic visited us in Sedbergh earlier in the year and taught us some wonderful Slovenian songs including Krasni Majnik, a beautiful song which describes May as "painting the flowers of Spring and crowning Mary with Smarnice" (small white flowers similar to our Lily of the Valley.) He liked Sedbergh so much that he's now coming back at the end of April with 40 singers from his choir including Ljoba Jence, one of Slovenia's top ethnomusicologists. Many thanks to those of you who have offered accommodation - and there are still opportunities for others to have some of these wonderful singers in your home so you can find out more about Slovenia and visit new friends when you are next on the sunny side of the Alps.
Another Igor who many of you will remember from when he came with the first Slovenian singers to visit Sedbergh just after the twinning began is Igor Cvetko. Igor has been in the Zrece newspaper Novice a great deal recently because of his Choral Cantata about the famous Zrece poet Jurij Vodovnik which has won national acclaim for the Zrece choir who sing it. Igor will be visiting with his wife Jelena in the summer when he comes with his Puppet Theatre to perform for the children.
Then there's the Crni Vrh male voice choir led by Veronika Rupnik, niece of one of the Zrece singers who came two years ago, who were so kind to us when we visited their village in the lace making area of Idrija in October - providing us with lavish meals and accommodation and arranging a packed out concert for us in the village hall. They'll be singing in Sedbergh at the end of July, and also at the Hardraw Gathering folk festival at the end of July before going off to visit another choir in Northumberland who many of you will remember from their visits here - the male voice choir Voicemale.
Voicemale will also be joining us at the Harmony Singing Festival on the second weekend in May and although we have invited several Zrece singing groups, we can't confirm yet who will be coming.
But we do know that Darja Mihelj, who came from Slovenia two years ago with her student friend Katja, and worked in Farfield Mill, the Bull and as a cleaner in various Sedbergh homes, is returning in the second week of July to continue her university research into the effect of Dorothy Wordsworth on the poetry of her brother William. She'll be staying in Sedbergh and would welcome any offers of work you may have for her.
SLOVENE BANDS
The top Slovene folk band Katalena are also scheduled to visit Sedbergh in June and have been offered a gig at the Dent Folk Festival. Costs for their tour are understandably enormous as they have to hire a lot of equipment and at the time of writing their manager was waiting to hear if they will be able to get the funding which would make their visit possible. (If you google Katalena and myspace
you can see videos of them performing.)
Another band awaiting news of their funding is the Zrece Town Band for whom a small team headed by Dave Smith are busy preparing a challenging bid to the EU Commission which will help with the expenses of the 60 bandsmen. The Zrece musicians are hoping to meet up with the Sedbergh band to play together and do a joint concert.
**SLOVENE LANGUAGE COURSE**
With so many Slovenians visiting the area you'll be pleased to know that the Slovene language class is progressing apace with the help of new learning resources including a fun computerised language course which eases some of the burden of learning certain difficult aspects of Slovenian grammar. If you do find yourself meeting one of our Slovenian friends who don't speak any English our friendly Sedbergh students will be only too happy to help you with translation.
We are also planning a Slovenian language Summer School in July taught by Slovenian teachers to run alongside the English as a Foreign Language course for Slovenes being put together by Dave Smith and his team. Even if the English course doesn't run, we will still go ahead with the Slovenian course as we already have an excellent teacher lined up to help and several keen learners.
I've been invited to attend the inauguration of the new Slovenian Ambassador Iztok Jarc, Slovenia's former Agriculture minister, and am off to the embassy reception in London next week to help Sedbergh keep it's highly acclaimed international profile - I shall let you know how that goes, as well as our bid to receive a prize from the EU for having one of the most active town twinnings in Europe.
I remember a few years ago the Sedbergh singing quintet the Cautley Carollers were in Naples for the International Singing Festival and the announcer was welcoming the different choirs: "And now we have the Rome Opera Company." Followed by: "And now the London Chamber Choir." After which came: "And now the Paris Singers." And then the list of cultural capitals was complete when she announced: "Please welcome, The Cautley Carollers."
It continues today with most visitors from Slovenia to Britain insisting that while it would be nice to see London, Edinburgh and Cambridge - Sedbergh is the place they most want to visit. To those of us who live here this is of course no surprise!
David Burbidge, Town Twinning Committee Cultural Coordinator
CONSERVATION AREA REVIEWS
Dent and Sedbergh
Some places are special because they are historically and architecturally interesting and have distinct character. This quality derives not just from the presence of a few individually important buildings but from the way in which all the buildings, other structures, and the spaces between them fit together and contribute to the character of the place. The designation of a conservation area gives recognition to these values and offers means by which the character and appearance of historically or architecturally important areas can be protected and enhanced.
Dent and Sedbergh both have designated conservation areas. The Yorkshire Dales National Park Authority, as the local planning authority, has a duty to draw up conservation plans, proposals for the preservation and enhancement of the conservation areas within its boundary. At its simplest, a conservation plan is a document that explains why a place is significant and how that significance will be retained in any future use, alteration, development or repair. The conservation plan should seek to enhance what is already there and, where change is appropriate, should help to manage it intelligently and not constrain it forever.
For a plan to be effective it is important that rational and consistent judgements are made in determining the special qualities and local distinctiveness as well as their value to the local community. Such judgements should be based on a thorough understanding of the area, reached through a detailed appraisal of its character.
An effective character appraisal should identify what is significant about the buildings, the spaces, and the traditional features of a place. It should identify how and why it has changed over the years. It should also seek to understand why people choose to live there or work there. Local residents know a town better than anyone else and it follows that a character appraisal will be of reduced value if it is not based upon such local knowledge.
The Yorkshire Dales National Park Authority has commissioned Kate Bailey, Sarah Rycroft and David Williams of Envision to prepare
conservation area appraisals and conservation management plans for Sedbergh and Dent. The Envision team spent some time in each town in December and initial meetings for small stakeholder groups were held in January. Draft character appraisals have now been drawn up and will shortly be circulated to interested individuals, organisations and community representatives for comment.
A formal public consultation period will start on 2nd March and run until Easter Tuesday 14th April. During the week commencing 16th March there will be an Open Day in each town. These will include exhibitions of draft management proposals, and "round table discussions" to encourage as many people as possible to contribute to the appraisal process. Everyone who attends will be invited to respond to specific queries in the draft report and also to express their views about any other issues they believe are relevant to the future management of the conservation area. Walkabout events will be held in both towns on the following Sunday.
Please come to the events to share your knowledge of the two towns with the Envision team. Make sure that your views are represented.
Programme
Dent Open Day
Sedgwick Room Tuesday 17th March
3:00pm - 7:30pm
Sedbergh Open Day
People’s Hall Friday 20th March
3:00pm - 7:30pm
Dent walkabout
Dent Car Park Sunday 22nd March
9:30 am - 12:00pm
Sedbergh walkabout
Joss Lane Car Park Sunday 22nd March 1:00pm - 4:30pm
COUNCILLORS CORNER
Fingers crossed, but it does look as though the Auction Mart / Health Centre / Spar Convenience Store is now on course for resolution in a way which is likely to provide reasonable satisfaction for all parties concerned. The Doctors are now likely to be submitting amended proposals to YDNPA with an assurance from its officers that the new plans will be recommended to their Planning Committee for approval. Spar has also helped to significantly alleviate the concerns over the effect on the local economy by proposing to split its present Main Street premises into two and guaranteeing to continue trading from its present site for at least two years following the opening of its new store. There are still residual concerns, for example the accessibility of the new Health Centre to those living on the eastern side of town and it is hoped that the Doctors will consider making suitable transport arrangements for those in difficulty so as to provide convenient access for all. So, as I say, fingers crossed that everything will proceed smoothly from hereon for the benefit of everyone living in our community.
It's getting to that time of year again when we are soon likely to know what our Council Tax bills will be for the coming year. We are all aware of the horrendous effects that most of us as individuals are suffering from the economic downturn and local councils, regrettably, are not immune to this. As far as South Lakeland District Council is concerned this has resulted in having to find savings in the region of two million pounds in order to produce a balanced budget. The good news is that as the present Lib Dem administration has been extremely prudent in building up its reserves over the last few years coupled with general good housekeeping, the effect on the Council Tax payer is likely to be less drastic than it would otherwise have been. We are very hopeful that we shall be able to limit the Council Tax increase to no more than 3.0% for the coming year. The not so good news is that there
will inevitably be small cut-backs of services in certain areas and certain charges may also need to be increased. One proposal put forward in this context is the introduction of night-time parking charges in all SLDC car parks across the District. This would effect Kirkby Lonsdale but not Sedbergh as the Parish Council here had the foresight to take over the running of its own car parks. The night-time parking proposal has in fact been very controversial and the decision was “called-in” by back-bench members of the Council, initially for scrutiny and then for reconsideration by the Cabinet. I am pleased to report that on the 17th the Cabinet reversed its decision and decided not to impose night-time charges. There is likely to be, however, a small increase in day-time charges.
On the 21st January along with members of the public I attended a meeting at Brigflatts to begin a review of the Sedbergh Conservation Area being undertaken by the National Park. This was the first of what is intended to be a series of meetings which will also include a Conservation Area “walk-about” on the 21st March. Please contact YDNPA direct to confirm dates and details.
Some of you may remember my writing earlier in the year about the proposed Local Area Partnerships (LAP’s). Following the holding of the Parish Summits a second round of consultation is about to begin. Do try and acquaint yourselves with the contents of the Consultation Document available either from SLDC direct or via the Parish Clerk who should have a copy. Particularly if you live in the Parishes of Killington or Firbank this is the opportunity to say whether you would choose to be in the Sedbergh and Kirkby Lonsdale LAP or the Upper Kent LAP. You can let me know about this too, of course. Peter and I are always available to listen to and attend to your concerns so please don’t hesitate to get in touch:
Ian McPherson: Tel. 015396 20648
e-mail: email@example.com
Peter Woof: Tel. 015396 20857
e-mail: firstname.lastname@example.org
CHRISTIAN AID
in Sedbergh and District
Christian Aid begins its yearly round of events this month with the Coffee Morning on the 18th March in the URC rooms, Sedbergh, from 10am to 12 noon when there will be the opportunity to catch up with the Christian Aid local committee and to discover more of what we are up to this year. One thing rapidly approaching is Christian Aid Week from the 9th to 15th May. The Annual Service is being hosted this year by Sedbergh Methodist Church at 6.30pm on Sunday 10th May while our special “Shop” for the week once again will be located in the URC rooms. Do start to earmark unwanted possessions you would be willing to donate to help us raise funds through the shop for Christian Aid’s worldwide projects.
This year the focus of the week is on the work of Christian Aid in the Democratic Republic of Congo – a country I myself have particular links with having worked there for the Anglican Church in the Diocese of Bukavu for the best part of four years from 1988 to 1992; the last part of the President Mobutu Sese Seko era of misrule. It was a country in chaos then but in the years since we had to evacuate it has been constantly surfacing in the world news for all the worst reasons; the Rwandan refugee crises and the Interahamwe
insurgences; volcanic eruptions; cholera epidemics; civil war; rebel army factions; raids and massacres. All these mainly affecting the North Kivu region where I was based and last autumn specifically the town of Kiwanja where I lived in the district of Rutshuru near the eastern border of the country with Uganda and Rwanda. It was good to hear the news recently of the arrest of the most powerful local warlord who had been terrorising the region.
What happens in the D. R. Congo goes largely unreported, a case of being too far away, too large a problem, too little infrastructure, and no-one really known to the rest of the outside world being there. What news there is trickles out generally through N.G.O’s., aid agencies such as Christian Aid and Church bodies. A recent appeal came to the Anglican agency, the Congo Church Association from the Bishop of Bukavu. Bishop Bahati wrote of this dire situation:
“Currently, over one million people (men, women, children) are living outside, in schools, in Churches and in some hospitable families. They don’t have water, food, materials, clothes, utensils and latrines. These people living in hardship are exposed to hunger, illness and death of some fathers, mothers and children. The Diocese of Bukavu is requesting an urgent spiritual, material and financial support from our partners and friends that will enable us to assist the people, so that they may provide for their basic needs. We request your prayer that peace may reign in our communities in particular and in the D.R. Congo in general.”
Over one million displaced people – so hard to imagine that their plight goes so unrecognised. However Christian Aid Week will go a little way to help bring some insight into life in the vast area of the Congo. Bukavu and North Kivu are over on the eastern side of the country but the capital city, Kinshasa, is two thousand miles west. It was the location of the famous “Rumble in the Jungle” of Muhammad Ali versus George Foreman for those of you with long memories of famous boxing events. Life in Kinshasa today, where the fight is to improve the opportunities for life, will be highlighted in the Christian Aid Week materials.
Do come and support our events if you are able – Christian Aid’s work does make a difference to many the rest of the world often overlooks but who really appreciate the support given to help them get up and get on and be able to start to create a future.
The Revd. Anne Pitt
On behalf of the Christian Aid Committee of Sedbergh and District
ACUPUNCTURE
WHAT DOES FEEL LIKE?
When I ask my acupuncture clients what they are feeling during treatment, they often begin by saying that it is difficult to describe. We are looking for a feeling, inside the body rather than just on the skin, which indicates that the presence of the needle has been picked up in a way which is different from just pricking yourself with a sewing needle. The vocabulary people use to describe the sensation varies a lot: a tingling, a thud, a dull ache, numbness, a feeling of warmth, a feeling radiating out from the needle or moving along an arm or leg. Sometimes it happens that a needle in one location will affect a part of the body some distance away. The classic example of this is a point below the knee which often provokes tummy gurgles.
Acupuncture needles are very fine and quite flexible like a fine piece of wire. They are made of surgical stainless steel and shaped to minimise discomfort. The ones I use vary from 0.18 to 0.25 millimetres in diameter. Typically the depth of insertion is between 1 and 10 millimetres, but it may be more if the aim is to influence a tight muscle. Most points I use are on the arms, legs and back, but I also use points in the area of any particular problem, such as points at the back of the neck to affect a tension headache.
Once the needles are in place, people usually experience a sense of deep relaxation, which they enjoy for the 20 minutes or so the needles are retained.
For the acupuncturist, the skill lies in choosing a good set of points for each individual person. Two people may come with the same complaint (typical examples for women, at various stages, of life might be painful periods or hot flushes) but be treated with a different combination of points. This is because of differences, not only in the precise nature of the symptoms, but also in the underlying health, state of mind and constitution of the two individuals. As the Chinese saying goes, “Same disease, different treatments”, which means the treatment is tailored to the person, rather than to the name of the disease.
The second part of that saying is “Different disease, same treatment” is perhaps slightly less easy to understand. For example, two people of similar age and constitution, both
working hard under pressure may each be feeling rather anxious. In one person this might result in digestive symptoms, such as irritable bowel syndrome or simply a churning feeling in the stomach. The other person may have flare-ups of eczema when under stress. Although the diseases seem very different, the causes may be similar, leading to a similar combination of acupuncture points being chosen to address the underlying disharmony.
All acupuncturists have their favourite points. I am particularly fond of certain points which regulate digestion, absorption and metabolism as I feel that efficient extraction of nutrients from food (turning food into energy rather than weight gain) is fundamental to good health. Another of my favourite points is on the top of the head and can be used to clear the sinuses. There are several points which regulate the heartbeat and relax the chest and these are favourites of mine because they also have a balancing effect on the emotions. In Chinese medicine the functions of the organs of the body and the emotions are not separate, so that by treating one, you automatically influence the other.
For more information, please contact me (015396 20972) or visit the website of the British Acupuncture Council (www.acupuncture.org.uk).
June Parker
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The Wine & Coffee Lounge at The Old Dairy Farm
Widdale, Hawes, DL8 3LX Tel: 01969 667070
3½ miles from Hawes on the B6255 Ingleton Road
Open For
Morning Coffee : Lunch : Afternoon Tea : Dinner : Sunday Lunch
Fully Licensed
We offer a wide range of coffees and teas,
a comprehensive wine list, selection of malt whiskies, liqueurs and spirits, and a variety of menus.
Theakstons & Kronenbourg on draft.
Try our Early Evening Special available 5.30pm to 7.30pm
2 courses £12.50
3 courses £15.00
by advanced booking only
Excluding December
Our tasty, evening a la carte menu offers local and international cuisine
Prices from
Starters £3.75
Mains £10.50
Desserts £5
Our traditional Sunday Lunch Menu is only
2 courses £12.50
3 courses £15.00
and is supported by blackboard specials
Usual opening times
Friday & Saturday : 10.30am to 3.30pm (ish) — Thursday, Friday & Saturday : 5.30pm to late
Sunday : 11.00am to 3.30pm (ish)
Our Restaurant is available for private hire.
OUR RIVER, THE CLOUGH
A clough, says the dictionary, is a ravine or valley, and so our river, rather than being the river Clough should be the river in the clough. Although running through some meadowland for much of its length, our Clough is also bordered by cliff face or steeply rising hills causing the water to be covered in deep shadow in many parts. The icicles which form on the shadow side of the cliff face stay clinging there and gently dripping long after the rest of the dale is beginning to warm in the spring sunshine.
One winter, a strange formation gathered at the base of a small waterfall, the movement of the water swirling among the stones and immediately freezing caused a number of circular flat shapes like frozen pancakes to move and jostle for position among the froth and foam.
As the snow melts on the hilltops, the icy water runs over the already sodden ground causing streams, waterfalls and rills to form in unfamiliar places. Gathering momentum it rushes and tumbles to join the river in the dale. The level of the river rises and swells covering the once bare rocks as it makes its preordained way towards the sea. As the spring sun begins to warm the hibernating ground, the primroses and violets tentatively appear at the
waters edge. The spring green shoots begin to show among the wind dried ochre grasses. Coltsfoot stand at attention in untidy clusters holding their yellow fringed faces to catch the welcome gleam of pale sunlight... In the nearby trees and hedgerows birds change their calls from an inane and communal chattering to a strong, purposeful and individual song.
Attracting a mate has become an immediate necessity. Nest building, this season's popular activity.
The Mallards well known for producing a clutch of maybe a dozen young make very neglectful parents leading their family into danger without it seems a second thought. The dark and fluffy flotilla follow wherever the adults lead, their tiny webbed feet working at great speed trying to keep up, anything slightly uneven, a pebble, a clump of grass has them falling forward flat on their neck and beak their unformed wings outspread in a vain attempt at keeping balance. In a matter of hours the family will have shrunk by half. Some will have been drowned and others will have been taken by hungry rats, other water fowl or perhaps a heron. All creatures have families to feed at this time and an unprotected young of another kind is easy prey.
The brown trout which used to be prolific and supply the local families with many a meal both fresh and salted down for the winter, have dwindled to near extinction here and the salmon-trout which use the upper river for their spawning grounds depend upon high water to be able to reach them. Although we are not short of rainfall, often there is a dry spell at the appropriate time. There are I understand some crayfish if you know where to look.
A relatively new visitor to our waterway is the brightly coloured and over confident canoeist. Many a piece of red or yellow hull can be seen having fallen fowl of rocks just below the water level.
Throughout the year the changes in and around the river give tremendous pleasure and entertainment to anyone with a few moments to stand and stare. Grey Herons, a Kingfisher or two and red squirrels are here.
The sound of the river proclaims the level of rainfall a tinkling trickle or a pounding surge is the music we in Garsdale live with and enjoy.
RAG
I continue to be sceptical over how Hilary Benn, an MP representing the middle of Leeds, can hope to make a success of being the Minister for Defra. Of course he will receive lots of briefings from industry organisations and civil servants but in my role as Shadow Defra Spokesman I find that it is the informal conversations that I have with farmers and other food producers across South Lakeland that really help me in understanding the issues faced by the farming industry.
Several farmers have told me how angry they were to hear that the NHS was reducing the amount of meat and dairy foods it plans to serve patients, in order to, apparently, help reduce its level of carbon emissions. What rubbish. If the NHS wants to seriously reduce the carbon emissions that it generates through its food policies then surely the first place it should look is the amount of transport involved in delivering the food it serves. Does it always use British food where possible or does it go only really care about the price and not take any interest in where it comes from? Defra is conducting a review of public spending on food, the Government spends about £2.2 billion on food each year across schools, hospitals, prisons and other departments, and I believe that they should take the opportunity to not just think about prices and even environmental impact but also the role it can play in supporting a local food industry. As a result I have called upon Mr Benn and Defra to take this opportunity to use the review in order to use the Government’s budgets to invest in creating a healthier food industry.
There have been a whole raft of farming issues I have been pressurising the Government over this past month. After a period of seeing milk prices rising towards sustainable levels, retailers and their processors are yet again trying to push prices down. Given that they have seen their margins on milk rise from 10% to 30% over recent years this seems very unfair and I have
pressed the Government to proceed with plans to introduce a market regulator so that dairy prices can be based upon proper profitability calculations rather than an unequal balance of power between big supermarkets with their milk processors and small farmers.
We also found out that it costs over £700 per payment to administer the single farm payment scheme in this country and yet nearly 15,000 payments are for £400 or less. There was even one payment of only 70p! This cannot be sensible so I have called upon the Government to put in place a minimum claim of £250 and use the money saved to invest in hill farming which could well do with this money.
Added to this there has been the report into 2007’s Foot and Mouth outbreak and how it was handled, the need for government support for farm biogas generators and the desperate plight of the bee industry and I have been spending a lot of time keeping Mr Benn up to speed with the issues facing farmers.
If you have any issues I can help with in farming or otherwise then, as ever, my contact details are Tim Farron MP, at Acland House, Smokehouse Yard, Stricklandgate, Kendal LA9 4ND or email@example.com
Thanks for your support
Tim Farron MP
SEDBERGH TOWN BAND
After an extremely busy and high profile December, the months of January and February have been seemingly quiet months. However, behind the scenes in the Sedbergh School Band Room, the Band has been industriously coming to grips with the large number of new pieces that have been introduced to its repertoire. As the Band’s public commitments throughout the year unfold, so will the new music be seen to play a central role in the programmes presented.
The Annual Band Concert on March 18th will be the first airing quickly followed on Saturday 28th March in the People’s Hall when the Band will be providing background music at the Spring Show.
GB
Cumbria Stove Centre
Supply and installation of wood, coal and gas stoves
Flue and chimney lining services
Inglencook specialists
Fully qualified and experienced Hetas engineers
01539 821061 (day)
015396 25227 (evening)
SHOWROOM:
34a Main Street, Staveley, Nr Kendal
YDNP
Residents are being asked to help look after the hundreds of miles of roadside verges in the Yorkshire Dales National Park. Yorkshire Wildlife Trust, the Yorkshire Dales National Park Authority, North Yorkshire County Council and the Nidderdale Area of Outstanding Natural Beauty are working in partnership to improve the management of the road verges across the Dales.
And they are hoping to recruit groups of people to adopt stretches near their homes.
If you know of a good wildflower verge and would like to help the project to look after it, please contact James Ferguson on 01756 751603, or firstname.lastname@example.org.
E. P. C. S.
for all your pest control problems also tree felling fallen trees logged or cleared for quotes, phone Chris on Tel: 015396 21531 Mob: 0786 6007 739
BABY CLINIC
From 1 March 2009 there will no longer be a Baby Clinic on Wednesday afternoons at Sedbergh Health Centre.
There will be a regular 'Drop in' Child Health/Baby Clinic in the People’s Hall on the 1st and 3rd Thursday of each month from 2.00pm - 3.30pm.
This clinic will take place alongside ‘Tiddlers’ Parent and Baby Group.
Paula Ambrose 20979
WHYNOT ALPACAS
are appearing at the Lakeland Hospitality Show at the Windermere Hydro on the 17th and 18th March and also at Whittington Races on April 11th, Easter Saturday.
We are also planning an Open Day in May, on a date to be confirmed which will appear in Lookaround nearer the time, by which time we should have some alpaca babies for you to see.
CHARITY TEA PARTY
A big thank-you from Janet and the team at Stone Close Tearooms to all our customers who have contributed so generously at our fundraising tea party in aid of Northern Air Ambulance (£125) and Dent Pre-School Nursery (£88) on Thursday 10th February.
DIGITAL SWITCHOVER
The Switchover for Sedbergh and District is planned for June 24th for those receiving Border TV signals from the Caldbeck Transmitter.
Those receiving Granada TV signals from the Winter Hill, the switchover will commence on 4th November.
QUIET GARDEN MEETING
My apologies that the arranged meeting for February 7th could not take place, at the present time there are no plans to re-arrange the meeting but if anyone is interested in knowing more about the Quiet Garden Movement please contact QGM on 01753 643081 or write to them at; Stoke Park Farm, Stoke Poges, Bucks SL2 4PG or ask me. Thanks.
THE SHAPING OF TIME
Wax and wane through centuries
Slipping by in days
Life and matter being exposed
In every haze ridden phase.
Aloft the call of angels
And aloft the call of sins
Maybe a messenger of the place
Where rock falls and time begins.
Every place where space does dwell
Time has left a mark
It may be death or life or strife
Where light shines it may be dark.
Captured in a second
Encased in lifeless motion
Around a time of seeing
Giving an onward and progressing Notion.
Time has a beginning
And time has an end
But the space that falls in between
Bears beauty and broken souls to Mend.
Mary McCullagh, Year 11 SHS
ACROSS
7 Author (8)
8 Hindquarters (4)
9 Accomplish (6)
10 Be too clever for (6)
11 Skilled (4)
12 Went before (8)
15 Rider's foot supports (8)
19 Ram down (concrete) (4)
21 Rubbish, twaddle (6)
23 Sharp-tasting (6)
24 Decreased (4)
25 Fused together (8)
DOWN
1 Calm (6)
2 Spirit bottle (8)
3 Abduct (6)
4 Theatrical straight man (6)
5 Very dry (champagne) (4)
6 Drink (6)
13 Headstone inscription (inits) (3)
14 Interwoven (8)
16 Saucepan stand (6)
17 Anxious (6)
18 Metal clip (6)
20 Mutilated (6)
22 Flaky pastry (4)
## BUS SERVICES
### Sedbergh to Kendal via Oxenholme
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 0745 | 564 | S | |
| 0940 | 564 | W | |
| 1005 | 564 | S | |
| 1015 | 564B | W | |
| 1240 | 564 | W | |
| 1300 | 564 | S | |
| 1440 | 564 | W | |
| 1550 | 564 | S | |
| 1711 | 564 | W | |
#### Saturday Only
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 1005 | 564 | S | |
| 1050 | 564A | A8 | |
| 1300 | 564 | S | |
| 1550 | 564 | S | |
### Blackhall Road, Kendal to Sedbergh via Oxenholme
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 0830 | 564 | S | |
| 0835 | Sch | 564 | W |
| 1030 | 564 | W | |
| 1050 | 564 | S | |
| 1300 | Wed | 564B| W |
| 1330 | 564 | W | |
| 1410 | 564 | S | |
| 1610 | 564 | W | |
| 1625 | 564 | S | |
| 1745 | 564 | W | |
#### Saturday Only
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 1050 | 564 | S | |
| 1410 | 564 | S | |
| 1425 | 564A | A8 | |
| 1625 | 564 | S | |
### Sedbergh to Kirkby Stephen
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 0900 | M-F | 564 | S |
| 1120 | 564 | S | |
| 1440 | 564 | S | |
| 1655 | 564 | S | |
### Kirkby Stephen to Sedbergh
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 0710 | M-F | 564 | S |
| 0940 | 564 | S | |
| 1225 | 564 | S | |
| 1515 | 564 | S | |
### Sedbergh to Kirkby Lonsdale
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 0945 | Thu | 567A| W |
### Kirkby Lonsdale to Sedbergh
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 1215 | Thu | 567A| W |
### Dent to Sedbergh
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
### Sedbergh to Cowgill
| Time | Route | Day | Notes |
|-------|-------|-----|-------|
| 1330 | Wed | 564B| W |
| 0940 | Sat | 564A| A8 |
| 1500 | Sat | 564A| A8 |
### Last Update: September 2007
- **M-F**: Monday to Friday Only
- **Tu**: Tuesday Only
- **Wed**: Wednesday Only
- **Thu**: Thursday Only
- **Sat**: Saturday Only
- **Sch**: Schooldays Only (M-F)
- **W**: Wool’s of Sedbergh
- **S**: Stagecoach in Cumbria
- **A8**: Apollo 8
- **Notes**: Provided with Support from CCC
Please note whilst every effort has been made to ensure that the times shown are up to date, they can change at short notice.
For Comprehensive up-to-date information ring:
Traveline 0870 608 2 608 (Open: 7am - 8pm Daily)
BED & BREAKFAST
Proprietor
Mrs L Hopkins ............... Brantrigg, Winfield Road, Sedbergh (2009/09) .......................... 21455
IT; PB; TV; NS; NP; P; DR; VB
e-mail: email@example.com
Mrs S Sharrocks .............. Holmecroft, Station Road, Sedbergh (2009/11) .......................... 20754
1D; IT; IS; TVL; CH; NS; NP*; P; DR
Web Site: www.holmecroftbands.co.uk
Mrs K Vigar ..................... Apley House, 27 Loftus Hill, Sedbergh (2009/09) .......................... 20447
1D (ES); 1DT (PB); TV; NS; CH; VB; P; NP*(*); Di (min 4 by arrangement)
e-mail: firstname.lastname@example.org
Mrs J Hope ...................... The Old Joinery, Garsdale, Sedbergh (2009/12) .......................... 20309
F/D (* poster); 1S; ES; CB; TV; NS; CH; DW; P; DR; VB*
e-mail: email@example.com
Mrs K Milburn .................. High Rooms, Guldefrey Lane, Sedbergh (2009/08) .......................... 21440
2T (ES) VISIT BRITAIN 4* - CH,L,TV,TVL,PNS,YB,CW
www.highrooms.co.uk e-mail firstname.lastname@example.org
Mrs R Gardner .................. Oakdene Country House, Garsdale Road, Sedbergh (2010/05) ...... 21012
2D (* Poster); 2D; IT; IS; All ES; TVL; P; CH; CW; FC; NS
Miss S Thrulby .................. 15 Back Lane, Sedbergh (2009/12) ........................................... 20251
1D; IT; TVL; CH; DW; P; DR; VB
e-mail:- email@example.com
Mrs S Gold-Wood .............. Number Ten Main Street, Sedbergh (2009/02) .......................... 21808
1D (ES); 1DT (PB); TV; NS; CH; P; CB; VB; DFB.
e-mail: firstname.lastname@example.org
Mrs J Postlethwaite .......... Bramaskew Farm, Howgill, Sedbergh (2009/09) .......................... 21529
1D(ES); 1T(ES); CH; TV; P; NP; Di; VB; EM; CW
CAMPING, CARAVANNING, SELF-CATERING & RENTAL
Borrett Barn Flat, Marthwaite, Sedbergh (2009/03) ......................................................... 21175
Sleeps 4 people: D; T; CH; L; P; NS
Miss J Davidson ............... Bideber Mill Cottage, West House, Ingleton (2009/10) ..... 015242 42478
Sleeps 4 ES; CH; L; TVL; P; NS; NP; DR
Sycamore Cottage, Lunds, Sedbergh (2009/09) ................................................................. 01969 667356
Sleeps 2. D; CH; TVL; P; NS; DW
Borrett Barn Caravan, Marthwaite, Sedbergh (2009/03) ......................................................... 21175
4 Berth; H+G Shower; WC; TV; NS
KEY
F = Family Run; D = Double Run; S = Single Run; T = Twin Run; ES = En Suite; PB = Private Bathroom
CH = Central Heating; L = Lounge; TV = TV in all Rooms; TVL = TV Lounge; P = Parking;
NS(B) = No Smoking (Bedrooms); NP(*) = No Pets (* by arrangement); DW = Dogs Welcome
DR = Drying Room; Di = Dinners; VB = Vegetarian Breakfast; CB = Celiac Breakfast; EM = Evening Meal
CW = Children Welcome; FC = Fire Certificate; TL = Table Licence; DFB = Dairy Free Breakfast
## Religious Services in Sedbergh
### CHURCH OF ENGLAND
St. Andrew’s Parish Church
Sunday 08.00, 10.30 & 18.30
Wednesday 11.15
**Canon A W Fell Tel:** 20283
**Church Wardens:**
Tony Reed Screem 21081 & Lavinia Mahon 21740
### ROMAN CATHOLIC
St. Andrew’s Parish Church
Sunday 12.00
Holy Days 19.30
**Rev. Dr. P Campbell Tel:** 20918
### METHODIST CHURCH
New Street
Sunday 10.30 & 18.30
**Rev. T Widness Tel:** 20329
### UNITED REFORMED CHURCH
Main Street
Sunday 10.30
**Rev. C Marsden Tel:** 22030
### SOCIETY OF FRIENDS
QUAKERS
Brighlatts
Sunday 10.30
**Mrs T Satchell Tel:** 20005
### UNITARIAN & FREE CHRISTIAN CHAPEL
Market Place, Kendal
Sunday 11.00
Wednesday 19.30
**Rev. G Jones Tel:** 01539 722079
### Enquiries for the following services, please ring the relevant telephone number
#### CHURCH OF ENGLAND
Furbank, Hawgill & Killington
Cautley & Garsdale
**Canon A W Fell Tel:** 20283
**Church Wardens:**
Cautley: Judith Bush 20098 & Linda Hopkins 21455
Garsdale: Mary Grant 20614 & Bill Mawdsley 20723
Dent & Dentfoot:
**Rev. P Boyles Tel:** 25226
#### METHODIST CHURCH
Dent; Dent Foot;
Cautley; Fell End;
Garsdale Street; Garsdale Low Smithy;
Hawes Junction & Frostrow
**Rev. T Widness Tel:** 20329
#### SEDBERGH CHRISTIAN CENTRE
5.30 pm People’s Hall every Sunday
**Tel:** 20588 or 20503
Would you like to know that someone is praying for you? Or do you have a relative, friend or neighbour in special need of prayer? In the Churches, we pray every Sunday for this community and we should like to hear of any special needs.
Please ring any of the above telephone numbers so that we may pray for you and/or others.
---
## Lookaround Advertising Rates
| Single Column x 1" | = £7.50 |
|--------------------|---------|
| Single Column x 2" | = £10.00 |
| Single Column x 3" | = £12.50 |
| Single Column x 4" | = £15.00 |
| Double Column x 2" | = £15.00 |
| Double Column x 3" | = £20.00 |
| Double Column x 4" | = £25.00 |
| B & B and Camp-sites | = £2.00 |
| Personal & Small Ads | = £1.00 |
| Postal per month (Double December) | = £1.00 |
| Postal Overseas (Double December) | = £2.00 |
All enquiries to
13 Kings Yard, Sedbergh LA10 5BJ
Adverts by 15th of every month.
Can all adverts please be accompanied with the correct money at the time of submission.
Articles etc. by 19th of every month
Last Price Update August 1999.
## DIARY OF EVENTS
Dates are held up to 22nd December 2009
Entries marked (*) see Advert in previous Lookaround.
### MARCH
| Date | Event | Location | Organizer |
|-----------------------|--------------------------------------------|------------|-----------------|
| 1 St David’s Day | | | |
| 1 1400 Chapel Anniversary | DMC | | |
| 1830 Jazz & Swing Evening | SSOH | | |
| 2 1930 Garsdale Sports Meeting | GVH | | |
| 2 1930 FCH AGM | FCH | | |
| 2 2000 Dent Parish Council | SMC | | |
| 3 WIF Mother’s Day - Recycling | BVH | | |
| 4 1000 Coffee Morning SL Blind Group (1) | URCR | | |
| 4 Confirmation Service | | | |
| 4 1200 Lent Lunches (6) | StAS | | |
| 1300 Morchard Music (5) | SSGOH | | |
| 1430 Coffee Morning (1) | SMCR | | |
| 1930 HS Parade, Cumbria (1) | SHS | | |
| 1930 WIF My Craft Projects | PH | | |
| 5 1930 WIH Red Cross Movement | HVH | | |
| 6 1430 Woman’s World Day of Prayer (6) | StAS | | |
| 6 1930 Dominion Drive & Tattie Pot Supper | HVH | | |
| 1430 Good as New Jumble Sale | BVH | | |
| 1945 Paired Anthems (8) | StAS | | |
| 9 1000 Grand Opening of Boots (10) | Main Street | | |
| 10 1400 WIK A Fragrant Afternoon | PH | | |
| 10 1930 FCH Dominion Drive | FCH | | |
| 11 1000 Coffee Morning URC | URCR | | |
| 11 1200 Lent Lunches (6) | StAS | | |
| 11 1915 WID Churchmouse Cheese | DMH | | |
| 11 1930 CWT AGM – Baffin Island | SHS | | |
| 12 1930 ‘Allo, is this Dad’s Army (12) | PH | | |
| 13 1930 Red Cross Day (1) | Bull House | | |
| 13 1930 ‘Allo, is this Dad’s Army (12) | PH | | |
| 13 2000 Sedbergh Anglers Association AGM (12) | WHC | | |
| 14 1000 Good as New Jumble Sale | URCR | | |
| 14 1000 Last Passenger Train form Hawes 1959 | DCMH | | |
| 14 1300 Dentist Run | Dent | | |
| 14 1930 ‘Allo, is this Dad’s Army (12) | PH | | |
| 14 1930 Michael Hacus (14) | SMC | | |
| 15 1000 Last Passenger Train form Hawes 1959 | DCMH | | |
| 15 1030 Christian Worship | PH | | |
| 15 1115 Coffee Concert | SSOH | | |
| 16 1000 Coffee Morning (16) | PH | | |
| 17 St Patrick’s Day | | | |
| 17 1430 SS Wilson Run | Back Lane | | |
| 17 1500 Conservation Area Open Day (17) | DMH | | |
| 17 1930 Neighbourhood Forum | Change of Venue PH | | |
| 17 Eve Quiz Night (17) | Barbon Inn | | |
| 18 1000 Coffee Morning Christian Aid (18) | URCR | | |
### APRIL
| Date | Event | Location | Organizer |
|-----------------------|--------------------------------------------|------------|-----------------|
| 1 1000 Coffee Morning LNFU | URCR | | |
| 1 1200 Lent Lunches (6) | StAS | | |
| 1 1930 WIF Growing Gardener Prospective | PH | | |
| 1 1930 Oliver (63) | SHS | | |
| 2 1930 WIH Local Wild Flowers | FCH | | |
| 3 1930 Red Cross Day (1) | Bull House | | |
| 3 1000 Let no Loop Down (till 18/06) | SHS | | |
| 4 1000 Yoga & Positive Thinking (40) | PH | | |
| 7 WIB Handicrafts | BVH | | |
| 8 1000 WIF Coffee Morning | URCR | | |
| 8 1200 Lent Lunches (6) | StAS | | |
| 8 1915 WID New York | DMH | | |
| 1400 KL Embroiderers Group | BVH | | |
| 10 Good Friday | | | |
| 12 Sunrise Service (53) | Winder Trig | | |
| 13 Easter Monday | | | |
| 14 1400 Radio and Radio | PH | | |
| 15 1000 Coffee Morning NW Cancer | URCR | | |
| 19 SS Term Begins | | | |
| 19 1030 Christian Worship | PH | | |
| 22 1000 Coffee Morning SIAS Mission | URCR | | |
| 22 1930 CWT Wildlife in Sacred Places | SHS | | |
| 23 St George’s Day | | | |
*The S & D Lookaround is edited, published & distributed monthly by Dennis & Jacky Whicker and is printed by Stramongate Press.*
*The content of The Lookaround in no way reflects the views of the Editors.*
*Whilst every effort is made to ensure that information is correct, the Editors cannot accept any responsibility for any inconvenience caused through errors or omissions.*
| Date | Event | Location |
|------------|----------------------------------------------------------------------|------------|
| 24 1930 | Pulse Gym AGM | WHC |
| 25 1830 | Flicks in the Fells | PH |
| 25 1930 | Dentdale Choir Spring Concert | StAd |
| 28 1930 | Garsdale Ladies Group African Orphans | GVH |
| 29 1000 | Coffee Morning GVH | URCR |
| 29 1930 | Sedbergh Parish Council | PH |
**MAY**
| Date | Event | Location |
|------------|----------------------------------------------------------------------|------------|
| 1 1000 | Let no Loop Down (till 18/06) | DCMH |
| 1 1900 | RBL Annual Dinner (43) | SSQH |
| 4 | May Day | PH |
| 4 | WI Family Day | BVH |
| 4 | WIB Resolution Meeting | BVH |
| 6 1000 | Coffee Morning Barnardo’s | URCR |
| 6 1930 | WIF WI Advisor & Resolutions | PH |
| 7 1930 | WIH Christine Wood & Kenya | H VH |
| 11 1000 | Christian Aid Week | URCR |
| 11 1930 | WI AGM | GVH |
| 12 1400 | WIK Resolutions + Ken & Clair Pope | PH |
| 13 1000 | Coffee Morning Christian Aid | URCR |
| 13 1915 | WID First Responders | DMH |
| 16 1200 | Sedbergh Gas | Sedbergh |
| 17 1000 | Christian Worship | BVH |
| 18 1930 | Garsdale Ladies Group Auction | GVH |
| 18 1930 | WI Lune Valley Working in Africa | PH |
| 20 1000 | Coffee Morning WIK | URCR |
| 20 1900 | Town Band AGM | SS Band Room |
| 23 1830 | WI Tilly Terry Shorts | PH |
| 23 1830 | Flicks in the Fells | PH |
| 25 | May Bank Holiday | |
| 25 1900 | Duck Race & Coffee Evening | H VH |
| 27 1000 | Coffee Morning | URCR |
| 27 1930 | Dentdale Sports | GVH |
| 28 1930 | Sedbergh Parish Council | PH |
| 30 2000 | Old Tyne Dances | PH |
| 31 | SS Half Term Ends | |
**JUNE**
| Date | Event | Location |
|------------|----------------------------------------------------------------------|------------|
| 1 1000 | Let no Loop Down (till 18/06) | DCMH |
| 2 | WIB Cartoonist | BVH |
| 3 1000 | Coffee Morning Dent Foot Chapel | URCR |
| 3 | tha WIF Outing | tba |
| 4 1930 | WIH Members Evening | FCH |
| 6 1000 | Art & Craft Exhibition | BIK |
| 7 1000 | Art & Craft Exhibition | SL |
| 14 1930 | WIK To The North Cape | PH |
| 10 1000 | Coffee Morning tha | URCR |
| 10 1915 | WID Bath House Frangrances | DMH |
| 17 1000 | Coffee Morning tha | URCR |
| 19 1800 | Evening Walk | GVH |
| 21 | Father’s Day | |
| 21 1030 | Christian Worship | PH |
| 23 | tha WIK Outing to Yewbarrow Garden G-O-S | |
| 23 1930 | Garsdale Ladies Group AGM | GVH |
| 24 | Digital TV Changeover | |
| 24 1000 | Coffee Morning Dentdale Church | URCR |
| 24 1930 | Sedbergh Parish Council | PH |
| 26 | Dentdale Music & Beer Festival | Dent |
| 26 | Dent Folk Festival | Sedbergh |
| 27 | Dentdale Music & Beer Festival | Dent |
**DIARY KEY**
- BF = Brigflatts
- BIK = Burton in Kendal
- BS = Bailiol School
- BVH = Barbon Village Hall
- CDC = Community Development Centre
- CO = Community Office, Main Street
- CTS = Come Together in Sedbergh
- CWT = Cumbria Water Trust East
- DCMH = Dales Countryside Museum, Hawes
- DCP = Dent Car Park
- DMH = Dent Memorial Hall
- DMC/S = Dent Methodist Chapel/Schoolroom
- FCH = Dent Church Hall
- FA = Fairfield Mill
- GVH = Garsdale Village Hall
- HS = History Society
- H VH = Howgill Village Hall
- JLCP = Jess Lane Car Park
- KL = Kirkby Lonsdale
- LHCP = Lofus Hill Car Park
- MCCKL = Methodist Church Centre KL
- PH = People’s Hall
- SHS = Settlebeck High School
- SLSB = South Lakeland Society for the Blind
- SMCR = St. Methodist Church Room
- SIAS/D = St Andrew’s Church, Sedbergh/Dent
- SS = Sedbergh School
- STO = Sedbergh Tourist Office, Main Street
- URCR = United Reformed Church Rooms
- WHC = White Hart Club
- WIC = WI Centre, Barbon
- WID = Women’s Institute, Dentdale
- WIF = Women’s Institute, Frostrow
- WIH = Women’s Institute, Howgill
- WIK = Women’s Institute, Killington
**Regular Meetings**
| Event | Time | Location |
|------------------------|--------------------|------------|
| Howgill Toddlers | 1315 Every Monday | H VH |
| Dent Parish Council | 1930 1st Monday | DMH |
| SL Carers Association | 1400 1st Tuesday | PH |
| Dent WI | 1400 1st Tuesday | PH |
| Ladies NFU | 1930 3rd Tuesday | PH |
| Coffee Morning | 1000 Every Wednesday | URCR |
| Zebras | 1315 Every Wednesday | SMCR |
| Sedbergh Juniors | 1730 Every Wednesday | PH |
| Sedbergh Seniors | 1400 Every Wednesday | PH |
| Toy Library | 1430 1st & 3rd Wednesday | PH |
| Frostrow WI | 1930 1st Wednesday | PH |
| History Society | 1930 1st & 3rd Wednesday | SHS |
| Dentdale WI | 1915 2nd Wednesday | DMH |
| CLS Blind Group | 1430 3rd Wednesday | PH |
| Hospice Walk | 1930 1st Saturday | FCH |
| Child Health/Baby Clinic | 400 1st & 3rd Thursday | PH |
| Sed. Parish Council | 1930 Last Thursday | PH |
| Monkey House Café | 1930 Every Friday | Library |
**SEDBERGH HEALTH CENTRE**
Loftus Hill ☎ 015396 20218
Repeat Prescription ☎ 015396 20239
Out of Hours ☎ 01539 781999
Bay Clinic ☎ 0845 0524 999
| Day | Time | Surgery |
|-----------|---------------|---------------|
| Monday | 0830 - 1030 O | 1400 - 1700 P*|
| | 0830 - 1015 L*| 1500 - 1800 B |
| | 1045 - 1230 H*| 1830 - 2030 W*|
| | 1130 - 1215 Dent Surgery |
| Tuesday | 0830 - 1030 O | |
| | 1045 - 1230 H*| 1430 - 1730 H*|
| Wednesday | 0830 - 1030 O | 1400 - 1700 P*|
| | 1045 - 1230 P*| 1500 - 1800 L*|
| Thursday | 0830 - 1030 O | |
| | 1045 - 1230 L*| 1400 - 1700 H*|
| Friday | 0830 - 1030 O | 1400 - 1700 P*|
| | 1045 - 1230 L*| 1430 - 1730 L*|
L = Dr Lumb
H = Dr Hunt
P = Nurse Pilling
O = Open Surgery
* = Appointment Only
B = Book on Day
W = Workers Surgery
*The Health Centre reserve the right to offer any Doctor/Nurse Practitioner at any time in the Open Surgeries. Early Bird Surgery available, please ask at Reception*
**Practice Nurses**
Monday 0845 - 1300 C 1400 - 1730 C
0840 - 1200 LB 1400 - 1630 E
Tuesday 0845 - 1300 C 1400 - 1730 C
Wednesday 0830 - 1300 B 1400 - 1730 B
0840 - 1200 L
Thursday 0830 - 1300 B 1400 - 1730 B
1400 - 1730 C
Friday 0845 - 1300 C 1400 - 1730 C
B = Joanne Batty
C = Anne Crome
L = Kay Lumb LB = Bloods
E = ECG Clinic
**District Nurse** ☎ 015396 21690
**Health Visitor** ☎ 015396 20979
**A Collinge Optometrist**
Friday only 0900 - 1300 1400 - 1730 *
* = By Appointment Only
**DENTAL SURGERY**
Finkle Street ☎ 20626
Mr I.R. Dawson, Ms G Turner, Mrs D Ross & Mr B Taylor
Monday to Thursday 0900 - 1700
Friday 0830 - 1500
**LIBRARY** Main Street ☎ 20186
Monday 1700 - 1900
Wednesday 1000 - 1230 1400 - 1700
Friday 1400 - 1700
Saturday 1000 - 1230
**SEDBERGH TOURIST OFFICE**
Main Street ☎ 20125
Open every day
0900 - 1700
www.sedbergh.org.uk/booktown/dlbc.html
**COMMUNITY OFFICE** ☎ 20504
Monday to Friday 1000 to 1600
Thursday 1000 to 1300
e-mail email@example.com
www.sedbergh.org.uk
**RURAL CITIZENS ADVICE BUREAU**
Kendal Office
☎ 0870 1264061
www.kendalrca.co.uk
**PENSION SURGERY**
Stricklandgate House every Tuesday 1400 - 1600
☎ 01539 795000 or 0845 6060265
**SLCVS @ Community Office**
1st Wednesday every month
10 am to 12 noon
☎ 01539 742627
**COMMUNITY DEVELOPMENT CENTRE**
Settlebeck Cottage Tel: 21031
www.sedberghcdc.org.uk
**POLICE**
☎ 0845 33 00 247
**PUBLIC TOILETS**
Main Street & Loftus Hill, Park, Sedbergh
Main Street, Dent
**VETERINARY SURGERY**
22 Long Lane ☎ 20335
Mr N. Preston & Mr J. Bramley
Monday to Friday 1400 - 1430 *
Mon, Wed & Fri 1900 - 1930 *
Saturday 1330 - 1400 *
Sunday *
* = By Appointment Only
**MARKET DAY** WEDNESDAY
**HALF-DAY CLOSING** THURSDAY |
ARTICLE I NAME AND AFFILIATION
Section 1: Name. The name of this Chapter is the Mohawk Valley Society for Human Resource Management (herein referred to as the Chapter). To avoid potential confusion, the Chapter will refer to itself as Mohawk Valley Society for Human Resource Management (MVSHRM) and not as SHRM or the Society for Human Resource Management.
Section 2: Affiliation. The Chapter is affiliated with the Society for Human Resource Management (herein referred to as SHRM).
Section 3: Relationships. The Chapter is a separate legal entity from SHRM. It shall not be deemed to be an agency or instrumentality of SHRM or of a State Council and SHRM shall not be deemed to be an agency or instrumentality of the Chapter. The Chapter shall not hold itself out to the public as an agent of SHRM without express written consent of SHRM. The Chapter shall not contract in the name of SHRM without the express written consent of SHRM.
Section 4: These Articles of Association and Bylaws shall govern this organization.
ARTICLE II PURPOSE
The purposes of this Chapter, as a non-profit organization, are:
i. to improve the competence of human resource professionals through the exchange of information within the organization and the community at large;
ii. to provide a forum for the personal and professional development of our members;
iii. to provide an opportunity to develop leadership, managerial, public speaking and group decision-making skills;
iv. to provide an arena for the development of trust relationships where common problems can be discussed and deliberated;
v. to provide an opportunity to focus on current human resource management issues of importance to our members;
vi. to provide a focus for legislative attention to state and national human resource management issues;
vii. to provide valuable information gathering and dissemination channels
viii. to provide a pool of human resource management leaders for perpetuation of the Chapter and of SHRM;
ix. to serve as an important vehicle for introducing human resource management professionals to SHRM;
x. to serve as a source of new members for SHRM;
xi. to serve as part of the two-way channel of communications between SHRM and the individual members.
The Chapter supports the purposes of SHRM, which are to promote the use of sound and ethical human resource management practices in the profession and:
a. to be a recognized world leader in human resource management;
b. to provide high quality, dynamic and responsive programs and service to our customers with interests in human resource management;
c. to be the voice of the profession on human resource management issues;
d. to facilitate the development and guide the direction of the human resource profession;
e. to establish, monitor and update standards for the profession.
ARTICLE III FISCAL YEAR
Section 1: The fiscal year of the Chapter shall be the calendar year.
ARTICLE IV MEMBERSHIP AND QUALIFICATIONS
Section 1: Non-transferability of Membership: A membership will be issued in the name of an individual and shall not be transferable.
Section 2: Qualifications: The membership shall consist of individuals currently engaged in managing/executing a Human Resource or other related management or academic function. This includes clerical/administrative support of a Human Resource function and retired individuals who were active in the Human Resource field when employed. This also includes individuals who are enrolled either as full-time or part-time students, at freshman standing or higher enrolled in human resource management subjects.
Section 3: All applications shall be reviewed and approved by the Vice President of Membership.
Section 4: All members may vote and hold office in the chapter. Each member of the Chapter shall have the right to cast one vote on each matter brought before a vote of the membership.
ARTICLE V OFFICERS AND EXECUTIVE COMMITTEE
Section 1: Officers. The officers of this association, who must be MVSHRM members, shall be President, President Elect, 1st Vice President, 2nd Vice President, and Treasurer. The Executive Committee shall consist of these officers and the Past President.
Election - Term of Office. Officers and Directors shall be elected by the members at the last membership meeting. The proposed slate is appointed by the Board of Directors. Each elected Officer and Director shall assume office in January following his/her election and shall hold office for one year and can be re-elected to this or another position or holds office until his/her successor is elected and takes office..
If an elected officer cannot serve a full term of office, the President shall appoint a member to serve for the remainder of the term. The President of the association shall be the chairman of the Executive Committee, which shall manage the affair of the association. The officers shall perform the usual duties of their respective officers.
In addition to the Executive Committee, a Board of Directors will meet minimally on a quarterly basis, to direct and guide the chapter. The board will consist of the current officers, 1 past president, and the chairpersons of the specified committees outlined in Bylaw III.
Section 2: Duties and responsibilities of the officers shall be as listed below:
a. President. The responsibilities of the President shall be to preside at all meetings, both members and of the Board, and provide leadership and overall directions to the MVSHRM. He/She shall also perform such other duties and exercise such powers as usually pertain to this office and as delegated from time to time by the members. Per
SHRM Bylaws, the President must be a current member in good standing of SHRM throughout the duration of his/her term of office and shall communicate SHRM state and/or national goals, policies, and programs. He/She shall serve as the Society’s sole spokesperson to the news media. Should a scheduling conflict ever preclude the President from personally carrying out this responsibility, he/she may designate another member, on an ad hoc basis, as the MVSHRM’s spokesperson in the instance.
b. 1st Vice President of Programs. The responsibilities of the 1st Vice President shall be to be responsible for professional development of the Chapter, which includes the coordination of monthly programs, seminars and/or workshops. He/she shall exercise such powers and perform such duties as may be delegated from time to time by the President.
c. 2nd Vice President of Membership. The responsibilities of the 2nd Vice President shall be to promote SHRM and MVSHRM membership among practicing members of the Human Resource profession in accordance with the membership qualifications of the organization. The 2nd Vice President shall review membership applications to determine membership. In questionable or disputed cases, the full Executive Committee will determine membership. He/She shall have custody of all records and paperwork relating to the membership of the organization. In case of disability or absence of the President and 1st Vice President, the 2nd Vice President shall perform and be vested with their duties and powers.
d. President Elect. The responsibilities of the President Elect shall be to work directly with the President with the understanding that the President Elect will transition to the role of President in the next term without disrupting the existing goals and accomplishments of the organization. In case of disability, the President Elect shall perform and be vested with the President’s duties and powers.
e. Treasurer. The responsibilities of the Treasurer shall be to supervise all financial activities of the chapter. The responsibility shall include the preparation of monthly financial reports to the membership.
Section 3: Removal and Resignation:
1. Upon recommendation of the Executive Committee, the Board of Directors may remove any Director thereof for cause for any one or more of the following reasons:
a. Failure to attend meetings; Directors may be removed by a majority vote of the Board after missing (3) consecutive meetings without having given notice to the President or a member of the Executive Committee;
b. Failure to make significant contribution to the work of the Board and MVSHRM or;
c. Actions or conduct deemed to be detrimental to the best interests of MVSHRM.
2. A Director may resign at any time by giving written notice to the Board of Directors or to an officer of MVSHRM. Unless otherwise specified in the notice, the resignation shall take effect upon receipt thereof by the Board of Directors or such officer. Acceptance of such resignation shall not be necessary to make it effective.
3. The Board of Directors shall have the power to fill unexpired terms of office prior to the next annual meeting.
ARTICLE VI CHAPTER DISSOLUTION
In the event of the chapter’s dissolution, the remaining monies in the Treasury, after chapter expenses have been paid, will be contributed to the SHRM Foundation.
ARTICLE VII WITHDRAWAL OF AFFILIATED CHAPTER STATUS
Affiliated chapter status may be withdrawn by the President/CEO of SHRM or his/her designee as a representative of the SHRM Board of Directors upon finding that the activities of the Chapter are inconsistent with or contrary to the best interests of SHRM. Prior to withdrawal of such status, the Chapter shall have an opportunity to review a written statement of the reasons for such proposed withdrawal and an opportunity to provide the SHRM Board of Directors with a written response to such a proposal within a thirty (30) day period. In addition, when the Chapter fails to maintain the required affiliation standards as set forth by the SHRM Board of Directors, it is subject to immediate disaffiliation by SHRM. After withdrawal of Chapter status, the SHRM Board of Directors may cause a new Chapter to be created, or, with the consent of the President/CEO of SHRM and the consent of the body which has had Chapter status withdrawn, may re-confer Chapter status upon such body.
ARTICLE VIII STATEMENT OF ETHICS
The MVSHRM adopts the SHRM’s Code of Ethics for members of this chapter in order to promote and maintain the highest standards among its members. Each member shall honor, respect and support the purpose of this chapter and SHRM.
Section 1: The Chapter shall not be represented as advocating or endorsing any issue unless approved by the Board of Directors.
Section 2: No member shall actively solicit business from any other member at Chapter meetings or through the use of information provided to him/her as a member of the Chapter without approval from the Board of Directors.
ARTICLE IX MEETINGS
Meetings are normally held on the third Tuesday of a month or as otherwise determined by the Board of Directors. Special meetings of the Executive Committee and the Board of Directors may be called at any time by the President and shall be held at the time and place designated. A majority of the committee shall constitute a quorum. The President or Chapter Administrator shall mail notice of the time and place of the Annual Meeting to each member at least 2 weeks prior to the scheduled meeting or conference call.
ARTICLE X DUES
1. MVSHRM’s dues shall be determined by the Executive Committee.
2. MVSHRM Membership Renewals: Renewed membership shall be payable on the anniversary of their yearly membership renewal.
3. MVSHRM New Membership: A new member joining the chapter shall be charged the full membership dues effective for one (1) year from the date of membership and shall expire on the last day of the month of expiration.
4. Any member of MVSHRM who is a National SHRM member must designate their interest to participate in both and will not be required to pay MVSHRM Chapter member dues.
ARTICLE XI COMMITTEES
1. Executive Committee: The Executive Committee shall consist of the President, who shall be Chairman; President Elect, 1st Vice President, 2nd Vice President, Treasurer and immediate Past President.
2. Chairpersons: The Chairman of each of the following will automatically hold a seat on the Board of Directors with the Executive Committee. Sponsorship Chair, Foundation Chair,
Legislative Chair, Professional Development Chair, Workforce Readiness Chair, Public Relations Chair, Diversity Chair, Events & Recognition Chair, College Relations Chair.
3. Committees: Committees will be established to provide the Chapter with special ongoing services as required. The Chairperson and the President will seek interested members to participate in committee activities and may be organized by the Chairperson and President to meet particular Chapter needs. The Executive Committee may, at any time, make recommendation to the President to remove and replace a committee member. The final decision to do so shall be the authority of the President.
**ARTICLE XII ELECTION OF OFFICERS**
Election of officers shall be conducted in accordance with the following procedures:
1. The President shall prepare and submit a list of nominees to the Board of Directors for approval 20 days prior to the annual meeting to be voted on by the membership at the last meeting of the calendar year.
2. The list of nominees shall be distributed to all members of the Chapter 10 days prior to the last meeting of the year.
**ARTICLE XIII PARLIAMENTARY PROCEDURES**
Meetings of the voting members and Committees of the Society shall be governed by the rules contained in Roberts Rules of Order in all cases to which they are applicable and consistent with the Bylaws of the Chapter.
**ARTICLE XIV BYLAWS AND STANDING RULES**
1. Bylaws may be amended by a majority vote of the members present at any meeting at which a quorum exists and in which required notice has been met or by email, provided that no such amendment shall be effective unless and until approved by the SHRM President/CEO or his/her designee as being in furtherance of the purposes of SHRM and not in conflict with SHRM bylaws. A ten-day written notice shall be delivered to each member setting forth all the details of the proposed change. Any motion to amend the bylaws shall clearly state that it is not effective unless and until approved by the SHRM President/CEO or his/her designee.
2. Standing rules may be adopted, amended, or suspended at any general membership meeting of the Chapter by the majority vote of those members present.
3. The Executive Committee will conduct an annual review of the Bylaws to determine any potential need for updating or revising contents of Chapter Bylaws.
**ARTICLE XV PROPOSED AMENDMENTS**
1. Proposed amendments to the Bylaws are to be submitted in writing to the Chapter Administrator on such timely basis as to permit the compliance with Bylaws VI, regarding written notification.
2. Vote may be by show of hands or reply email.
**ARTICLE XVI TERMS USED**
As used in these Bylaws, feminine or neuter pronouns shall be substituted for those of the masculine form, and the plurals shall be substituted for the singular number in any place where the context may
require such substitution or substitutions. Note* these revised Bylaws are not effective until approved and signed by SHRM CEO or designee.
Ratified by the Membership of Chapter and signed by:
Chapter President ____________________________
Date 2/24/18
Approved by:
SHRM President/CEO or President/CEO Designee ____________________________
Date 1/22/18 |
Estate Freezes After the Revenue Act of 1987
Ronald D. Aucutt
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ESTATE FREEZES AFTER THE REVENUE ACT OF 1987
by
RONALD D. AUCUTT*†
Last December, while tax professionals were still grappling with the Tax Reform Act of 1986,¹ Congress passed the Revenue Act of 1987.² Some Christmas present!
One of the most significant casualties of the 1987 Act was the popular planning tool known as the estate “freeze.”³ For decedents’ estates originating after December 31, 1987, any “freeze” completed after December 17, 1987 will be covered by the new law.⁴ There is no transition rule for transactions in progress.
Traditionally, estate freezing frequently could satisfy several planning objectives with one stroke. These objectives would commonly include: (1) minimizing estate taxes by shifting accretion in value of a client’s business interests; (2) providing for income to a client at retirement, and post mortem to the client’s surviving spouse; (3) avoiding probate administration on the transfer of certain assets; and (4) fixing a “lifetime” value for those assets which would otherwise pose problems for estate tax purposes.
The particular nature of each client’s business interest, when coupled with the complexion of the tax code, would dictate the choice to be made among various freezing techniques. Historically, perhaps the most popular technique has been the recapitalization of a closely-held (i.e., close) corporation. The corporate recapitalization⁵ typically involved an exchange by the older client of common stock for preferred stock, and the sale or gifting of common stock to the client’s children or younger associates. The value of the business was captured in the preferred stock, but any future appreciation of the business inured to the transferred common stock. Thus, there resulted not only a determination of the fair market value of the client’s interest in the business, but also a valuation which remained fixed or “frozen” in the client’s estate. In effect, the appreciation in the
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* Member of Miller & Chevalier, Chartered, Washington, D.C., and immediate past chair of the Committee on Estate and Gift Taxes, Section of Taxation, American Bar Association. He was a member of the Task Force on Transfer Tax Restructuring, Section of Taxation of the American Bar Association. The Task Force presented a report to the Office of the Assistant Secretary of Tax Policy of the United States Treasury Department in the Spring of 1987. That report is reprinted in full elsewhere in this volume of the Akron Tax Journal.
† Due to publication delays, this article does not reflect the impact of the July and August, 1988 Technical Corrections Bills.
¹ Pub. L. No. 99-514, 99th Cong., 2nd Sess. (1986).
² Omnibus Budget Reconciliation Act of 1987, Titles IX and X, Pub. L. No. 100-203, 100th Cong., 1st Sess. (1987).
³ Section 10402 of the 1987 Act added a new § 2036(c) to the Internal Revenue Code (IRC) of 1986, and redesignated former IRC § 2036(c) as IRC § 2036(d).
⁴ IRC § 2036(c)(l)(B); H.R. Rep. No. 100-495, 100th Cong., 1st Sess. 997 (1987) (Conference Report).
⁵ Dean v. Commissioner, 10 T.C. 19 (1948), acq. 1949-1 C.B. 1; Hartzell v. Commissioner, 40 B.T.A. 492 (1939), acq. 1939-2 C.B. 16.
value of the business from the date of the freeze to the date of the older client's death simply escaped the wealth transfer tax.\(^6\) Moreover, control of the business could be preserved through designating the client's shares as voting preferred and reissuing the common shares as nonvoting.
Similarly, for the business structured as a partnership, the elder-generation client became a limited partner while the younger-generation client continued as a general partner. The limited partner's capital account remained frozen in value, and the general partner's capital account was credited with the venture's growth.\(^7\) Another, more aggressive partnership freeze involved disproportionate allocations of profits, losses, or cash flow to reduce the elder generation's share, perhaps even to zero. This aggressive technique, however, was not possible if the younger generation's interest resulted from a gift and capital was not a material income-producing factor,\(^8\) and in any event is much more difficult under the new I.R.C. Section 704(b) regulations.\(^9\)
Some other techniques have been employed alone or in combination with a corporate recapitalization or partnership freeze to satisfy clients' needs. Familiar examples include buy-sell agreements,\(^10\) certain stock restrictions and options, using "S" corporations as partners,\(^11\) installment sales, loans coupled with purchases, private annuities, charitable lead trusts, sales of remainder interests,\(^12\) and grantor retained income trusts (GRITs). Another approach has been joint purchases. In one application of this technique, the elder generation purchased a life estate or a term of years and the younger generation purchased the remainder. Another application was for a marital trust to buy the life estate and the credit shelter trust to buy the remainder.
**Policy Arguments**
Criticism of estate freezes has centered on the fact that these techniques operate essentially as testamentary substitutes. Such a "loophole" in the estate tax provisions would be especially subject to manipulation where the transferor and transferee of the property were within the same family. In effect, while purporting to transfer a part of the interest in the business to a younger generation, the elder generation continues to enjoy the fruits of the business — much as in a classic retained life estate.
Moreover, any "business" arrangement between family members, including
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\(^6\) Estate of Boykin v. Commissioner, 53 TCM (CCH) 345 (1987).
\(^7\) This technique was recognized in substantial part in Estate of Meyer v. Commissioner, 58 T.C. 311 (1972), nonacq. 1975-1 C.B. 3, aff'd per curiam, 503 F.2d 556 (9th Cir. 1974).
\(^8\) I.R.C. § 704(e).
\(^9\) Treas. Reg. § 1.704-1(f).
\(^10\) But see Treas. Reg. § 20.2031-2(h); Dorn v. United States, 828 F.2d 177 (3d Cir. 1987).
\(^11\) See Letter Ruling 8804015. But cf. Rev. Rul. 77-220, 1977-1 C.B. 263.
\(^12\) But see Gradow v. United States, 11 Cl. Ct 808 (1987).
an alleged sale for fair value, is necessarily suspect. Although, since 1977, gift tax valuation errors can be corrected in the computation of the estate tax,\(^{13}\) this correction only determines the starting point of the graduated estate tax rates, and therefore it has only a limited effect, and no effect at all in the case of very large gifts.
The government simply finds it increasingly difficult to police valuation abuses whether in the form of non-arm's-length deals or in the form of non-arm's-length conduct subsequent to deals.\(^{14}\) This was particularly true during the late 1970's and early 1980's when interest rates, and thus appropriate rates of return on preferred interests received in a freeze transaction, were at unprecedented high levels. There was therefore great pressure to augment a less-than-market rate of return with "bells and whistles" such as conversion rights, powers to liquidate, or other rights not intended to ever be exercised and possibly even vanishing at death.
Other policy considerations are raised in defense of these freeze techniques, however. Primarily, it is appropriate as a matter of policy to assist — not penalize — small businesses, which contribute greatly to the economy. Small businesses should be able to defend themselves against a 55% estate tax. Moreover, a person should be able to give away an asset, such as a share of stock, as a completed transaction. Penalties and other deterrents to abuse are far more sensible measures than the broad sweep of a generalized legislative ban.
In a related vein, it is appropriate for parents to give children the incentive of an equity interest and to encourage risk-taking incrementally, while the parents can still prevent or correct excesses. And it is especially appropriate to shift the growth to children at a time when that growth more and more is attributable to the efforts of the children. Further, appreciation can never be guaranteed; often values decline. Both the possibility of appreciation and the risk of loss are reflected in fair market value determinations. In a value-for-value exchange, the anticipated income from the frozen interest is economically equivalent to the potential appreciation in the growth interest. Indeed, in a perfectly efficient economy, there is no such thing as a "freeze," and in an imperfect economy a "freeze" is only one form of "gamble" that pays off. It is not appropriate as a matter of policy to create new hindrances to entrepreneurship.
**THE NEW LAW**
*Section 2036(C):*
Inclusion Related to Valuation Freezes.
1. In General. — For purposes of subsection (a), if —
A. any person holds a substantial interest in an enterprise, and
\(^{13}\) I.R.C. § 2001(b)(l)(B); Technical Advice Memorandum 8447005.
\(^{14}\) See Rev. Rul. 83-120, 1983-2 C.B. 170.
B. Such person in effect transfers after December 17, 1987, property having a disproportionately large share of the potential appreciation in such person's interest in the enterprise while retaining a disproportionately large share in the income of, or rights in, the enterprise, then the retention of the retained interest shall be considered to be a retention of the enjoyment of the transferred property.
2. Special Rule for Sales to Family Members. — The exception contained in subsection (a) for a bona fide sale shall not apply to a transfer described in paragraph (l) if such transfer is to a member of the transferor's family.
3. Definitions. — For purposes of this subsection —
A. Substantial Interest — A person holds a substantial interest in an enterprise if such person owns (directly or indirectly) 10% or more of the voting power or income stream, or both, in such enterprise. For purposes of the preceding sentence, an individual shall be treated as owning any interest in an enterprise which is owned (directly or indirectly) by any member of such individual's family.
B. Family. — The term "family" means, with respect to any individual, such individual's spouse, any lineal descendant of such individual or of such individual's spouse, any parent or grandparent of such individual, and any spouse of any of the foregoing. For purposes of the preceding sentence, a relationship by legal adoption shall be treated as a relationship by blood.
C. Treatment of Spouse. — An individual and such individual's spouse shall be treated as one person.
4. Coordination with Section 2035. — For purposes of applying Section 2035, any transfer of the retained interest referred to in paragraph (l) shall be treated as a transfer of an interest in the transferred property referred to in paragraph (l).
5. Coordination with Section 2043. — In lieu of applying Section 2043, appropriate adjustments shall be made for the value of the retained interest.
**GENERAL OPERATION OF IRC SECTION 2036(c)**
The "bottom line" result of I.R.C. Section 2036(c) is a deemed "retention of the enjoyment of the transferred property." To the extent that a growth interest in an enterprise is transferred while a frozen interest is retained, the transfer is "caught" by I.R.C. Section 2036(c) and "brought back into" the transferor's gross estate, at the transferred interest's then value.
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15 I.R.C. § 2036(c)(l).
16 I.R.C. § 2036(c) applies even in the case of annual exclusion gifts of $10,000 or less per donee.
Examples:
1. \( H \) (husband) owns all the stock — common and preferred — of a corporation. He gives 60% of the common stock to \( D \) (daughter) and retains the preferred stock. The value of the common stock at the date of \( H \)'s death is included in his gross estate.
2. If, instead, \( H \) gives \( D \) 20% of the common stock and 20% of the preferred stock, Section 2036(c) does not apply.
3. If, instead, \( H \) gives \( D \) 80% of the common stock and 20% of the preferred stock (a combination of Examples 1 and 2), 60% of the common stock is included in his gross estate.\(^{17}\)
The breadth of I.R.C. Section 2036(c) is staggering. Although the above examples deal with corporate recapitalizations, comparable results would occur not only with partnership interests but also with any other interests in an enterprise. Moreover, it is immaterial that the donees in the above examples are members of the donor's family, because no language in the provision limits the range of transferees. Conceivably, therefore, a gift to charity would be within the ambit of Section 2036(c).\(^{18}\) Also a matter of consternation is the extent to which, as in these examples, Section 2036(c) impacts not only on \( H \)'s estate but also on \( W \)'s (Wife's). In example 3 above, for instance, the provision as enacted apparently includes the gift of common stock in \( W \)'s estate also,\(^{19}\) a result that is not rationally within the scope of Section 2036(c).
**SPECIAL RULES**
First, for the new provision to apply, Section 2036(c)(1)(A) and (3)(A) establish a threshold test whereby the transferor and transferor's family must together own (directly or indirectly) at least 10% of the voting power or income stream of the enterprise.
*Examples:*
1. Wife (\( W \)) owns 1% of the voting common stock and 2% of the nonvoting preferred stock of a corporation. No one else in the family has any interest in the corporation. \( W \) gives the common stock to \( S \) (son). Section 2036(c) does not apply.
2. \( W \) owns 1% of the voting common stock and 2% of the nonvoting preferred stock of a corporation. \( D \) owns 12% of the voting common stock. \( W \) gives her common stock to \( S \). The common stock is included in \( W \)'s estate.
Second, Section 2036(c)(2) differentiates family members from all other classes of potential transferees. This provision causes the same result where either
\(^{17}\)Conference Report, *supra* note 4, at 996.
\(^{18}\)Even if there were an offsetting charitable deduction for estate taxation, there would be uncertainty for the donor where the charity sells the stock before the donor's death. *See infra* text accompanying note 34.
\(^{19}\)I.R.C. § 2036(c)(3)(C).
a gift or a sale is effected to a family member.\textsuperscript{20}
The definition of “family,” given by Section 2036(c)(3)(B), is utilized for attribution as well as transferee purposes. Essentially, the definition encompasses the individual’s spouse, their respective lineal relatives (from grandparents on down), and those relatives’ spouses. Although adopted descendants are included, collaterals (most notably, brothers and sisters) are not included. Hence, the individual’s parents-in-law qualify as family members but the individual’s uncle or nephew does not.
Further, Section 2036(c)(3)(C) states that “An individual and such individual’s spouse shall be treated as one person.” For example, $H$ gives common stock to $S$ and $D$ and preferred stock to $W$, retaining nothing for himself. The common stock is includible in $H$’s gross estate because, with $H$ and $W$ deemed as one person, $H$ has effectively retained the preferred stock.\textsuperscript{21}
Third, the new law alters the treatment of consideration as between family and non-family transferees.\textsuperscript{22} Although I.R.C. Section 2036(c) treats the transferor as having retained enjoyment of the transferred property, it is I.R.C. Section 2036(a) that actually includes the value of the property in the transferor’s gross estate.\textsuperscript{23} The general rule is that I.R.C. Section 2036(a) does not apply to “a bona fide sale for an adequate and full consideration in money or money’s worth.” For example, $W$ sells common stock to $N$ (niece or nephew) for full consideration in cash, retaining preferred stock. The common stock is not included in $W$’s gross estate. However, a different result obtains under I.R.C. Section 2036(c)(2), which removes the “bona fide sale” exception in intrafamily transfers. Hence, if $W$ sells the common stock to $S$ (instead of $N$) for full consideration in cash and retains the preferred stock, then the common stock is included in $W$’s gross estate. For this purpose, corporate recapitalizations and other value-for-value exchanges are sales for consideration, even if the party involved is the entity, rather than other family members.
Moreover, IRC Section 2043(a) does not apply, according to IRC Section 2036(c)(5).\textsuperscript{24} Instead, “appropriate adjustments shall be made for the value of the retained interest.” This paragraph was intended to at least provide the result that
\textsuperscript{20}For any non-family transferee, § 2036(a) excepts a bona fide sale from the clutches of § 2036(c). \textit{See} the discussion \textit{infra} text accompanying note 24, regarding treatment of consideration.
\textsuperscript{21}Likewise, the common stock is apparently includible in $W$’s estate. But if this latter result is correct, then $H$’s estate should receive a marital deduction for the stock he gave to $S$ and $D$. A technical correction is obviously needed here.
Note however that the example in the text is only a special case. The application of I.R.C. § 2036(c)(3)(C) is not so limited. Using the basic example where $H$ gives common stock to $D$ and retains preferred stock, the common stock is again apparently included in $W$’s estate as well as in $H$’s. Such a result is obviously too broad.
\textsuperscript{22}\textit{See supra} text accompanying note 20.
\textsuperscript{23}\textit{See} Appendix B, proposed § 2036(c)(4).
\textsuperscript{24}Without amendment, § 2043 would not apply in this example anyway, because full consideration had been paid.
Section 2043(a) would have provided, allowing an offset for the consideration received.\textsuperscript{25} As enacted, however, Section 2036(c)(5) is indecipherable without a technical correction. Nevertheless, an argument can be advanced that Section 2036(c)(5) should be expanded to allow compounding of the consideration to the date of transferor's death. This approach is correct if Congress's objective is to reconstruct the result that would have occurred had the sale not been made at all and the transferor had simply held the growth interest until death.\textsuperscript{26}
Fourth, IRC Section 2036(c)(4), as originally drafted, provides for coordination with IRC Section 2035, the "three-year rule." In general, where the client retains the preferred shares until his death, his Federal gross estate will include the date-of-death value of both the preferred shares and those common shares transferred during his lifetime.\textsuperscript{27} But where the retained interest is transferred within three years before death, the growth interest is still brought back into the gross estate.
For example: $W$ owns all the stock, common and preferred, of a corporation. $W$ gives the common stock to $D$ on February 1, 1988, and the preferred stock to $S$ on January 1, 1993. If $W$ dies January 2, 1996, or later, then none of the stock is included in her gross estate. If, however, $W$ dies, say, November 1, 1995, then the common stock — and possibly also the preferred stock — is included in her gross estate.
Section 204(o) of the pending technical corrections bill, H.R. 4333 and S. 2238, would dramatically amend I.R.C. Section 2036(c)(4).\textsuperscript{28} If this "technical correction" is enacted, then, in a situation covered by Section 2036(c), if during the original transferor's lifetime, either the transferee retransfers the transferred property outside of the family or the original transferor transfers the retained interest, within or outside the family, there would in effect be an acceleration of the tax. In other words, the amount that would have been included in the original transferor's gross estate under Section 2036(c) if the transferor had died at that time would be treated as a current gift by the transferor,\textsuperscript{29} and Section 2036(c) would no longer apply to that transferred property for estate tax purposes when the original transferor dies.\textsuperscript{30} If less than all of the transferred interest is retransferred or less than all of the retained interest is transferred, then this acceleration would be effected with respect to that portion.
\textsuperscript{25}Conference Report, \textit{supra} note 4, at 996-97.
\textsuperscript{26}Note the identical results in Appendix A for Examples D (a Section 2036(c) sale, assuming compounding) and F (no transfer at all).
\textsuperscript{27}IRC § 2036(c)(4) and 2035(d)(2). According to the Conference Report, \textit{supra} note 4, at 995-96:
The value of the transferred property is includible in a decedent's gross estate, if the decedent retained the interest for his life, for any period not ascertainable without reference to his death, or for any period which does not in fact end with his death. *** The provision only makes certain property includible in the estate; it does not affect the valuation of such property for estate tax purposes.
\textsuperscript{28}See Appendix B.
\textsuperscript{29}Proposed I.R.C. § 2036(c)(4)(A).
\textsuperscript{30}Proposed I.R.C. § 2036(c)(4)(B).
For example (the same example as immediately above): $W$ owns all the stock, common and preferred, of a corporation. $W$ gives the common stock to $D$ on February 1, 1988, and the preferred stock to $S$ on January 1, 1993. Under the technical correction, $W$ would be treated as having made a gift of the common stock, as well as the preferred stock, on January 1, 1993. Likewise, if $D$ gave the common stock to charity on January 1, 1992, or sold the common stock to an outsider on January 1, 1992, $W$ would be treated as having made a gift of the common stock on January 1, 1992. In either case (a transfer by $W$ or a retransfer outside $W$'s family by $D$), nothing would be included in $W$'s gross estate by reason of Section 2036(c), even if $W$ did not survive for three years.
The apparent purpose of the proposed amendment is to provide a gift tax analogue to the estate tax result of Section 2036(c), so as to prevent avoidance of the consequences of Section 2036(c) by subsequent transfers. Without such an amendment, it would be possible, for example, for a 40-year-old client to "freeze" an interest in an enterprise by transferring a growth interest, such as common stock, to children, and then transfer the "frozen" interest to children at age 65. Under the statute as originally drafted, if the parent survived another three years, 25 years of appreciation would effectively escape transfer tax. The proposed new Section 2036(c)(4) would tax that appreciation at the time of the second gift.
This amendment would answer some of the questions that were raised immediately after enactment of Section 2036(c), such as the consequences if following an estate freeze the entire enterprise were sold to outsiders.\footnote{This amendment, however, would not answer all the questions presented by subsequent transfers. \textit{See infra} note 51.} But on balance the proposed amendment has still caused great consternation, and at the very least needs considerable refinement. The amendment would simply treat the original transfisor as having made a gift equal to the amount that would hypothetically be included at that time in the transfisor's gross estate. But Section 2502(a)\footnote{I.R.C. § 2502(A):}
which provides for the computation of the gift tax, does not contain a coordinating rule analogous to the last sentence of Section 2001(b),\footnote{I.R.C. § 2001(A):}
\begin{itemize}
\item[(a)] Computation of tax. — The tax imposed by section 2501 for each calendar year shall be an amount equal to the excess of —
\begin{itemize}
\item[(1)] a tentative tax, computed under section 2001(c), on the aggregate sum of the taxable gifts for such calendar year and for each of the preceding calendar periods, over
\item[(2)] a tentative tax, computed under such section, on the aggregate sum of the taxable gifts for each of the preceding calendar periods.
\end{itemize}
\item[(b)] Computation of tax. — The tax imposed by this section shall be the amount equal to the excess (if any) of —
\begin{itemize}
\item[(1)] a tentative tax computed under subsection (c) on the sum of —
\begin{itemize}
\item[(A)] the amount of the taxable estate, and
\item[(B)] the amount of the adjusted taxable gifts, over
\end{itemize}
\item[(2)] the aggregate amount of tax which would have been payable under chapter 12 with respect to gifts made by the decedent after December 31, 1976, if the provisions of subsection (c) (as in effect at the decedent’s death) had been applicable at the time of such gifts.
\end{itemize}
\end{itemize}
For purposes of paragraph (1)(B), the term "adjusted taxable gifts" means the total amount of the taxable gifts (within the meaning of section 2503) made by the decedent after December 31, 1976, other than gifts which are includible in the gross estate of the decedent.
putation of the estate tax, to prevent a double gift tax on serial transfers. Under the proposed amendment, if common stock is given to children in one year and preferred stock given the following year, the common stock will be subject to a double gift tax, even if it does not appreciate in value at all.
In addition, the proposed new Section 2036(c)(4) does not specify to whom the deemed gift is considered made. The donee of this deemed gift could be important in determining the applicability of the annual gift tax exclusion,\(^{34}\) the charitable deduction,\(^{35}\) or the generation-skipping transfer tax.\(^{36}\)
This amendment would apparently permit the statute to have a cascading effect. Example: \(H\) and \(S\) each own preferred stock of a corporation. \(H\) owns all the common stock. \(H\) gives the common stock to \(S\). \(S\) subsequently gives the common stock to his child, \(GC\). The common stock apparently is included in the estates of both \(H\) and \(S\) when they die, because of their retention of preferred stock. If \(GC\) transfers the common stock outside of the family, it appears that both \(H\) and \(S\) would be deemed to have made a give.
The description accompanying the technical corrections bill, prepared by the staff of the Joint Committee on Taxation, included the following illustration:
[A] person who holds all the stock in a corporation and gives away the common stock while retaining all of two classes of preferred stock would be treated as making a gift under the provision only to the extent that he subsequently transfers a proportionate amount of each class of preferred stock. If he subsequently transfers 25% of one class and 75% of the other class of preferred stock, he would under the provision be treated as making a gift with respect to only the 25% of the common stock with respect to which proportionality was restored. His estate would still include 75% of the common stock — the share for which disproportionate ownership continues to exist after the subsequent transfer.\(^{37}\)
The requirement that “proportionality” be “restored” as to all classes of preferred stock considered separately will inevitably produce the wrong result. In the example stated, if it is assumed that each share of preferred stock has any value at all, then clearly the transferor has retained less than 75% of all the preferred stock. It would make more sense to combine the two classes of preferred stock for this purpose. For example, if the two classes were the same size, then 50% of the common stock in the stated example should be removed from the scope of Section 2036(c).\(^{38}\)
\(^{34}\)Section 2503(b).
\(^{35}\)Section 2522.
\(^{36}\)Section 2601 et. seq.
\(^{37}\)Staff of the Joint Committee on Taxation, *Description of the Technical Corrections Act of 1988* (H.R. 4333 and S. 2238, 425 (March 31, 1988)).
\(^{38}\)Like the rest of § 2036(c), the proposed new § 2036(c)(4) would raise many questions about its scope. For example, even payments on an installment sale note would arguably be partial dispositions of the transferor-seller’s retained interest, creating tremendous complexity.
The proposed technical correction would also direct the Service to "prescribe such regulations as may be necessary or appropriate to carry out the purposes of this subsection [i.e., Section 2036(c)], including such regulations as may be necessary or appropriate to prevent avoidance of the purposes of this subsection through distributions or otherwise." This appears intended to prevent the technique of diluting the value of an enterprise through distributions to younger-generation owners.
Example: $H$ owns all the common and preferred stock of a corporation. In 1988 $H$ gives all the common stock to $S$ and $D$. By 1995, the common stock has greatly increased in value. If income tax rates in 1995 are still lower than estate tax rates, even the payment of dividends to $S$ and $D$ with respect to their common stock would put more money in the hands of $S$ and $D$, after taxes, because it would dilute the value of the common stock and save estate tax at $H$'s death. If it is possible to make corporate distributions to $S$ and $D$ with respect to their common stock without dividend treatment, this technique is even more valuable.
The contemplated regulations presumably would prevent this result.
**Difficult Statutory Terms**
Although the debate over estate freezes is ancient, the immediate germ of Section 2036(c) is the following suggestion of congressional staffs:
The parent's estate could include the full value of property which is effectively subject to the retained life interest (i.e., the common stock as well as the preferred stock, in the recapitalization case . . .).
When the House Committee on Ways and Means acted upon this suggestion, it was reported as follows:
If an owner of a substantial interest in an enterprise transfers a disproportionate share of the appreciation in the enterprise while retaining disproportionate control or income of that enterprise, the transferred interest would be included in his gross estate.
Most estate planners who were aware of these developments thought they knew what these concepts were aimed at. But when these *concepts*, and very little more, were arranged into paragraphs and subparagraphs and presented as a *statute*,
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39 Proposed I.R.C. § 2036(c)(6).
40 See supra note 37, at 426.
41 Like the rest of § 2036(c), this new provision would seem to operate only one way, adversely to clients. For example, although it appears aimed at distributions to younger-generation owners, it is not at all clear that it contemplates that the younger-generation owners' subsequent contributions to capital would be given the reverse effect.
42 Staff of the Joint Committee on Taxation, *Description of Possible Options to Increase Revenues* 266 (June 25, 1987).
43 Staff of the Joint Committee on Taxation, *Summary of Ways & Means Committee Action on October 13, 1987*, at 22.
no one knew what they meant anymore. Much of the astonishing breadth, as well as the exasperating uncertainty, of Section 2036(c) can be analyzed by considering the various concepts which, undefined or loosely defined, found themselves serving as statutory terms.\textsuperscript{44}
“Substantial interest.” As a threshold for the mechanics of IRC Section 2036(c) to be brought into play, the transferor and the transferor’s family must have owned a “substantial interest” in the enterprise.\textsuperscript{45} The parenthetical “directly or indirectly” increases the reach of the threshold test by expanding what both the transferor and the transferor’s family are deemed to own. By design and in operation, this provision is aimed at tiered entities.
Examples:
1. $W$ owns one percent of the voting common stock and two percent of the nonvoting preferred stock of a corporation. All the rest of the stock of the corporation is held by a trust created and funded by $W$’s uncle in 1981. The trust beneficiaries are $D$ and $S$, and the trustee is $X$ Bank. In 1988, $W$ gives her common stock to $D$ and $S$. $D$ and $S$, beneficiaries of the trust, are treated as owning all the stock owned by the trust. Therefore, $W$ and her family, $D$ and $S$, are treated as owning all the stock of the corporation — clearly a “substantial interest” — and the common stock given in 1988 is included in $W$’s gross estate.
This provision, however, operates only for purposes of the “substantial interest” threshold test, not for purposes of determining a retained interest in the enterprise. For example:
2. $W$ owns all the common stock of a corporation. All the preferred stock of the corporation is held by a trust created and funded by $W$’s uncle in 1981. The trust beneficiaries are $D$ and $S$, and the trustee is $X$ Bank. In 1988 $W$ gives the common stock to $D$ and $S$. The preferred stock is treated as owned by the trust beneficiaries, $D$ and $S$. Although it would therefore be attributed to $W$ for purposes of the “substantial interest” threshold test, it is not attributed to $W$ as a retained interest in the corporation. Therefore, $W$ has retained no interest in the corporation, and Section 2036(c) does not apply.
Although the above examples deal with a trust, the result would be the same with respect to any pass-through entity. Thus, the interest in an enterprise owned
\textsuperscript{44} Commentators have universally noted the great breadth and ambiguity of the statute. \textit{See, e.g.,} Belcher & Wood, \textit{Section 2036(c): Has the Ice Age Arrived for Estate Freezes?}, 13 \textit{ESTATES, GIFTS \& TRUSTS} 1, 63 (1988); Bettigole, \textit{Use of Estate Freeze Severely Restricted by Revenue Act of ’87}, 68 J. TAX. 132 (1988); Blattmacher \& Gans, \textit{Putting The Heat on Freezes}, \textit{PROBATE \& PROPERTY} 12 (May/June 1988); Covey, \textit{U.S. Trust-Practical Drafting}, April 1988, at 1415; Foster \& Rabun, \textit{Planning Strategies to Cope with the Limits Imposed on Estate Freezes by RA ’87}, 15 \textit{ESTATE PLANNING} 130 (1988); Keydel, \textit{The Internal Revenue Code’s New ‘Anti-freeze’ Provision}, 34 \textit{PRACTICAL LAWYER II} (1988); Mahon, \textit{Poorly Conceived Statute Is Bad for Business}, \textit{TRUST \& ESTATES} 45 (May 1988); Treanor, \textit{The Revenue Act of 1987: Estate Valuation Freeze}, TAX MGT MEMORANDUM (1988).
\textsuperscript{45} IRC §§ 2036(c)(1)(A) and (3)(A).
by a partnership would be attributed to the partners, and the interest in an enterprise owned by a corporation would be attributed to the shareholders. Such attribution is applied successively in complex multi-tiered structures.
The 10% threshold test applies to the ownership of voting power, income stream, or both.\textsuperscript{46} Here, “voting power” probably includes the right to vote stock held in trust, as exercisable by a fiduciary or by holders of the voting trust certificates.\textsuperscript{47} The reference to “income stream” conceivably may include interest on debt, consultant’s or director’s fees, deferred compensation or retirement arrangements, or even intrafamily royalties or rent. This may be largely academic, however, because the interests of the whole family are aggregated for this purpose anyway. The allocation of “income” or other rights among respective family members is not important to the threshold “substantial interest” test.\textsuperscript{48}
“Enterprise.” The term “enterprise” in Section 2036(c)(1)(A) is said to include “a business or other property which may produce income or gain.”\textsuperscript{49} A plain language interpretation nets a meaning broad enough to include an investment company, co-owned assets, and even unimproved real estate. But to interpret it to include such assets as cash and marketable securities would simply render the 10% “substantial interest” test irrelevant.
“Holds.” In Section 2036(c)(1)(A), the phrase “any person holds a substantial interest” apparently contemplates the status quo before the transaction. To illustrate: $H$ owns 12% of all the stock, voting common and nonvoting preferred, of a corporation. In 1988, $H$ gives half the voting common stock to $N$. The stock $H$ retains represents less than 10% of the voting power and income stream of the corporation. No other member of his family has any interest in the corporation. Yet the stock $H$ gives to $N$ in 1988 is included in his gross estate, because $H$ owned a “substantial interest” in the corporation before making the gift. But if $H$ gives the balance of his common stock to $N$ in 1990, then Section 2036(c) should not apply, because $H$ (together with his family) does not hold a substantial interest in the corporation in 1990. Thus, the 1988 gift will be included in his gross estate, but the 1990 gift should not be.
If, however, $H$ had given all his common stock to $N$ in 1988, it would then all be included in $H$’s gross estate. This result suggests both the opportunity for advantages timing and the likelihood that step-transaction rules will be invoked in some cases.\textsuperscript{50}
\textsuperscript{46} I.R.C. § 2036(c)(3)(A).
\textsuperscript{47} Cf. § 2036(b).
\textsuperscript{48} Compare discussion infra notes 59–62, where for purposes of § 2036(c)(1)(B) a broad interpretation of “income” is by no means academic.
\textsuperscript{49} Conference Report, supra note 4, at 996.
\textsuperscript{50} Note that transfers two years apart are collapsed in Proposed Treas. Reg. § 20.2036-2(c)(4), Example (I).
"After December 17, 1987." One would ordinarily not think that the phrase "after December 17, 1987" was ambiguous. While its principal purpose is to grandfather pre-December 18, 1987, freeze transactions, however, even this reference in Section 2036(c)(1)(B) raises serious questions of interpretation in its application to serial transfers.
Assume in each of the following examples that $W$ owns 80 percent of the common and preferred stock of a corporation:
1. $W$ gives $D$ all her common stock. The common stock will, of course, be included in her gross estate.
2. Alternatively, assume that in 1988 $W$ gives $S$ half her common stock (40%). Then in 1990 she gives $S$ half her remaining common stock (20%) and half her preferred stock (40%). If the 1988 and 1990 gifts are each viewed in isolation, then 40% of the common stock (the subject of the 1988 gift) will be included in $W$'s gross estate. But no stock will be subject to Section 2036(c) by reason of the 1990 gift, because $W$ gave the same proportion of each class of stock she owned. If the gifts are viewed in the aggregate, however, $W$ will have given $S$ 60% of the corporation's common stock and 40% of the preferred stock, and only the difference — 20% of the common stock — is subject to Section 2036(c).51
3. Alternatively, assume that in 1988 $W$ gives half her preferred stock (40%) to $S$. Presumably Section 2036(c) does not apply to a gift of only preferred stock. Then in 1990 $W$ gives three-fourths of her common stock (60%) to $S$. If the gifts are viewed in isolation, it appears that 60% of the common stock is included in $W$'s gross estate. But because this result is the same as in Example 2, perhaps only 20% — or 40%? — should be included in her gross estate. On the other hand, it might be argued that this result is not the same as in Example 2, because $W$ has postponed the "freeze" in this example and thereby has arguably obtained less benefit from it. If so, it is hard to tell how this factor should be quantified.52
"Disproportionately large." Despite the difficulties with other terms in the statute, there is no question that the most troublesome terms in the new statute are "disproportionately large" and "in effect." Under Section 2036(c)(1)(B), the estate tax consequences of Section 2036(c) are triggered when a person with a substantial interest in an enterprise in effect transfers after December 17, 1987, property having a disproportionately large share of the potential appreciation in
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51The proposed "technical correction" of Section 2036(c)(4) apparently is intended to produce the latter result. The accompanying staff description refers to a removal from Section 2036(c) of the "percent of the common stock with respect to which proportionality was restored." Description, supra note 37 at 425. In the example in the text, therefore, $W$ would presumably be treated as making a gift of an additional 20% of the corporation's common stock in 1990, and 20% of the corporation's common stock would be subject to Section 2036(c) upon her death. But the answer is by no means clear from the language of the proposed statute itself.
52It was perhaps too much to be hoped that the pending "technical correction" would shed any light on this example, It does not. The answer may have to await further technical corrections, regulations, or even litigation.
such person's interest in the enterprise while retaining a disproportionately large share in the income of, or rights in, the enterprise.
The ink was barely dry on the President's signature when a great debate arose whether Section 2036(c)(1)(B) contains two tests (one relating to "appreciation" and another relating to "income" or "rights") or just one test. Originally, it was almost universally assumed among practitioners and commentators\(^{53}\) that there are two tests, and that it is therefore possible by ingenious planning and drafting to create estate freezes that fail one test but not both. One possibility might be a gift by a parent to a child of participating or convertible voting preferred stock with a cumulative dividend that exceeds the dividend on the conventional preferred stock the parent retains.
But another question that arose very early about the term "disproportionately large" is "Disproportionate to what?" One answer supplied by the context is that the two "shares" of Section 2036(c)(1)(B) — the share of potential appreciation and the share of income or rights — are compared \textit{to each other}. So analyzed, the second question provides the answer to the first: there is only one test, stated two different ways. If one share "proportionately" goes down, the other share \textit{must} "proportionately" go up.\(^{54}\)
The disproportionality test, then, is a matter of comparing ratios of ratios — the ratio of an individual's interest in the potential appreciation of an enterprise to his or her total interest in the enterprise before the transfer, compared to the same ratio recomputed after the transfer.
This comparison is easier to illustrate than to describe: For example: \(H\), who owns all the stock of a corporation, gives 49% of the common stock to \(D\). He retains a majority of the potential appreciation — 51%. Nevertheless, because he began with 100% of the potential appreciation, he has reduced his \textit{share} of potential appreciation — from 100% to 51%. Moreover, because he has not reduced his share of preferred stock at all, he has reduced his share of potential appreciation \textit{disproportionately}. Thus, Section 2036(c) applies, and the transferred common stock is included in his gross estate.\(^{55}\)
\(^{53}\)See, e.g., Belcher & Wood, \textit{supra} note 44, at 65; Covey, \textit{supra} note 44, at 1415.
\(^{54}\)Although the metaphor may be more intriguing than illuminating, the author has colloquially described this phenomenon by pointing out that to be "less awake" is the same as to be "more asleep." Perhaps more to the point, it is impossible to transfer a disproportionately large share of the frosting without retaining a disproportionately large share of the cake.
\(^{55}\)It could be argued that a transfer of potential appreciation is never "disproportionately large" if the transferee, as in the example in the text, retains more potential appreciation than he transfers. See Covey, \textit{supra} note 44, at 1419. \textit{See generally} Foster & Rabun, \textit{supra} note 44, at 132. This argument derives its force from the statement of managers in the conference report, which states: "A disproportionately large share of potential appreciation is any share of appreciation in the enterprise greater than the share of appreciation borne by the property retained by the transferee." Conference Report, \textit{supra} note 4, at 996. It is difficult to see the policy justification for such a rule; the transfer of a remainder interest in less than half of any property, for example, has always been caught by § 2036(a). In any event, it is apparent that the conference report does not mean what it appears to say in absolute terms, but must be applied in a comparative manner as illustrated in the text. For example, the Ways and Means Committee report, commenting on language in the House bill that
Using identical facts as above, except that $H$ also gives $D$ 48% of the preferred stock, $H$ has now substantially reduced his share in the income of, or rights in, the corporation. Nevertheless, because even the substantially-reduced share he retains is larger than the share of potential appreciation he retains, his retained share is “disproportionately large.” Section 2036(c) applies, and 1% of the common stock is included in $H$’s gross estate.
Another great debate has revolved around the application of Section 2036(c) to voting and nonvoting stock for example, although not exclusively, in an S corporation. Some commentators assumed early that Section 2036(c) should not apply to the transfer of nonvoting stock and the retention of otherwise identical voting stock.\textsuperscript{56} Increasingly uneasy about the prospect that congressional staffs might have intended the statute to apply to such a transfer, other commentators have concluded that the answer is not clear\textsuperscript{57} and that such a transfer might be caught.\textsuperscript{58}
Viewed as a matter of policy, there seems to be no reason to attempt to distinguish between a block of nonvoting stock and a minority block of voting stock. Viewed as a matter of statutory construction, however, it is possible to bring voting and nonvoting stock within the range of Section 2036(c)(1)(B). Although at first blush two classes of stock, one voting and one nonvoting but otherwise identical, do not seem to present an opportunity to transfer “a disproportionately large share of the potential appreciation,” this necessarily assumes that appreciation is allocated proportionately to the control premium represented by the right to vote. If appreciation is allocated less than proportionately to that control premium, then the conditions of Section 2036(c) appear to be satisfied.
Example: $H$ owns all the 100 shares of voting common stock and all the 100 shares of nonvoting common stock of a corporation. The value of the corporation is assumed to be $210,000, allocated $1,000 to each share of nonvoting stock and $1,100 to each share of voting stock. Assume that $H$ gives the nonvoting stock to $D$. Assume further that subsequently the corporation roughly doubles in value, to $415,000, but the value of the right to vote increases only 50%, from $100 to $150 per share. The $415,000 value of the corporation is therefore allocated $2,000 to each share of nonvoting stock and $2,150 to each share of voting stock. $D$’s nonvoting stock has appreciated 100% (from $1,000 to $2,000 per share) while $H$’s retained voting stock has appreciated only 95.45% (from $1,100 to $2,150 per share). It is arguable that $H$ has transferred to $D$ a disproportionately large share of the appreciation.
\textsuperscript{56} E.g., Bettigole, \textit{supra} note 44, at 133.
\textsuperscript{57} E.g., Mahon, \textit{supra} note 44, at 50.
\textsuperscript{58} E.g., Belcher & Wood, \textit{supra} note 44, at 68.
In any event, when it is remembered that the word “disproportionately” invites a comparison to the transferor’s entire interest, including the right to vote, than a “potential-appreciation-per-vote” analysis emerges, by which Section 2036(c) might be found applicable, without regard for the control premium.
For example: $W$ owns all of the 100 shares of voting common stock and all of the 100 shares of nonvoting common stock of a corporation. She gives $D$ half of her nonvoting common stock. She has given away one-fourth of the potential appreciation, compared to none of the voting rights — a “disproportionately large share of the potential appreciation.” Put another way, she has retained 100% of the voting rights, compared to only 75% of the appreciation potential — a “disproportionately large share in the . . . [voting] rights,” even if she retains only 75% of the income.
If there is a possibility that Section 2036(c) will be applied to voting and non-voting stock, then considerable care must be taken in advising clients about *any* arguable “transfer.” Voting trusts, powers of attorney, and even pledges as security for loans will be suspect. Further, every limited partnership may be deemed to have voting (general) and nonvoting (limited) interests, and even a general partnership may have a “voting” managing partner.
The terms “income” and “rights” in Section 2036(c)(1)(B) are very broad, perhaps even broad enough to include interest and compensation. For instance, there may be no difference between debt and preferred stock for purposes of Section 2036(c). If so, then, interest on debt is within the scope of “income.” To illustrate: $W$ owns common stock and corporate notes. She gives the stock to $S$. Because of $W$’s retention of the notes, the stock is included in $W$’s gross estate.\(^{59}\)
The problem of interest and compensation might prove to be one of the most important and controversial issues raised by Section 2036(c). While it is easy to say that corporate notes are treated like corporate stock, an indiscriminate application of Section 2036(c) to loans will lead to peculiar results. How would one account for a “loan” or other extension of credit arising in the ordinary course of business, such as an open account? What about a loan to a child who is a shareholder? Or a loan to a child even if there is no corporation? What about a loan, or even an ordinary gift, to a child which the child uses to start or invest in an unrelated business? How are such loan or gift proceeds traced?
As to a parent’s services to a family enterprise, the receipt of compensation might be the retention of an income interest, but the rendering of services without compensation might itself be a taxable gift. It may be that if $W$ is employed by the corporation, her salary must be cut in half if she is to give $S$ half of her common stock without triggering Section 2036(c). (Even that might not work unless
\(^{59}\)See also the example involving corporate debt *infra* text accompanying note 66.
her duties and authority are also cut in half!) Deferred compensation and retirement arrangements could create great complexity. Similar issues are presented by compensation for the use of property, such as rent or royalties. It is hoped that regulations take a reasonable approach to these issues.
The "retaining" test is also very broad, making it difficult to measure the effect of the transaction in many cases. Example: $H$ gives all the common stock of a corporation to $S$, retaining only one share of $100 preferred stock (or one $100 corporate note, if debt is treated like stock). It would make no sense to treat the retention of a $100 interest as the "retention of the enjoyment" of the entire corporation. But the statute gives no indication of how to draw a line in such cases.
The "disproportionately large" test is apparently intended to be applied at the time of the transfer. Consistent with the statute's general one-way application, there is no provision for a "look-back" and therefore no relief if the enterprise declines in value. Section 2036(c) apparently applies even if it is expected from the beginning that the enterprise will decline in value and it is desired for some reason to shift that high risk of decline in value to younger-generation owners.
"In effect." The words "in effect" are the coiled spring which could suddenly and unexpectedly project Section 2036(c) into so many business and non-business circumstances and which therefore have caused the greatest apprehension about the statute. It is this term which applies Section 2036 to any transaction or event which simulates a transfer of appreciable property, which achieves the same result that a transfer of appreciable property would achieve, or which when broken down into the tiniest of components could conceivably be reconstituted in the form of a transfer of appreciable property. Whenever such a transaction or event occurs, it will be necessary under the statute to test the transferor's and transferee's shares of potential appreciation compared to their shares of all income of and rights in the enterprise, before and after the transaction.
The transferor and transferee need not even both be parties to the "transfer" for purposes of Section 2036(c), because transactions with the business entity are analyzed for transfer tax purposes as if they are transactions among the owners of the beneficial interest in the enterprise, proportionately. Thus, a redemption is "in effect" a transfer, and Section 2036(c) applies. For example, $H$ owns 75%
---
60 Under the general principles applicable to § 2036, however, the mere "right" to compensation would not be regarded as "retained" at the time of the transfer unless there were a legal commitment or express or implied understanding. Reg. § 20.2036-1(a); United States v. Byrum, 408 U.S. 125, 148-50 (1972).
61 This discussion is by no means exhaustive. As soon as one example is analyzed and the probable result predicted, a half-dozen new examples emerge. § 2036(c) is broad enough to cover a host of transactions and arrangements that would not otherwise appear to involve the capital structure of the enterprise.
62 There is no reason for § 2036(c) to deal with matters — such as the adequacy of interest or the reasonableness of compensation — that are amply addressed by other provisions of the law.
63 See Scenario III in Appendix A, however, for an illustration of the computation when the value of the enterprise declines.
64 See Reg. § 25.25II-l(h)(1).
of the common and preferred stock of a corporation. $S$ owns the other 25%. $H$ causes the corporation to redeem his common stock. The transfer to the corporation is treated as a transfer to $S$. Therefore, Section 2036(c) applies, even if the redemption proceeds are full consideration. If there are no other transactions, three-fourths of the value of $S$'s common stock is included in $H$'s gross estate.\footnote{This result is the same whether or not the redemption escapes dividend treatment under § 302(b). This could be the result in the case of so-called "leveraged buyouts."}
Similarly, the issuance of stock by a corporation is “in effect” a transfer, and Section 2036(c) applies. For example: $H$, who owns all the common and preferred stock of a corporation, causes the corporation to issue common stock to $S$. Section 2036(c) applies, even if $S$ pays full consideration. $S$'s common stock is included in $H$'s gross estate.
Clearly Section 2036(c) applies to ordinary corporate recapitalizations, which “in effect” are combinations of redemptions and issuances of stock.
\textit{Examples}:
1. $H$ owns 75% of the single class of common stock of a corporation. $S$ owns the other 25%. $H$ exchanges his stock for voting preferred stock in a tax-free recapitalization. Because $H$ entered the transaction owning 75% of the potential appreciation, 75% of the value of $S$'s common stock is included in $H$'s gross estate.
2. $H$ owns 75% of the single class of common stock of a corporation. $S$ owns the other 25%. $H$ exchanges his stock for corporate notes. If debt is treated the same as preferred stock\footnote{See \textit{supra} text accompanying note 59.} then 75% of the value of $S$'s common stock is included in $H$'s gross estate.\footnote{This result is the same whether or not the exchange escapes dividend treatment under § 302(b).}
Although the examples immediately above deal with corporate transactions, similar results would obtain with respect to changes in the interests in any entity, such as a partnership.\footnote{Some have even suggested that the amendment of a partnership agreement merely to conform to the new partnership allocation rules under Treas. Reg. § 1.704-1(f) could be construed as creating a transfer, in effect, of potential appreciation.}
In contrast, Section 2036(c) apparently might not be applied to buy-sell agreements. Although granting an option to buy may be viewed as a transfer of part of the “bundle of property rights,”\footnote{Dorn v. United States, 86-2 USTC P13,701 (W.D. Pa. 1986, rev'd, 828 F.2d 177 (3d Cir. 1987).} and Section 2036(c) reportedly was intended by its drafters to apply to such a “transfer,” its written legislative history suggests that it is not aimed at issues that historically have been regarded as valuation issues.\footnote{Conference Report, \textit{supra} note 4, at 996.}
or “split” purchase of a life estate and a remainder. It can be argued that if there is no “enterprise” for purposes of Section 2036(c)(1)(A) and no before-and-after shares of potential appreciation to test for purposes of Section 2036(c)(1)(B), then Section 2036(c) does not apply.
**Examples:**
1. *W* and *D* form a corporation with cash. *W* receives preferred stock and *D* receives common stock. Section 2036(c) apparently does not apply.
2. Same as Example 1 except that *D* received her cash as a gift from *W*. Section 2036(c) may not apply.
3. *W* forms a corporation with cash and receives common and preferred stock. She immediately gives (or sells) the common stock to *D*. Because in substance this is the same as Example 1 (if a sale) or 2 (if a gift), the result should be the same. Section 2036(c) should not apply. (But prudence would dictate avoiding this form of transaction.)
Any line-drawing with Section 2036(c) is difficult, but these suggested results regarding the creation of a new enterprise and a joint purchase are especially hard to reconcile. It is probable that a joint purchase of a conventional life estate and remainder will be covered by Section 2036(c),\(^{71}\) but it is very hard in some cases to distinguish such a joint purchase from the joint creation of a corporation which issues preferred and common stock.
There are yet more unanswered questions. In Example 1 immediately above, what if nonbusiness income-producing assets, such as passive rental real estate, royalty interests, or Government securities, were contributed to the new corporation instead of cash. In Example 2, what if a loan were used instead of a gift? In Example 3, how long is “immediately?”
It is the judgment of this author that all these questions should be resolved in favor of a finding that Section 2036(c) does not apply to the interests received upon the creation of a new enterprise, because that transaction most resembles a “gamble.”\(^{72}\) To the extent that there is a policy justification for a rule like Section 2036(c), it seems to this author that it is limited to the freeze of an interest in a going concern with proven appreciation potential.
Moving to a slightly different context, what would be the result if the enterprise underwent a change of form? In general, where there is a pre-existing enterprise and before-and-after shares to test, Section 2036(c) applies. For example, an incorporation of a partnership or sole proprietorship is treated for this purpose like a recapitalization, not like the creation of a new enterprise.
---
\(^{71}\) The example that is circulating among estate planners is 100 share of stock in a publicly-held corporation, in which a father buys a life estate for cash and his child buys the remainder for cash. It is generally assumed that § 2036(c) could catch such an arrangement, although it certainly stretches the conventional understanding of the term “enterprise” to apply it to 100 shares of stock in a huge publicly-owned corporation.
\(^{72}\) See *supra* text following note 14.
Perhaps the most ironic phenomenon of all is that the "antifreeze" provisions of Section 2036(c) could apply to an "unfreezing" transaction. For example: In a pre-1987 recapitalization, $H$ received all the preferred stock of a corporation and $S$ received all the common stock. Now the preferred stock dividend has become a burden to the corporation, and $H$ no longer needs it. But $H$ might be deemed to have made a gift to $S$ if the dividend is not paid.\textsuperscript{73} $H$ therefore converts his preferred stock back into common stock. If $S$ predeceases $H$, Section 2036(c) might apply.\textsuperscript{74}
**CONSEQUENCES OF SECTION 2036(c)**
Appendix A presents an analysis of the total estate and gift tax liabilities under various scenarios — comparing a gift, a sale, and no transfer at all, with and without Section 2036(c).
There are also a number of indirect and incidental consequences of the application of Section 2036(c). The includability of previously transferred property in the transferor's estate under Section 2036(c) could increase the estate's eligibility for stock redemption under Section 303, deferral of estate tax under Section 6166, and possibly special-use valuation under Section 2032A. Such property would receive a new income-tax basis at death equal to its estate tax value.\textsuperscript{75} If the property is then in the hands of a person more than one generation below the generation of the transferor, a generation-skipping transfer tax could be imposed.\textsuperscript{76}
The interplay with local law may present very difficult issues of tax appointment. State appointment statutes might not give the executor the right to pursue the owners of non-probate assets included in the Federal gross estate but not the probate estate.\textsuperscript{77} In any event, tax clauses in wills should be reconsidered, and payment of the tax should be a planning objective.
**WHAT'S LEFT? REMAINING FREEZE TACTICS**
Any article on Section 2036(c) should have a section entitled "What's Left?" But this section might most honestly be left blank. The language of Section 2036(c) is so broad that it is almost impossible to cite any example to which it certainly will not be applied.
\textsuperscript{73}Technical Advice Memoranda 8403010 and 8723007. See also Technical Advice Memorandum 8726005.
\textsuperscript{74}But since there was no "transfer of property" from $S$ to $H$ (only possibly a deemed transfer "in effect"), the ultimate irony is that the credit for tax on prior transfers under § 2013 might not be available when $H$ subsequently dies. Note that all the other examples presented in this article presuppose transfers (or deemed transfers "in effect") from an older generation to a younger generation. It is hazardous to approach § 2036(c) with any presuppositions whatsoever.
\textsuperscript{75}I.R.C. § 1014(b)(9).
\textsuperscript{76}Under proposed § 2642(f), which would be added by Section 114(g)(5) of the pending technical corrections bill (H.R. 4333 and S. 2238), the allocation of the generation-skipping transfer tax inclusion ratio would be suspended until death in a case to which Section 2036(c) applies.
\textsuperscript{77}Even transferee liability under § 6901 would be problematic in the case of a deemed transfer "in effect."
One possibility is that any entity freeze may continue to be effective, if the frozen interest is automatically extinguished, shifted, or converted to a growth interest before death. An example might be a so-called "GRIT preferred interest" such as preferred stock which freezes an estate, but which is automatically converted after a term of years or the occurrence of a specified event to common stock, thereby "unfreezing" the estate.\footnote{If § 2036(c) is interpreted to apply to debt instruments, then the simplest example of a GRIT-type interest might be an installment sale note. Another important GRIT-type arrangement is a fixed-term partnership.} Such interests take their names from the so-called grantor retained income trust, which they resemble. For that matter, any grantor retained income trust should continue to escape Section 2036(c),\footnote{See Bettigole, \textit{supra} note 44, at 134; Blattmachr & Wood, \textit{supra} note 44, at 17; covey, \textit{supra} note 44, at 1430-32; Foster & Rabun, \textit{supra} note 44, at 133. The "transfer" occurs when the GRIT is created. Letter Rulings 8815005 & 8805029. But see Belcher & Wood, \textit{supra} note 44, at 69 (suggesting that a GRIT is caught by Section 2036(c) unless the grantor survives the termination of the GRIT by three years).} although, of course, it will be caught by Section 2036(a) if the grantor dies within the term. If the grantor survives the term of years, Section 2036(a), as expanded by Section 2036(c)(1), might not apply. In addition, even Section 2036(c)(4) (either as originally enacted or as the proposed technical correction would amend it) might not apply, because it requires a "transfer" and is not modified by the expansive "in effect" language of Section 2036(c)(1)(B). This interpretation, of course, cannot be guaranteed. Moreover, any GRIT arrangement is obviously not a totally reliable estate planning device, because survival for the necessary period can never be assured.
A "capital shift" partnership freeze might still be available. For example: $W$ owns a conventional partnership interest. $D$ owns a "preferred" partnership interest with a right to a very large return on capital, say 20%, payable only from net income but cumulative to the extent not paid. The partnership cumulative obligation to $D$ with respect to her preferred interest dilutes the value of $W$'s interest. $W$'s estate would argue that Section 2036(c) does not apply, because $W$ retained the "residual" appreciation potential. On the other hand, the IRS would be expected to argue that Section 2036(c) should be applied to such an arrangement on a facts-and-circumstances or substance-over-form theory.
The possibility that the joint creation of a "new enterprise" might not be covered by Section 2036(c) has already been discussed.\footnote{See \textit{supra} text following note 70.} In addition, a post mortem joint purchase freeze, wherein a marital trust buys a life estate or term of years and a credit shelter trust buys a remainder in assets not previously owned by either, might continue to be effective, because the identity of the transferor and transferee are less clear. Indeed, if the marital trust is a QTIP trust, it is conceivable that the marital trust and credit shelter trust would have exactly the same terms and beneficiaries. In any joint purchase, a term of years might be better than a life estate, to strengthen the case if the elder purchaser survives the term, as in a GRIT.
Buy-sell agreements might escape Section 2036(c), but such an agreement will still fail if it is "a device to pass the decedent's shares to the natural objects of his bounty for less than an adequate and full consideration in money or money's worth."81
A Dean-Hartzell type recapitalization might still work, if notes are used instead of preferred stock, if the notes are kept as clean (of equity features) and short-term as possible, and if section 2036(c) is interpreted not to apply to debt. In any event, substantial appreciation can still be removed from the estate by transferring interests in an enterprise with only one class of ownership, or a proportional share of all classes of ownership held by the transferor.
Finally, no estate freeze technique should be categorically discarded. If there are business or other non-tax reasons for the freeze transaction, the freeze should be considered. To the extent that Section 2036(c) is interpreted to merely reproduce the tax result that would have obtained if no initial transfer had been made, then there might be little or no downside tax risk in the transaction.82
CONCLUSION
Section 2036(c) is very broad. No significant adjustment in the relationships of the owners of an enterprise should be undertaken without considering its possible reach. Although Section 2036(c) serves a questionable need, it probably will not be repealed.83 Moreover, it appears very difficult to draft appropriate language that would limit Section 2036(c) to a reasonable scope. For that reason, the best development in the interpretation of Section 2036(c) would be the prompt issuance of regulations or similar guidance with lots of examples — examples both of the extreme cases, so the public will understand the principles involved, and of the borderline cases, so the public will understand where lines are to be drawn.
81 Reg. § 20.2031-2(h). See Dorn v. United States, 828 F.2d 177 (3d Cir. 1987). Cf. Technical Advice Memorandum 87/0004 (stock redemption agreement).
82 See Appendix A.
83 Some practitioners have suggested that § 2036(c) might be replaced by additional disclosure requirements, beefed-up undervaluation penalties, and extended statutes of limitations. This author has reservations about relying on such mechanisms. Valuation of a closely-held business is necessarily an extremely subjective matter, and the reopening of valuation questions years after transactions have been completed could work tremendous mischief.
APPENDIX A
COMPUTATIONS
Assumptions:
1. In 1993 $H$ owns, or receives in a recapitalization, all the common stock of a corporation, valued at $1,000,000, and all the preferred stock of the corporation, valued at $1,000,000 and paying an annual dividend of $100,000. (The 10% yield is consistent with the current valuation tables in Reg. § 20.2031-7.) $H$’s after-tax income from these dividends is $70,000.
2. $H$ gives (in Examples A and B) or sells (in Examples C, D, and E) his common stock to $D$ and $S$ in 1993. (He does nothing in Example F.) Income tax on the sale is disregarded.
3. All $H$’s cash compounds at a rate of 10% annually.
4. $H$ dies in 2003, having made no other gifts (or sales of stock).
5. At the time of his death, $H$ owns other property with a value of $1,000,000.
6. I.R.C. § 2036(c) is taken into account in Examples A, C, and D, but for comparison purposes is assumed not to have been enacted in Examples B and E. (It is irrelevant in Example F.)
7. I.R.C. § 2036(c)(5) is interpreted to provide an offset for consideration without compounding (like § 2043(a)) in Example C and an offset for consideration compounded at 10% annually in Example D.
8. There are no material changes in the law.
## SCENARIO I
**Common Stock Appreciates 20% Annually**
| | A | B | C | D | E | F |
|------------------------|---------|---------|---------|---------|---------|---------|
| **1993 Transfer** | | | | | | |
| § 2036(c) Applies? | Yes | No | Yes | Yes | No | None |
| Compounding under § 2036(c)(5)? | | | | | | |
| a) Common Stock | 6,191,736 | 6,191,736 | 6,191,736 | 6,191,736 | 6,191,736 | |
| b) § 2036(c) Adjustment | -1,000,000 | -2,593,742 | | | | |
| c) Preferred Stock | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 |
| d) Preferred Dividends, Compounded | 1,115,620 | 1,115,620 | 1,115,620 | 1,115,620 | 1,115,620 | 1,115,620 |
| e) Less 15% Back Gift Tax, Compounded | -396,843 | -396,843 | | | | |
| f) $1,000,000 Sale Proceeds Compounded | | | | | | |
| g) Other Property | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 |
| h) H’s Gross Estate | 8,910,513 | 2,718,777 | 10,901,098 | 9,307,356 | 5,709,362 | 9,307,356 |
| i) Adjusted Taxable Gifts | 1,000,000 | | | | | |
| j) Total | 8,910,513 | 3,718,777 | 10,901,098 | 9,307,356 | 5,709,362 | 9,307,356 |
| k) Tentative Tax | 4,231,057 | 1,635,189 | 5,271,404 | 4,429,478 | 2,630,481 | 4,429,478 |
| l) Less Gift Tax | -153,000 | -153,000 | | | | |
| m) Estate Tax | 4,078,057 | 1,482,189 | 5,271,404 | 4,429,478 | 2,630,481 | 4,429,478 |
| n) Less Unified Credit | -192,800 | -192,800 | -192,800 | -192,800 | -192,800 | -192,800 |
| o) Total Federal and State (Soak-up) Estate Taxes | 3,885,257 | 1,289,389 | 5,078,604 | 4,236,678 | 2,437,681 | 4,236,678 |
| p) Add Back Gift Tax, Compounded | 396,843 | 396,843 | | | | |
| q) Total Taxes, Compounded | 4,282,100 | 1,686,232 | 5,078,604 | 4,236,678 | 2,437,681 | 4,236,678 |
### SCENARIO II
**Common Stock Appreciates 10% Annually**
| | A | B | C | D | E | F |
|------------------------|---------|---------|---------|---------|---------|---------|
| **1993 Transfer** | | | | | | |
| **§ 2036(c) Applies?** | | | | | | |
| Compounding under § 2036(c)(5)? | | | | | | |
| a) Common Stock | 2,593,742 | 2,593,742 | 2,593,742 | 2,593,742 | 2,593,742 | 2,593,742 |
| b) § 2036(c)(5) Adjustment | -1,000,000 | -2,593,742 | | | | |
| c) Preferred Stock | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 |
| d) Preferred Dividends, Compounded | 1,115,620 | 1,115,620 | 1,115,620 | 1,115,620 | 1,115,620 | 1,115,620 |
| e) Less $153,000 Gift Tax, Compounded | -396,843 | -396,843 | | | | |
| f) $1,000,000 Sale Proceeds Compounded | 1,000,000 | 1,000,000 | 2,593,742 | 2,593,742 | 2,593,742 | 1,000,000 |
| g) Other Property | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 | 1,000,000 |
| h) H’s Gross Estate | 5,312,519 | 2,718,777 | 7,303,104 | 5,709,362 | 5,709,362 | 5,709,362 |
| i) Adjusted Taxable Gifts | 1,000,000 | | | | | |
| j) Total | 5,312,519 | 2,718,777 | 7,303,104 | 5,709,362 | 5,709,362 | 5,709,362 |
| k) Tentative Tax | 2,432,060 | 1,635,189 | 3,427,352 | 2,630,481 | 2,630,481 | 2,630,481 |
| l) Less Gift Tax | -153,000 | -153,000 | | | | |
| m) Estate Tax | 2,279,060 | 1,482,189 | 3,427,352 | 2,630,481 | 2,630,481 | 2,630,481 |
| n) Less Unified Credit | -192,800 | -192,800 | -192,800 | -192,800 | -192,800 | -192,800 |
| o) Total Federal and State (Soak-up) Estate Taxes | 2,086,260 | 1,289,389 | 3,234,552 | 2,437,681 | 2,437,681 | 2,437,681 |
| p) Add Back Gift Tax, Compounded | 396,843 | 396,843 | | | | |
| q) Total Taxes, Compounded | 2,483,103 | 1,686,232 | 3,234,552 | 2,437,681 | 2,437,681 | 2,437,681 |
### SCENARIO III
**Common Stock Declines in Value 10% Annually**
| | A Gift | B Gift | C Sale | D Sale | E Sale | F None |
|------------------------|--------|--------|--------|--------|--------|--------|
| 1993 Transfer | Yes | No | Yes | Yes | No | |
| § 2036(c) Applies? | | | | | | |
| Compounding under § 2036(c)(5)? | | | | | | |
| a) Common Stock | 348,678| 348,678| 348,678| 348,678| | |
| b) § 2036(c)(5) Adjustment | -1,000,000| -2,593,742| | | | |
| c) Preferred Stock | 1,000,000| 1,000,000| 1,000,000| 1,000,000| 1,000,000| 1,000,000|
| d) Preferred Dividends, Compounded | 1,115,620| 1,115,620| 1,115,620| 1,115,620| 1,115,620| 1,115,620|
| e) Less $153,000 Gift Tax, Compounded | -396,843| -396,843| | | | |
| f) $1,000,000 Sale Proceeds Compounded | 1,000,000| 1,000,000| 2,593,742| 2,593,742| 2,593,742| 1,000,000|
| g) Other Property | 3,067,455| 2,718,777| 5,058,040| 3,464,298| 5,709,362| 3,464,298|
| h) H's Gross Estate | | | | | | |
| i) Adjusted Taxable Gifts | | | | | | |
| j) Total | 3,067,455| 3,718,777| 5,058,040| 3,464,298| 5,709,362| 3,464,298|
| k) Tentative Tax | 1,309,528| 1,635,189| 2,304,820| 1,507,949| 2,630,481| 1,507,949|
| l) Less Gift Tax | -153,000| -153,000| | | | |
| m) Estate Tax | 1,156,528| 1,482,189| 2,304,820| 1,507,949| 2,630,481| 1,507,949|
| n) Less Unified Credit | -192,800| -192,800| -192,800| -192,800| -192,800| -192,800|
| o) Total Federal and State (Soak-up) Estate Taxes | 963,728| 1,289,389| 2,112,020| 1,315,149| 2,437,681| 1,315,149|
| p) Add Back Gift Tax, Compounded | 396,843| 396,843| | | | |
| q) Total Taxes, Compounded | 1,360,571| 1,686,232| 2,112,020| 1,315,149| 2,437,681| 1,315,149| |
Jamie to nominate
Election: Corangamite Shire resident Jamie (John) Vogels has announced he will nominate in the upcoming Corangamite Shire Council elections. For the full story turn to Page 4.
Council endorses Port plan
CORANGAMITE Shire Council has approved the next step of the controversial Port Campbell Town Centre Project.
Councillors voted to adopt the Port Campbell Township Revitalisation Design at the August Ordinary Meeting of Council.
Shire manager growth and engagement Rory Neeson said in his report to council, following adoption of the report, the final stage of the project would see Hansen Partnership complete the preparation of construction documentation including staging of works as part of the project.
He said the project would then be subject to receiving any requested matching funding allocation to allow a tender process to start before construction works can begin.
“The Port Campbell Town Centre Project commenced in 2018 and saw council undertake a detailed two stage consultation program that lead to the adoption of a schematic design plan in November 2019,” Mr Neeson said.
“Throughout this process council has been working with Hansen Partnership with the aim of delivering a world class tourism product while ensuring the streetscape has improved functionality and better meets the needs of locals, especially in peak tourism times.”
“Following the adoption of the schematic plan late last year, council has been working closely with Hansen to complete design development which is the fourth stage of the project.”
He said the project aims to “strengthen and improve the functionality and amenity” of Port Campbell’s town centre.
“It specifically addresses the public realm conditions in Port Campbell and proposes investment in upgrading and improving areas including the streetscape of Lord Street, Tregear Street, Morris Street and the foreshore area,” Mr Neeson said.
Continues page 3.
Shutterbug wins TDHS photo comp
IT is no secret COVID-19 has had a devastating impact across the country.
The postponement of her wedding and not having the freedom to visit family in the UK was the inspiration behind an emotional photo which won Chloe Jackson first place in the Timboon and District Healthcare Service’s (TDHS) 2020 Photography Competition.
Ms Jackson moved to Timboon from the UK three years ago and said the photo competition had helped her use her creativity to capture her feelings about her own COVID-19 isolation.
More than 50 entries were submitted for this year’s competition.
The 2020 theme was to capture isolation and social distancing in an image that also spoke to health and wellbeing.
The placgetters were:
• First – Chloe Jackson ($150);
• Second – Stephanie Smart ($75); and
• Third – Aiden Freeman ($30)
The judging panel consisted of TDHS chief executive officer Rebecca Van Wollingen, Board of Directors chair Maryanne Puli Vogels, TDHS Consumer Participation Committee chair Heather Bullen and community engagement officer Sabine McKenzie.
Ms Jackson said she was excited to hear her photo had been judged the best entry.
“I’ve been quite flat during isolation so this has perked me up. I think it’s important to hold onto any positives at the moment – they’re the stepping stones that will get us all through this,” she said.
“I met my fiancé Paul Thompson, who grew up in Timboon, while we were both working on superyachts in France.
“If it wasn’t for Coronavirus, I’d be Chloe Thompson right now. We were supposed to fly to the UK to get married in Dorset in April. We couldn’t in the end, it was getting bad and we had to pull the pin. It was really hard… it’s just been horrible.
“We’ve got a postponed date for next year. Now we’re not sure if that will happen either.”
The couple have two boys, Gus (4) who was born in the UK and whose hand features in the winning photo, and Toby who is 18 months old.
“I saw the competition advertised and it was nice to have the topic of isolation to work with,” Ms Jackson said.
“I took a few photos, but this one turned out to be my favourite. “I feel like during the lockdowns that a way for me to cope has been to use my creativity… whether it’s painting, cooking, taking photos or whatever – it is a coping mechanism for me.
“This period has not only been isolating here, but also being away from my family in England and not having the freedom to visit them has been hard.
“The photo signifies a piece of glass separating myself and my family from everyone we’d like to be seeing and the raindrops can be moody…or perhaps tears.”
Ms Van Wollingen said the judging was completed anonymously and all judges chose Ms Jackson’s photo as the winner.
“I’d like to say a big thank you to all entrants for submitting their photos in this year’s competition,” she said.
“They are of such high quality that we will get in touch with all entrants for their consent to give many of their photos valuable exposure in our future publications.”
Port streetscape set to be revitalised
From page 1.
“The project seeks to re-position Port Campbell at the heart of the Shipwreck Coast, create a world class tourism, while still meeting the needs of the local community.”
Coastal Ward councillor Simon Illingworth welcomed the next stage of the project.
He said a number of ideas from residents had been listened to and helped form the project including:
- Alfresco dining on the foreshore;
- Better use of pines;
- Fisho’s and surfer’s carpark to remain the same;
- More pedestrian friendly;
- Ninety degree parking on foreshore being retained;
- Wider main road; and
- Foreshore traffic remaining two way.
“The whole vibe of this streetscape is really altering the way that Port Campbell does business,” Cr Illingworth said.
“I’m relieved, it’s been a difficult process, I’d like to thank all the locals for their input.”
Cr Ruth Gstrein said the project represented the “largest infrastructure project” for the Corangamite Shire.
“It’s been an ongoing process, but we’ve gone through it with the community,” she said.
“I would also like to thank the Port Campbell community who have certainly put their minds and their thoughts to what their town can look like.
“I’m please to say I think we have listened.”
Cr Gstrein said council had put aside $5 million for the project and called on the State and Federal government to match the commitment.
“I certainly urge State and Federal governments to come on board,” she said.
Shire mayor Neil Trotter said he was “chuffed” to see the project coming before council.
“It’s got my support,” he said.
“It’s going to be a huge project.”
Jamie wants to support local economy
SUPPORTING agriculture, listening to farmers, improved bushfire planning and helping businesses recover from COVID-19 form the platform on which Jamie (John) Vogels will contest the Corangamite Shire election for the Coastal Ward.
Mr Vogels, 47, was born and raised in the shire and manages Scotts Dairies with his brother Andrew.
He owns property in both the Coastal and South-West Wards and is the son of former Corangamite Shire mayor and Victorian MP, MLA and MLC John Vogels (AM).
Mr Vogels said there was never a greater need for the community to come together and support each other to restore the local economy and protect the health and wellbeing of residents.
“Our Coastal Ward has suffered greatly from the pandemic and will need a strong voice at the council table,” he said.
“I would like that opportunity and the chance to represent this community would not be taken for granted. Attracting business and investment is key.
“Supporting our businesses who depend on tourism is a top priority, as is the health and wellbeing of our community as the full impact of this crisis continues to unfold.”
Mr Vogels and his wife Sheryn have a son, Ben, who attends Timboon P-12 School.
They live in Scotts Creek on a dairy farm – an industry he is heavily vested in.
“Supporting the advancement of agriculture in our community and listening to the needs of our farmers is paramount to our future,” Mr Vogels said.
“Securing funding for local, state and federal roads, as always, is an issue that needs to be at the forefront of the council agenda.
“It’s my view that we need a coherent and safe emergency plan in the event of bushfires, and it needs to be better communicated. There should be no confusion what community members do when a bushfire happens…we all need to know what to do and where to go.”
He said the council needed to flex and adapt to the existing and emerging needs of the business community who were the lifeblood of the local economy.
“I’m also passionate about supporting our recreational facilities and sporting clubs, which play an integral role in the physical and mental wellbeing of our community,” Mr Vogels said.
“But I’m also really keen to hear from community members about their priorities and how else I can play a role in improving the livability and economy of the Coastal Ward.”
Progressing Cobden AGM
PROGRESSING Cobden’s annual general meeting will utilise technology to allow it to be held amidst COVID-19 restrictions.
Using the Zoom platform on Monday, September 7 from 7.30pm, the group will review its achievements over the past year and plan for the next 12 months.
Group spokesperson Kelvin White said the meeting will welcome new members looking to get involved in taking Cobden to the next level in fundamentally important areas – its facilities and infrastructure, available services and business, its physical appearance and its tourism prospects.
“Progressing Cobden is always keen to engage interested people and representatives of other community groups who have first-hand knowledge of town issues,” he said.
“One of Progressing Cobden’s priorities in the next 12 months will be to get many parts of the town’s Grand Tourism Plan underway.
“Already, work has begun on the production of a Cobden podcast and strategies to get additional support for Cobden’s businesses and its economy generally.”
Any district resident wanting more information about the organisation should contact Kelvin White on 0429 921 876.
Wild winds impact powerlines
STRONG winds sweeping through south west Victoria caused multiple power outages last Thursday.
Powercor crews worked to get power back on to more than 9800 customers.
The hardest hit areas included Camperdown, Cobden and surrounding areas.
“We have been monitoring the weather and had brought on extra crews today ahead of this wind event,” a Powercor spokesperson said.
“Crews worked into the night to restore power for customers.”
The spokesperson said strong winds can push branches, trees and other objects into powerlines and impact supply to homes and businesses.
“If people do see a fallen powerline, they should always stay well away from it and report it to us immediately on 13 24 12,” the spokesperson said.
PUBLIC NOTICE
Enterprise Project Update
As part of Beach Energy’s ongoing natural gas development program in Victoria, the Enterprise Project (west of Port Campbell) will commence drilling late September 2020 or shortly after, for a period of 3 to 4 months.
Transport of oversized loads and other heavy vehicles to the site will commence in September. The route for pilot escorted oversized loads will not involve transit through Warrnambool.
As an essential service provider, Beach continues to operate under strict COVID-19 management procedures approved by Victorian authorities. These procedures go above and beyond the minimum requirements and include:
• pre-mobilisation health screening
• maintaining an operating ‘bubble’
• strict PPE requirements
• daily temperature checks
• adhering to physical distancing requirements
• strict delivery controls for supplies
• restricting contact within the community
We are committed to doing the right thing to keep people safe while also doing our best to support local businesses through procurement of goods and services.
For more information on the Enterprise Project and how we are staying COVID-19 safe, please see beachenergy.com.au/vic-otway-basin
We welcome your questions, please contact:
P 1800 797 011
E email@example.com
beachenergy.com.au
Milestone for Cobden Preps
COBDEN Primary School’s Prep students celebrated a special milestone recently.
On Friday, August 21 the Preps celebrated their 100 days of school.
The Preps received a celebration pack in the mail with some 100th day of school activities and some treats for a Zoom party.
The students and staff celebrated the occasion together via Zoom and showed off their ‘100 year old costumes’.
Prep teacher Rebecca Smith said the school’s three Prep teachers also dressed up for the milestone.
“We are very proud of how far our wonderful preps have come this year and we are very excited to see all they can achieve throughout the remainder of their prep journey,” she said.
Milestone: Cobden Primary School Prep Students, including Jaxxon Adams, dressed up at home to celebrate 100 days of Prep recently.
Pet Advice
DENTAL DISEASE IN DOGS
Dental disease of mild to moderate severity is common in both dogs and cats over the age of 2 years. The most common symptoms are a build up of bacteria on the teeth, gingivitis (inflammation on the gum line where it attaches to the teeth), and bad breath.
If your dog has bad breath, mostly likely there is some dental disease present in their mouth. The teeth at the back (molars) are most commonly affected and because they are hard to see changes are often missed or not noticed by owners.
As the symptoms worsen, pets may not want to eat hard foods. The gums can recede exposing part of the roots of affected teeth. In severe cases teeth eventually can become loose and fall out, or can have abscesses at their root end.
Prevention is certainly better than cure and there are many ways to help reduce the likelihood of dental disease. Most preventatives are based on having an antiseptic action on the teeth in order to prevent food fragments and calculus building up on the teeth and gums.
There are a number of commercial diets available that actually help reduce dental disease. Bones can also help as the chewing action reduces calculus, but not all dogs can tolerate bones as they sometimes cause constipation and stomach upsets.
Brushing and dental chews will help reduce dental disease if pets spend reasonable amount of time chewing or gnawing at them.
Dogs having moderate to severe dental disease are likely to need a general anaesthetic to scale under a general anaesthetic. It is important to discuss with a veterinarian the best option for preventing dental disease in your pet, and the best treatment plan if they do develop dental disease.
If you have any questions about your pet’s teeth, or any other pet health question, please contact the Camperdown Veterinary Centre for advice from one of our friendly staff.
Authorised by the Australian Government, Canberra
Lucy Powell secures education grant
LUCY Powell was confident from a very young age that the dairy industry was where her future lay and now she is preparing to help others discover similar agricultural opportunities.
The 23-year-old agronomist at Webber and Chivell has received about $4000 from the DemoDAIRY Foundation to complete her Certificate IV in Training and Assessment.
Having already completed a Diploma of Agronomy and Advanced Diploma of Agri Business Management, the new qualification will pave the way for her to teach.
Ms Powell was also recently announced as runner-up in the Young Farm Leader category of the Great South West Dairy Awards – part-sponsored by DemoDAIRY Foundation.
“I’m not originally from a dairy farm – my family had a small farm near Moriac, but not dairy,” she said.
“I started milking as a teenager and knew pretty early that I wanted to go down the dairy pathway because I saw the future there.”
“I’ve always been pretty focused on the animal production side of things. I think the dairy industry has so many opportunities for people, not just young people.
“Often perception gets people caught up that the dairy industry is just about milking cows, but there are so many opportunities around that.”
In addition to her full-time job as an agronomist, Ms Powell is heavily involved in agricultural shows as a rural ambassador and has done some teaching through the Timboon Agricultural Program.
“I think passion and motivation are the two biggest attributes that any young person in the dairy industry needs,” she said.
“As an agronomist at Webber and Chivell I help farmers understand their system – generally based around pasture management, fertiliser, seed and chemical usage.
“In 10 years I think all farms will be somewhat self-sustainable – potentially for an increase in overall cow production. Pasture-based systems will become more important with grass being the cheapest form of feed to create milk.
“I’m passionate about it and love what I do. Completing my Cert IV in Training and Assessment, which I’m just enrolled, will further my skill set and mean I can also teach at TAFE level and help other people foster their careers in dairy and agriculture.”
Existing DemoDAIRY grants include:
- Business management skill development: scholarships of $2500 to $5000 per year to agreed courses;
- Dairy business management projects: grants of $1000 to $2000 to create awareness in appropriate education organisations and assess proposed projects;
- Innovation grants: up to $5000: Offered through the contracted service providers (currently Agriculture Victoria, WestVic Dairy and some dairy companies) to the groups;
- Capacity development grants: grants of $2000 to $5000 to screened candidates;
- Emerging issues grants: short proposals developed with relevant industry stakeholder and reviewed by the DemoDAIRY Foundation board; and
- Powell Legacy Fund: up to $3000 annually for up to three years across the areas of education, agriculture and volunteering.
Applications can be completed online at www.demodairy.com.au/scholarships-and-grants/application/
DemoDAIRY Foundation secretary Ian Teese can be contacted directly on 0427 358 987 or email him via firstname.lastname@example.org.
Father’s Day gifts
THE Cobden Visitor Information Centre (VIC) will be open this week to give locals a chance to purchase last minute Father’s Day gifts.
The visitor centre stocks a wide range of local products including metal creations, arts and craft as well as honey. As well as offering a wide range of goods, families can nominate local Dads for a free Father’s Day raffle available outside the VIC.
The Cobden Visitor Information Centre, which operates out of the former restaurant at the Cobden Roadhouse, will be open Wednesday, Thursday and Friday between 10am and 3pm as well as on Saturday between 10am and 12noon.
Eftpos is available at the VIC.
Australia Day awards 2021
THE 2021 Corangamite Shire Australia Day Awards are an opportunity for the community to say thank you to the individuals and groups who help forge a strong, connected community.
Nominations for the Corangamite Shire Australia Day Citizen of the Year, Young Citizen of the Year and Community Event of the Year have opened.
The awards will be presented as part of the Shire’s Australia Day Celebrations on Tuesday, January 26 2021.
Mayor Neil Trotter encouraged Corangamite Shire residents to nominate people and events who deserved recognition for their contributions to the community.
“We’re very fortunate in Corangamite Shire to have a great number of selfless people who make valuable contributions, often over years or a lifetime,” he said.
“Their efforts can greatly improve the lives of their fellow residents and enrich the communities in which we live.
“These awards are an opportunity to celebrate the outstanding achievements of individuals and groups who would never blow their own trumpet, but who deserve our gratitude and respect.”
Nominations close on Monday, November 2.
Forms and guidelines are available at corangamite.vic.gov.au/AustraliaDay-Awards or from the Civic Centre.
Details of the 2021 Australia Day celebrations will be confirmed closer to the date subject to COVID-19 social distancing requirements at the time.
For further information contact council on 5593 7100 or go to corangamite.vic.gov.au/AustraliaDay-Awards.
**KEVIN HINKLEY**
90
Happy Birthday on 5th September, 2020
— Love from all the family.
**CASUAL HELP REQUIRED**
for lamb marking work at Glenample, Princetown, starting September 14, 2020 for approximately 2 weeks.
Please contact Kurt on 0429 988 237.
**WANTED to buy**
scrap metal
Radiators, engines, machinery, copper, brass, aluminium, lead, steel, sheet metal, fencing wire, milk vats, hot water services etc.
Turn your scrap into cash.
Call Gerard 0416 476 626 or 0409 245 895. Call from 8am - 9pm.
**TOPS Timboon Opportunity Shop**
Will reopen Monday, Wednesday, Friday 10am – 4pm - OPEN TODAY -
We have beds and base, chairs, tables, Uniforms for dancing, school, sports clubs, cricket, football. Some plants, flowers, Golf sticks. Many board games, children’s clothes. Photo frames, all sizes and shapes. Sewing needs, materials, knitting and patterns. Rugs and tracksuits. Hoppy is set up all soon at our little shop Enquiries 0455 183 761
**FOR SALE**
8 Frs bulls, 3 yrs Price: $2500 +GST
18 Frs bulls, 18 mths-2 yrs $2100 +GST
8 Ang bulls, rising 2 yrs Price: $3000 +GST
Matt Baxter
**EXPORT ORDERS**
Frs unj hfrs 200g del end Sept Price: $1200 +GST
Jsy unj hfrs 200g del end Sept Price: $1200 +GST
Frjdy x joined hfrs 200g del end Sept Price: $1600 +GST
Fr s frs joined to any bull del end Sept Price: $2500 +GST
Hfd unj hfrs 230g del end Sept Price: $1300-1350 +GST
Ang/Wags x joined hfrs del end Sept Price: $1000-1200 +GST
China protocols
CONTACT YOUR CHARLES STEWART AGENT
**FORTHCOMING SALES**
8/9/20 Charles Stewart South West Vic Multivendor Plant & Machinery Sale 9:00am (sale conducted Thurs 10th September at 5pm)
Owner as agent
Peter McConathy 0408 522 878
17/9/20 Mortlake Store Sale 10am Matt Baxter Covid-19 restrictions apply. Intending buyers must pre-register with associated agent.
**Positions Vacant**
**ADMINISTRATION ASSISTANT**
Webber & Chivell Fertiliser are currently seeking an Administration Assistant. This position is permanent part time with flexible hours for the right applicant. We are looking for someone who is friendly, motivated and has a customer focused personality. Applicants will be required to have good secretarial, computer and communication skills.
**HEAVY VEHICLE / DIESEL MECHANIC**
We are a progressive family operated fertiliser company providing a complete fertiliser service with a modern fleet of Trucks and Ag machinery. We are currently taking applications for a suitably experienced diesel mechanic to carry out a broad range of mechanical and general maintenance tasks such as: General servicing, inventory control, auto electrical, hydraulic, mechanical troubleshooting and repairs. The successful applicant will have to be self motivated and able to work without supervision. This secure full time position will be based out of our Jancourt depot located 10km east of Cobden. Remuneration will be based on experience. Contact Mark for further information.
Webber & Chivell
29 Cowleys Rd
Cobden Vic 3266
Ph: (03) 5594 6321
Email: email@example.com
**MILK VATS**
Paying $150 - $1,000 Any reasonable condition considered Phone Telly Katsaro on 0427 368 261
**PLACE YOUR SPECIAL MESSAGE**
PHONE 5593 1888
**SUDOKU**
| 9 | 7 | 5 | 6 | 8 | 2 | 3 | 1 | 4 |
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| 3 | 1 | 2 | 9 | 7 | 4 | 5 | 8 | 6 |
| 8 | 4 | 6 | 1 | 3 | 5 | 2 | 9 | 7 |
| 6 | 8 | 9 | 4 | 5 | 3 | 7 | 2 | 1 |
| 4 | 2 | 3 | 7 | 1 | 6 | 9 | 5 | 8 |
| 1 | 5 | 7 | 8 | 2 | 9 | 4 | 6 | 3 |
| 7 | 9 | 4 | 3 | 6 | 8 | 1 | 3 | 2 |
| 2 | 6 | 1 | 3 | 9 | 7 | 8 | 4 | 5 |
| 5 | 3 | 8 | 2 | 4 | 1 | 6 | 7 | 9 |
**NOTICEBOARD**
**EMPLOYMENT**
DIRECTOR SUSTAINABLE DEVELOPMENT
We are looking for an inspiring leader to provide strategic advice to the Chief Executive and Council, delivering exciting and rewarding projects such as the Port Campbell Urban Design Project and population attraction initiatives. You will lead a team providing environment, emergency, planning, building, growth and engagement services to our communities. For a Candidate Information Pack and to apply online, please visit: www.corangamite.vic.gov.au/careers Applications close 5 pm, Friday 18 September.
**ANNUAL GENERAL MEETING**
COBDEN SWIMMING POOL
The Annual General Meeting of the Cobden Swimming Pool Committee of Management will be held online, Tuesday 8 September, 6 pm.
The purpose of the AGM is to elect a Committee of Management to assist with programming and minor capital improvements of the pool. The Committee meets on average three times per year. All district residents interested in attending the AGM online can register with Jarrod Woff on 5593 7100 or email firstname.lastname@example.org
Chief Executive Officer Andrew Mason
**CAMPERDOWN STOCK MARKET REPORT**
**TUE, AUG 25, 2020**
**GRASS STEERS:** SJ & JA Thow, spec park, 460kg at 230c, $1467.40.
**GRASS HEIFERS:** RC & EJ Mair, frsh, 485kg at 216c, $1152.36.
**VEALERS:** G A Riches, frsn x, 370kg at 240c, $976.80.
**BULLS:** Cole Grazing Trust, hrdf, 606kg at 280c, $1916.64; TB & GV Drake, jrsy, 640kg at 270c, $1908.00.
**TRADE COWS:** N Sambell, hrdf/frsn x, 572kg at 255c, $1604.46.
**FRIESIAN COWS:** SJ & JA Thow, 775kg at 200c, $1597.00; Jansen & Finch, 632kg at 255c, $1772.76; MG & LF Hunt, 610kg at 255c, $1711.05; FJ & JA Whiteside, 690kg at 250c, $1897.50; BR & YC McVilly, 605kg at 250c, $1683.75; B & J Morgan, 650kg at 238c, $1701.70; Gobertank, 630kg at 238c, $1649.34; RC & EJ Mair, 575kg at 238c, $1605.36; CL & CL Costin, 677kg at 215c, $1601.11; SA & KL Sweeney Family Trust, 615kg at 215c, $1454.48; DF Skelton, 615kg at 215c, $1454.48; A & C Withall, 585kg at 215c, $1383.53.
**X BREED COWS:** TB & GV Drake, frs, 535kg at 250c, $1412.25; Goldenberg, frs, 500kg at 250c, $1375.00; Jansen & Finch Frsn, 640kg at 238c, $1675.52; Hunt Farm Contracting, ilia, 575kg at 238c, $1605.36; Brucknell Bros, frsn, 575kg at 230c, $1442.10; D Weel, frsn, 536kg at 230c, $1353.56; NP Nieuwenhuizen, frsn, 517kg at 230c, $1308.01; WP & RM Van Den Meiracker, frs, 465kg at 240c, $1201.20; SA Riches, frsn, 395kg at 240c, $1042.80.
**JERSEY COWS:** TB & GV Drake, jrsy x, 536kg at 215c, $1265.28; Jansen & Finch, 410kg at 178c, $802.78; Lerida Park, 385kg at 178c, $753.83; RP & LJ Smethurst, 385kg at 178c, $753.83.
**BULLOCKS:** LO Hallyburton, ang x, 570kg at 320c, $2006.00.
**GRASS HEIFERS:** M & J O’Connor, frsn, 515kg at 292c, $1654.18.
**GRASS STEERS:** LO Hallyburton, ang x, 455kg at 310c, $1551.55.
**FRIESIAN COWS:** Hallyburton Farms, 750kg at 278c, $2293.50; W & V Cole FT, 750kg at 278c, $2293.50; ALM, frsn, 710kg at 278c, $2171.18; G & J Smith, 685kg at 278c, $2094.73; P & A Roslin, 670kg at 278c, $1993.82; O’Connor FT, 642kg at 278c, $1928.54; M & R Gaie, 652kg at 272c, $1950.00; J & M Ballantyne, 620kg at 272c, $1885.00; W & A Crole, 702kg at 272c, $1840.04; D & N Kerr, 625kg at 268c, $1650.80; G & F Stanfels, 625kg at 268c, $1415.04; S & B Doolan, 590kg at 268c, $1739.00; D & M Lee, 550kg at 268c, $1400.30.
**X BREED COWS:** L Almond, 615kg at 246c, $1664.00; P & A Roslin, 660kg at 246c, $1515.00; B McGinty, 480kg at 246c, $1299.00; J Gore, 475kg at 246c, $1285.00; S & C O’Connor, 500kg at 246c, $1353.00; J & J Baker, 590kg at 246c, $1584.54.
**COWS:** C Baulch, frsn, 720kg at 270c, $2134.40; Davies Farm Simpson, frsn, 645kg at 258c, $1915.00; Mackledon, jrsy x, 615kg at 258c, $1745.37; Boonderoo Pastoral, jrsy x, 512kg at 258c, $1453.06; Davies Farm Simpson, frsn x, 510kg at 258c, $1447.38; GA & DM Dafty, frsn x, 505kg at 248c, $1923.24; Bradene Pty Ltd, frsn, 651kg at 248c, $1775.93.
**BULLS:** Como Park, hrdf, 930kg at 300c, $2069.00; M & K Hallyburton, s/horn, 785kg at 250c, $2504.15; N & J Lillie, hrdf, 710kg at 275c, $2147.75; J & M Barake, ang, 690kg at 275c, $2007.25; Rendell F/T, ang, 675kg at 275c, $2041.88.
**NATIONAL LIVESTOCK REPORTING SERVICE**
Supply improved to 247 cattle, 49 more, with the core field of buyers in attendance and operating.
Quality was mixed but mainly plain and prices for cows varied while all other classes of cattle were too few to quote on. There were no beef cows yarded but the better dairy cows sold fully, especially plain quality unchanged to easier and poor quality averaged 15c/kg cheaper. The yarding comprised of 10 steers, 10 heifers, 211 cows and 22 bulls. Single sales of C3 yearling steers made 310c, 308c and 306c/kg. Grown cows sold well considering the plain to average quality, with steers at 320c and 325c and heifers at 288c and 292c/kg.
The better covered dairy cows made 240c to 280c with lighter types from 230c to 240c/kg. The poorer plain quality were between 215c and 236c with very poor condition from 185c/kg. Beef bulls attracted 280c to 320c/kg.
---
**MORTLAKE STOCK MARKET REPORT**
**MON, AUG 31, 2020**
**BULLOCKS:** RH & SE Bond, ang, 888kg at 320c, $2841.60; CR & KA Podger, frsn, 562kg at 315c, $1770.30; A & K Duynhoven, ang, 540kg at 317c, $1923.24.
**STEERS:** Messy Bottom, speck, 435.6kg at 409c, $1781.60; RD & SE Horspole, ang, 387.9kg at 406c, $1574.47; Justin Bros, ang, 340kg at 366c, $1244.40.
**HEIFERS:** RD & SE Horspole, ang, 350kg at 401c, $1403.40; Justin Bros, ang, 295kg at 392c, $1156.40; Moolabulla, ang, 588kg at 362c, $2128.56; A & K Duynhoven, ang, 580kg at 362c, $2099.60; Cole Grazing, 482.5kg at 370c, $1785.25.
**COWS:** Moolabulla, ang, 695kg at 330c, $2293.50; Cols Grazing, hrdf, 634kg at 320c, $2028.80; Messy Bottom, speck, 594kg at 320c, $1900.80; RH & SE Bond, ang x, 606.7kg at 317c, $1923.24.
**BULLOCKS:** Como Park Holdings, hrdf frsn x, 624kg at 378c, $2358; J Baker, hrdf frsn x, 580kg at 365c, $2117; T Beaton, hrdf frsn x, 568kg at 365c, $2117; S Baker, hrdf frsn x, 622kg at 332c, $2068.
**VEALERS:** Hill Top Park, red ang, 478kg at 392c, $1875.
**HEIFERS:** F & C Vogels, ang frsn x, 465kg at 375c, $1745; M Vogels, ang frsn x, 495kg at 366c, $1811; S & M Gigas, ang, 605kg at 349c, $2111.
**COWS:** S & M Gigas, ang, 665kg at 334c, $2221; N & J Lillie, hrdf, 576kg at 280c, $1659; C & D Baxter, frsn, 617kg at 255c, $1574.
**TRADE STEERS:** R Elder & KA Light, sim x, 454kg at 420c, $1907; R Elder & KA Light, sim x, 435kg at 407c, $1967; R Elder & AN Gibson, ang, 443kg at 402c, $1789.
**VEALERS:** C Baulch, ang, 382kg at 350c, $1337; K & J Ferrier, ang, 375kg at 330c, $1238.
**COWS:** Watginga Past Co, ang x, 506kg at 340c, $1720; Wypanda Co, P/L, hrdf, 608kg at 320c, $1947; Jamecca Plains, ang x, 645kg at 319c, $2058.
**BULLOCKS:** R & J Mickel, hrdl, 710kg at 347c, $2565.59; R & J Mickel, hrdl, 648kg at 320c, $2335.00; L Heard, frsn x, 586kg at 268c, $1570.48; L Heard, s/horn, 492kg at 310c, $1525.20.
**STEERS:** L Heard, s/horn, 443kg at 345c, $1543.88.
**HEIFERS:** D & L Brown, frsn, 600kg at 310c, $1786.
**COWS:** D & L Brown, frsn, 229kg at 1145c; L Heard, s/horn, 422kg at 265c, $1118.30; L Heard, s/horn, 390kg at 285c, $1111.50.
**NATIONAL LIVESTOCK REPORTING SERVICE**
Agents yarded 524 cattle at Mortlake this week, the overall offering was very good, with the quality being excellent in place.
All the regular processors were present and active as well as 2 additional processors.
Feeders present were very active in a market that was firm overall, with the exception of cows which experienced strong competition to be generally 20c to 25c/kg dearer.
The yarding consisted of 146 bullocks, 146 trade cattle, 225 cows and 9 grown bulls.
Milker vealers to the trade made up to 406c/kg. Yearling steers to the trade made from 350c to 420c, with the heifer portion making between 340c and 400c, with feeders paying up to 410c/kg.
The grown steers made from 305c to 400c, with the grown heifers making between 320c and 390c/kg. Mediumweight steers sold from 320c to 333c/kg.
Heavy beef bred cows selling from 300 to 340c/kg. Medium weight beef cows made from 266c to 296c/kg.
The very well covered dairy cows sold between 300c and 323c/kg. Cows back to the paddock sold to 301c/kg.
Grown beef bulls made to 275c/kg.
**AIR CONDITIONING**
**WARD REFRIGERATION & AIR CONDITIONING**
- Installation
- Repairs
- Maintenance
Call Tim 0409 532 630
email@example.com
**CARPENTER / HANDYMAN**
**CARPENTER HANDYMAN**
All maintenance and repair work around the home
Call Alan 0407 646 798
**CONCRETE / BRICK LAYING**
**BRENDAN SIMMONDS CONCRETE CONSTRUCTIONS**
For all your concrete and brick laying needs.
Shed floors - Patios - Footpaths - Driveways
Crossovers - Carports - Concrete panels
Dairy yards - Feed pads - Much more
Phone 0407 933 452
firstname.lastname@example.org
**ELECTRICAL**
**W Electrical**
- Domestic
- Commercial
- Rural
- New Homes
- New Dairies
- Solar Installations
The Positive Choice!
Chris Walsh 0418 529 997
email@example.com
**EQUIPMENT HIRE**
**HERESKIP WASTE MANAGEMENT SOLUTIONS**
Bin and portalo hire. Permanent or short-term hire. Residential, rural, industrial and commercial.
Phone 0418 853 940
firstname.lastname@example.org
www.hereskip.com.au
**MOTOR REPAIRS**
**VOGELS MOTORS SERVICING & REPAIRS to all makes and models**
VACC accredited • Hand book servicing
Batteries and bolts • Range of ag oils available
Spare parts also available
Lot 2 Cobden Rd, Simpson Phone 5594 3288
**ELECTRICAL**
**KMS Electrical Contracting**
- All Electrical Installations & Maintenance
- Air Conditioning Installation
- No job too big or too small
Scott Narik 0400 486 376
Office 5593 2069
24-hour On Call Number 0447 511 232
**ELECTRICAL**
**POLLARD’S ELECTRICAL CONTRACTING**
REC 20310 A3150667
Phone 0428 931 909
SOLAR PANEL INSTALLATIONS
Simon Pollard
28 Campbell Street, Camperdown Phone 5593 1900
**ELECTRICAL**
**GERARD RYAN ELECTRICAL**
SERVICING SOUTH WEST VICTORIA SINCE 1985.
www.gerardryanelectrical.com.au
Phone: 55933033
**EQUIPMENT HIRE**
**Cobden Mobile Coolrooms For Hire**
plus mobile toilets for weddings, social events, etc.
Phone John or Bernadette Brewer – 0409 351 106
**PAINTER**
**Dynamic Painting Now**
ABN: 52338796528
Reliable local professional with over 20 years’ experience
- Interior & exterior
- Plaster/crack repairs
- Feature walls & splashbacks
- Repairs & maintenance
- Free quotes
- Quality service
We also assemble flat pack furniture
For more information or a quote, please contact David
0418 888 779
Would you like to advertise here? Please call 5593 1888
PEST CONTROL
O’BRIEN PEST CONTROL
For any commercial or domestic pests including:
• Spiders • Ants • Rodents • Termites
• Nuisance bees and wasps
Please call O’Brien’s 0400 921 831 or 5592 1353
FULLY LICENSED
PLUMBER
BAKER PLUMBING
24 Henderson St, Camperdown Lic. No. 29444
PLUMBERS AND GASFITTERS
DRAIN CLEANING • GENERAL PLUMBING
0438 676 027
Keith Baker email@example.com
PLUMBER
DEITER MCDONALD PLUMBING
AND GAS FITTING Lic. No. 38484
Fast, reliable and professional service
• Commercial & Domestic
• Gas & plumbing maintenance
• New & existing homes • Roofing • Hot water heaters
• Gas fitting • Drainage work • Rain water tanks & pumps
• 1.5 ton excavator and truck hire
Servicing Camperdown and the Corangamite region 0417 013 370
PLUMBER
molan plumbing & civil
Tony 0408 548 297 Phone 5593 3291
Mark 0408 549 194 Fax 5593 2004
Greg 0408 149 804
PLUMBER
T.S. McQUINN & SON
Master Plumber & Gas Fitter
Greg McQuinn
58 Curdie Street, Cobden 5595 1061
0408 583 738 / 0428 145 285
Email: firstname.lastname@example.org
Lic. No. 21083 ABN 39670218937
PLUMBER
Walsh Plumbing
• NEW HOMES & RENOVATIONS
• ROOFING • GAS FITTING
• DAIRIES • DRAIN CLEANING
• WINDMILLS & PUMPS
0407 951 933
email@example.com
CONTRACTING
John & Jenny Inglis
3 x 10,500 litre effluent tankers
2 stirrers
Irrigation pump for water and effluent
(no set up or pack up costs)
John – Mobile 0428 987 282
CONTRACTING
ARAMBY CONTRACTING
RURAL FENCING
AND FARM MAINTENANCE
Pull down and clean up
Erect new or repair old fences
Allan and Nathan Beasy
0429 052 224 (Allan) 0412 698 208 (Nathan)
5594 6268 (AH)
PRINTING
star printing
We’ll make you a Star wherever you’re
The experts when it comes to creative,
cost effective design, print and marketing.
Phone (03) 5592 1496 Email firstname.lastname@example.org
113-115 High St, Terang | 281 Timor St, Warrnambool
www.starprinting.com.au
ROOFING
Coastal Re-Roofing
email@example.com
Call Joe Gilbert - 0417 304 837
All aspects of metal roofing:
New homes, Metal roof replacement,
Tile roof conversion, Shed construction, Industrial sheds,
Large scale commercial work
Vic Licence: 101463
ROOFING
James Cook Roofing
Specialists in tile roof repairs
• Local
• Experienced tradesman
• Guaranteed quality
• No job too big or small
• Free roof inspections
0411 313 577
TOOLS & TRAILERS
COBDEN TOOLS & TRAILERS
Trailer sales, spares, repairs and hire.
A large range of tools for the mechanic or hobby engineer.
Telephone (03) 5595 2040
47 Curdie Street, Cobden
Email: firstname.lastname@example.org
CONTRACTING
POUSTIE AGRICULTURAL CONTRACTING
1051 Coortemungle Rd Coortemungle 3268
Phone 03 5598 7283
Mob: 0409 330 079
Effluent: Empty effluent ponds quickly with umbilical hose and dribble bar – continuous flow – no wrecking of pond compaction or downtime between loads.
Fertiliser: Supply fertiliser and ag lime, cartage in bulk. Professional spreading service. Gravel and topper work, grader hire.
Complete Harvest Package: Fine chop self propelled or loader wagon pit sludge and round silage plus all other harvest equipment.
TREE CARE
Timboon Tree Trimmers
Plantation Trimming
Tom Harrison: 0438 532 354
TYRES
THE TYRE FACTORY
WARRNAMBOOL
• Batteries, car servicing, wheel alignments
• Call out service for on-site tyre repairs
Geoff Cook 5562 9784
180 Raglan Parade, Warrnambool East
Email: email@example.com
Mon-Fri 8am-5pm
Sat 8am-noon
MILKING MACHINES
TOTAL DAIRY SERVICE
AND COWELD FEED SYSTEMS
Farm supplies Installations/upgrades
Service and repairs Bulk milk tanks
24 HOUR BREAKDOWN SERVICE
TIMBOON 111 Bailey St Phone 5598 3337
WARRNAMBOOL 50 Caramut Rd Phone 5561 3252
FishingROD
By Rod Shepherd
What’s biting where
WELL, all of our rivers are coffee-coloured and running hard and giving them a miss for another week would be on the cards.
For those who cannot wait that long wetting a line down near the prospective mouths could be the go.
Predatory fish such as large Australian salmon, muloway and gummy shark will pick up the scent of murky water pushing into and past the surf and will move in close to shore looking for an easy feed.
Having a spin in and around the mouths of the Hopkins, Curdies and the Gellibrand using chrome slices could prove interesting.
A polished piece of metal cast out amongst the gutters especially if one can target the edge of where dirty meets salt, anything could happen.
Our lakes are also certainly benefiting from the recent rainfall especially our shallow lakes such as Elingamite, Tooloroook and Deep.
From memory Deep Lake has already been stocked with rainbows and if Tooloroook hasn’t it soon will and may also receive some browns. Elingamite is also due for a few thousand salmonoids.
The freshwater reaches of our local rivers such as the Hopkins, Merri, Gellibrand and the Mount Emu should be avoided until the floodwater levels recede and clarity returns. Otherwise one might appear to be flogging a dead horse.
Once again those equipped with seaworthy boats are doing well bottom bouncing any reef or rubbly bottom out in 50 plus metres has seen more snapper catches with fish ranging from the pinkie size right up to those beginning to grow a gnarly bump on their proboscis.
School and gummies to a sizable 50 pounds, while other worthy species such as Nannygai (red snapper) and morwong are also being caught so those in the know are keeping their hooks on the small side but using the beefed up tuna circle model.
Double Paternoster rigs weighed down with a two to four ounce sinker (depending on swell and current) and baited up with a tough bait such as squid has seen success for many.
Don’t forget the squid jigs as the calamari are on their way close into shore to lay their eggs, die and turn into snapper food.
The whiting front appears to be rather quiet with fish scarce for some reason or another. The King George whiting might be also waiting for the inshore water to warm up along with the snapper before making their presence felt.
Locals celebrate maiden victory
LIGHTLY raced gelding Americain Typhoon finally saluted for Camperdown trainer Clint Marshall and local connections at Casterton on Sunday.
The five year-old scored its first win in style, winning an 1800 metre maiden by 0.8 lengths under a plum ride from jockey Theodore Nugent.
Nugent settled the horse just behind the leaders and started to make his race-winning move as the field rounded the home turn.
Once the pair hit the front, Americain Typhoon showed signs of fatigue but Nugent was able to overcome his inexperience and guide him to a fast-finishing win.
Marshall was thrilled with the performance and was pleased to see the son of Americain finally notch up victory number one after a checkered career since May.
“We probably should have got it out of the way at Hamilton when he just got pipped on the line but he just does a bit wrong still,” he said.
“I think I’ll put winkers on him next start to hopefully sharpen him up and to try and get him to run straight and concentrate more.
“When he got to the front yesterday (Sunday), he was happy to sit and wait for the other horses to catch up, which we can hopefully eliminate with the winkers.
“He’s just a quirky type of horse.”
Marshall said the victory was a good reward for the horse’s ownership group which included his wife Vanessa and Timboon pair Ashley Price and Barb Holland.
“The owners had been patient with the galloper and were rewarded by the form it had shown in its first eight races.
“He’s paid his way already, he’d won $11,000 from his seven starts but it was just a matter of time for him,” Marshall said.
“They (Price and Holland) have been patient with him and given him time, he didn’t come to me until he was four.
“He’s a later type, maturing horse and is five now and is still lightly raced. We’ll push on and see how this campaign takes us but we’ll just hopefully have a bit of momentum in his next prep.
“Still said Americain Typhoon was now likely to race over 2000 metres, with its pedigree suggesting the horse would be best suited to longer distance races.
“He’s going to get ground every day so I’ll sit down and map out a plan for the rest of his campaign,” he said.
His next start I think will be over 2000 metres so I’ll have a look around locally for that run and then see how we go from there.
“He’s a nice enough horse; if we can get a few things notched out he’s going to be handy enough.”
MRC dominate district school swimming
The Hampden Secondary Schools Sports Association swimming carnival was held in Camperdown last Friday.
Mercy Regional College were the overall winners, finishing on 739 points, well ahead of all rivals.
Timboon P-12 were runners-up on 408, followed by Cobden Technical School (392), Terang College (382) and Camperdown College (225).
Ten MRC students broke records on the day, with Kayla Spicer the most prominent, setting five new marks across all disciplines.
MRC also fared well in relay competition, bettering the previous best mark set in an astonishing seven events, ranging from the male under 13 freestyle event to the female under 20 freestyle relay.
2010 age group champions: Under 13: female Haylee Davis (MRC), 18 points, male Jesse Hoare (Terang) 20 points.
Under 14: female Dana Rhode (MRC) 25 points, male Jock Goold (MRC) 22 points.
Under 15: female Kayla Spicer (MRC) 30 points, male Dylan Lee (MRC) 30 points.
Under 16: female Caitlyn Mitchell (MRC), 16 points, male Daniel Unwin (MRC) 24 points.
Under 17: female Sienna Harris (Timboon), male Jesse Lourey (Terang) 30 points.
Under 20: female Kerry O’Shea (Timboon) 28 points, male Xavier Darcy (MRC) 30 points.
- Wednesday, February 24, 2010
True clubman reaches milestone
Timboon Demons reserves footballer Paul Melis played his 100th game last week in a convincing win over Deakin University.
Paul known to club members as ‘Edo or ‘Roo’ lined up for his 100th game after a combined ten years as a reserves player for Heytesbury and now the Timboon Demons.
Paul started playing for the Heytesbury under 17s when asked to come and play by Brendan Hickey back in 1997.
He played five games before the family relocated to Camperdown to live and Paul gave football away.
During 2008 Paul started working at McVilly Timber Yards on the outskirts of Timboon.
Paul decided to play football again in 1999 in the under 17s, before playing reserves football in 2000.
Finally, last Saturday after ten years of persistence, he finally notched up 100 games.
Paul has often witnessed his team-mates playing in finals matches while he runs the water, but the true clubman is one of the first back on the track for pre-season the following year.
During the last few years Paul has helped out with under 17 training to support the younger members of the club.
He loves playing for the club, enjoys the company of his fellow team-mates and continues to be a part of the club for the camaraderie and friendships he has made.
Paul is a highly respected member of the Timboon Demons Football Netball Club and is always willing to help out in any way and it is hoped he continues to enjoy his time at the club for many years to come.
- Wednesday, June 30, 2010
Lock salutes in front of home fans
Local ace Phil Lock has claimed the biggest victory of his speedway career, with success in the 2010 Victorian 360ci Sprint Title at Simpson Speedway in front of a parochial home crowd.
Lock was simply a class above the rest during the 25-lap A-Main, leading from green to chequered flag after starting from position two. - Wednesday, February 10, 2010
Tigers re-appoint co-coaches
RECENTLY re-appointed Simpson co-coaches Tom Leishman and Nick Harding are hoping to see the fruits of a strong pre-season next year.
The pair missed out on seeing what the Tigers could produce in 2020, following a productive summer and training camp last week for season 2021, after all coaching positions at the club were advertised.
Leishman said the pair were “pretty excited” to continue in the role after they received the support of Simpson’s committee and the playing group’s tick of approval.
“We took our time to think about whether we should do it again or whether it was time for me to hand it over because I’ve been doing it for a long time,” he said.
“We spoke to all the players individually before we committed, just to know what their thoughts were, and it was overwhelming the response from them wanting us to do it again.
“We’re pretty excited about it.”
The re-appointment of Leishman and Harding adds a layer of stability at the Tigers as they seek a return to the Colac and District Football Netball League finals.
The pair missed out on coaching together for the first time this season, with Harding coming onboard as co-coach at the end of 2019.
Leishman said it was disappointing the star forward did not get his chance to coach, but said the club already had a strong platform to build from.
The majority of the playing list has already re-committed, with the pair eager to add height and experience across the ground if they recruit.
“We’re not out there trying to recruit a whole list, all the pieces are there and now we just have to add to them,” Leishman said.
“There wouldn’t be many other coaches out there that would have so many signed up and keen already, but it’s just up to ourselves now to go out there and fill the gaps.”
The cancellation of country football in Victoria left the Tigers disappointed after the playing list showed strong commitment throughout the pre-season.
They were fitter, stronger and ready to pounce, with their efforts showcased in the club’s practice matches ahead of round one.
Leishman said the early signs indicated Simpson was ready to push back into the top four, with the midfielder likening their game play to the Tigers’ premiership sides of 2014 and 2015.
“Last year was the best pre-season we’ve had in my time (as coach),” he said.
“The boys were the most committed and the fittest they’ve been by a longshot and everyone was really excited about how the year was going to go for us.
“Not being able to get out there was disappointing but it only got me hungrier to get back out there.”
Whorpa (Harding) was the same.
“Like I said, our pre-season was really good, we’d had really good practice matches and had some good wins in them and the game style we were showing was some of the best footy I’ve seen us play since we won those flags.”
Leishman and Harding are confident those pre-season gains can be replicated in 2021, with the former revealing his players had continued to train hard in the absence of footy.
He said the pair was expecting another strong pre-season on the back of their commitment, which they hope will set the Tigers up for a finals assault in 2021.
“We have a private Snapchat group and all the boys are already out there running or in the gym and doing those things so the commitment hasn’t dropped just because we didn’t get to play, the boys have just continued on,” Leishman said.
“I’m pretty confident that when we’re allowed to get back to training we’ll have a lot more fitter blokes there than other years gone past.”
South West Games postponed
THE South West Games has become the latest casualty of COVID-19, with South West Sport postponing the annual event until 2021.
South West Sport chief executive officer Mike Neoh said given the uncertainty around the transition between restrictions and the lead in time needed to plan, the games would be postponed until next year.
“As a continuous event for over three decades, and like many other major events, it was a difficult but correct decision,” he said.
“As an organisation that promotes ‘well-being’ in the communities, the health of the community our paramount.
“Our sponsors, partners and clubs who registered initial interest have been extremely supportive and fully endorse the decision in the best interest of the community.”
Neoh said South West Sport would continue to deliver other programs to support local sport with club development activities.
He said the organisation would also continue to encourage individuals to undertake regular exercise within the COVID guidelines such as the upcoming South West Moves event.
South West Sport, in partnership with a number of partner agencies, have developed South West Moves, an activity which encourages participants to walk, run or ride and use technology to draw an image by electronically tracing and recording their route.
Meanwhile, South West Sport is encouraging clubs to use the COVID-19 inflicted down time to look at club development activities.
Sport and Recreation Victoria has grants up to $5000 that are currently open for uniforms or equipment, skill development, new programs or strategic plans.
“Clubs can use this time period to access grants for future opportunities,” Neoh said.
More information on the grants can be found via https://sport.vic.gov.au/grants-and-funding/our-grants/sporting-club-grants-program. |
The Literary Arts Society
The Mosaic
Soul Searching
Spring 1999
A Brief Word From The President
Soul Searchig is a Mosiac the LiteraryArts strives for each semester. We have art work, pros, poetry, and photos from all across the campus. You may also notice we are adding Alumni to the Mosaic. Please enjoy Soul Searching and the large variety of works it has to offer.
-Heather Clarke
Advisor:
Richard Grinel
Chief Editor:
Scott Neville
List of Editors:
Eric Dahlen
Amy Snyder
Donna Jackson
Heather Clarke
Maria Schiano
Jamie Voley
Front Cover Art
Sydney Darling
Back Cover Art
Jeanette Deskiewicz
“Viking”
By Sue Goodwin
# Table Of Contents I
| Number | Title | Author(s) |
|--------|--------------------------------------------|----------------------------|
| 1 | Unconscious Fears | Melissa Bichun |
| 2 | For Asangla | Sumit Deshpande |
| 3 | The Evening Songs | Jaime L. Smith |
| 4 | The Solution | Jamie Veley |
| 5 | Get Well Soon | Sujey DeCoo |
| 6 | Adaptation of H.R. Giger’s Li | E. DeTraglia |
| 7 | Leave it to Chance - Shattered Realities | Daniel M. Reiser |
| 8+9 | Celeste | Heather Clarke |
| 10 | MAN | Jeanette Deskiewicz |
| 11 | A SURFER’S ROOM | Sydney Darling |
| 11 | Walking Through the Light | Jennifer Knobloch |
| 12 | Breaking Down | Maria Schiano |
| 13 | “Statue” | Joanne Parent |
| 14 | i’m not yours | Katie Baronowski |
| 15 | I can’t look in mirrors | James A. Rovello |
| 15 | Cross Bearing Portal Jumper | Daniel Reiser |
| 16 | “Mother” | E. DeTraglia |
| 17 | Angels guide earth | Heather A. Suydam |
| 18 | Funeral March | Donna Jackson |
| 19 | Inspired by the Sandman Comic’s “Dream” | Heather Clarke |
| 20 | FAST | Sydney J. Darling |
| 21 | Darkness! | Anonymous |
| 21 | Kiwi Equation | Rob Casinghino |
| 22-23 | 2000 Years | Jaime L. Smith |
| Page | Title | Author |
|------|-------------------------------------------|----------------------|
| 24 | Clothes and the Women Who Wear Them | Melissa Bichun |
| 25 | Kneeling Woman | Daniel Reiser |
| 26 | escaping | Kate Baronowski |
| 27 | There is something dark within me... | James Rovello |
| 28 | Empty! (A song for Easter) | Sumit Deshpande |
| 29 | Sketch | Daniel Reiser |
| 30 | Summer Storm | Jamie Veley |
| 31 | The girl | Jeff Schroeder |
| 31 | Doesn't She Know | Jeff Schroeder |
| 32-35| Fading Memories | Donna Jackson |
| 36 | The Story Of My Life | Nik Bonopartis |
| 37 | "embittered and embattled" | Jeff Schmitt |
| 37 | "the relevancy of relativity" | Jeff Schmitt |
| 38 | Ode to an English Professor | Kimberly Genesi |
| 39 | A beautiful light | Barbara Gambee |
| 39 | Pop-Culture-Heaven | J. Pisano |
| 40-41| Excerpts for the “Aluminati” | Sue Goodwin |
| 42 | Sugar | Jaime L. Smith |
| 43-46| Wheel of Time Outtakes in Finnland | Nik Bonopartis |
| 46 | “Columns” | Joanne Parent Org |
| 47-48| Tom's birthday | Scott Neville |
| 49 | The End | |
UNCONSCIOUS FEARS
BY MELISSA BICHUN
LAYING THERE SO QUIETLY
SAFE FROM THE WORLD AROUND
THE BLANKET COVERS YOU FROM EVIL.
THE EVIL THAT CREEPS INTO YOUR HEAD
AND OUT THROUGH YOUR DREAMS.
IT SHAKES YOU AND YOU WANT TO LEAVE
BUT YOU'RE STUCK IN YOUR HEAD AND CAN'T GET OUT.
AS THE MONSTER CHASES YOU.
YOU JUST KEEP RUNNING
BECAUSE TO YOU IT ISN'T A DREAM.
YOUR LIFE IS IN DANGER
AND YOU DON'T KNOW WHO CHASES YOU.
AND HE'S JUST ABOUT TO CATCH YOU
WHEN REALITY CRASHES IN.
SOMETHING AWAKES YOU
IT WAS ALL A DREAM.
OR WAS IT?
AFTER ALL THEY SAY DREAMS
ARE THE FEARS
THAT WE BURY IN OUR UNCONSCIOUS.
For Asangla
Sumit Deshpande
A rainbow bright in the Eastern sky
Wouldn't be, if not for the rain
The joy in our hearts has more meaning
Because we have gone through much pain
Light is appreciated further more
By one who has known darkness
Happiness is never taken for granted
By one who understands sadness
Wisdom is received earlier by those
Who are patient and humble in heart
Your future is in the hands of a loving God
Your life...is a work of art!
Gently and carefully He moulds you
Adding the color and the hues
Your life is a song He loves to sing
And He is always in perfect tune
The caterpillar rests in its cocoon
Being changed and transformed within
When its time to fly
She breaks free from the shell
The struggle giving strength to her wings
So spread your wings and fly
My beautiful little butterfly
The Evening Songs
Jaime L. Smith
You lost your pick beneath the trees.
Unrecoverable...
And how will your evening songs
lose themselves? In the darkness?
Such clear lyric and melody—
They must travel
upon the air for miles. I will not
Stand devoid of song, the offering
Of your crystal voice, the damp leaves
smell of autumn dew upon the grass.
To me you bear no relation. Warm lining against my cold ego,
And my pride folds in upon itself—
The cold breeze steals into my emptiness.
The stars
Have such a distance to fall.
Cold and forgotten—
Your voice brings them back.
Your gestures envelop me,
Soft and human—
Through the sable air of an autumn evening.
The Solution
by Jamie Veley
I long for a solution. My lover seems to have found one; he kept telling me that violence is the solution. I begged him not to inflict violence and pain on others, perhaps I was naive to believe that he would not destroy himself. My mind is creating images as if it is playing a film and all I can do is pray for a commercial. I stare at the television, only I do not see it. Instead my mind wanders back to my lover; today, he had decided, would be the day - a day I will never forget. He had made me promise not to watch, as if I wanted to.
My heart feels as if it is lodged in my throat. How can I sit here while the man I loved is alone, all alone except for the pistol he had purchased this morning. We had talked for hours last night and he had convinced me that this was the most rational thing to do. If he was right then why do I feel so damn alone? People constantly ask me if he’s lost his mind and all I can answer is that I know I’ve lost mine. What will people say when they discover he is no longer?
My mind is telling me to use the phone and help my lover, bring him back to me. My heart seems to speak louder; it screams to leave him be, he knows what he is doing. Lately, the depression had swarmed him like a tidal wave and he was unable to yell to the lifeguard… or perhaps the lifeguard just didn’t bother to respond to his pleads.
My internal movie continues to flash in my mind, with no pause in sight. I lay on the floor, shaking with fear; unable to control my body… like a seizure. The fear and depression takes me over. I am too wrapped up in my own movie to hear the news report on the television.
“Tonight city police found a dead body. It appears that the victim turned a pistol on himself and pulled the trigger at least 6 times; this is one of the most violent suicides police have seen in years…”
Get Well Soon
Sujey DeCoo
Hush.
Don’t say a word.
I know how you feel.
I’ve been there before.
Just come stay with me.
I’ll comfort you.
You don’t have to say a word.
I’m here for you.
Close your eyes
Feel my caress.
Lay your head upon my lap.
Relaxes.
There’s nothing outside that can’t wait till later.
Let the world melt outside the door
Nothing exists but you and me.
I’m here for you.
Remember that.
I’m here for you.
Adaptation of H.R. Giger’s *Li*
E. DeTraglia
How I am fighting to regain my life, to once again take control of a life that has taken control over me. I am fighting to take it back, I am fighting to get back to you. I am no longer going to move, I will stay in one place for a period of time without the fear of moving on. I was able to conceal my absences during high school and it has never happened to me in front of my high school, only close friends back home, and now in front of my new friends here. I know they will be hurt by what I have concealed from them, the lies I have told them, and the secrets I have kept from them. I hope that they forgive me. When it happened I saw the confusion and fear in Sharon’s soft brown eyes, as the vortex took me, I saw Ian reaching out, risking everything, trying to save me from something that is as much a part of me as his own arm. He tried, I have to say that, without any restraint, he tried to save me. If only I told them, if only I shared with them the truth, but now it is too late, and they may never trust me again. I only hope that when I return from this world, to my home, I will explain and they shall understand why I had to keep the secret, I was protecting them. They will understand the things I have seen and accept me for what I am. This hope is what is keeping me alive right now. This hope is what is pushing me further. It might even be this hope that is forcing me to face my destiny, giving up all dreams of a normal life. In my drawer is a letter addressed to all of my friends, it will explain a part of the life I live, and wit will leave the numbers of my kin and friends that know of my secret, and deserve to know where I am. I will never give up and I will try to make it back to you all. My family, my friends. It is so difficult being torn between two worlds, two realities, two universes. I am a man, that because of fate, as born to the wrong reality, a reality I call home, yet do not belong the very same. Where my heart is, is where I call home, that is where all I hold dear resides. Unfortunately, the Other-world needs me. I was supposed to be the one that would bring about the destruction of the demons, but how could I when I lived a whole reality away.
Celeste
By Heather Clarke
The full moon and mellow streetlights tossed shadows across the quiet streets. They played on the young woman’s crazed mind and made her see things that were not there. She jumped at darkened ghosts as the pounding of her feet became the only noise echoing about her. Terror wouldn’t let her think rationally because she was coming. She would come and take Alethia’s life away. Everything she had built up would crumble if Celeste had her way. Tears of frustration streamed from her eyes.
She couldn’t keep running like this. No matter where she went. No matter what she did, Celeste would be waiting there to take everything from her. Everything Celeste could never get. Alethia didn’t have the energy anymore to fight her.
Turning a corner Alethia tripped and landed hard on her right knee. Painfully Alethia regained her feet and felt warm liquid run down her leg, soaking her jeans. But that pain would seem as insignificant as a gnat if she lost this fight. To lose this fight would mean the very end of her existence.
As she stood she caught her reflection in the storefront window. Dark eyes stared fearfully back at her. Pressing her palms against the window, she leaned forward to stare deep into her eyes, into her very being. “I am real. She cannot destroy me. I have done what she never could!” Closing her eyes, she leaned her forehead against the window. “I must fight.”
The words to a Beatles song played in her brain like a broken record. “Help, I need somebody. Help, not just anybody.” She began to chant the lyrics over and over again, as she pounded the window. Before she knew what she was doing she was chanting a new song, “Still shackled to the shadows, they follow you, they follow me…”
Alethia realized what she was singing and screamed, pounding the glass harder. Celeste’s taint was reaching for her already. She had to be
strong. But as she opened her eyes, every sense in her body told her Celeste was coming. She could see her in her eyes.
“No!” Alethia screamed.
She turned to run but Celeste’s voice whispered to her. “You can’t run from me. I am here to take what is rightfully mine.”
With all of her effort Alethia managed to answer, her energy already fading. “No,” whimpering, “this isn’t fair. I did what you could not. I should be here not you!”
Alethia felt Celeste’s rage, “I made you!”
Whispering in pain, in disbelief, “No…”
Darkness. “I am fading. My world is coming to an end. Why?” She could not believe how fast she had lost this battle. It had been so easy to take over at the beginning. Darkness closing in to swallow her whole.
With all her might Alethia fights Celeste, but she realizes it is a desperate battle. Celeste has waited a long time for the perfect time to do dethrone Alethia. Alethia manages to scream before her world comes to end.
Brushing her hair from her eyes, Celeste looks up at the full moon. She hears footsteps running towards her, but for the moment she doesn’t care. She has taken back what is hers and she is happier than she has ever been. She must treasure this victory for it was one that was won after much hardship.
The footsteps came to a stop behind her and she knew instantly who it was. Without looking from the moon she smiled. A smile that probably chilled the women next to her to look upon.
“Are you alright, Celeste? I heard a scream.”
“I’m fine. Let’s go home.”
Celeste turned and followed her friend back home. Her friend slowed down to match Celeste’s limping walk, as she favored her right leg. She would have to clean out the wound later.
MAN
Jeanette Deskiewicz
Man I love this world
and the life I'm living in it.
This crazy, crazy world
where you can go out with a good mood dude
and be having a luscious, fluffy-pink-cotton-candy-kind-of-time
when his unknown-until-then girlfriend-kind-of-gal
walks through the door.
Man, I love this earth
and all the funny making-life-a-joke stuff that goes on in it.
Man, this wild, wild earth
where everyone is so different,
yet so the same
and lives are mere intricately woven
than the finest of crochets
and you can sit back in the black of night
and laughingly say
oh man, what a day, what a day.
A SURFER'S ROOM
By Sydney Darling
I awake in the morning light:
soft blue walls,
Marley's words,
surfer's soul shining through.
I love the feel
of the morning breeze
on my bare
uncovered shoulders,
his reassuring arm
wrapped around my waist.
I love the sound
of his sleepy breathing,
occasional conversation,
helpless cough.
I love his room.
Walking Through the Light
By Jennifer Knobloch
Through the shadow of rumors, I stand at your side.
I walk through their beatings with nothing to hide.
With your hand on my arm, and your heart in my soul,
I can deal with it all; I'm the one in control.
Yet I cry when you leave me, I'm shattered and split.
And try as I might, the pieces don't fit.
I can't fight without you; you don't seem to care,
The sin that you're burning is the letter I wear.
I hear their laughter and I stifle my screams.
I'm plugging my ears while they're stealing my dreams.
Through the rainstorm of rumors, I cling to your side.
I crawl through their beatings and I try not to hide.
Breaking Down
By Maria Schiano
To cry to deal with a heart broken by another, I turn my back to the world. My body is convulsing in an effort to stifle my tears to be quiet, but they are still wet and moist as they streak down my cheeks. I can’t think of anything else and the sunny day outside isn’t helping my melancholy, save for drying my face. I can’t let anyone hear me or find me. I am hiding from sight, for I must cry by myself in dignity. I put all my trust in him and the hope that he brought no longer secures me. I didn’t know where I’d be without him and now I am in the midst of nowhere. I didn’t know what I’d do without him, now I don’t want to do anything.
I will not sing because I’m not good enough.
I will not hum because I don’t like bees.
I will not walk because my legs feel sore.
I will not crawl because I’m weak in the knees.
I will not shout because the birds will mock.
I will not climb because I don’t like trees.
I will not explore because I’ll probably get lost.
He was the sunrise that I woke up to every morning. Now the sun is setting into pink clouds and a purple haze. I thought that he would be there for me. Just the thought of seeing him made me get up out of bed with a spring in my step. If my insomnia ever goes away, I dream to go to sleep for a hundred years and never awaken unless he wakes me with a charming kiss. All night long I yearned for him to cure my loneliness. Now it is too late to turn back home. I couldn’t wait another minute to be with him. Tomorrow I’ll be waiting for the train.
To get ready, I used to rush
To meet him again one more time.
I may have been obsessed.
I doubt it was only a crush.
I thought I had found my soulmate,
The person I traveled the globe to find,
And he was just around the corner
By a dream-like twist of fate.
I shall never be that lucky again
For fate does not last forever.
"Statue"
By Joanne Parent
i'm not yours
By Katie Baronowski
friends, that's what we used to be, but no more.
you made a mistake, a joke, that i just can't forgive.
caring too much for something, someone you can't have.
strong hands holding me to you, feeling your heart beat faster.
slight touches that make me jump with fear.
looks that lovers should share, ones that i do not return.
an ear is what i gave you, but you wanted/want more.
you want me, but you can't have me, i'm not yours.
i say "stop!" but the pain continues, is it all a joke?
your jokes have become my pain, and i am not laughing.
i do not want to hurt you, for i see that you are already in pain,
but for me, for my life i have to, so that i can continue to love.
it stops here, now, forever, so that you see that i am not your's,
and i never will be.
I can't look in mirrors. The eyes that stare back are not my own. The lips form smirks and grins. I hear laughter and I cannot stare any longer. I had wings once, full proud wings. Till one day what had I done to deserve this?
Now I hide behind slick hair, a few threads of cloth and where did my wings go?
By James A. Rovello
Cross Bearing Portal Jumper
By Daniel Reiser
“Mother”
By E. DeTraglia
Angels guide earth between now and forever
On the course of God that is always right
Amidst the maniacs in the human machine
and the rarely special or harmonic family environment
Heaven is wise sweet love, safety and security
earth thinks it is prisoner to its naked rebellion
of the authority of love
but can discover fortitude from
The life of a Son
That is about Quality and
Love that lasts more time than
fire and water wind or art
culture and color knowing or having
By Heather A. Suydam
Funeral March
By Donna Jackson
falling flailing flying failing
fortune's fancy gone astray
fumbling bumbling tumbling down
fancy fortune wouldn't stay
Luck be a lady Lady Luck
Lucky foot from rabbit buck
Lucky left foot
Left foot right foot
Left foot right foot
March salute
Sieg heil Hitler
Heil Hitler heil
Hail Hitler hailstorm
hammers at their heads
Beating pounding crashing crushing
Stopping ceasing never never
Never fail Fuhrer
Fervent Fuhrer fury
Fury at they
Who are not us
Inspired by the Sandman Comic’s “Dream”
By Heather Clarke
FAST
By Sydney J. Darling
We're here right now, the party's raging.
We're young and strong and beautifully aging.
We're happy, we're free, we're careless souls,
with nothing ahead but the Golden Road.
And maybe we've had too much to drink,
and maybe our heads are too crazy to think.
And maybe this feelin's a little too strong,
and we may have held it a little too long.
Yeah maybe, but all in all it's been fun...
the memories and the times to come.
She sings the song of summer's sun
and we pass it 'round until she's done.
But trouble lingers behind our eyes,
a fear that cannot be disguised.
We silently worry that this won't last
cause time is moving uncontrollably fast.
Darkness!
And the Light awakens
Cold as I feel, tears and sweat making runny lines down my cheeks
And I feel the cold from within
Above!
And the sky awakens
The light of the sun makes thin, dust-filled slants that lance throughout the room
And I feel the warmth of the sun
Ahead!
Trendy winds are blowing, and I fear for my artsy-ness
Perhaps the people at Vassar have one up on me
And I feel the heat of the competition
Below!
The dank, dirty smell of the Hudson wafts up to my nostrils
And they flare with the flavor of the Sheahan funk
And I feel queasy from this rag
-Kiwi Equation
By Rob Casinghino
2000 Years
Jaime L. Smith
It was me; I saw the flashing light, the white strobe
of God, and I was afraid to move toward it,
It was me; I ran in panic, ran toward the trees, (it’s black in there) I
trembled beneath the pines that blot out the sun,
It was me; I walked along ice-slick railroad tracks,
jumping at the last second time after time
after time after time
It was me; I stood on the bridge, gazing
at the water, feeling frozen pricks of
knives as breathless I sank to the bottom, and
It was me; I turned my back on the river and
sought other ways to define myself
to uncover my identity,
It was me; I drove cross-country seventy-two hours to find out if I
had a vision or you had a vision or he had a vision
to find out eternity,
It was you; you woke up screaming as you fell out of the tub
filled with blood-diluted bathwater,
It was me; I strode miles through melting ice and boiling mud
to find out if your vision was a vision
of the future or just a warning that maybe you’re
f**king with something valuable-
It was me; I escaped beneath the blackness of the pines,
sorting through the littered path to find the difference
between pure truth and pure bulls**t,
It was me; I stopped, turned, reached toward the light
the flickering strobe slowly pulling me
toward sanity-
It was me; I moved away, and walked out of the mouth
of madness and into the hands of reason,
scolding man’s first disobedience
It was you; you, now, forbidden fruit, whose mortal taste
brought death into the world-
It was me by one man’s disobedience lost, now sing
recovered paradise to all mankind.
Clothes and the Women Who Wear Them
by Melissa Bichun
The clothes make the woman
Or so they say
And we all give into it.
We spend the thousands
For the designer labels
And have a passion for clothes.
We use clothes to compete.
The better the label the better the person.
Or so we think.
Our clothes mask our insecurities.
They hang over the parts we hate.
And the models who wear them
Enlarge our self-consciousness
With their emancipated frames.
Allowing us to think we must look like them.
But if the clothes were taken away
And we had to walk around naked
We would have to look our insecurities in the face
And overcome them.
Kneeling Woman
By Daniel Reiser
escaping
By Kate Baronowski
words beaten into me like hands
battering bare flesh.
eyes seeing too much that
a tongue cannot speak of.
running from a monster that
pulls me back from under warm sheets.
showing a head too ugly to
look at, but being unable to look away.
dragging me mercilessly into it’s
world of harsh words and tears.
too many not knowing of the
cave i cannot escape, too few
do anything that matters.
i look hopefully past the beast
at the fall of rain that
tastes of tears, to the light
shining in the distance.
Waiting, i pace until the time i am
strong enough to fight back,
to reach through the cold rain
into the light, where by taking my hand,
am pulled to you, and become free.
There is something dark within me. Between the twisted nightmares that tear at my soul each night and the mornings I hurriedly fasten pants to my naked body and rush out the door, I can feel the horrid screams echoing within my ears. Some dark existence inside me that claws its way to the surface. I find I cannot stop it. Each day my hope is breached by thought of the tortured existence out there. The latest of my prey in my bed offers meaningless pleasure that I soon find a tortured delight as the nightmares ensue. Chains digging into flesh, horrid faces lost amongst my own. I am buried beneath the dirt. The city's dull lights offer no comfort, the stars are empty and the moon hangs without remorse like a lamppost on the verge of death.
Salvation is but a touch away before I feel the fiery wrath of my inner demons. I cannot touch a thing without being wounded. My hands bleed, the sores of my feet ache and I cry out. The world is black and I am its shadow.
As the nightmares begin I feel myself covered by darkness. A veil that hauntingly vanishes the last vestiges of light in my dreams. Immersed in the pain-filled cries of victims and saints. I am a fallen. I try to run, I always try to run. Their mocking laughter but a step behind my heel. I can feel their breath on my neck. I am forced to my knees but I do not stop there. I crawl. I can feel how close they are, their dark hands roaming over my naked body. Please let me escape.
I know how it ends, how every time it ends. At first I had hope. That I could be stronger but hark no, there is no escape. The floor of hope breaks through and I fall. Endlessly fall into a sea of tormented minions. Joining their ranks each night. I try to cry out but find that my voice only mixes with the rest. I am but one of many. Then I wake in a frenzied state. Forever am I afraid of the night around me and I envy the day, solemnly watching its last rays of hope fade away and I pray that it will rise the next day. Pray.
By James Rovello
Empty! (A song for Easter)
By Sumit Deshpande
Dark was the sky on the day of death
Swirling caricatures of ghastly element
Blood and water spilled to the ground
As heaven and earth wept
Void of hope were the hearts of those
Who saw the death to completion
The face that once shone with compassion
Was battered beyond recognition
Final words and final cries
Sent shivers through the watchers’ spines
Surprising those with derisive hearts
Contradicting the most intelligent minds
Death on a bed of wood and iron
The most disgusting way to die
Outstretched arms and a broken heart
An eagle getting ready to fly
Gently the shell was laid in the cave
While the war raged on in hell
The eternal battle, the decisive round
Before the final bell
On the surface, the mourners wept
The lovers lost their way
The dreamers could not comprehend
The events of the third day
Empty!
Astonished faces
Bewildered minds
The tomb did not hold
What they expected to find
The tomb was open
The body was gone
The graveclothes scattered
On the cold stone ground
Promises remembered
Prophecies fulfilled
The Son has risen
According to His will
Angelic visitations, miracles abound
Hell turned inside out
The end was a means to a new beginning
Something we cannot do without
We sometimes think our lives are full
Until we search and find
Very much like the empty tomb
Our lives are just as void
And for that very empty that fills our lives
The King of Kings was slain
He defeated death on Resurrection Day
And of sin, a mockery made
The empty tomb has a deeper meaning
A full life it gives to me
If I give Him my empty and take His fullness
I will truly be free
Look beyond the eggs and rabbits
Look to the blood and the death
Look to the Way, the Truth, the Life
Look to the Great Exchange
By Daniel Reiser
Summer Storm
by Jamie Veley
The storm had a strong temperament. The wind shook the old, drafty house and the lightning flashed so frequently it clearly lit the way for the man. Cautiously and quietly he made his way through the house he had once lived in and still loved; he searches for his lover.
He anxiously opens the bedroom door and peers in. The bedroom which was decorated cheerfully and cozy now looked as gloomy as an old attic covered in webs woven skillfully by a black widow. His lover lay on the floor weeping; in her arms she tightly clenches a picture of the two of them. Without consideration for the couple, the lightning flashes and the thunder rumbles, startling them both. Scared, she looks up and in amazement, gazes into his once-beautiful eyes. Once they had shone brilliantly like a rainbow after a storm. Now they look worn and tired. She jumps to her feet as he stumbles across the room to embrace her.
Was she dreaming? Only three days ago, he had been pronounced missing; he was probably dead. She had received a phone call at two in the morning saying that her lover’s truck had been wrapped around a tree, but the body was unable to be found. The police had followed a blood trail for hours. The trail had led them to a large, snow-covered field, and it was in this field that the blood had just vanished and the footprints disappeared. The police classified this as an unusual happening but continued to search for clues. Unfortunately for family and friends, there could be no funeral, for there was no body.
She was in disbelief as she held him now. He was unharmed except for a small cut above his left eye. He did not speak except to say I love you, and she did not pressure him. She knew it would all come out in time. They passionately made love before going to sleep. She awoke in the morning with a new glow about her; she looked over to where her lover had been. Her eyes focused in on a small trail of blood. Scared, for she knew how this would end, she cautiously followed the blood trail. She found herself standing in her backyard. There the blood vanished, the sun darkened and the thunder rumbled.
The girl
By Jeff Schroeder
The girl sits upon the hill,
she watches the sunset,
she thinks of yesterday.
Where has the time gone?
The girl sleeps on the hill,
she watches the stars twinkle,
she thinks of today.
Why does time stop for regrets?
The girl awakens on the hill,
she watches the sunrise,
she thinks of tomorrow.
Who knows when my time will end?
Doesn’t She Know
By Jeff Schroeder
The rain keeps coming down,
She tries to hide from it.
I ask why she tries to hide.
Doesn’t she know that she can’t walk between raindrops?
The water drips from my head to toes,
I am still drier than her.
She wishes to be dry,
she wants to clear her head.
Yet, she clings to her umbrella
as though she will die without it.
Her soul is soaking wet.
I seem to walk above the puddles,
my mind is clearer than it has been for days.
Fading Memories
By Donna Jackson
School let out at 2:30 - he should have been home hours ago. It was almost five o'clock and the sun lengthened the shadows at Teddy's feet. He knew his mother would be missing him by now, and after the sun set she'd be even more worried. But he kept going anyway.
He panted heavily as he raced through the woods that he had known so well. He had grown up in these woods; he'd been running through the twisting dirt paths ever since he could remember. But everything was different now. Nothing looked familiar anymore. Most of the paths had grown over, and though the main ones were still there, they too were overgrown and he had to part the thorned vines across the path more than once just to keep going. These woods had always felt comforting to him; they'd always felt like home before, but now they were foreign and somehow threatening.
Finally he broke through the trees and onto the old road he had once known as his own. Suddenly his heart wasn't in the expedition anymore, but his legs kept pumping, pushing him up the slight incline and toward the house.
His house stood empty and abandoned at the top of the hill, overlooking the old neighborhood as it always had. The windows gazed at him mournfully. One of them had been broken. The lawn was now overgrown with crawlers and looked much like his woods did. No one had moved in since they had had to leave five years ago. The bank hadn't been able to sell it. And the once-tidy house now looked like the worthless little reject that the realtors had believed it to be. And yet, somehow, it looked the same as it did when he was nine. It only looked tired and weary, like an old man after a hard day's work.
Teddy crept up the cracking cement steps to the porch, carefully avoiding that half of the second step up that had cracked loose and rocked when you stepped on it. His mother had meant to repair it that summer they had lost the house. She had meant to do it for years actually, but had never gotten around to it for one reason or another. Teddy supposed it didn't matter now.
The storm door came open hesitantly when he pulled on it, and the edge of the door spat little flecks of rust onto the back of his hand. The front door had probably been locked, but the wood had rotted from the lock. Teddy pushed his shoulder against the door and forced it open. He stepped up into the house and smelled old dirt and older memories. They hit him hard with their physical presence, knocking the air out of his chest. He took a
deep breath and coughed from the dust, and the cough turned into a sob. He bit his lower lip and stepped into the living room.
The house hurt him to the bones. The house looked empty yet did not seem so - it hadn’t changed much at all. It felt the same, even after five years. And that perhaps hurt the worst of all. He ran a hand over the hardwood mantle over the fireplace and winced as if he had gotten burned. His hand came away covered in dust and cobwebs. The memory burned like flame in his heart and mind. He looked at the corner where his grandmother’s old upholstered rocking chair used to sit. He fingered the many tackholes above the fireplace where he and his brothers had hung their Christmas stockings. The Christmas before they lost the house had been the last time he ever saw his brothers in the same room together. Teddy remembered the big fight three days after Christmas that drove his two brothers apart. They hadn’t spoken since - Jake even refused to go anywhere that he might risk seeing Don. That’s why Jake didn’t go to church anymore. As adults they acted more childish than ever. Probably the only time Teddy would see them together again would be at their mother’s funeral. And even then he doubted they’d stand on the same side of the room.
He walked slowly through the kitchen, taking care not to break the upward-turning edges of the curling linoleum. Like the living room, the kitchen and dining room were bare to the walls. He pushed through the cobwebs in the doorway and stood in the middle of the dining room. He looked at the windows that had once worn faded but clean curtains. He looked at the faint line halfway up the walls where the wallpapers had met - years ago the walls had had a layered effect, with wallpaper of one pattern on the bottom halves of the walls and another pattern on the top halves. They had painted it over many times but the line from the merging wallpapers had always remained. He looked at the built-in hardwood hutch in the wall across from him. His grandfather had put that in for his grandmother’s good china when he built the house. When Nanny died, Teddy’s mother had inherited the china as well as the habit of storing it there in the hutch. The shelves were now filled with spiderwebs and egg sacs instead of the good china. Teddy supposed that, to the spiders, those sacs were as fragile and precious as the china was to his mother.
Next to the hutch gaped a doorway that led up to the converted attic where his brothers had slept. Nanny’s bedroom had been up there. When she died, Don moved out of the room he shared with Jake and into Nanny’s. His mother had once told him that she had seen a ghost on those stairs. Shortly after Nanny died, his mother had sworn she had seen her mother on those steps. He wondered if Nanny’s ghost was still there. Maybe that was why the house felt the same. Maybe she never had left.
But then, maybe it was just his imagination. Maybe when they left, Nanny’s ghost had given up after all. Why stay in her house if her family was gone, anyway? Teddy vaguely wondered what had happened to the spirit in the house. It felt like the same house, but it didn’t feel like home anymore. He felt somehow as if the house knew it had been abandoned. He felt as if the house were blaming him. Suddenly he didn’t just feel it. He could almost hear the house.
Why did you leave? Look what you did to me. Look what happened. How did this happen? Why did it have to happen?
The tears finally came. He let them find their way down his cheeks. He ran a finger over the edge of the hutch and walked away from the stairs.
The narrow hallway that led back to the bedrooms was lined with cobwebs. He had to separate them all before he could walk down the hall. It reminded him of the woods. He had to fight to get through there, too. It was like he didn’t belong there anymore, and the thorns and the spiders were showing him who belonged there now. We do. This is our place, not yours. Not anymore. We don’t want you here.
He kept going anyway.
His feet shuffled softly in the thick layer of dust that coated the floor. He looked into his parents’ room briefly and startled a family of raccoons nesting in the corner. He could see the young cowering against their mother’s belly. That hurt, too. They looked so small and frightened. They didn’t understand what he was, just that there was some big, horrible thing threatening their little home. They were too little to understand any real danger they just clung to their mother for protection. They couldn’t even see him, but just sensed there was something there. He felt sorry for them.
He went into his bedroom last. The walls had been painted a bright robin’s-egg blue the summer before they had to leave. Now the paint looked dingy and faded. In the corner stood the old desk that he had had to leave behind. There just wasn’t room in his mother’s new apartment for it. He looked out the cracked back window into a backyard which now looked like a Nebraska wheat field. The long weedy grasses swayed together in the breeze. The four trees looked the same as ever as they stood, silent and unmoving in the light breeze. Some things faded and some things changed, but for the trees business went on as usual. Life went on as well, both within the house and outside of it.
It was time to go. Teddy realized there was nothing left to do here. His mother would be really worried by now. She might even have called his father. Not that his father would know, or even care for that matter, he hadn’t seen him in five years either.
On the way back to the front door Teddy passed back through the dining room. He stopped by the foot of the stairs and looked up them again. They still looked dark and bleak, but Teddy climbed them anyway. Halfway up the stairs Teddy had to squint from the sun angling through the double-window that overlooked the backyard. He put a hand over his eyes to block the sun. At the top of the stairs he continued into the back room.
Don’s room was bare to the walls. A few cobwebs hung in the corners, but those were the only decoration in the sparse little room. Tiny as it was, the room wasn’t quite as forlorn as the main floor. Teddy thought it was the sunlight cast from the sinking sun. The large window let it all stream in, warming the little room. He went over to the window and looked out over the backyard. The grass looked as wild as it had when he looked out of his bedroom window, but the sun reflected differently off the tops from this angle. It was the same grass, but from up here it looked less like an unkempt wheat field and more like a sunny meadow. The sun warmed him and he closed his eyes, letting the golden light burn rosy-red through his eyelids.
Something brushed his elbow lightly, and Teddy looked to his left and saw a ghost. Nanny sat in her old wooden rocker, where Teddy remembered she had sat knitting countless late afternoons. Teddy remembered sitting on the floor by her feet when he was three, playing with his Hot Wheels cars and telling her about what he had done that day. It was just the mindless jabber of a toddler, but he remembered Nanny had always just rocked and knitted and listened. Now she held a new piece of knitting on her lap, and rocked and looked out the back window with him. Teddy didn’t speak; he just thought to himself “Hi, Nanny.”
Nanny glanced up and smiled at him as she wrapped the yarn around her knitting needles. It was going to be a little afghan for a baby, Teddy saw. Nanny went back to looking out the window. Teddy turned back too, watching the reddening sky paint the treetops pink-orange and tint the grass tips silver-gold. He waited until the yard was cast in shadow and the sky glowed royal purple. When he finally turned to go, he noticed that Nanny was gone.
He started back home, trotting slowly down the street. He knew he’s never come back again; never see the house, never feel it’s solid, dusty walls. He supposed he never needed to again. Still, he couldn’t stop himself from looking back at the house. It was encased in shadow; all but the tops of the eaves. They still caught the purple-red light and reflected it back to him.
The Story Of My Life
By Nik Bonopartis
The story of my life, well
let's just say it's a fork
and a knife
There's one thing on my mind,
one thing all the time, I
gotta fill my mouth
Got no favorite meal, I say
every meal is clean if it
fills me up for real
My belly's big and it's just
a start
My appetite's my heart
And when I've had enough I
just throw up and laugh
But this time's its not a
cow, it's kinda personal,
can't explain to you why
This time it's not a cow, so
Mr. PC are you ready to bow?
Breakfast in bed, yeah
breakfast in bed..
The bed's in the kitchen so
it's easy to be fed
And when I'm fed, yeah when
I'm about dead
I go back to bed.
"EMBITTERED AND EMBATTLED"
By Jeff Schmitt
MAXIMS
ARE FOR LOSERS COMPETITION
IS FOR THE INSECURE
HOW CAN SOMETHING BE MY FAULT WHEN I'M PERFECT
SEIZE THE DAY
IS WHAT YOU SAY WHEN YOU'RE SPOILED. WHEN LIFE GIVES YOU LEMONS
COMPLAIN AND GET YOUR WAY.
TRY TO KEEP UP WITH THE JONESES
IF NO ONE LIKES YOU FOR WHO YOU ARE. IF YOU CAN UNDERSTAND ME
EITHER I'M IN TROUBLE OR YOU ARE IF YOU WERE A MAGNET
YOU'D DEFINITELY BE MORE ATTRACTIVE YOU CAN'T ANNOY OR BOTHER ME
MORE THAN I ANNOY OR BOTHER MYSELF. JUST BECAUSE YOU'RE POPULAR
DOESN'T MEAN YOU DESERVE ANYONE'S RESPECT. THEY SHOULD MAKE A BOOK ABOUT MY LIFE
BUT NO ONE SHOULD READ IT.
I'M RESPONSIBLE FOR MY INCOMPETENCE NOT YOURS
YOU CAN'T READ ON IF I STOP...
"the relevancy of relativity"
By Jeff Schmitt
how much or how little
does this make sense or does that even matter is it heady discourse or trivial chatter
when heard by the many instead of the few the ravings of a madman
will touch more lives than you
nothing in a nutshell really fits there are too many prize fights and no battles of wits
is it really a shame though? are you a fair judge? does life as a human really mean that much?
Ode to an English Professor
By Kimberly Genesi
If her voice were beautiful, I would not mind listening.
If she sang out a song, I might even enjoy it.
However, I don't believe that
anyone enjoys her voice
as much as her own self
She speaks to her own ears
and they pay full attention
to her every worthless word.
Yet I cannot.
I long to hear another sound,
any other voice in this learning pool
filled with phrases as I drown in prose.
Pull me up, please!
The fiery waters of poetic sleep are encompassing my brain,
leaking into my head
drop by iambic drop.
I cannot stand monotony much longer.
Vague intonation,
lack of inflection,
waves lapping softly at my eyes
washing them into a dreamy place
where there is no black ink on white paper,
or white chalk on blackboards,
or thick unrimmed glasses staring out at me.
Comatose comfort!
Save me from this droning torture!
Place a curse on this woman's larynx,
Make her quiet and bid her stay so.
Take pleasure elsewhere, oh endless rambler!
Cease darkening my bright morning with your nothingness,
for my ears have already shut you out,
and my eyes wish to do the same.
Therefore teacher, I do apologize,
But I must take a nap in your class.
A beautiful light shone through the open door of acceptance.
I wasn’t sure it was there – but was glad To be engulfed.
The passion struck all at once and overwhelmed My perception of all thought and feeling.
I’m being taken somewhere new and innocent, Not knowing if I’ll really go, or if I’ll Ever come back.
The thought of it is frightening but I want To live for the moment.
The light grows brighter and sometimes dimmer Everyday – I don’t want this door to be Shut.
I don’t want to hold on in anticipation for What may or may not happen – that is Unknown and distant
But I do know that I care – and these Thoughts will not be driven away.
By Barbara Gambee
Pop-Culture-Heaven
J. Pisano
When The All-Too-Perfect World Bombards You With Their Trends And Standards Turn To Those Few “Weird Folk” Those That Are So Like You, Yet So Different. They Are The Shelter From The Storm Everyone Has Weaknesses And Fears Just Like You. It Is Much Wiser To Find A Kindred Spirit Then To Play Follow-The-leader And Soon Realize It’s The Blind-leading-The-Blind. Looking On The Outside, Seeing Only What Is Aesthetically Pure... That Will Only Lead You To Pop-Culture-Heaven: A Life Of Unhappiness And Fallacy.
Sue’s Poetry Excerpts for the “Aluminati”
By Sue Goodwin
Mom & Dad
Almost Free - I just need a few more days.
Finals and Dances
Graduation and Good-byes.
No more cafeteria slop! The books begin their dust collection.
Mom, can you help me with the laundry?
Dad, can you help me with my taxes?
Visiting with old friends from home - well, the ones
Looking for a good job, now.
Nobody’s returning my calls.
The cabin fever sets in as the High School nostalgia continues to stagnate.
There are never any good shows on anymore.
Why won’t the damn phone ring?
I know I can get a job pretty soon - I just need a few more days.
The frustration builds.
How come they have a job so soon?
Mom and Dad pave more of a life than I do - they actually go out.
I’m close and personal friends with the remote.
No, I won’t wait up too late.
I could get such a good start on my life if only I could settle down.
I need my own place
I need the stability of work
My depression would be worse if it weren’t for the college visits.
I need the memories.
Those guys understand me best.
I’m getting really serious about moving out - I just need a few more days.
I’ve saved up a lot from my temp work.
Maybe I’ll be hired soon.
The space in my head fills with the planning and the freedom.
How will it look?
Where will it be?
I’m not going anywhere until I get that stinking job!
Mom and Dad have jobs
They didn’t even graduate college!
Even when I finally get the job, the bills will flood in.
I’ll have to cook and shop for myself
After eight hours of slave labor.
The weekends will be for recuperation from the burn-out week.
Nobody to help with laundry.
Nobody to help with taxes.
I don’t want to leave home yet - I just need a few more days
Thanks Mom and Dad.
Thanks for keeping me safe at home
Sugar shouldn't taste this way; a ride home
to an innocent-looking fan shouldn't have ended
with you a rape victim, just another statistic,
Sugar shouldn't taste this way; running, hopeless fear
on flying feet, your only thought to get home
before he traps you again-
Sugar shouldn't taste this way; a night begun with euphoria
and ended with your naked back
sliding down the bathroom wall till
you cowered beneath the sting of the shower-
Sugar shouldn't taste this way; sitting in burning silence,
a nameless face violating your mind
the way his hands violated your body.
Sugar shouldn't taste this way, your hold on reality
more tenuous as days pass and you fade into
the shadows of the life you led before
Sugar shouldn't taste this way; waking up night after
night screaming invisible hands pinning you down
tearing you apart inside
Sugar shouldn't taste this way; standing before a podium,
a bank of microphones before you, cameras flashing
as you explain to the world that no one is safe
no matter how famous you are or what you've accomplished
Sugar shouldn't taste this way; your hands trembling
as you place them upon the piano keys
before an audience for the first time since it happened.
And then you coax the chords from your fingers
and draw your voice from deep inside your soul
and you realize the music means even more than it used to
and it becomes obvious: you're stronger than you were.
By Jaime L. Smith
Wheel of Time Outtakes in Finnland
By Nik Bonopartis
A silver flash of light formed a seam in the middle of the darkened room, then widened and took shape as the gateway formed. Elan Morin Tedronai stepped out, black boots forming dust clouds as he found footing on the ancient floor of the Stone of Tear. It was here, in a long forgotten storeroom deep in the depths of the ancient fortress, that the object which he sought was hidden. The gateway winked out behind him, and he channeled quickly, bringing an illuminated sphere to life above his outstretched palm, casting faint light and long shadows across the many boxes and odd objects which decorated the room.
His footsteps echoed as he made his way across the chamber, and Elan Morin Tedronai wrinkled his nose in disgust at the dank, musty smell accumulated from years without a human foot treading the ground he now walked on. Absently wiping dust from his fine black coat of silk laced with gold, he saw the twisted ter'angreal from across the room. It was a large doorway, tall enough for even an Aiel to fit through, and made in such a way that it was twisted, the corners and sides not quite connecting, so that it made him queasy if he let his gaze rest on it too long. Seemingly made of polished redstone, with three sinuous lines as the only apparent decoration, the ter'angreal doorway looked like it would fall over any minute. He gave it an experimental nudge, but the doorway did not budge.
Letting go of saidin, Elan Morin Tedronai felt life, sweetness, awareness as he had never known leave his body in a rush. Letting go of the One Power was never an easy thing, but he did not desire to enter the parallel world through the ter'angreal doorway while holding the True Source. The results were unpredictable. With a determined glare, he stepped through the door. The light of a thousand suns blinded him, all the stars in the universe combined into one. He was aware of his own movement, slowly, days, weeks, months, years...
His booted foot slapped the polished floor in front of the doorway, and the echo reverberated down cavernous halls. Elan Morin Tedronai looked back at the ter'angreal doorway behind him, as if to check and reassure himself of it's existence. The doorway was behind him, but he was in a different place now. Yellow polished columns of some foreign stone gleamed in a circular pattern at opposite ends of the enormous chamber, reaching up into a ceiling that disappeared into the gloom above. An ominous light filled the room from ahead, yet the source did not appear to be from flame. The floor tiles played out a sprawling pattern as they stretched in curving rhythms to the far reaches of the chamber.
"A long time."
Elan Morin Tedronai whirled around to see who had spoken. A man stepped forward from the shadow of the columns, clothed in long yellow and black robes.
“A long time, yet they come again.” He spoke with a strange, slurred speech, and his voice was raspy, like paper on stone.
“Are you...?” Elan Morin trailed off, remembering he could only ask three questions. Three, and no more. “Take me to where I can have questions answered.”
The robed fellow stepped forward further into the light, and Elan Morin could see he was not human. Scaly flesh, large, striped eyes, and an elongated face likened him to a snake. The man’s too-long hands reaffirmed his analysis. He rubbed those snake-like hands together and spoke again in that raspy voice.
“You carry no lamps, no torches, as the agreement was, is, and ever will be. You have no iron? No instruments of music?”
Elan Morin eyed him askew for a moment, then spoke softly, “No. No iron or instruments of music.” He instinctively felt his coat pocket for the glass sa’angreal that was hidden from the man.
“According to the agreement. Come.”
His guide beckoned him forward, then turned towards the hallway, and Elan Morin followed. Through arched doorways, he followed his unearthly guide through curving corridors. The swerving patterns continued to play out on the floor, and an odd world was visible through the perfectly circular windows that appeared at regular intervals. The ceiling above was similarly curved, with intricately worked scrollwork making sinuous, twisting lines in the stone. His guide led, and he followed. The world outside was strange, with only trees visible, certainly not of any type on earth. Thin branches stretched out and held drooping, umbrella-like leaves from their limbs. The hallway curved and twisted, and Elan Morin continued to analyze the view outside of the windows. Several times the hallway twisted, and he thought he should be able to see the other sides of the palace he was now in, or even a small courtyard, but all he could see were the trees, and the strange yellow-orange horizon. Once the view changed, and three silver spires were visible through the porthole window, the one in the middle set straight, and the two on each side curved so that they all aimed towards the same point in the sky. Obscuring his view was a singular tree, with a broken branch, but when he gazed out of the next window three paces away, neither tree nor tower was visible.
Shivering, Elan Morin followed his guide through the curving maze of corridors. He was getting impatient when his guide gestured towards a huge, circular open doorway. “Here you may your ask your questions. Here your answers may be found.”
Elan Morin stepped through the doorway, then glanced over his shoulder towards his guide, but the strange fellow was gone. Shivering again, Elan Morin Tedronai stepped into the heart of the chamber. A sprawling, domed ceiling capped the giant
space, and curving floor tiles spiraled out in every direction, always in a circular pattern. There were no furnishings, no elaborate decorations of any kind, save for three red, gleaming columns, curved and twisted, sinuous like a snake. Atop each of the three columns sat a being similar to his guide, but this time draped in robes bound by red roping, barefoot atop the columns. There were no ladders or other apparatus to reach the top of these curved columns, yet they sat atop them.
"It has been long, Betrayer of Hope," the woman of the left coiled pedestal spoke, in that same raspy, dry voice of his guide.
"It has been long, yet the Questioners come again for answers."
Elan Morin's mouth tightened into a grimace at mention of the name men gave him. He did not know how these...beings...knew of him, but he would not ask, he would not waste a question. The Aelfinn were rumored to punish trivialities.
In unison the three breathed, "Enter and ask, according to the agreement of old."
Elan Morin Tedronai took a step forward, and swallowed hard.
"I seek the sa'angreal known as Callandor, The Sword That Is Not A Sword. How do I free it from the Stone?"
The three lifted their eyes from him, again in unison, and seemed to study the air above his head.
The man on the left spoke.
"You must find the Asha'man called Narishma, he will free the sa'angreal."
Instantaneously, a bell tolled, ominous and forbearing, reverberating throughout the chamber and the surrounding corridor. The Aelfinn breathed deeply, and their eyes dropped down to meet his.
"He is yet another of the ta'veren," the woman in the center breathed. "The strain. The strain is yet great."
"The savor," the man on her right agreed. He looked nervous. "The savor of him." They turned back to him. "Ask."
"Who will be Nae'Bliss?"
"You were warned," the man on the left hissed.
"Questions touching the shadow," the woman agreed. "The price will be exacted."
She breathed deeply again, and Elan Morin Tedronai felt a cold run through him. Her eyes dropped from their study of his aura. "The man called Moridin, he who has the saa in his eyes."
The bell tolled again, louder this time, shaking, piercing his ears. The tremor shook the room. Elan Morin looked up to study anxious faces.
"The strain," the woman intoned. "He is ta'veren. The strain is too great."
"The savor of him," the man on the right added nervously. "It has been so very long. The savor. Ask! Ask!"
Elan Morin stood there, puzzled. He had never heard of a man called Moridin, and he was not about to let him take his place as the Dark One's champion...out of the corner of his eye he saw blurred motion, then snapped out of his thoughts to see a crowd of yellow-clad fellows like his guide swarming around the outer reaches of the chamber. They were moving toward him.
Seizing saidin, Elan Morin channeled, deftly weaving flows into a gateway, but the snake-like men were bearing down on him. He channeled again, and this time lightening arced down from above, striking his assailants. Muttering a vile oath, Elan Morin Tedronai jumped for the gateway, and stepped into the blinding light.
The sun beat down on him, and disorientation set in at the realization of his surroundings. Behind The Betrayer of Hope stood the Tower of Ghenjei.
"Columns"
By Joanne Parent
Beth had me come out to help her shop for Tom’s birthday.
I drove the two of us to the local mall, and now, half way down the length of the strip I suggested getting something to eat to calm my stomach some. I really should stop walking with her, it’s bad for my nerves.
On my budget fast food is about all I can afford, so we sit on opposite ends of a table, trays in front, a mass of other mall-goers milling about around where we eat. I’ve known Beth for almost a year now, met her at work and we became friends quickly. I’ve never felt at ease with someone so readily as I do around Beth. We have gone to movies, driven across country, been each other’s best confidant, and worst enemy. Through the time that I’ve known her, I’ve never felt that there wasn’t anything I couldn’t trust her with.
I smile at Beth, not listening to what she says as she talks to me. It’s about Tom so it’s not important. Ever since Tom arrived nothing has been important. So with a smile I feign interest, taking a bite of my meal. I’ll never forget that day when Beth came bouncing into work. The first thing she said was “I met this guy” and my world collapsed. It wasn’t until Beth found happiness did I realize that I missed the same. I guess I kind of knew I loved her, but I never gave the idea any thought, but now it’s always on my mind.
The stress alone has made me lose 13 pounds. Beth is fingering the engagement ring that Tom gave her one night a month ago. A full one and a half carats, I believe. It mocks me, it is as if Tom is here laughing directly into my soul as he stabs me in the heart.
It's not his fault mind you, and in all fairness Tom is a pretty nice guy, but the ring is a constant beacon signaling out my foolishness. At least Beth is happy.
I watch her across the length of the table. She talks about Tom and I try to hide my remorse from her. Beth is the emotional type and if I ever said anything it would only make her unhappy. I couldn't live with myself if Beth was unhappy, and I guess that's why she is better off with Tom than me. The way she talks she must be happy with him, and judging from the fact that she has an engagement ring one can't scoff at, and I barely break even after rent, insurance, and food, she is better off in the arms of Tom.
I sigh softly and continue to eat, listening to her one-sided conversation about Tom's upcoming party. My vision starts to become gray before I realize that I'm choking, so engrossed with my thoughts was I. It isn't until I begin to thrash around and fall out of my chair that Beth looks up from her food and realizes that something is terribly wrong. She runs around the table screaming my name, and lifts me up in her arms. My head lolls backwards from utter exhaustion.
I smile as I close my eyes, pity Beth will never know how happy I am to die in her arms.
ByOrg
The End
By Scott Neville
GET A JUMP ON NEXT SEMESTER’S MOSAIC!
If you have any poetry, prose, photography, or other artistic expression that you would like to submit for possible publication into the Fall 1999 Mosaic, please drop a copy of the work in the Literary Arts mailbox in the Council of Clubs room, located in Student Center 369, or get in contact with Scott Neville, Donna Jackson, or Heather Clarke for more information. All work will be returned in its original condition. Watch for deadlines posted around campus during the semester.
OPEN TO ALL STUDENTS, STAFF, FACULTY, AND ALUMNI SUBMISSIONS!
Coppola's
ITALIAN & AMERICAN
BISTRO
Tel. (914) 229-9113
229-9114
www.enjoyhv.com/coppola
Route 9
Hyde Park, NY 12538 |
Welcome to our Neighborhood
On behalf of the Balmoral Greens Homeowners Association, it is our pleasure to welcome you to the Balmoral Greens neighborhood. We hope you will make a wonderful home here. Please take the time to get to know the history of the neighborhood and surrounding areas (there’s lots of Civil War history nearby). Clifton Village is a beautiful and historic town full of interesting places and sights, such as restaurants, a famous general store, our own friendly post office, gift shops, a craft beer & wine shop, café, ice cream shop, spa and salon, dry cleaners, and much more. Clifton also hosts a number of events throughout the year (including walking tours, car shows, etc.), about which the Communications Committee will notify you, so you can take advantage of them.
We have put together a wealth of information and tools for your use on the Balmoral Greens website, such as:
◊ Digital resident directory
◊ Up-to-date scrolling alerts banner
◊ Calendar of social and local events and other notices
◊ Official HOA contacts, information, forms, and other documents
◊ Non-emergency contacts including Fairfax Police, neighborhood pet sitters and babysitters, Fairfax County Animal Control, and the Virginia Regional Game Warden.
Registrants of our website also receive periodic emails from the HOA informing them of local weather and safety matters and important announcements. We aspire for the website to be the key communication tool for Balmoral residents, and we highly recommend registering as soon as possible upon move-in.
Additionally, consider meeting your neighbors as soon as possible. If they don’t visit and introduce themselves after you move in, please take the initiative to do so. Urge them, as part of your relationship, to reach out to you as a new resident in the event you end up doing anything that might run counter to the HOA’s rules, including HOA architectural covenants. In this way, you can avoid misunderstandings and any potentially uncomfortable relationships. In the unfortunate event you anticipate an issue with a neighbor may be brewing, please take the time to talk to them about it. Don’t simply report a potential covenant violation or call someone on the Board or a Committee to complain. We live in a happy neighborhood, and we would like to keep it that way.
Speaking of being a good neighbor, please bring in your trash bins as soon as possible after they have been emptied. Also, please only put them out the night before pickup (Monday and Thursday nights) and try not to block anyone’s mailbox in the process. Regarding parking, although it is not illegal, try not to regularly park on the streets, as it can reduce the attractiveness of the neighborhood. If you’re planning an event or party, please let your neighbors know ahead of time if possible. There is no parking on the pipe stems except in emergency situations.
Once again, welcome to our neighborhood. We are truly excited to have you as a resident of Balmoral Greens and hope you enjoy building your new home here. Please do not hesitate to ask any of us for help during your transition, and we look forward to seeing you around.
Sincerely,
The Balmoral Greens
Homeowners Association
What is Can Be Found and Done on the Balmoral website?
Alerts banner—top of the Home page—continuous scroll of
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Home
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For other questions, contact: email@example.com
Balmoral Greens Welcome Committee
Please contact us any time with any questions.
Michael Flecker (Chairman)
◊ (310) 999-5557
◊ firstname.lastname@example.org
Kristin Barrette
◊ (703) 869-0404
◊ email@example.com
JoAnn Brainard
◊ (703) 919-7171
◊ firstname.lastname@example.org
Jen Coon
◊ (703) 994-5328
◊ email@example.com
Kristen Licciardo
◊ (818) 903-0448
◊ firstname.lastname@example.org
Cory Molina
◊ (703) 447-5699
◊ email@example.com
Marty Wye
◊ (703) 606-9951
◊ firstname.lastname@example.org
As a Balmoral resident, I/we request access to the Balmoral HOA website and want to receive the HOA’s broadcast e-mail communications. I understand that I can register online at www.balmoralgreens.org under the HOME tab, or I can submit this completed form or its email equivalent to our Communications Committee at email@example.com. Having given my authorization, I/we will be given login access to the website and will participate in the digital communications program. I/we agree to the terms of the site usage, including that you may print out contact details in the HOA’s online and hard copy Directory.
Residents can participate without publicly listing certain contact details, but one must instruct the HOA accordingly. For questions, ask one or our resident contacts noted below.
The data provided will be maintained in a digital file used exclusively by the HOA, and the e-mail addresses that you provide will support website access and circulation of broadcast messages. The information will not be released or sold for other purposes. Please promptly advise us of any changes in your personal information, so that our records will remain up to date. Send data changes or question to our Communications Committee via firstname.lastname@example.org.
Many Balmoral households register two adult residents to receive broadcast notices. To do so, you must list individual names below and provide separate e-mail addresses.
* Data is required to receive broadcast communications.
*Adults' Name (Last, First): *E-mail: Cell Phone #:
1) ___________________________ _________________ _________________
2) ___________________________ _________________ _________________
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Home Phone: _______________________________________________________
Emergency Contact (optional): Name/Phone/Relationship to Home Owner
______________________________________________________________
Thank you for your interest. This completed authorization form may be given to a member of the HOA’s Welcome Committee, emailed to email@example.com, or given to one of the Communications Committee members noted below:
George Ax, Committee Member, 7515 Tutley Terrace, firstname.lastname@example.org
Kim Yates, Committee Chairwoman, 7512 Weymouth Hill Road, email@example.com
HOA Covenants and Rules Reminder
In an effort to minimize the number of Architectural Review Committee covenants/rules violations in Balmoral, this reminder message is broadcast to all residents for the good of the community.
A big part of the job performed by the Board of Directors for the Balmoral Greens Homeowners Association (BGHOA) is ensuring that Balmoral remains an attractive place to live and that property values are not diminished due to a lack of maintenance. Our covenants, bylaws, and rules exist for this very reason, and it is everyone's responsibility in our community to ensure we adhere to them.
The BGHOA Board is supported by a covenants committee (i.e., the Architectural Review Committee or ARC), which regulates, monitors, and approves matters of design and upkeep. If you are considering any form of construction or alteration to your property, you should consult one of the members of the ARC to help you better understand our guidelines and determine if you need to submit an alterations application for approval. Please do not make any financial commitments to a project before applying and receiving project approval from the BGHOA.
Every Balmoral homeowner was provided a full copy of the BGHOA covenants and guidelines as part of the Association Disclosure Packet you received when you purchased your home. During your settlement proceedings, owners signed a legal document stating that you agree to abide by the covenants as a condition of home ownership in Balmoral.
BGHOA architectural review information (including applications and ARC member contact information) is available on our website under the Forms & Resources Center.
Of course, covenant/rule disputes or violations often add the challenge of potentially damaging neighbor relationships. The applicant (or violator) can become emotional about the decision or enforcement action being taken, while a neighbor can become just as emotional about a lack of enforcement action. No one feels good about disputes, especially ones involving enforcement. The way to avoid this is for everyone to understand and play by the rules.
Our BGHOA Board and ARC sincerely appreciate that the vast majority of our association's members are good neighbors who adhere to our covenants, take care of their property, and have good intentions. Again, preserving property values by maintaining the appearance of our homes is a goal shared by all in the community and effective covenant enforcement preserves those values accordingly.
Balmoral Communications Committee – 2019
Main Street Pub in Clifton, Va., is a converted Texaco station. The small town has a big Civil War footprint. (Yacouba Tanou)
Virginia was a Confederate stronghold during the Civil War, but an area in the northern part of the state became a place for the Union Army to rest and refuel. Later, in 1902, that area became the town of Clifton.
Today Clifton is a popular destination for foodies, history buffs and nature lovers. You can cover a day’s meals and years of history during a stroll along the quarter-square-mile town’s Main Street.
Start with bacon and eggs at Main Street Pub in a converted Texaco station. Then grab a crepe at the Clifton Cafe, where the staff says Erin’s Eclectic Berry is a favorite. Top those off with chef Jon Cropf’s New Zealand venison with chestnuts, smoked barley,
kale and huckleberry, at Trummer’s on Main. “It has all those fall and winter flavors,” said Cropf, who took over the kitchen in late September and changes the menu every few weeks.
In between meals, check out the great history. Many of the homes, especially in the historic district, date to the 1800s, a testament to strict regulations honoring the town’s place on the National Register of Historic Places.
Next year look out for the Holiday House tour, where for an afternoon several homes are open for viewing. (It was Saturday.) Two other sites usually closed to the public are also on the tour: Clifton Primitive Baptist Church, where freed slaves could worship, and the Southern Railway Caboose.
Next to the train tracks that run through Clifton, the caboose marks where Devereux Station stood on the Orange and Alexandria Railroad as the Union’s southernmost point from the early 1860s to 1868. Then it became a passenger stop, called Clifton Station, and put the town on the map.
Finally, walk the trails of the 20-acre Webb Nature Sanctuary. The park features a small stream, orchids and a lot of quiet. Or try Randolph Buckley Park — also known as 8-Acre Park — where Clifton resident M.D. Stoney was headed with her dog recently. “It’s pretty. You see deer and wild turkey out there,” she said.
Thrill-seekers might prefer Adventure Links at Hemlock Overlook Regional Park, which has rope courses and a 300-foot zip line for groups with reservations.
A sweet little Virginia pub that refuses to close when a big snowstorm hits
By Pamela Constable January 23, 2016
As news about the winter storm plays on the television, patrons socialize at the Main Street Pub on Friday in Clifton, Va. (Pete Marovich/For The Washington Post)
At 10 p.m. Friday, architect Jerry Yantis and his buddies were still nursing their last beers at the Main Street Pub in Clifton, Va., howling and high-fiving as they recounted a night of joy-riding on sleds towed by a truck in 2010, the last time it really snowed in this tiny historic village.
By 10 a.m. Saturday, Kevin Hutto, 55, a financial planner, was having steak and eggs at the bar. He had just brought over his snow-blower to clear a space outside the front door, where a chalk-board said “BLIZZARD” and noted that on this date in 1981, John Lennon and Yoko Ono were on the cover of Rolling Stone.
The owners of the pub, a lively watering hole and general store in a converted Texaco station, had vowed to remain open all weekend as long as the power didn’t fail. On Friday night, they left pitchers of hot coffee on the porch for the snowplow drivers whose trucks rumbled by every half-hour or so.
As the snow kept falling, the customers kept coming, many of them walking from home in the woodsy area of winding roads, horse pastures and country houses tucked in a corner of southwestern Fairfax County. Almost all were regulars, and many were characters, too.
With a winter storm on the way, patrons socialize at the Main Street Pub on Friday in Clifton, Va. (Pete Marovich/For The Washington Post)
On Friday night, the mood grew increasingly boisterous as the snow intensified and more hardy souls arrived. Yantis and his friends, all middle-aged family men, gleefully relived their sledding exploits on that one crazy night. Doug Fourney, 61, a retired engineer, ordered a drink named for him, with lemonade and two shots of vodka.
“This is the hub and the heart of Clifton,” Fourney said. “Everyone here knows each other. Everyone here helps each other. Everyone knows what you like to order. And they even have a drink called ‘The Dougie.’ ”
Pub owner Judy McNamara, 64, was determined not to miss the fun. Instead of commuting from Arlington, she packed an overnight bag and wangled places to stay with friends in exchange for nips from a special bottle of whisky. After a late-night escapade Friday involving lost keys, security alarms and police cars, she was back at the pub first thing Saturday.
With a winter storm on the way, patrons Andy Melton, 59, and his wife, Sherrie, 58, (left and center) talk with Matt Filipowicz, 48, and his wife, Margot, 42, at the Main Street Pub on Friday in Clifton, Va. (Pete Marovich/For The Washington Post)
“Welcome to all the brave souls that came out,” McNamara called from the kitchen to a swelling brunch crowd that included three snowplow drivers, a family with three bundled-up kids, and a couple who had stayed Friday night until last call.
“You know us,” she reassured everyone. “As long as we have electricity, we’ll still be here.”
The rest of the town — official population less than 300, but bustling with tourists on most weekends and holidays — was dead quiet and thickly blanketed with white. Even the annual Christmas tree bonfire had been canceled. But the pub’s phone kept ringing, and bartender Brigette Keen, 24, kept encouraging people to make the trip.
“If you can get out of your driveway, we’ll see you soon,” she said cheerily to one caller. The bar featured winter drinks including an Irish whisky toddy. On the wall, a giant screen showed monster drifts and driving winds across the D.C. region, and an announcer solemnly warned people to stay home and safe.
Customers shared snow sagas and winter woes. Jeff Van Allen had tested his brand new Toyota 4-Runner and reached the pub without incident. Carlos Palomino, 55, who has been plowing Virginia roads for 30 years, said the trick was to be “patient, precise and stay alert. But the main thing is that you have to love the snow.”
Right behind him came Dawn Van Dyke and Bryan Taylor, pink and perspiring as they peeled off mittens, hats, scarves and layers of wool. They had walked half a mile from home after shoveling out their goat pen. Van Dyke, 33, who works for a health-care nonprofit, was not enthralled with the weather.
“I hate winter. I want to be inside eating chocolate chip cookies,” she said, and then compromised and ordered a beer. She said she and Taylor moved from Arlington in 2012, in part because “it’s also a community where you can walk to a pub even in a snowstorm.”
Todd Timm built this 12,000 square-foot Greek Revival home in Balmoral... (Cheryl A. Kenny FTWP/PHOTO...)
What to do with human bones predating the Civil War was an agenda item for Balmoral Greens’ homeowners association last year.
The lush, historically rich community in Clifton, Va., has several small, old cemeteries dotting its green common areas. When a large tree fell in one of them, unearthing the remains, the problem arose.
“We decided to go all the way and do re-interment,” said Todd Timm, 51, an architect and Balmoral’s HOA president. With assistance from Fairfax County and Smithsonian Institution experts, the remains were exhumed and the deceased was identified as Mr. Melvin, a free black man from the pre-Civil War period. “Now we’re waiting on a minister to commit the burial,” Timm said.
In addition to its Civil War connections — there are old battle trenches in and near the neighborhood — Balmoral is uniquely linked to the national anti-vice movement of the early 1900s. The neighborhood was part of Ivakota Farm, a Progressive Era reform
school and home for unwed mothers and their children. From 1915 to 1925, the compound, which served more than 1,100 women, was headed by prominent anti-vice leader Kate Waller Barrett, president of the National Florence Crittenton Mission. The farm was also used by other charities until it was sold in 1962. In 2007, with approval from Fairfax County, a historic marker relating that history was placed in the community.
“When people move in here, they see the beauty, the wooded, parklike setting, the old-growth forests . . . that’s what brings them,” Timm said. “Then they do research and discover the history of this community and it brings a sense of community pride.” Most of the 180-home community of primarily Colonial, French-country and international-style houses was built between 1996 and 2002. Timm, an original owner, designed and built his 12,000-square-foot Greek Revival home on a 2.6-acre property in the community’s “estate” section, which includes lots of mostly two to eight acres. The “executive” section, encompassing about 70 percent of the neighborhood’s 1,000-plus acres, has smaller lots, generally one to 1.5 acres.
Close ties: “There’s no gathering place here, so neighbors take the initiative to get together socially,” Timm said. “That bonds people even more — it forces them to go out
and knock on doors and form a community.” The approach seems to work: Timm said social activities, often publicized or supported by the HOA include progressive dinners, fall picnics and turkey trots, and wine, book and bunco clubs.
Christine Krstolic, 41, had concerns about forging community ties in a neighborhood with homes so far apart when she moved to Balmoral with her husband, Matt, 38, a construction project manager, and their three young children, in December 2012.
“We lived in [nearby] Little Rocky Run, a great family neighborhood with pools and playgrounds, for eight years, and felt we needed not just a bigger house but more land,” said Krstolic, an at-home mom. “There are little things you think you’re losing when you move from that type of neighborhood to one like this. But you don’t. We do know our neighbors here. Yesterday, we literally borrowed ketchup from the family with six kids that lives across the street.”
**Recreation:** Balmoral’s sylvan setting includes natural ponds, a creek, horse and multi-purpose trails, and acres of woods and parkland. Westfields Golf Club adjoins its northwestern border.
“We can walk down the road to a trail to Bull Run [Regional Park], and to Hemlock [Overlook Regional] Park,” said Krstolic, noting that she often sees neighbors on the trails. “And there are horse farms nearby. . . . The kids love to walk down to visit the horses.”
A favorite family trek is hiking to Clifton’s historic old town. “It’s less than 30 minutes walking with three kids,” Krstolic said. “We have lunch at the [Main Street] pub and then we get ice cream at Peterson’s. You see a lot of people from the neighborhood there.”
**Schools:** Union Mill and Fairview elementary, Liberty and Robinson middle, and Centreville and Robinson high.
Living there: The neighborhood is bordered, roughly, by Compton Road to the north, Balmoral Forest Road to the east, and Bull Run Regional Park to the south and west.
From May 2012 through May 2013, 10 homes sold, at prices from $800,000 to $1.245 million, said Lisa Clayborne, a real estate agent with Long & Foster.
One contract is pending, at $1.375 million, and three homes are on the market, for $940,000, $965,000 and $1.165 million.
HOA dues, which cover trash service, community management and maintenance of common green space, are $160 a quarter.
The nearest grocery store is four miles away, but it takes only 10 minutes to get there because there's no traffic, residents say.
Buses run from the Stringfellow Road Park and Ride to the Vienna Metro station. There is VRE commuter rail service to Washington from the Burke Centre station. |
Towards an empirical vulnerability function for use in debris flow risk assessment
S. Fuchs, K. Heiss, and J. Hübl
Institute of Mountain Risk Engineering, University of Natural Resources and Applied Life Sciences, Vienna, Austria
Received: 5 June 2007 – Revised: 29 August 2007 – Accepted: 29 August 2007 – Published: 30 August 2007
Abstract. In quantitative risk assessment, risk is expressed as a function of the hazard, the elements at risk and the vulnerability. From a natural sciences perspective, vulnerability is defined as the expected degree of loss for an element at risk as a consequence of a certain event. The resulting value is dependent on the impacting process intensity and the susceptibility of the elements at risk, and ranges from 0 (no damage) to 1 (complete destruction). With respect to debris flows, the concept of vulnerability – though widely acknowledged – did not result in any sound quantitative relationship between process intensities and vulnerability values so far, even if considerable loss occurred during recent years.
To close this gap and establish this relationship, data from a well-documented debris flow event in the Austrian Alps was used to derive a quantitative vulnerability function applicable to buildings located on the fan of the torrent. The results suggest a second order polynomial function to fit best to the observed damage pattern. Vulnerability is highly dependent on the construction material used for exposed elements at risk. The buildings studied within the test site were constructed by using brick masonry and concrete, a typical design in post-1950s building craft in alpine countries. Consequently, the presented intensity-vulnerability relationship is applicable to this construction type within European mountains. However, a wider application of the presented method to additional test sites would allow for further improvement of the results and would support an enhanced standardisation of the vulnerability function.
1 Introduction
The term natural hazard implies the occurrence of a natural condition or phenomenon which threats disastrous in a defined space and time. Notwithstanding from these definitions, some authors characterise the “natural process” as “hazard”, and the “natural hazard” as “disaster”, and argue that hazards are natural, but in general, disasters are not, and that disasters should not be seen as inevitable outcome of a hazard’s impact (O’Keefe et al., 1976). They stress on the conditions of people which make it possible for a hazard to become a disaster (Cannon, 1993). This includes the extent and types of people’s vulnerability, in combination with the technical issue of how society deals (or does not deal) with the hazard in terms of mitigation and preparedness.
With respect to natural hazards, different conceptualisations have not only evolved in time, they also reflect the approach of different disciplines involved. In early works natural hazards have been expressed as those elements in the physical environment harmful to men (Burton and Kates, 1964) or an interaction of people and nature (White, 1973). Modern approaches characterise natural hazards as physical events causing an impact on human beings and their environment (e.g., Alexander, 1993) and, more general, they are defined as the probability of occurrence of a potentially damaging phenomenon (United Nations, 2004).
The term vulnerability is closely related to natural hazards, and is used in hazard and disaster management in a large number of ways. Vulnerability is commonly related to the consequences of a natural hazard. These consequences are generally measured in terms of damage or losses, either on a metric scale (e.g., as monetary unit), or on an ordinal scale based on social values or perceptions and evaluations. This is not necessarily a matter of ambiguity or semantic drift, but the result of different disciplinary foci. Essentially, these different uses have invisible, implied adjectives preceding them, resulting in e.g. structural engineering vulnerability, lifeline infrastructural vulnerability, communications system vulnerability, macro-economic vulnerability, regional economic vulnerability, commercial vulnerability (including insurance exposure), and social vulnerability (Wisner, 2004). Consequently, two diverse perspectives on the concept of vulnerability exist: (1) the perspective from social science and (2) the (technical) perspective from natural science.
Correspondence to: S. Fuchs (email@example.com)
Published by Copernicus Publications on behalf of the European Geosciences Union.
1. As Cutter (1996) stated, there are no unique definitions of vulnerability in social sciences. Multiple definitions (partly also addressing technical meanings) are reviewed and listed by Cutter (1996) and Weichselgartner (2001), see Table 1. Approaches in social sciences not only differ between several degrees of voluntariness when dealing with natural hazards, but also consider individual as well as social influences, filtered by certain conditions that determine an individual’s perception of risk. Depending on various guiding elements such as probability of occurrence, extent of damage, perception, uncertainty, ubiquity, persistence, reversibility, time delay, and mobilisation potential (German Advisory Council on Global Change 1998), the degree of vulnerability may considerably change. A major difficulty is that “not only people are different, but they are changing continuously, both as individuals and as groups. This constant change within the human system (…) interacts with the physical system to make hazard, exposure, and vulnerability all quite dynamic” (Mileti, 1999:119). Most problems resulting from hazard assessment are related to the difficulty of individuals in dealing with low probabilities of rare events (Kunreuther et al., 2001). Individual risk perception, passed through a communication filter, finally leads to a risk assessment as well as accompanying adaptation processes, the latter are either efforts to control hazards or to reduce vulnerability to hazards (Burton et al., 1993).
2. From a natural science perspective, vulnerability is usually considered as a function of a given process intensity towards physical structures; and is therefore related to the susceptibility of elements at risk. Thus, vulnerability – often referred to as “technical” or “physical” vulnerability in this context – is defined as the expected degree of loss for an element at risk as a consequence of a certain event (Varnes, 1984; Fell, 1994). Consequently, the vulnerability value ranges from 0 (no damage) to 1 (complete destruction). Its assessment involves in many cases the evaluation of several different parameters and factors such as building materials and techniques, state of maintenance, presence of protection structures, presence of warning systems and so on (Fell, 1994; Fell and Hartford, 1997). On the impact side, empirical process parameters such as the intensity have to be analysed based on theories of probability, which is usually undertaken by mapping the geomorphologic disposition and the extent of previous events, and by modelling (defined design) events.
Even if the latter perspective of vulnerability had been subject to extensive research and practical application for the last decades, considerable gaps still exist with respect to standardised equations allowing for a wider application of technical vulnerability assessments (e.g., Olade 2003). This has to be attributed to the overall lack of data, in particular concerning losses caused by alpine natural hazards, often as a result of missing empirical quantification (Douglas, 2007). Recently, promising approaches for a quantification of vulnerability have been made by Wilhelm (1997), Borter (1999) and Barbolini et al. (2004) with respect to avalanches and rock fall processes, respectively. However, sound suggestions for landslides and torrent processes are still outstanding, even if these processes caused major losses in the Alps in recent years (e.g., Fraefel et al., 2004; Romang, 2004). In the following section, the current state of the art in vulnerability assessment for torrent processes is summarised, focussing on debris flows.
2 State of the art
From the natural science perspective, vulnerability assessment can be split into two main procedures, requiring fairly different methods and assumptions: estimation of the vulnerability of life and property.
Despite its importance, defining the degree of loss of human life has rarely been considered and implemented into landslide risk management, perhaps due to the intrinsic difficulty of its objective definition. Only recently some authors have approached the problem, largely relying upon considerations on the host structures and infrastructures (Leone et al., 1996), population census data such as density, education level or average age (Rautela and Lakhera, 2000; Liu and Lei, 2003) or consequence analysis (Bell and Glade, 2004). In the practical application, vulnerability is often related to exposure, which is defined as the maximum number of lives being present in endangered areas (e.g., Schuster and Fleming, 1986; Keiler et al., 2005).
The definition of the vulnerability of tangibles (buildings, structures, infrastructures, cultivated or productive land) and natural assets has been slightly more successful. Within recent years, several attempts have been made to address vulnerability issues in landslide risk assessment (Glade, 2003). In the subsequent compilation, the most promising suggestions for the assessment of vulnerability are ranked step-by-step from qualitative to quantitative approaches.
1. Already in the mid-1990s, Leone et al. (1995, 1996) chose an approach for the assessment of vulnerability by setting up a vulnerability matrix based on damage intensities and the respective resilience of the elements at risk towards landslides. The type of damage was described qualitatively with respect to possible degrees of structural failure (buildings) and necessary volumes of repair material (roads). The corresponding vulnerability was described by a numerical value; however, the origin of these numbers was not clearly stated and the resulting numbers were not linked to process intensities. Starting from similar data, Finlay (1996) proposed a methodology based on historical records to assign a
Table 1. A compilation of different definitions of the term vulnerability with respect to natural hazards research (adopted and extended from information in Cutter 1996 and Weichselgartner 2001).
| Source | Definition |
|-------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Gabor and Griffith (1980) | Vulnerability is the threat (to hazardous materials) to which people are exposed (including chemical agents and the ecological situation of the communities and their level of emergency preparedness). Vulnerability is the risk context. |
| Timmerman (1981) | Vulnerability is the degree to which a system acts adversely to the occurrence of a hazardous event. The degree and quality of the adverse reaction are conditioned by a system’s resilience (a measure of the system’s capacity to absorb and recover from the event). |
| Petak and Atkisson (1982)| The vulnerability element of the risk analysis involved the development of a computer-based exposure model for each hazard and appropriate damage algorithms related to various types of buildings. |
| UNDRO (1982) | Vulnerability is the degree of the loss to a given element or set of elements at risk resulting from the occurrence of a natural phenomenon of a given magnitude. |
| Susman et al. (1983) | Vulnerability is the degree to which different classes of society are differentially at risk. |
| Varne (1984) | Vulnerability means the degree of loss to a given element or set of elements at risk resulting from the occurrence of a natural phenomenon of a given magnitude. It is expressed on a scale from 1 (no damage) to 1 (total loss). |
| Kates (1985) | Vulnerability is the “capacity to suffer harm and react adversely”. |
| Pijawka and Radwan (1985)| Vulnerability is the threat or interaction between risk and preparedness. It is the degree to which hazardous materials threaten a particular population (risk) and the capacity of the community to reduce the risk or adverse consequences of hazardous materials releases. |
| Bogard (1989) | Vulnerability is operationally defined as the inability to take effective measures to insure against losses. When applied to individuals, vulnerability is a consequence of the impossibility or improbability of effective mitigation and is a function of our ability to detect hazards. |
| Mitchell (1989) | Vulnerability is the potential for loss. |
| Liverman (1990) | Distinction between vulnerability as a biophysical condition and vulnerability as defined by political, social and economic conditions of society. Argumentation for vulnerability in geographic space (where vulnerable people and places are located) and vulnerability in social space (who in that place is vulnerable). |
| Downing (1991) | Vulnerability has three connotations: it refers to a consequence (e.g., famine) rather than a cause (e.g., drought); it implies an adverse consequence (e.g., maize yields are sensitive to drought; households are vulnerable to hunger); and it is a relative term that differentiates among socioeconomic groups or regions, rather than an absolute measure or deprivation. |
| UNDRO (1991) | Vulnerability is the degree of the loss to a given element or set of elements at risk resulting from the occurrence of a natural phenomenon of a given magnitude and expressed on a scale from 0 (no damage) to 1 (total loss). In lay terms, it means the degree to which individual, family, community, class or region is at risk from suffering a sudden and serious misfortune following an extreme natural event. |
| Dow (1992) | Vulnerability is the differential capacity of groups and individuals to deal with hazards, based on their positions within physical and social worlds. |
| Alexander (1993) | Human vulnerability is function of the costs and benefits of inhabiting areas at risk from natural disaster. |
| Cutter (1993) | Vulnerability is the likelihood that an individual or group will be exposed to and adversely affected by a hazard. It is the interaction of the hazard of place (risk and mitigation) with the social profile of communities. |
| Watts and Bohle (1993) | Vulnerability is defined in terms of exposure, capacity and potentiality. Accordingly, the prescriptive and normative response to vulnerability is to reduce exposure, enhance coping capacity, strengthen recovery potential and bolster damage control (i.e., minimize destructive consequences) via private and public means. |
| Bohle et al. (1994) | Vulnerability is best defined as an aggregate measure of human welfare that integrates environmental, social, economic and political exposure to a range of potential harmful perturbations. Vulnerability is a multilayered and multidimensional social space defined by the determinate, political, economic and institutional capabilities of people in specific places at specific times. |
Table 1. Continued.
| Source | Definition |
|-------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Green et al. (1994) | Vulnerability to flood disruption is a product of dependence (the degree to which an activity requires a particular good as an input to function normally), transferability (the ability of an activity to respond to a disruptive threat by overcoming dependence either by deferring the activity in time, or by relocation, or by using substitutes), and susceptibility (the probability and extend to which the physical presence of flood water will affect inputs or outputs of an activity). |
| Dow and Downing (1995) | Vulnerability is the differential susceptibility of circumstances contributing to vulnerability. Biophysical, demographic, economic, social and technological factors such as population ages, economic dependency, racism and age of infrastructure are some factors which have been examined in association with natural hazard. |
| Gilard and Givone (1997)| Vulnerability represents the sensitivity of land use to the hazard phenomenon. |
| Amendola (1998) | Vulnerability (to dangerous substances) is linked to the human sensitivity, the number of people exposed and the duration of their exposure, the sensitivity of the environmental factors, and the effectiveness of the emergency response, including public awareness and preparedness. |
| Comfort et al. (1999) | Vulnerability are those circumstances that place people at risk while reducing their means of response or denying them available protection. |
| Weichselgartner and Bertens (2000) | Vulnerability is defined as the condition of a given area with respect to hazard, exposure, preparedness, prevention, and response characteristics to cope with specific natural hazards. It is a measure of capability of this set of elements to withstand events of a certain physical character. |
| Smith (2001) | Human sensitivity to environmental hazards represents a combination of physical exposure and human vulnerability – the breadth of social and economic tolerance available at the same site. |
| Wisner et al. (2004) | Vulnerability is defined as characteristics of a person or a group in terms of their capacity to anticipate, cope with, resist and recover from the impact of a natural hazard. It involves a combination of factors that determine the degree to which someone’s life and livelihood are put at risk by a discrete and identifiable event in nature or in society. |
| Alexander (2005) | The word “vulnerability” comes from the Latin verb *vulnerare*, “to wound”, and signifies exposure to physical or moral harm. |
recommended value of vulnerability to buildings endangered by landslides in Hong Kong.
2. Cardinali et al. (2002) proposed an empirical qualitative approach in landslide risk analysis to be used within a GIS environment. The authors distinguished three different types of damage in combination with debris flow intensity, based on the inferred relationship between the intensity and type of the expected landslide, and the likely damage the landslide would cause:
- superficial (aesthetic, minor) damage, where the functionality of buildings and roads is not compromised, and the damage can be repaired, rapidly and at low cost;
- functional (medium) damage, where the functionality of structures or infrastructures is compromised, and the damage takes time and large resources to be fixed; and
- structural (total) damage, where buildings or transportation routes are severely or completely damaged, and require extensive (and costly) work to be fixed. In this category, demolition and reconstruction may be required.
However, with respect to the quantification of vulnerability, this approach did not suggest any values for the overall use in similar risk assessments.
3. Based on a case study in Australia Fell and Hartford (1997) proposed average vulnerability values particularly addressing vulnerability resulting from debris flows. These values were related to “the history of property damage (…) in Australia and judgement” (Fell and Hartford, 1997:67), and were based on the qualitative description of the debris flow intensity (low, medium, high).
4. Michael-Leiba et al. (2003) performed an analysis of the vulnerability of residents, buildings, and roads to landslides (including debris flows) for the Cairns City Council (Australia) on a regional scale. For buildings on hill slopes, data were derived from the Australian Landslide Database (ALD 2007). The vulnerability for elements at risk susceptible to proximal debris flows was defined by a value of 1, while the vulnerability for elements at risk susceptible to distal debris flows was set to the value of 0.1.
5. Bell and Glade (2004) carried out a quantitative risk analysis for landslides in Iceland. Based on the studies
in Glade (2003), information on vulnerability was analysed and modified, and respective levels of vulnerability were adapted to the situation in Iceland. The information on building susceptibility was derived from Jónasson et al. (1999). Vulnerability values used with respect to the debris flow intensities (low, medium, high) were comparatively high, which was attributed to the fact that Icelandic buildings for the most part are fairly weak timber constructions with some concrete elements, and with relatively large windows built towards the mountainside.
6. Borter (1999) presented a comprehensive approach for risk analyses focussing particularly on gravitational mass movements. This method is based on a three-step approach, depending on the scale of the risk analysis, and serves as a standard procedure for the mitigation of natural hazards in Switzerland. With respect to debris flows, Borter suggested vulnerability values for the building structure in dependence on the debris flow intensity (low, medium, high). The debris flow intensity is quantified according to BWW et al. (1997) for channel debris flows and according to BUWAL et al. (1997) for hillslope debris flows, and is based on a function of flow velocity and accumulation height, and the thickness of the mobilised soil layer, respectively. Borter’s approach is – even if based on considerable assumptions – the most important attempt in the available literature since not only empirically deduced vulnerability values but also a range of magnitudes corresponding to these vulnerability values are provided.
7. Romang (2004) compiled a comprehensive work on the effectiveness of torrent mitigation measures in Switzerland. The vulnerability of buildings was derived by using data provided by the mandatory building insurer, and was based on the ratio between losses and reconstruction values. Related to medium debris flow intensities, the suggested vulnerability values of buildings were in accordance with Borter (1999). However, concerning high debris flow intensities, the values were considerably higher than those outlined in Borter (1999) and were attributed to the singularity of the event itself. The resulting damage susceptibility within high-magnitude events was specified with 73%, which corresponds to a structural building vulnerability of 0.73 and exceeds the standard by approximately a factor of 1.5.
To conclude, approaches from a technical point of view relate in particular to the “classical” risk analysis developed from safety engineering. Herein, landslide risk is a function of hazard, elements at risk, and vulnerability, whereby the latter is deduced from possible consequences of a process impact on the building structure.
The approaches for the evaluation of vulnerability presented in the previous section vary significantly in detail of analysis and resulting numerical values (see Table 2). Although vulnerability is part of consequence evaluation, many approaches do neither specify the type of process they are applicable to (e.g., “landslides”, debris flows, hyperconcentrated flows), nor the physical mechanisms (e.g., travel distance) or the structural resistance of an endangered object. In particular, information on the process intensity is often missing and is therefore only described semi-quantitatively.
Above all, in none of the studies the universal set and the sample taken for empirical calculations were clearly specified. Values for the vulnerability of buildings towards debris flows have so far been empirically estimated using relatively rare event documentation or assumptions. Moreover, the vulnerability was often estimated rather than based on damage collected in official authorities’ or insurers’ databases. A comparison of different studies is difficult due to the differing types of construction and construction materials used. Thus, studies conducted in Australia (e.g., Fell and Hartford, 1997) are hardly comparable to studies carried out in Switzerland (e.g., Borter, 1999; Romang et al., 2003) due to differing resilience of the values at risk. Thus, neither a unique method nor a vulnerability function is currently available for vulnerability assessments in landslide risk analysis, and in particular with respect to debris flows. The objective of this study is to partly close this gap by using data from a well-documented previous debris flow event that occurred in the Austrian Alps in August 1997.
Fig. 1. Location of the test site in the Austrian Alps. Endangered buildings are shown by black colour; red and yellow hatching indicates the level of hazard in the respective hazard map compiled by the Austrian Torrent and Avalanche Control Service.
Table 2. Compilation of different suggestions related to an assessment of vulnerability of structural elements with respect to debris flows.
| Vulnerability | qualitative | (semi-)quantitative |
|---------------|-------------|---------------------|
| | low | medium | high | very high | low | medium | high | very high |
| | not specified | not specified | not specified | not specified | not specified | n < 1 m or v < 1 m/s | n > 1 m and v > 1 m/s | not specified |
(1) Leone et al. (1995/1996), Finlay (1998)
not linked to process intensity
(2) Cardinai et al. (2002)
superficial, functional, structural, structural
(3) Fell and Hartford (1997)
0.1, 0.4, 0.7, 1.0
(4) Michael-Leita et al. (2003)
0.1 (distal), 1.0 (proximal)
(5) Bell and Glade (2004)
0.1, 0.2, 0.5, not specified
(6) Romang (2004)
not specified, 0.1 – 0.2, 0.5, not specified
(7) Borter (1999) [for channel debris flows]
not specified, 0.1, 0.5, not specified
3 Method
The underlying concept applied in this work is relied on the concept of risk, which with respect to natural hazards is defined as a quantifying function of the probability of occurrence of a process and the related extent of damage, the latter specified by the damage potential and the vulnerability, see Eq. (1).
\[ R_{i,j} = f \left( p_{Si}, A_{Oj}, v_{Oj, Si}, p_{Oj, Si} \right) \]
Hence, specifications for the probability of the defined scenario (\( p_{Si} \)), the value at risk affected by this scenario (\( A_{Oj} \)), the vulnerability of object \( j \) in dependence on scenario \( i \) (\( v_{Oj, Si} \)), and the probability of exposure of object \( j \) to scenario \( i \) (\( p_{Oj, Si} \)) are required for the quantification of risk (\( R_{i,j} \)). However, as stated in the previous section, information on the distribution of vulnerability of object \( j \) in dependence on process intensities related to scenario \( i \) is still missing so far. To establish this link, process intensities have to be joined to corresponding vulnerability values, i.e. buildings situated on the fan of a torrent.
3.1 Test site
The study area is situated in the Wartschenbach catchment in the Eastern Alps within the community of Nußdorf-Debant in the Drau valley, next to the city of Lienz, Austria (see Fig. 1). The catchment covers an area of 2.6 km\(^2\) between 670 m and 2113 m a.s.l.. The geology is dominated by paragneiss and mica slate with a cover of quaternary glacial deposits. Due to the considerable amount of unconsolidated material, and due to the steep gradient of 30–40%, the catchment is susceptible to erosion processes, in particular debris flows. Apart from minor events, considerable losses in the Wartschensiedlung village located on the fan occurred during periods of high precipitation in 1972, 1981, 1995, 1997 (2x), 1998, 1999, and 2000. For this study, the event of 16 August 1997 was used to analyse process characteristics and associated damage patterns (Fig. 2), since this event caused the severest damage and was therefore well documented. Spatial characteristics with respect to flooding depths and accumulation heights were available. Furthermore, the damage occurred during this event was completely registered in terms of monetary loss.
3.2 Process characteristics of the August 1997 event
The torrent process was triggered by an intensive precipitation event of 40 mm and 20 min duration. As a result, approximately 50 000 m\(^3\) debris were mobilised in the upper part of the catchment. Roughly 50% of the material was re-deposited in the middle reaches of the torrent and in the retention basins, and nearly 20 000 m\(^3\) were accumulated within the village located on the fan (Hübl et al., 2002), see Fig. 2. As a result, 15 buildings and one building yard were heavily damaged, and several additional buildings suffered minor losses. The process characteristics in the accumulation area were determined on the basis of the process documentation carried out subsequently after the event by the Austrian Torrent and Avalanche Control Service (Hübl et al., 2002), a federal institution operating throughout Austria to protect the population from torrents, erosion and avalanches. These data
were supplemented by the analysis of data gathered from a re-calculation of the event, above all a reconstruction of the accumulation heights and flow depths on the fan. Accumulation heights and flow depths were used as proxies for the process intensities in the accumulation area within the test site. As a result, different process intensities were determined for the event, dividing the accumulation area into areas with different process severity.
3.3 Values at risk
The elements at risk – which were defined as those buildings within the Wartschensiedlung village located on the fan – were analysed with respect to their spatial location and extension using GIS. The size of the buildings was recorded from digital datasets of the communality administration and provided the basis for a monetary evaluation of the reconstruction values. These values were calculated using the volume of the buildings and average prices per cubic metre according to the type of building, as suggested by Kranewitter (2002) and Keiler et al. (2006). Following these suggestions, different price levels were applied, depending on the function of the buildings as well as on the number and kind of storeys. This information was extracted from the construction descriptions and updated by a field study. The average reconstruction value for every building resulted, using the 2002 price level.
The losses due to the event of 16 August 1997 were collected using information from the federal authorities. Since in Austria an obligatory building insurance against losses from natural hazards is not available so far, property losses are partly covered by a governmental fund\(^1\). Consequently, these losses are collected on an object level immediately after an event by professional judges. For this study, these data were adjusted to inflation and attributed to the information on every single element at risk using GIS.
Table 3. Number, reinstatement value, loss, and vulnerability of the elements at risk in the Wartschenbach test site.
| | Mean | Minimum | Maximum |
|----------------------|--------|---------|---------|
| Reinstatement value [EUR] | 311 000 | 190 000 | 518 000 |
| Loss [EUR] | 69 000 | 1600 | 140 000 |
| Vulnerability [1] | 0.22 | 0.008 | 0.27 |
3.4 Vulnerability
The vulnerability of elements at risk was measured using an economic approach. The main criterion therefore is either the damage ratio, which describes the amount of damage related to the overall damage potential, or the damage susceptibility (vulnerability), which describes the amount of damage related to the specific damage potential of the considered element at risk, often referred to as loss severity. Following the latter definition, the vulnerability was derived from the quotient between the loss and the individual reinstatement value for each element at risk in the test site. In a second set of calculations, this ratio obtained for every single building in the test site was attributed to the process intensities of the 1997 event. As a result, a vulnerability function was developed, linking process intensities to object vulnerability values. Consequently, this vulnerability function was used as a proxy for structural resistance of buildings with respect to dynamic debris flow impacts, and thus was used for a spatially explicit assessment of debris flow susceptibility.
4 Results and discussion
Within the test site, 37 elements at risk are located, 16 of which suffered losses from the debris flow event in 1997. The reinstatement value according to the suggestions in Kranewitter (2002) summed up to nearly EUR 7.2 million, with a mean of EUR 311 000 and a range from EUR 190 000 to EUR 518 000 (see Table 3). The overall damage amounted to approximately EUR 1.2 million, ranging from EUR 1600 to EUR 140 000 for individual buildings (Table 3). The mean damage amounted to EUR 69 000 per exposed building, the damage ratio in the Wartschenbach test site resulted in 0.22. In Fig. 3, the intensity-vulnerability relation is shown for detached family houses, the predominant type of building in the test site. The prevailing construction is a brick masonry and concrete construction for the main floors and the cellar, respectively. The process intensity, plotted as the abscissa in terms of deposit height, was grouped in steps of 0.5 metres.
– Within the intensity class of 0.5 metres, the statistical spread of the vulnerability values is low (0.00–0.07), the mean vulnerability is 0.02.
The coefficient of determination $R^2$ is 0.86, which seems to be comparatively sound with respect to the amount of data available. In addition, mean vulnerability values for debris flow risk published by Borter (1999) and Fell and Hartford (1997) are shown in Fig. 3 by a green line and by blue dots.
The vulnerability function developed in this study (values between 0.00 and 0.07) seems to be consistent with the suggestions of Borter (1999) for intensities <1.0 m, even if for relatively small intensities no sound statements are traceable. For intensities between 1.0 m and 1.5 m, the values of Borter overestimate the function developed within this study. This might be a result of the stepped structure of Borter’s values; a sudden increase in vulnerability of 0.4 related to the intensity of 1.0 m is not supported by the findings within the Wartschenbach catchment. However, since Borter’s values origin from experts’ assumptions and approximations, the considerable increase related to a process intensity of 1.0 m might be an artefact of the method.
Due to the study design representing an assumption for buildings in Australia, where timber constructions are common and thus higher susceptibility for destruction result, the suggestions made by Fell and Hartford (1997) overestimate vulnerability function presented in Fig. 3. Furthermore, the authors assumed more or less linearity in the vulnerability curve in dependence on debris flow intensities, which can neither be supported by the results presented above, nor by studies performed in the Swiss Alps (Romang et al., 2003).
In addition, the analysis of the data had shown that the vulnerability of buildings affected by medium debris flow intensities (1.00–1.50 m) is highly dependent on whether or not the entrained material harms the interior of the building (i.e., by an intrusion of material through openings such as doors, wells and windows). These findings support previous work carried out by Romang et al. (2003). Consequently, local protection measures such as deflection walls and specially designed closure structures for at-grade openings definitely play a major role in reducing buildings’ vulnerability, particularly with respect to low and medium debris flow intensities.
Following the 1990s events, some of the homeowners constructed local protection for their individual buildings (Fig. 4). Though reinforced concrete walls may shield buildings from possible future torrent events, no integral protection concept had been implemented for the whole village; the community disregarded a planned overall protection concept developed by the Austrian Torrent and Avalanche Control Service in the aftermath of the 1990s events: Few buildings are protected by high concrete walls (Fig. 5), while others are surrounded by lower (garden) walls, earth-filled dams or even lattice fencing. As a result, in case of upcoming events, the material will be drained further downslope and cause damage at those buildings where the local protection is not sufficient.
**Fig. 3.** Relationship between debris flow intensity $x$ and vulnerability $y$ expressed by a second order polynomial function for $x<2.5$ m. Results from the study site are indicated by black dots, the corresponding mean vulnerability is indicated by red dots. In addition, mean vulnerability values published by Borter (1999) are shown by green lines; values not explicitly specified are dashed. Mean vulnerability values by Fell and Hartford (1997) are represented by blue dots assuming low intensity to be 0.25 m, medium intensity to be 1.0 m, high intensity to be 1.5 m.
- Within the intensity class of 1.0 metres, the statistical spread of the vulnerability values is low (0.02–0.04), the mean vulnerability is 0.03.
- Within the intensity class of 1.5 metres, the statistical spread of the vulnerability is remarkable (0.00–0.33), the mean vulnerability is 0.21.
- Within the intensity class of 2.0 metres, the statistical spread of the vulnerability is again remarkable (0.34–0.53), the mean vulnerability is 0.45.
- The intensity class of 2.5 metres is only applicable to one building, with a vulnerability of 0.52. Even if due to limited data this value may presumably change in case more records are available, a considerable increase in vulnerability is detectable in comparison to lower process intensities.
In general, the results suggest a low vulnerability if the process intensity is low and an increased vulnerability if the process intensity is higher. In detail, the data do not suggest a linear increase in vulnerability, which is a result of the specific process characteristics. Low debris flow intensities cause noticeably less damage than medium and high intensities. Thus, the relationship between debris flow intensity $x$ and vulnerability $y$ was found to fit best to the data by a second order polynomial function for all intensities $x<2.5$ m, see Eq. (2).
$$y = 0.11x^2 - 0.02x \quad (2)$$
Fig. 4. Different types of local protection measures constructed by the homeowners in the Wartschensiedlung village.
Fig. 5. Local protection measures in the Wartschensiedlung village.
5 Conclusions
If risk analyses are carried out with respect to the probable maximum loss, a vulnerability value of 1 will generally be assigned to exposed elements at risk (Glade, 2003). However, such solutions are not very valuable with respect to a better understanding of the vulnerability of elements at risk to torrent events. A general strategy in determining vulnerability of elements at risk to specific events is still missing. Until now, vulnerability models are mainly based on plausibility issues, expert knowledge, conceptual approaches, and assessments of historical data. Hence, they are for the most part based on qualitative statements on observed damage. Furthermore, this data is hardly transferable to future scenarios since the impact force of the process and thus the process intensity is not known. In the previous section, an empirical vulnerability function for debris flow intensities $<2.5$ m was presented for an alpine test site. It had been shown that this function follows a polynomial distribution. However, by definition, vulnerability ranges from 0 and 1. Consequently, for process intensities $\geq 2.5–3$ m, vulnerability cannot be satisfactorily mirrored by such a polynomial, because an overall vulnerability function has to fulfil the constraint shown in Eq. (3). On the other hand, such high process intensities generally result in a total loss of the building since the arising efforts to repair the damage will exceed the expenditures necessary for a completely new construction (Oberndorfer, 2007).
$$\lim_{x \to -\infty} f(x) = 1$$ \hspace{1cm} (3)
The presented method followed a spatial approach, and was based on process intensities, the volume of elements at risk and average reconstruction values in dependence of the surface area on an object basis. Nevertheless, since vulnerability was defined using an actuarial approach, the relation between reconstruction values and losses principally allows a wider application in regions with different economic background.
Vulnerability is highly dependent on the construction material used for exposed elements at risk. The buildings studied within the test site were constructed by using brick masonry and concrete, a typical construction design in post-1950s building craft in alpine countries. Consequently, the presented intensity-vulnerability relationship is applicable to this mixed construction type within European mountains. However, a wider application of the presented method to additional test sites would allow for further improvement of the results and would support an enhanced standardisation of the vulnerability function.
Appendix A
In Austria, natural hazards are not subject to compulsory insurance. Apart from the inclusion of losses resulting from hail, pressure due to snow load, rock fall and sliding processes in an optional storm damage insurance, no standardised product is currently available on the national insurance market. Moreover, the terms of business of this storm damage insurance explicitly exclude coverage of damage due to
avalanches, floods and inundation, debris flows, earthquakes and similar extraordinary natural events (Schieferer, 2006).
Furthermore, according to the constitution of the Republic of Austria, catastrophes resulting from natural hazards do not fall under the national jurisdiction. Thus, the responsibility for an aid to repair damage resulting from natural hazards generally rests with the federal states. As a consequence, any claim for damages is subject to a considerable insecurity, and any natural and artificial person has to take individual precautions. Thus, the society seems to be highly vulnerable to natural hazards in Austria.
However, the federal government enacted a law for financial support of the federal states in case of extraordinary losses due to natural hazards in the aftermath of the avalanche winter in 1951. The so-called “law related to the catastrophe fund” (Katastrophenfondsgesetz) is the legal basis for the provision of national resources for
– preventive actions to construct and maintain torrent and avalanche control measures, and
– financial aids for the federal states to enable them to compensate individuals and private enterprises for losses due to natural hazards
in Austria. The budget of the catastrophe fund originates from a defined percentage (since 1996: 1.1%) of the federal share on the income taxes, capital gains taxes, and corporation taxes. The prescribed maximum reserves amount to EUR 29 million (Republik Österreich, 1996).
Acknowledgements. The underlying studies were funded by the European Commission (Contract 018412) within the IRASMOS project (Integral Risk Management of Extremely Rapid Mass Movements). The authors would like to express their sincere thanks to the IRASMOS consortium for stimulating discussions of the presented results, above all M. Naaim and T. Faug. Furthermore, the authors wish to kindly acknowledge the valuable efforts by J. Douglas and another anonymous reviewer for an improvement of the manuscript.
Edited by: M. Keiler, S. Fuchs, and T. Glade
Reviewed by: J. Douglas and another anonymous referee
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The 2018 Winter Olympics
By: Diya Mehta and Zachary Montealegre
The 2018 Winter Olympics is going to be held February 9th, 2018 – February 25th, 2018 in Pyeongchang, South Korea where the best athletes from countries throughout the world can compete for medals in celebrated winter sports. This is the second time that South Korea has hosted the Olympic Games, the previous being the 1988 Summer Olympics in Seoul. Fifteen different sports, including skiing, snowboarding, ice hockey, and figure skating will be played in over 102 events. Alspensia’s ski centers will be serving as the main location for the games.
Russia has been banned from the Games after cheating in the 2014 Sochi Winter Olympics. Athletes were allegedly using performance-enhancing drugs, or doping. Many athletes who doped and participated in Sochi have been stripped of their medals after being investigated by the International Olympic Committee (IOC). Russia has also been fined $15 million to pay for the investigations conducted on the athletes. The IOC has decided that clean athletes, who didn’t dope, could compete in the Olympics under a neutral Olympic flag. None of the medals they win would be awarded to Russia. It is unsure whether or not Russia will compete at all at the Olympics, because they may boycott it all together.
Remember to tune in to the Winter Olympics on NBC to see many talented athletes compete in fantastic sports!
National Assessment of Educational Progress
Indian Ridge Middle School will be participating in NAEP testing with randomly selected 8th graders. The testing will take place on February 14, 2018.
NAEP is often called the “Nation’s Report Card.” It is the largest continuing and nationally representative assessment of what our nation’s students know and can do in core subjects. NAEP is congressionally mandated, and was first administered in 1969 to measure student achievement nationally.
Your 8th grade student will be notified if he/she will be part of the selected testing group.
Letters to the parents of those selected students will be given to the students in January, 2018.
Please visit our Indian Ridge website for additional information about NAEP.
Feel free to contact Mrs. Morgan, 8th grade School Counselor and NAEP Coordinator at Indian Ridge, at 754-323-3351 with any additional questions.
Administration
Mr. Frank Zagari, Principal
Ms. Irene Ortiz,
8th Grade Assistant Principal
Mr. Michael Lyons,
7th Grade Assistant Principal
Ms. Kellee Davis, 6th Grade Interim Assistant Principal
On November 27, 2017, Prince Harry popped the question to Meghan Markle. They are set to marry on May 19, 2018 at Kensington Palace. The couple met through mutual friends, and knew they were meant to be the day they met. Planning the wedding isn’t the only thing they have to do, Meghan is taking safety training classes which has hostage scenarios and terrorism attack classes. Because of how she is preparing, many people think she will fit in perfectly and succeed at the role of being part of the Royal Family. When a student, Giana Mattis was asked, she said, “I think Meghan Markle will do very well with her new royal family. Meghan Markle is the first American to be taking a Royals hand in marriage. Meghan Markle is used to the spotlight as she plays a role on the USA Network show,” Suits,” as Rachel Zane. With her engagement to Prince Harry, the spotlight is shining even brighter, now that royalty is part of this actresses life. Prince Harry is also used to being in the spotlight, manly for good reasons. But this Christmas he sparked some controversy with the Markle family. By commenting about how his family is the family Meghan has, “never had.” The Markles commented by saying ,“She has a family.” Even with all the controversy the newly engaged couple will stay strong, and marry happily.
Cali Fires Gone Wild!
***Story written during the week of Dec 18-22.. Updates can be found on alternative news sources***
California wildfires had been going strong since Monday, December 4th, in Bel Air, Ventura County, and other parts of California due to a very dry climate, deforestation, and low humidity. The fires have burned through homes, buildings, streets, and even major highways. In addition, schools were closed since the previous Thursday and Friday. Even UCLA, had to be closed down days before important final exams. The busy 405 Freeway near the Tony Bel Air area of Los Angeles was shut down because of the almost five hundred acre massive fire. The freeway has since reopened, but many lanes and ramps remained closed as of December 22. The wildfires have destroyed over 150 buildings and homes, with residents forced to evacuate Monday night. The fire's name is Thomas, roughly the huge size of Denver, Colorado, has grown so immense that it can even be seen from space! California residents have said that the wildfires have caused extreme amounts of damage since Monday, December 4th. People are trying to help the victims by collecting and donating items and necessities for support. In addition, fire crews are working around the clock to prevent the fires from spreading more.
Invisible Box Challenge
Kids today are coming up with trends almost every single day. One of the most recent trends that has risen to fame is the invisible box challenge. With a simple tweet, Ariel Olivar, a Texas high school cheerleader began a viral video! She posted a video on Twitter of herself attempting the box challenge on December 2nd, 2017 that got 145,000+ retweets. She defied the laws of gravity as she stepped onto an invisible object. Although this cheerleader may have made it look easy many other videos clearly showed us that this is not a simple task.
First, you need to set the scene. Imagine that there’s a box in front of you. Second, throw your foot up and hold it. Put your foot in a position where it looks as if you are jumping over a box. Next, jump by lifting your opposite leg higher than your stationary leg. Jump as if you are jumping over a box. Lastly, that’s if you actually complete the challenge you can celebrate and post videos all over social media. From flipping a bottle to applying 100 layers of makeup to your face, we definitely have come a long way especially with defying something even scientists can’t …gravity!
Down, Set, Hike!
By: Daniel Coulson
2018 is here and with a new year comes a new team! From December 4th tryouts were held after school to where boys and girls of all grade levels tried out to make the two new teams. In order to prove to the coaches that the students should be part of the team, students had to run, run, run. During the tryouts coaches had the students primarily do running exercises like running forward and backward, catching a ball and sprinting.
With a new season comes a new chance to go undefeated. This won’t be an easy feat, coaches will have to hold many practices in order to get their team into tip top shape.
Basketball Review!
By: Madison Feller
On Thursday, December 7, the IRMS boys and girls basketball teams played their final game against Nova Middle in the Indian Ridge gymnasium. After a very successful season for both teams, the girls sadly lost with a score of 15-19. The boys also lost with a score of 40-35. Since this was the semi-finals game, neither the girls nor boys will go on to the next round of playoffs.
We are very proud of our Jags this basketball season, as they kept fighting and made it all the way to the semi-finals! We know the teams will both continue to do great things in the years to come.
The Boys’ Volleyball Team Sets Up for a Great Season!
By Madelyn Streisfeld
Accomplished, proud, special. This is how the new players on the 2017-2018 boys volleyball team feel as they get ready to ace this season. They have worked hard to prepare for their first game of the year, which took place on December 21st.
As the season kicks off at IRMS, the boys’ volleyball team practiced hard to prepare for their first home game. “I really wanted to represent the school,” says Justin Reisler, a 7th grader on the team. “It’s very different when you are playing a sport and wearing that Indian Ridge jersey… it pushes you to try your best.” After three days of intense try-outs and a lot of preparation, the final cut list was posted for the boys to see. It was a new experience for many of them, either having never been on a school athletic team before, or trying out for volleyball for the first time. It shows our Jags have some real talent! “I’d go up to each cut list telling myself I didn’t make it, and then I would see my name up there on the paper,” explains Cristian Alvarez. The team has one goal this season: to try their hardest and get to the championships!
“It was a lot more fun trying out for a sport this year as a seventh grader,” said Dominic Alonso, another player on the volleyball team. “In sixth grade, you don’t have as much of a chance as the older kids, but that’s what makes it so enjoyable when you finally get on the team in seventh or eighth grade.”
The first game of the boys’ volleyball season on December 21st resulted in a victory! It was a close game, but the boys kept fighting until the very last second and won two out of three of the sets! It was a great way to start the season!
Block! Assist! Spike!
By Catherine Otero
It’s volleyball season and the girls on the team are excited! They practiced for their first game on December 18th at Glades Middle School, which was canceled, but had another game on Thursday the 21st! We interviewed 2 girls on the team, Sydney Long and Titarina Carpio, and they gave us their thoughts about volleyball, making the team, their reactions, and how they all work together! Former team member, Sydney Long, says she was “really excited to play volleyball again and see everyone who was on the team last year!” Titarina Carpio, former team member as well, shared her thoughts about teamwork, “We all try to help each other if we don’t know something.”
Can the Teachers Ball Too?
By: Cristian Carrillo, Chloe Bruce, and Camila Rosales
On December Twenty-Second, Indian Ridge hosted a Teacher V. Student Basketball Game. The teams; the Basketball Teams against Indian Ridge’s own staff members. Every year this game is bound to be entertaining, and along with that, all proceeds raised from this game go to various charities. So, in the end, everyone wins! However, this year, the teachers were the ones came out on top! Go IRMS Staff!
Door-Decorating Duel
By: Cristian Carrillo, Camila Rosales, and Chloe Bruce
It’s that time of the year again. When we come together for the holidays to...decorate doors!! The door decorating contest has been held for two years now. It was run this year by Mrs. Hill and previously by Mrs. Knowles. This year, 15 teachers participated. The winners received gift cards and other various rewards, along with bragging rights. Some teachers even decorated a whole hallway! Ms. Santos, Mr. Laury, and Mrs. Prager with the help of their kids made a whole Whoville! Last years winners was the now sixth grade office. However this year, the winner was the all-around great, Journalism, Language Arts, and Yearbook teacher herself, Ms. Didier! With the help of her fantastic students she managed to create a door that represented Christmas, Hanukkah and Disney magic!
From a Few Pennies to a Couple Benjamins
By Cristian Carrillo, Camila Rosales, and Chloe Bruce
Every year, Indian Ridge holds a Coin Drive to raise money for ongoing Student Council projects. However, this fundraiser does not only benefit the school. According to Dr. Watson, the head of Student Council, “Monetary contributions to other organizations are also given, including the Make a Wish Foundation, and the Broward County Humane Society.” In previous years, some of the profits were given to the American Red Cross. Once, they even made $25,000!!
This year, though, they only expect a humble $300. This fundraiser has been going on for a few years now, and it does not look like they plan to end the drive anytime soon. To find out more about the Coin Drive, and Student Council in general, visit Dr. Watson in room 161.
School Starting on a Wednesday?!
By: Ethan Horwitz and Madison Green
The Broward County School District recently released the 2018-19 school year calendar online, and to many peoples surprise it starts on a Wednesday to give teachers time to plan. Next year, school will start on Wednesday August 15, 2018. Not only does school start on a Wednesday it will also start six days earlier than the 2017-2018 school year. This will be the first midweek start in recent years. However the school year will also end a day earlier than this school year.
Students and teachers have many different opinions on this matter. Most students and parents dislike the idea, however there are a few that think it is a smart choice, like district officials and teachers. One student, Irlanda Velazquez in 6th grade said “School should start on a Monday so that you can have an entire first week.” District officials think it’s a good idea for the school year to start on a Wednesday so that the two semesters for secondary schools can have the same amount of days. One teacher, Ms. McGann thinks its a great idea saying, “Everyday brings more challenges!” Parents, however, oppose this because they think that an earlier start could interrupt sleep-away camps or family trips.
“This should change because you will wake up the rest of the school year on a Monday.” said 6th grader Brooke Goldman.
“It is a bad idea because it should be consistent with the rest of the year.” said 7th grader Kameron Willis
“Its a bad choise because we start earlier and we are supposed to enjoy our summer.” said 8th grader Gabriella Martinez
Reading for Fun!
BY: Cami Cala
The Mysterious Book Keepers Society is a group of students who meet every other Wednesday to discuss the book they read for that month. They meet in portable twenty-six with Ms. Kannal in charge. This month’s book is Counting By Seven’s. Zoey Manriquez, a seventh grader who is very passionate about books stated that reading many different types of books helps her build stamina. Zoey again stated that reading books that she normally wouldn’t read helped her explore new genres. The Mysterious Book Keepers Society is a great academic club that helps students build their reading skills.
Beliefs Made Bigger
By: Claire Cheatham
First Priority improves students’ views and connects interests with their religion. On Thursdays, students meet in room 130 to discuss each other’s points of views of Christianity. This club joins kids that feel separated from their religion and helps each other reconnect. Ms. Wynter, a 6th grade science teacher holds weekly meetings. First Priority often invites guest speakers. In these meetings, they also go over each other’s stories and perspectives in Christianity. Saylor Graff, a First Priority member says she was drifting away from her religion. First Priority tied her and Christianity together once again. For fun, First Priority has pizza parties to add a kick to each meeting. This club is a great way to feel connected with Christianity again if you feel distant from it!
Hola!
By: Andrew Morales
Ms. Flesh teaches the Spanish elective from first through fifth periods at Indian Ridge Middle so that kids have the advantage of being bilingual. As of now, the students are being taught "grammar rules, expressions, and right now we're learning adjectives to describe people," as dedicated student Erick Matosinho says. Mrs. Flesh's teaching style was described as, "very active and moving and also has a lot of activities." This style of teaching is very useful and teaches the students very well, which is what makes her a great teacher.
The Future Writers of America
By: Jasmin Mathney
Journalism, a seventh grade elective, is held in Ms. Didier's classroom. Journalism students are talented writers learning additional writing skills above and beyond essays and poetry. They create articles for the school's online newspaper, The Paw Print Post. The elective was made as a prerequisite course for the Yearbook elective. It is only 7th graders in journalism, and they are responsible for choosing interesting topics that fit their assigned section each month. Our school newspaper contains many articles to inform students and members of the school community about topics from school events to the latest trends. There are thirty-four members in this elective and each provide their individual strengths to interview, photograph, and research all of the articles for the newspaper. Every one of these young writers learns new tips and tricks to advance their writing skills. Journalism is mainly about writing, but the elective also improves traits such as note-taking, teamwork, and confidence. After, completing all the requirements of creating an article, it must be edited, then approved, and finally published for student enjoyment. Journalism has a demanding, but rewarding, process for creating each and every issue.
When you think of the holidays what do you think of? Maybe snow, candy canes, or gingerbread. Many people only think of Christmas. At Indian Ridge Middle School 6th, 7th, and 8th grade classes were asked which holiday they think is represented the least. For example, there are Christmas commercials for candy and cars. For Hanukkah and Kwanzaa there are commercials for Hallmark, Walmart, and Target. From Christmas to Kwanzaa, the traditions may vary, but are all of the holidays represented equally?
What December holiday do you believe is least represented?
Recently, there has been an abundant amount of powerful and courageous women coming out about misconduct in the workplace nationwide. Our Journalism team has some strong opinions on this matter, since it will greatly affect the world around us.
Aysia Jarrett
Women coming out towards misconduct...I believe this generation is learning more about how to stick up for themselves. No matter the race, color or gender, we should all have equal rights. The next generation will learn from this one, and everytime a woman or man comes out and protects themselves they are teaching the kids that will soon be the adults. Nobody should be treated in the wrong way.
Amber Kelly
Misconduct, especially against women, has been surfacing recently, which has had a positive impact on society. With the uprising, hopefully women will now speak up about these kinds of situations. I believe that men and people in general will be more aware of how they treat women now that they are open about it. But there are some negative affects from the reports of misconduct as well. The large amount of reports being filed means that some may be false. Some women are stretching the truth and can get themselves in serious trouble. Overall, the misconduct has made people more careful of how their hands, and bodies are used in that matter of speaking, and hopefully put misconduct to an end.
Eli Seiden
I believe that the recent misconduct cases by celebrities, will severely effect the next generation. The things that have been occurring are not okay. From government officials to newscasters, this is bad. This is setting a horrible example to the next generation. Just because people are famous doesn’t give them the right to do whatever they want. If famous people keep doing this, bad things will happen. I think that people who commit these unspeakable acts should go to jail. Just think about everyone who would be affected by these actions.
Giana Mattis
The effect that misconduct will have on our generation is that it will inspire them. It will allow kids to feel more motivated and comfortable to speak their minds. I feel that these events not only happen to women, but men too. These mishaps in history will/could have a lasting effect. The lasting effect this could have is that it will allow others to kill off a prejudice block we have in America. Once this prejudice block is gone equal rights would be more equal.
By; Aysia Jarrett, Amber Kelly, Giana Mattis, and Eli Seiden
On December 1, 2017 students of all grades got together and danced, ate, and had fun with friends. They were having fun at the winter dance. This dance was a celebration for the winter break coming up soon. Although many kids came, we polled 100 students to find out if they wish that it would have been a winter formal, instead of a winter dance. When the results were analyzed, the final result was 44 students said yes and 56 said no. Many students said no because they like the dance just how it was. They like being able to just walk over to the auditorium in their casual and comfy clothes. On the other hand though, many students would prefer that it was a formal dance. They wish that they could go home and get all dressed up, and then come back to school to have fun. Valerie Pares, a seventh grade student, said she wished it could have been a formal dance because the dance wasn’t interesting to her.
On December 5, 2017 the students with straight A’s, from all grades, were called to the cafeteria. When they arrived at the cafeteria they were able to go and sit with their proud parents. These students had worked extremely hard to achieve A’s in all of their classes. They had to perform well on all of their tests, quizzes, projects, and many other assignments. Each grade was called up separately. When the student heard their name called they got to go up to the stage, with their certificate in hand, and receive a bag of goodies, and a hand shake from both their assistant principal and our schools’ principal, Mr. Zagari. After the ceremony concluded, the parents and students got to enjoy pizza and drinks. Afterward some of the students had the choice to leave early, whereas others went back to class. Now each and every student continues to strive for A’s in the second quarter so that they can be called up to that same stage once again.
On December 21, 2017 students at IRMS preformed in the Winter Showcase. They presented skits, dances, steps, and much more to express performing arts.
Dancing to the Beat!
Samantha Orcinolo, seventh grade, and Mariam Kolley, sixth grade, both participated in the Winter Showcase. Some of the performances were dances such as the conga dance, and a hip hop performance called the Nutcracker mash up. Paula Gorokhovsky, seventh grader, played the clarinet and Jordan DeBlasis, also a seventh grader, played the saxophone. Paula stated “I am not scared. I have done it hundreds of times.” On the other hand, Jordan stated, “Even though we have practiced it many times I am still a bit nervous.”
These performing arts students are presenting their dance called Conga.
The step team formed a “W” during their performance as a part of their routine.
Singing your Heart out!
Beside dancers there were other performances such as hilarious skits, beautiful singers, and amazing step dancers. The singing performers were Natalie Solomon, Jaime Shrewsbury, Anna Fox, Madelyn Streisfeld, and Daphney Bendayan. There were also many skits such as “The Secret Life of Teachers”, and “You Can’t Sit With Us”. These skits were humorous and showed off the students acting skills.
At Indian Ridge Middle School December is the month of kindness, where teachers chose students who they believe demonstrate a good character and make others smile. Due to winter break, there were no kids of character but, here are kids who were nominated because they demonstrated kindness.
Hannah Keller stated, “It was really cool to be nominated for the first time this year, better yet in middle school.” We also asked Hannah how it felt to be nominated. She stated, “I felt really honored because it shows that I am a great friend and student.”
Jasmin Mathney stated, “I am really happy that I was nominated for the month of kindness and I also believe I was nominated for helping my fellow classmates in school.”
“It was good to know I was nominated for a character trait since it is my last year at the school,” stated, by Noor Azeem. She also believes that she has been nominated for a trait in seventh grade. This shows what a great student and friend she is to others.
Ms. Ortiz is the new eighth grade assistant principal at Indian Ridge. She took Mr. Muniz’s place when he retired, and started working on November 28th, 2017.
Ms. Ortiz has been working as a marketing and finance teacher for over 20 years. Now, she ensures that all learning and teaching is in every classroom or portable. Ms. Ortiz came to Indian Ridge from Olsen Middle School in order to take over in Mr. Muniz’s absence. She worked at Olsen Middle there for seven years and wanted a new experience.
Ms. Ortiz’s goal is to bring a positive effect to Indian Ridge. She wants to “…encourage students to look into their future careers and take their role as a student as an active change agent of their future.” Ms. Ortiz also hopes to introduce our school to a writing camp. The writing camp is to help students prepare for the writing exam in March. Indian Ridge gives a huge welcome to Ms. Ortiz and hopes to have her for many years.
By: Elisha Peter and Quinn Kustin
Ms. Davis is taking a temporary job as an assistance principal in the 6th grade office, and started working on November 30th, 2017 while Ms. Knowles is on maternity leave.
Ms. Davis has been an administrator for 14 years! She has always been working in middle schools and Indian Ridge Middle has been her 4th school of employment.
As an assistant principal, Ms. Davis makes sure that every student receives a quality education in a secure environment. She also supports the vision that Mr. Zagari has for the school. Ms. Davis is proud to be at a school like Indian Ridge Middle that has “…such a stellar reputation.” Ms. Davis is glad to be a part of the Indian Ridge family. She believes “IRMS has many academic initiatives that work well for the school.” We are excited to have Ms. Davis as a part of the Indian Ridge family for the months to come.
The Bombing at Pearl Harbor
By Emma Barney and Sean Craney
Seventy-six years ago, on December 7th, at 7:48 in the morning, there was a Japanese naval air strike at Pearl Harbor. Pearl Harbor is a U.S. naval base near Honolulu, Hawaii. 2,403 innocent Americans lost their lives. The attack was a surprise, but Japan and the United States had been nearly at war for decades. So, angered, President Franklin Delano Roosevelt announced that American would officially be entering World War II which was happening at the time. After four years of fighting and plenty of bloodshed, Japan surrendered in July of 1945, three months after Germany surrendered. Now every 7th of December, we pause to remember the attack on Pearl Harbor, that caused the nation to join a ruthless war.
No one had expected this to occur, as Pearl Harbor was located near the middle of the Pacific Ocean, 2,000 miles from the U.S. and 4,000 miles from Japan. Also, Americans thought that Japan would attack nearby European colonies.
Pearl Harbor was attacked by 353 Japanese aircrafts, American navy battleships were damaged, then four sank. Over 20 important naval ships were damaged or destroyed leaving little left of Pearl Harbor. When it came to the Japanese, the losses were minimal with only 25 aircrafts lost and 64 fatalities. Following the attack the U.S. formally declared war on Japan and entered World War II. |
Velocity estimation via registration-guided least-squares inversion
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Citation: Baek, Hyoungsu, Henri Calandra, and Laurent Demanet. “Velocity Estimation via Registration-Guided Least-Squares Inversion.” Geophysics 79, no. 2 (March 2014): R79–R89. © 2014 Society of Exploration Geophysicists
As Published: http://dx.doi.org/10.1190/GEO2013-0146.1
Publisher: Society of Exploration Geophysicists
Persistent URL: http://hdl.handle.net/1721.1/99709
Version: Final published version: final published article, as it appeared in a journal, conference proceedings, or other formally published context
Terms of Use: Article is made available in accordance with the publisher’s policy and may be subject to US copyright law. Please refer to the publisher’s site for terms of use.
Velocity estimation via registration-guided least-squares inversion
Hyoungsu Baek\textsuperscript{1}, Henri Calandra\textsuperscript{2}, and Laurent Demanet\textsuperscript{1}
ABSTRACT
Least-squares (LS) acoustic-waveform inversion often suffers from a very narrow basin of attraction near the global minimum. To mitigate this problem, we evaluated an iterative inversion scheme in which the notion of proximity of two traces is not the usual LS distance, but instead it involves registration as in image processing. Observed data were matched to predicted waveforms via piecewise-polynomial warpings, obtained by solving a nonconvex optimization problem in a multiscale fashion from low to high frequencies. This multiscale process required defining low-frequency augmented signals to seed the frequency sweep at zero frequency. Custom adjoint sources were then defined from the warped waveforms. The new method, referred to as registration-guided least-squares, was successfully applied to a few scenarios of model velocity estimation in the transmission setting. We determined that the new method can converge to the correct model in situations in which conventional LS inversion suffers from cycle skipping and converges to a spurious model.
INTRODUCTION
Waveform inversion (WI) via nonlinear least-squares (LS) minimization (Tarantola and Valette, 1982) is effective when the starting model is accurate (Virieux and Operto, 2009), but otherwise it suffers from stalled convergence to spurious local minima due to the oscillatory nature of the data and nonlinearity. The presence of local minima in seismic inversion was clearly demonstrated with the so-called Camembert example (Gauthier et al., 1986). To prevent convergence to a local minimum, frequency sweeps in full-waveform inversion (FWI) are proposed by many authors, including Bunks et al. (1995) and Pratt (1999), and consist in fitting data from low to high frequencies. However, the lack of low-frequency data, or their corruption by noise, often hinders this frequency sweep approach. Accurate initial models are typically found using traveltime tomography (TT) (Bregman et al., 1989; Pratt and Goult, 1991; Prioux et al., 2013), which are then improved upon by WI. Instead of taking two separate steps for inversion, there have also been efforts to combine TT and WI to exploit the advantages of both methods: the convexity of TT and the high resolution of WI (Luo and Schuster, 1991). Gee and Jordan (1992) also take advantage of robust traveltime information rather than sensitive amplitude in the seismogram. Fichtner et al. (2008) propose an objective functional that minimizes envelope and phase misfits using the time-frequency representation of traces with the flexibility of emphasizing phase first and then envelope misfits later. Bozdag et al. (2011) show that FWI using misfits defined with instantaneous phase and envelope reduces the nonlinearity of waveform modeling. In the same line of research, an objective functional defined by the energy in the cross-correlation of observed and predicted data is proposed and studied by Van Leeuwen and Mulder (2010), although an analysis of their method is provided by Baek and Demanet (2013).
In this paper, we propose a method that implicitly extracts phase information by solving auxiliary seismogram registration subproblems. The resulting method recovers the velocity model in some transmission scenarios, without traveltime picking, and even when the data only contain high frequencies. We formulate the registration problem with piecewise polynomials that can be found from the comparison of nonlinearly transformed waveforms such as envelopes.
A way to incorporate this new kinematic information into WI is to replace the adjoint source that appears in the model update, normally the difference $u - d$ between the predicted data $u$ and observed data $d$, by a geometrically meaningful quantity that does not suffer from cycle skipping. The motivation for correcting the adjoint source is that the phases of $d$ are in general off by more than one wave period in comparison to those of $u$. In contrast, we define \textit{fractionally warped data} $\tilde{d}$ so that their phases match those of the prediction $u$ to within a small fraction of a period. This concept will of course be given a precise definition in the sequel. We demonstrate through numerical inversion examples that LS misfit optimization with the warped data can have a much enlarged basin...
of attraction. We refer to our method as registration-guided least-squares (RGLS) inversion.
The necessity of extracting shifts or warping in many applications has given rise to many schemes under different names. For example, ideas related to registration include traveltime delay based on crosscorrelations (Luo and Schuster, 1991), image registration using optimal transport (Haker and Tannenbaum, 2001), curve registration (Ramsay and Li, 1998), registration using local similarities (Fomel and Jin, 2009; Fomel and van der Baan, 2010), and dynamic time warping for speech pattern matching (Sakoe and Chiba, 1978). Finding traveltime discrepancies between two traces is not a trivial problem, especially for multiple waves with different traveltime discrepancies. Maggi et al. (2009), for example, develop an automated algorithm to select time windows to extract time shifts from isolated waves with iterative tomographic inversion in mind. Liner and Clapp (2004) point out that trace alignment is not a mere translation but a time warping, and they use a global optimization algorithm used in amino acid alignment for seismic trace processing and interpretation. Hale (2013) further improves a different dynamic programming method developed for speech recognition with proper constraints, recovering time shifts that are a few times larger than a period/wavelength in a stable and robust manner. Kennett and Fichtner (2012) define a generalized mapping between traces, introducing transfer operators that map seismograms in a similar way to our piecewise polynomial mapping.
To find the best warping between an observed trace $d$ and the corresponding predicted trace $u$, we formulate and solve an optimization problem that, not unlike FWI, is itself nonconvex. The highly oscillatory nature of the traces is also what makes seismogram registration nontrivial. We show that the nonconvexity of the matching problem is tractable and can be handled by a continuation strategy, where the match is realized scale-by-scale in a careful, iterative fashion. The traces $d$ and $u$ seldom contain useful low frequencies in exploration seismology, so the seeding problem of this multiscale iteration is as much an issue here as in classical FWI. We propose to solve this problem by introducing nonlinearly transformed signals which, by construction, contain low-frequency components. We refer to these convenient, nonphysical nonlinearly transformed signals as low-frequency augmented (LFA) signals. The LFA transformation can be thought of as an ad-hoc preprocessing of the traces so as to create low frequencies, yet maintain much of the information at high frequencies. Subsequently, seismogram registration is realized through the match of the LFA of $d$ to the LFA of $u$ by a warping function of limited complexity, such as a piecewise polynomial.
This paper is part of the community’s broad effort to enlarge the basin of attraction of FWI by replacing LS by other objective functions, or by directly modifying the adjoint source, as in Luo and Schuster (1991), Gee and Jordan (1992), Fichtner et al. (2008), Van Leeuwen and Mulder (2010), and Shah et al. (2010). To the best of our knowledge, however, no studies have yet proposed to modify the adjoint source by replacing observed data with time-warped predicted data for this purpose. Moreover, we illustrate the benefits of considering piecewise polynomials (as an alternative to dynamic warping, for instance) to define mappings between different images or traces. Finally, the idea of transforming traces to generate low frequencies (including 0–5 Hz) seems to have been mostly overlooked by the community. The work of Shin and Ha (2008) and Shin and Cha (2009) is an important exception, where the LFA is realized by a decaying exponential, but we are unaware that the type of nonlinearity that we consider in this paper had been previously used for the purpose of frequency augmentation.
The paper is organized as follows: We start by explaining the motivation behind modifying the adjoint source to the adjoint state equation. We then detail trace a registration method. Seismogram registration at the trace level is demonstrated with synthetic noisy and noiseless data. The RGLS inversion method is then tested in several transmission cases, with Gaussian high-/low-velocity models and a smoothed Marmousi model. We show that the LS and RGLS methods significantly differ in behavior. We finish by discussing the limits of the proposed method as well as comparisons with other similar methods for inversion and registration. In a nutshell, seismogram registration requires comparable traces, which explains why we consider transmission rather than reflection examples in this paper.
**GUIDED LEAST-SQUARES WITH A MODIFIED ADJOINT SOURCE**
FWI, in its standard form, tries to minimize the LS misfit:
$$J[m] = \frac{1}{2} \sum_{s,r} \int |S_{s,r} u_s(x,t) - d_r(x_r,t)|^2 dt,$$
where $m(x)$ denotes the squared slowness and $S_{s,r}$ is a sampling operator; predicted and observed data at a shot $s$ and at a receiver $x_r$ are denoted by $u_s = f_s[m]$, and $d_r$, respectively. For notational simplicity, the subscripts $s$ and $r$ are omitted whenever it does not cause confusion. Moreover, the sampling operator $S_{s,r}$ is omitted when the predicted data $S_{s,r} u_s$ are compared with the corresponding observed data $d_r$; the residual $S_{s,r} u_s(x,t) - d_r(x_r,t)$ may be written as $u - d$. In this paper, the forward operator $f_s[m]$ maps a squared slowness $m$ to data $u_s(x_s,t)$ through the acoustic wave equation:
$$m \frac{\partial^2 u_s}{\partial t^2} = \Delta u_s + f_s(x,t),$$
where $f_s(x,t)$ is a source term. The adjoint-state method generates the gradient of $J[m]$:
$$\frac{\delta J}{\delta m}[m] = -\sum_s \int q_s(x,t) \frac{\partial^2 u_s}{\partial t^2}(x,t) dt,$$
where the adjoint field $q_s$ is propagated backward in time from the receiver positions in the medium $m$ using the data residual as the right-hand side (Plessix, 2006).
It is well known that the nonconvexity of $J[m]$ is particularly pronounced when the data are oscillatory. More specifically, when the time difference between corresponding arrivals in $S_{s,r} u_s$ and $d_r$ is larger than a half period, the steepest descent direction of the data misfit may result in increasing those time differences, consequently increasing the model error but still decreasing the misfit error. To guide the iterations in a better direction, we propose to change the residual $S_{s,r} u_s - d_r$ in the adjoint wave equation by replacing $d_r$ by a version of $S_{s,r} u_s$ transported “part of the way” toward $d_r$. We denote these virtual, transported data by $\tilde{d}_r$ and refer to them as fractionally warped data. The rationale behind $\tilde{d}_r$ is that its arrivals can now be less than a half period apart from those in $S_{s,r} u_s$.
To generate a good candidate of fractionally warped data, we propose to find piecewise cubic polynomials $p(t)$ and $A(t)$ so as to
have a good match \( d_s(t) \approx A(t)S_{s,r}u_s(p(t)) \), then we define fractionally warped data as
\[
\tilde{d}_s(t) = [A(t)]^\alpha S_{s,r}u_s((1 - \alpha)t + \alpha p(t))
\]
(4)
with some very small 0 < \(\alpha\) \(\ll\) 1. When parameter \(\alpha\) is close to 1, \(\tilde{d}_s(t)\) are located near the observed data \(d_s(t)\); such \(\tilde{d}_s\), which are far away from the predicted data \(S_{s,r}u_s(t)\), result in cycle skipping. Hence, a small \(\alpha\) close to 0 is used to define \(\tilde{d}(t)\). A generic way to find a proper \(\alpha\) seems to be \(\alpha T_d < 1/2T_p\); i.e., \(\alpha < T_p/2T_d\), where \(T_d\) and \(T_p\) are the largest traveltime discrepancy in a shot and the wave period, respectively.
Let us remark that it is the prediction that is transported toward the observed data, and not the other way around. A definition of \(\tilde{d}_s\) in place of \(S_{s,r}u_s\) and a large \(\alpha \simeq 1\) are also possible, but we believe that this choice would be inferior. The substitution of \(d_s\) by \(\tilde{d}_s\) is illustrated in Figure 1. The underlying assumption of our proposed method is that the observed data \(d_s\) are a warped version of the corresponding predicted data \(S_{s,r}u_s\). However, we are aware that there are cases in which such an assumption does not hold; different background velocity models result in not only warping waves in time but also the appearance or the disappearance of waves. The limitations are commented on in the discussion section.
We can now write the RGLS method as the following two-level local optimization problem: Assume that \(m_{k-1}\) is known from the previous iteration; then obtain \(m_k\) from one gradient step for the LS misfit:
\[
J_k[m] = \frac{1}{2} \sum_{s,r} \int |S_{s,r}u_s(x, t; m) - \tilde{d}_s(x_r, t; m_{k-1})|^2 dt,
\]
(5)
where
\[
\tilde{d}_s(x_r, t; m_{k-1}) := A^\alpha(t)S_{s,r}u_s(x, (1 - \alpha)t + \alpha p(t); m_{k-1}),
\]
(6)
and the warping parameters are optimal in the sense that
\[
\langle p(t), A(t) \rangle = \arg \min W_{LFA}[p, A],
\]
(7)
where the objective function \(W_{LFA}\) is defined in the next section. The expression of \(W_{LFA}\) only involves \(m_{k-1}\), not \(m\); hence, \(J_k[m]\) only depends on \(m\) via \(u_s(x, t; m)\). The gradient of \(J_k[m]\) is obtained in a standard fashion via the adjoint-state method, as mentioned earlier, as the migration operator applied to the adjoint source \(S_{s,r}u_s - \tilde{d}_s\).
Notice that our update consisting of the migrated image of \(S_{s,r}u_s - \tilde{d}_s\) can be interpreted either as a modified gradient for the objective functional 1 or the gradient for the modified objective functional 5. In either case, it is clear that these updates are not expected to be gradients of any single objective function — hence the term local optimization.
The introduction of fractionally warped data and a modified adjoint source change a conventional LS inversion algorithm slightly by adding a registration step before the backward modeling step. The registration step is highly parallelizable and can be sped up exploiting data redundancy; a detailed cost analysis is given in the Discussion section. The overall computational cost for the RGLS method is slightly higher than that of the LS method, by a few percentage in our parallelized implementation. An RGLS inversion algorithm is presented in the next section after we state the subproblem of RGLS inversion, i.e., the seismogram registration problem.
**SEISMOGRAM REGISTRATION**
The warping \(p(t)\), the amplitude \(A(t)\), and the value of \(\alpha\) are chosen so that fractionally warped data \(\tilde{d}(t)\) have a similar shape to that of the prediction \(u(t)\) but phase discrepancies smaller than half of a wave period. To find \(p(t)\) and \(A(t)\), we propose a nonconvex optimization scheme similar to image registration (Glasbey and Mardia, 1998; Zitová and Flusser, 2003). The proposed FWI method therefore transfers a part of nonconvexity, which results from the large traveltime discrepancies, to the registration problem at the trace level.
**Statement of the optimization problem**
To find \(A(t)\) and \(p(t)\) we propose to solve the following LS minimization problem for each trace: Find \(p(t)\) and \(A(t)\) piecewise cubics that minimize
\[
W[p, A] = \frac{1}{2} \int |d(t) - A(t)u(p(t)))|^2 dt + \frac{\lambda}{2} \int |p(t) - t|^2 dt,
\]
(8)
where \(\lambda\) is a weighting parameter for a regularization term that enforces \(p(t)\) to stay as a one-to-one mapping. The letter \(W\) stands for warping.
This registration problem is nonconvex and suffers from the same cycle-skipping phenomenon as conventional LS FWI does, due to the oscillatory nature of the predicted and observed data. Simulated annealing (Kirkpatrick, 1984) or other Monte Carlo methods (Wenzel and Hamacher, 1999) for global optimization could be performed, but they are not tried in this paper. Instead, the minimization is carried out in a multiscale fashion by restricting the data \(d(t)\) and their prediction \(A(t)u(p(t))\) to a slowly growing subset of frequencies, from the zero frequency to successively higher frequencies, as in frequency-domain FWI (Plessix, 2009). However, the observed data \(d\) usually have small energy in the low-frequency band and may be corrupted by noise. To start the sweep at zero frequency, we use modified traces \(D(t)\) and \(U(t)\), manufactured to contain low frequencies, instead of \(d(t)\) and \(u(t)\). We call
**Figure 1.** Replacement of observed data with fractionally warped data (a) Fractionally warped trace that is a warped (transported slightly) version of the original predicted trace toward the observed data. We call the new traces fractionally warped data. (b) Comparison of observed and predicted traces. (c) Comparison of fractionally warped and predicted traces.
$D(t)$ and $U(t)$ LFA signals. Hence, optimization problem 8 becomes: Find $p(t)$ and $A(t)$ piecewise cubics that minimize
$$W_{\text{LFA}}[p, A] = \frac{1}{2} \int |D(t) - A(t)U(p(t))|^2 \, dt$$
$$+ \frac{\lambda}{2} \int |p(t) - t|^2 \, dt.$$
(9)
We point out that registration with the observed and predicted data $u(t), d(t)$ instead of their LFA versions $U(t), D(t)$ fails to recover the correct time shifts. Frequency sweeping from low frequencies around 0 Hz using appropriate LFA transformations seems to be crucial for successful registration and inversion. Here are three reasonable possibilities for defining an LFA signal, $U(t)$, from a band-limited signal $u(t)$:
$$U_h = u(t) + |u(t) + i(\mathcal{H}u)(t)|,$$
(10a)
$$U_s = u^2(t),$$
(10b)
$$U_a = |u(t)|,$$
(10c)
where $i$ is $\sqrt{-1}$ and $\mathcal{H}$ is the Hilbert transform, defined in the frequency domain as $\mathcal{H}u(\omega) = -i \text{sgn}(\omega)\hat{u}(\omega)$ (Benedetto, 1997), where $\text{sgn}(\cdot)$ is the sign function.
The Hilbert transform completes any real signal with an imaginary part, so that $u + i\mathcal{H}u$ is an “analytic” signal in the sense of having no negative frequency component. The amplitude $\sqrt{u^2(t) + (\mathcal{H}u(t))^2}$ has the interpretation of an envelope for the signal $u + i\mathcal{H}u$. The Hilbert transform is a classical tool in signal processing; it is typically used for demodulation in seismic inversion (Bozdag et al., 2011).
All three LFA transformations generate strong low-frequency signals as shown in Figure 2, enabling the frequency sweep from zero frequency. Our comparison of three LFA transformations shows that $U_h$ is a particularly good LFA transformation in terms of frequency content, convergence of frequency sweeping, and registration errors.
The piecewise cubic polynomials $p(t)$ and $A(t)$ can be written as
$$p(t) = \sum_{k=1}^{n} p_k \phi_k(t) = [\phi_1(t) \ \phi_2(t) \ \ldots \ \phi_n(t)][p_1 \ p_2 \ \ldots \ p_n]^T$$
(11)
and
$$A(t) = \sum_{k=1}^{n} \theta_k \phi_k(t) = [\phi_1(t) \ \phi_2(t) \ \ldots \ \phi_n(t)][\theta_1 \ \theta_2 \ \ldots \ \theta_n]^T,$$
(12)
respectively. The superscript $T$ denotes “transposed.” Global basis functions with compact support in multiple subintervals are denoted by $\phi_k(t)$, $k = 1, 2, 3, \ldots, n$, and both $p(t)$ and $A(t)$ are represented in each subinterval as a cubic. The errors in the approximation of smooth functions with the piecewise cubic polynomials are proportional to $O(h^4)$, and those of linear interpolations are $O(h^2)$, where $h$ is the length of a subinterval. The number of global basis functions is proportional to the recording length of traces and the complexity of mapping functions. This paper does not address the problem in which the spline nodes could also be determined by optimization. The column vectors $[p_1, p_2, \ldots, p_n]^T$ and $[\theta_1, \theta_2, \ldots, \theta_n]^T$ are denoted by $\rho$ and $\Theta$, respectively. Their components are the $2n$ parameters to be determined per trace.
The gradient and the Hessian matrix of $W_{\text{LFA}}$ in problem 9 with respect to $\rho$ and $\Theta$ can be found analytically; e.g.,
$$\frac{\partial W_{\text{LFA}}}{\partial \rho_i} = \int [D - AU(p)] [-AU'(p)\phi_i]$$
$$+ \lambda (p - t)\phi_i \, dt,$$
(13)
$$(H_\rho)_{ij} = \frac{\partial^2 W_{\text{LFA}}}{\partial \rho_i \partial \rho_j}$$
$$= \int [(AU'(p))^2$$
$$- [D - AU(p)][AU''(p)]$$
$$+ \lambda ]\phi_i \phi_j \, dt,$$
(14)
where $U'()$ and $U''()$ are the first- and second-order derivatives of $U$. Similar expressions can be derived for the gradient and Hessian with respect to the coefficients of $A(t)$. The integrals are computed approximately using the trapezoidal rule as a quadrature.
**Optimization strategy and algorithm for seismogram registration**
We detail a way to resolve the nonconvexity issue of the optimization problem in expressions 8 or 9 for seismogram registration in Algorithm 1.
The collection of discrete frequencies from 0 to $\omega_j$ is denoted by $\Omega_j = [0, \omega_j]$. We create $M$ such sets, $\Omega_1, \Omega_2, \ldots, \Omega_M$, where $\Omega_1 \subset \Omega_2 \subset \ldots \subset \Omega_M$ and $\omega_1 < \omega_2 < \ldots < \omega_M$. Below, $LPF_k(\cdot)$ denotes the application of a low-pass filter with passband $\Omega_k = [0, \omega_k]$. At the $k$th outer iteration step, both LFA traces $D$ and $U$ are low-pass filtered to the frequency range $\omega \in \Omega_k$, resulting in the LFA signals $D_k$ and $U_k$. We let $W_{LP,k}$ represent the expression $W_{LP,k}$, with $D_k$ and $U_k$ instead of $D$ and $U$. The maximum frequency $\omega_M$ in the outer loop is set to a frequency below the central frequency of the source signature used to generate data.
**Computational aspect of registration and modification to LS inversion**
Registering every trace can be time consuming because the computational cost is proportional to the number of shots, receivers, and samples per trace. A more detailed cost analysis of seismogram registration is found below in the Discussion section. The problem being highly parallelizable, traces in shots can be registered independently; our implementation of the registration step is parallelized over shots. As the grid size of a computational domain gets larger, the extra computational cost for the registration step gets smaller compared to that of forward/backward modeling steps. Moreover, the registration step can be sped up by tuning the parameters in the registration algorithm, exploiting data redundancy. For example, skipping registrations in some traces and interpolating piecewise polynomials can be done, and the frequency sweeping range can be customized. Hence, the seismogram registration step in our implementation takes less time than a forward/backward modeling step.
The introduction of fractionally warped data for a modified adjoint source requires solving a nonconvex optimization problem every iteration. It may give the impression that RGLS inversion including seismogram registration is unwieldy. However, Algorithm 2 is a minor modification of the conventional LS inversion algorithm from the point of view of complexity. The new steps for the RGLS method are marked with underlines; the steps are highly parallelizable and inexpensive compared to the forward/backward modeling steps. As a result, our implementation of the RGLS method takes slightly longer than the conventional LS method.
**Algorithm 1 Seismogram registration.**
**Input:** traces $u(t)$ and $d(t)$
**Initialize:** $p(t) = t$, $A(t) = 1$
**LFA:** $D(t) \leftarrow LPF_A(d(t))$, $U(t) \leftarrow LPF_A(u(t))$
for $k = 1, 2, ..., M$
**Filter:** $D_k(t) \leftarrow LPF_{\Omega_k}(D(t))$, $U_k(t) \leftarrow LPF_{\Omega_k}(U(t))$
while not converged do
**Compute:** $\frac{\partial W_{LP,k}}{\partial p}$, $\frac{\partial W_{LP,k}}{\partial \theta}$, and the Hessians $H_p$, $H_\theta$ of the functional $W_{LP,k}$.
**Newton step:** $\rho \leftarrow \rho - H_p^{-1} \frac{\partial W_{LP,k}}{\partial p}$, $\theta \leftarrow \theta - H_\theta^{-1} \frac{\partial W_{LP,k}}{\partial \theta}$
end while
end for
**Output:** $p(t)$, $A(t)$
**Examples of registration of synthetic traces**
Here, we demonstrate the registration capability of nonconvex optimization using the nonlinear formulation 10a.
The underlying assumption of the registration idea is that two traces can be mapped via piecewise cubic polynomials. The mapping function $p(t)$ is also enforced to remain one-to-one thanks to the penalty term $\|p(t) - t\|^2$ in objective functional 8. If a true mapping does not satisfy these conditions, the solution is not guaranteed. However, the following numerical examples show that our registration method is robust and works well, even when some of the conditions are not met. Our first example demonstrates the capability of registration when the mapping is smooth and can be well-approximated by piecewise cubic polynomials. The second example shows that the frequency sweeping scheme makes registration insensitive to random noise in the data. The third example is more challenging in that the waveforms are quite different and one of them is not a transported version of one trace, contrary to our assumption.
Our first example shows the registration of two noiseless synthetic traces containing many reflected waves. One of the two traces is obtained from a numerical experiment with the Marmousi velocity model. The other trace is the result of applying a warping map $p: t \mapsto t + 0.15 \exp(-8(t/T_r - 1)^2)$, where $T_r$ is half the recording time. Unless otherwise stated, registration is performed from zero frequency with the LFA signal $U_h$ in equation 10a. Figure 3b shows a good registration match.
For the second example, we test seismogram registration with noisy synthetic data. A synthetic trace is obtained from a numerical experiment with the Marmousi model and is used as reference data. The trace is then transported using the same function as used in example 1 to generate predicted data. Two independent realizations of Gaussian white noise with mean 0 and standard deviation 0.05 are, respectively, added to the two traces. This noise level is about 35% of the original traces in the root-mean-square (rms) sense. Figure 4 shows excellent registration results in the presence of strong noise.
The third example uses two traces obtained from numerical experiments with two distinct velocity models. An observed trace is obtained from the Marmousi velocity model $V_{\text{Marmousi}}(x, z)$, and we use a different velocity model $V_{\text{pred}}(x, z) = V_{\text{Marmousi}}(x, z) - 0.15z$ for the predicted trace. Due to the reduction in velocity, the predicted
data lag behind the observed data up to a few wave periods in the coda. A good, though not perfect, agreement is observed between the observed trace and the transported trace as shown in Figure 5.
For the three numerical examples above, sweeping up to half of the central (dominant) frequency suffices for convergence. Most kinematic discrepancies between the observed data and the predicted data are fixed after sweeping up to 5 Hz, where central frequencies of the traces are above 15 Hz. The signals in the above examples have a recording time of about 4 s with the sampling period about 1 ms, resulting in about 4000 samples per trace. For signals of such length, four subintervals are enough for the piecewise polynomials $p(t)$ and $A(t)$ in equations 11 and 12.
Although the above three examples demonstrate robust registration with reasonable accuracy in the presence of strong random noise and in the case of different waveforms, there are cases where registration gives wrong results, i.e., shifting waveforms in the wrong direction. This scenario often happens when the number of waves differs in the two traces. Another case would be strong noise with energy in the sweeping frequency band.
**NUMERICAL EXAMPLES OF FULL-WAVEFORM INVERSION**
In this section, we demonstrate the potential of RGLS optimization for WI in transmission settings with synthetic velocity models. Specifically, we compare convergence of the RGLS method quantitatively with that of the LS method through examples 1–3 in Table 1. We point out that both RGLS and LS inversion are done in the time domain without a frequency sweeping. The frequency sweepings from zero frequency are performed in seismogram registration, as explained in the previous section. The first two examples involve models with a Gaussian lens, and the third example involves a smoothed Marmousi model. We plot (1) true versus converged velocity models, (2) data misfit versus iteration count for both LS and RGLS, and (3) rms values of $V_T - V_k$ for some examples, where $V_T$ is the true velocity model and $V_{k,i}$ is the $i$th step velocity model. By data misfit, we mean the LS misfit in expression 1.
The acoustic wave equation is discretized with a fourth-order accuracy finite difference scheme in space. For the time discretization, the explicit second-order leap-frog scheme is used. Perfectly matched layers surround the computational domain (Berenger, 1994).
**Inversion example 1: Gaussian lens**
Example 1 compares the performance of RGLS and LS optimization using the velocity model $V_H$ and $V_L$ plotted in Figure 6a and 6d. The initial models are homogeneous at $V_{\text{init}}(x,z) = 5100, 6000$ m/s, i.e., without any a priori knowledge about the true models. These true and initial velocity models are chosen to result in traveltime discrepancies that are as large as 3.4 (4.5) wave periods in rays starting from the center of the left boundary to the opposite side, passing through the center of model $V_H(V_L)$, respectively.
The computational domain is $2500 \times 2500$ m; the grid size is $501 \times 501$ with a distance of 5 m between grid points along both directions. The total number of shots used for computing the update
is 196 with the distance between sources 50 m. For any source on one of four sides, we consider a fine sampling of 750 receivers with spacing 10 m on the other three sides as marked with magenta triangles in Figure 6a. A Ricker wavelet with center frequency 50 Hz is used as an acoustic source.
**High-velocity Gaussian lens**
The RGLS method correctly updates the model velocity by increasing it near the center. The updates of the RGLS method (100 iterations) are free of artifacts, and the velocity models look very close to the true models. See Figure 6c. However, the LS method converges to a wrong model as shown in Figure 6c. In particular, the velocity at the center of the converged model is around 3500 m/s, which is much lower than the initial velocity 5100 m/s and the true velocity 6200 m/s. However, notice that the four corners seem to be updated properly. There is no cycle skipping there: Predicted data with short travel times are within a half of a period from corresponding observed data around the corners.
**Table 1. Velocity models and data types for inversion examples. Reference velocity models $V_H$, $V_L$, and $V_R$ are**
$V_H(x,z) = 5200 + 900 \exp(-|(x,z) - (1250,1250)|^2/10^4)$,
$V_L(x,z) = 5500 - 900 \exp(-|(x,z) - (1250,1250)|^2/10^4)$, and
$V_R(x,z) = 5000 + 900 \exp(-|(x,z) - (1250,1250)|^2/10^4)$, respectively.
| Example | Reference model | Initial model |
|---------|-----------------|---------------|
| Example 1 | $V_H$ | 5100 m/s |
| Example 2 | $V_R + \text{noise}$ | 5100 m/s |
| Example 3 | Marmousi | $V_{\text{init}} = 1500 + 0.5z$ m/s |
**Figure 7.** Inversion example 1: convergence of model (velocity) rms error $V_k - V_{\text{true}}$ (a) and data misfit $J$ (b). Inversion example 2: convergence of model (velocity) rms error $V_k - V_{\text{true}}$ (c) and data misfit $J$ (d).
**Figure 6.** Inversion example 1: plots of velocity models; (a) true model with sources and receivers marked in white and magenta, respectively, (b) converged model of RGLS optimization, (c) converged model of LS optimization. The white asterisks and magenta triangles in (a) mark the location of a few sources and receivers, respectively. Inversion example 2: plots of velocity models: (d) true model, (e) converged model of RGLS optimization, and (f) converged model of LS optimization.
The changes in data misfit and model rms error over iteration are compared in Figure 7a and 7b. The RGLS method temporarily increases the data misfit, but it decreases the model rms error, as the predicted data correctly move toward the observed data during the first 20–30 iterations. For the LS method, however, the data misfit decreases but the model velocity error increases gradually, as shown in Figure 7b.
**Low-velocity Gaussian lens**
As in the high-velocity Gaussian lens case, the RGLS recovers the true model much better than the LS method as shown in Figure 6e and 6f. The LS method updates parts of the domain near the boundary correctly as well as the corners, as shown in Figure 6f. Interestingly, 100 more iterations result in a much better velocity model with large errors only at the center. The area of the error zone at the center gets smaller as the iterations proceed. Quantitatively, both data and model errors are reduced by both the RGLS and LS methods as shown Figure 7c and 7d. However, RGLS is much faster; LS updates the model in a slow, piecemeal way from the boundary inward.
**Inversion example 2: Noisy Gaussian lens**
We test the RGLS method with a more complicated true velocity model shown in Figure 8a. The true velocity model in this example contains noise generated by convolution of a Gaussian kernel with an array of normally distributed random numbers as well as the high-velocity Gaussian lens. Other configurations are the same as in the high-velocity Gaussian lens of the previous example: the initial model, the source and receiver locations, the acoustic source, and the grid size.
The medium-scale details of the model are successfully recovered by RGLS optimization as shown in Figure 8b. The data misfit and model rms error are shown in Figure 9. RGLS optimization stalls the data misfit after 63 iterations; the inversion then switches from RGLS to LS. Note that the LS method is close to the special case $\varepsilon = 1$ in the construction of fractionally warped data, hence the late-game switch to LS is more of a parameter adjustment than an ad-hoc fix. Switching to LS is safe because observed data are now within a fraction of a wavelength of predicted data. Using a velocity model with stronger randomness would make the RGLS method fail because the observed data would contain many refracted waves that the predicted data do not contain.
**Inversion example 3: Smoothed Marmousi**
A more realistic velocity model is used to demonstrate the RGLS method: a smoothed Marmousi model. The physical dimension of the velocity model is $9096 \times 2976$ m, which is discretized into $380 \times 125$ grid points with spacing 24 m in both directions. The simulation consists of 75 shots with 120-m spacing between the sources; the positions of some sources are marked with white asterisks in Figure 10b. The number of receivers is 616 receivers in total per shot with 24-m spacing, and some of them are marked with magenta triangles in Figure 10b, 376 receivers at $z = 2952$ m, and 120 receivers at $x = 48$ and 9072 m each. The data are sampled at the receivers for 6 s with a time step size of 1 ms. The Ricker wavelet with peak frequency 10 Hz is used as a source. The initial model has linearly increasing velocity from 1500 m/s near the surface to 3000 m/s at the bottom. A smoothed Marmousi model shown in Figure 10a is used to generate observed data. Initial traveltime discrepancies at the bottom receivers are around 2.7–5.3 wave periods.
A converged velocity model using the RGLS method is plotted in Figure 10c, showing recovered features of the true model. As inversion switches from RGLS to LS in the previous example 2, LS inversion followed 96 RGLS iterations. For the RGLS method, both the model rms error and data misfit decrease by an order and two orders of magnitude, respectively. A hump is also observed in the data misfit plot of the RGLS method as in the previous examples. The LS method, however, could not recover the background
velocity model, not to mention most reflectors of the true model as shown in Figure 10d.
**DISCUSSION**
Our registration method is similar to Hale’s dynamic warping with strain constraints (Hale, 2013; Ma and Hale, 2013) in that both solve the LS misfit nonconvex optimization problem for the warpings. Both methods assume that one of two corresponding traces can be mapped with a smooth warping function. One advantage of our method over Hale’s is that it handles amplitude changes as well as time shifts. A second advantage is that thanks to the frequency sweeping, smoothing traces or shifts is not necessary in the presence of random noise. Our method, however, seems to be more expensive due to the frequency sweeping and the Hilbert transform. The computational complexity of the seismogram registration per trace is $O(n_k N_t \log N_t + n_r n^2 N_r)$ for the number of samples $N_t$, where $n_k$, $n_r$, and $n_t$ are the number of frequency sweeping steps, global basis functions and Newton iterations, respectively. The number of frequency sweeping steps is $n_k = (f_p T_f)/m$, where $f_p$, $T_f$, and $m$ are the peak frequency, final recording time, and increment in frequency index. Because most cases have a larger $n_t n^2$ than $\log N_t$, the complexity per shot can be simplified further to $O(n_t n_t n^2 n_r N_r)$, where $n_r$ is the number of receivers. For a fixed number of receivers $n_r$, the computational cost for forward/backward modeling with an explicit finite-difference method $O(N_s N_r N_t)$ gets more expensive than that of the registration $O(n_t n_t n^2 n_r N_r)$ as the grid size, $N_s N_r$, gets larger. Although our warping algorithm has not yet been extended to 2D or 3D sections of the data set, it is a reasonable direction for future research.
We compare our RGLS method with three related methods: correlation-based TT (Luo and Schuster, 1991; Tromp et al., 2005), WI (Tarantola and Valette, 1982; Bunks et al., 1995), and phase/envelope (PE) misfit inversion (Fichtner et al., 2008; Bozdag et al., 2011). For a more complete treatment of each method, we refer the reader to these references. Comprehensive comparisons among three methods, i.e., TT, WI, and PE, are well documented in Bozdag et al. (2011). The RGLS method does not need phase isolation as in the TT method because the whole waveform is used to implicitly determine traveltime discrepancies or phase difference. Thanks to the frequency sweeping in seismogram registration, traveltime differences larger than a half-period can be recovered and cycle skipping can be overcome as in TT. WI and PE do not need phase isolation either, but they suffer from cycle-skipping problems that can be avoided by inversion of long-period waves first, followed by short-period waves. In our study, successful registration of data with Gaussian random noise is demonstrated and we expect that the updates are only moderately affected by noise in the data because the adjoint sources $u - d$ are made of only synthetic noise-free data, $u$ and $d$.
A drawback of our RGLS method is that observed and synthetic data must be comparable, i.e., can be paired; this assumption can be broken even in both the transmission and the reflection settings. This assumption is shared by both TT and PE, but not by WI. We found that adapting registration ideas to WI in the reflection setting is particularly challenging. Modeled data are closer to matching observed data kinematically in the reflection case than in the transmission case because the LS gradient updates produce ad-hoc reflectors in the wrong locations to balance the wrong medium. As a result, traveltime discrepancies no longer seem to be the dominant effect to correct. We attempted to use the alternating update methods proposed by Clément et al. (2001) and Xu et al. (2012) to deal with reflection data, but without much success.
It seems natural to extend the idea of LFA to:
$$J_{\text{LFA}}[m] = \frac{1}{2} \sum_{s,r} \int |S_{s,r}\text{LFA}\{u_s\}(x,t) - \text{LFA}\{d_s\}(x_r,t)|^2 dt.$$
(15)
Because LFA$\{u_s\}(x,t)$ has low-frequency components near zero, the frequency sweeping can be done with the following equivalent form in the frequency domain:
*Figure 10.* Inversion example 3: Plots of velocity models of (a) true model, (b) of initial model with sources and receivers marked in white and magenta, (c) of converged model of RGLS optimization, and (d) of converged model of LS optimization. The white asterisks and magenta inverted triangles in (b) indicate sources on the top and receivers at three sides, respectively.
\[ J_{\text{LFA}}[m] = \frac{1}{2} \sum_{x,r} \int_0^{\omega'} |S_{x,r} \text{LFA}\{u_s\}(x, \omega) - \text{LFA}\{d_x\}(x_r, \omega)|^2 d\omega, \]
(16)
where \( \omega' \) can be much smaller than frequencies available at the data \( d_x \). A study of this new objective function is under way.
Last, we point out that the “fractional” character of the warping used to generate the adjoint source in this paper is in the same spirit as a solution proposed in Savu and Biondi (2004), where image perturbations in the image domain are replaced by their linearized version to mitigate lack-of-convexity issues beyond the Born approximation. Similar suggestions of updates are also proposed in recent work by Fei and Williamson (2010) and Albertin (2011). Those updates are generated from residuals, which are obtained by taking differences between an image and its infinitesimally modified version for the same reason we take the modified adjoint source instead of the conventional one.
CONCLUSIONS
We present RGLS as a way to mitigate the cycle-skipping problem in FWI thereby extending the basin of attraction to the global minimizer. The successful application of the RGLS method to seismic inversion problems is demonstrated in the transmission setting, where the conventional LS method often converges to a wrong model. The proposed method substitutes a transported version of the prediction, referred to as fractionally warped data, for the observed data in the conventional LS misfit residual. To generate transported data, mappings in the form of piecewise polynomials are found through a nonconvex optimization formulation. The nonconvex optimization problem is tackled in a multiscale manner similar to frequency sweep/continuation in frequency domain FWI. To create the low frequencies that may be absent in data, LFA signals are proposed and demonstrated to provide a satisfying alternative to the raw seismograms for the registration step. A method using the envelope property of the Hilbert transform is proposed for this LFA transformation. Three inversion examples using seismogram registration and the RGLS method show that the proposed method decreases model errors monotonically while it allows the data misfit to increase temporarily prior to eventual convergence.
ACKNOWLEDGMENTS
The authors are grateful to the authors of Madagascar and to TOTAL S.A. for their support.
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Fichtner, A., B. L. Nolet, M. J. Igel, and H. F. Pungg, 2008, Theoretical background for continental- and global-scale full-waveform inversion in the time–frequency domain: *Geophysical Journal International*, 175, 665–685, doi: 10.1111/j.1365-246X.2008.03233.x.
Fomel, S., 2008, Seismic trace registration using registration using the local similarity attribute: *Geophysics*, 74, no. 2, A7–A11, doi: 10.1190/1.3054135.
Fomel, S., and M. van der Baan, 2010, Local similarity with the envelope as a seismic phase detector: 80th Annual International Meeting, SEG, Expanded Abstracts, 1555–1559.
Gauthier, O., J. Vireux, and A. Tarantola, 1986, Two-dimensional nonlinear inversion of seismic waveforms: Numerical results: *Geophysics*, 51, 1387–1401, doi: 10.1190/1.1442180.
Gee, L. S., and T. H. Jordan, 1992, Generalized seismological data functions: *Geophysical Journal International*, 111, 363–390, doi: 10.1111/j.1365-246X.1992.tb05834.x.
Glaubitz, J., and K. M. Murdia, 1998, A review of image-warping method: *Journal of Applied Statistics*, 25, 155–171, doi: 10.1080/02664719808523151.
Haker, S., and A. Mumcuoglu, 2001, Optimal mass transport and image registration: in N. Paragios, O. Faugeras, T. Chan, and C. Schenker, eds., Proceedings of the IEEE Workshop on Variational and Level Set Methods in Computer Vision, IEEE, 29–36.
Hale, D., 2011, Dynamic warping of seismic images: *Geophysics*, 78, no. 2, V153–V155, doi: 10.1190/1.3523271.
Kennett, B. L. N., and A. Fichtner, 2012, A unified concept for comparison of seismograms using transfer functions: *Geophysical Journal International*, 191, 1403–1416, doi: 10.1111/j.1365-246X.2012.05693.x.
Kruppa, J., 1984, Optimization by simulated annealing: Quantitative studies: *Journal of Statistical Physics*, 34, 575–598, doi: 10.1007/BF01009452.
Liner, C. L., and R. G. Clapp, 2004, Nonlinear pairwise alignment of seismic events: *Geophysics Edge*, 23, 1149–1150, doi: 10.1190/1.2859297.
Luo, Y., and C. Schuster, 1991, Wave-equation traveltime inversion: *Geophysics*, 56, 645–653, doi: 10.1190/1.1443081.
Ma, Y., and D. Hale, 2013, Wave-equation reflection traveltube inversion with a multiscale approach: 83rd Annual International Meeting, SEG, 78, no. 6, R223–R237, doi: 10.1190/segam2013-0044.
Maggi, A., C. Tape, M. Chen, D. Chao, and J. Tromp, 2009, An automated time-window selection algorithm for seismic tomography: *Geophysical Journal International*, 178, 278–281, doi: 10.1111/j.1365-246X.2009.04109.x.
Plessix, R.-E., 2006, A review of the adjoint-state method for computing the gradient of a functional with geophysical applications: *Geophysical Journal International*, 167, 495–503, doi: 10.1111/j.1365-246X.2006.02985.x.
Plessix, R.-E., 2009, Three-dimensional frequency-domain full-waveform inversion with an iterative solver: *Geophysics*, 74, no. 6, WCC149–WCC157, doi: 10.1190/1.3211198.
Pratt, R. G., 1999, Full waveform inversion in the frequency domain, part 1: Theory and verification in a physical scale model: *Geophysics*, 64, 888–901, doi: 10.1190/1.144397.
Pratt, R. G., and N. R. Goultby, 1991, Converting wave-equation imaging with prestack migration into high-resolution images from cross-hole data: *Geophysics*, 56, 208–224, doi: 10.1190/1.44303.
Prieux, V., G. Lambare, S. Opero, and J. Vireux, 2013, Building starting models for full waveform inversion from wide-aperture data by stereotomography: *Geophysical Prospecting*, 109–137, doi: 10.1111/j.1365-2478.2012.01098.x.
Ramsay, J. O., and X. Li, 1998, Curve registration: *Journal of the Royal Statistical Society Series B*, 60, 351–363, doi: 10.1111/1467-9868.00129.
Sarkar, S., and S. Chitre, 1978, Dynamic programming algorithm optimization for speech recognition: *IEEE Transactions on Acoustics, Speech, and Signal Processing*, 26, 43–49, doi: 10.1109/TASSP.1978.1163055.
Sava, P., and B. Biondi, 2004, Wave-equation migration velocity analysis. I. Theory: *Geophysical Prospecting*, 52, 593–606, doi: 10.1111/j.1365-2478.2004.00447.x.
Shah, N., M. Warner, L. Guasch, I. Stekl, and A. Umpleby, 2010, Waveform inversion of surface seismic data using the nearest low frequency: 80th Annual International Meeting, SEG, Expanded Abstracts, 2865–2869.
Shin, C., and Y. H. Cha, 2009, Waveform inversion in the Laplace–Fourier domain: *Geophysical Journal International*, 177, 1067–1079, doi: 10.1111/j.1365-246X.2009.04102.x.
Shin, C., and W. Ha, 2008, A comparison between the behavior of objective functions for waveform inversion in the frequency and Laplace domains: *Geophysics*, **73**, no. 5, VE119–VE133, doi: [10.1190/1.2953978](http://dx.doi.org/10.1190/1.2953978).
Tarantola, A., and B. Valette, 1982, Generalized nonlinear inverse problems solved using the least squares criterion: *Reviews of Geophysics*, **20**, 219–232, doi: [10.1029/RG020i002p00219](http://dx.doi.org/10.1029/RG020i002p00219).
Tromp, J., C. Tape, and Q. Liu, 2005, Seismic tomography, adjoint methods, time reversal and banana-doughnut kernels: *Geophysical Journal International*, **162**, 195–216, doi: [10.1111/j.1365-246X.2005.02793.x](http://dx.doi.org/10.1111/j.1365-246X.2005.02793.x).
Van Leeuwen, T., and A. M. Vermeer, 2010, A correlation-based misfit criterion for wave-equation traveltime tomography: *Geophysical Journal International*, **182**, 1383–1394, doi: [10.1111/j.1365-246X.2010.04681.x](http://dx.doi.org/10.1111/j.1365-246X.2010.04681.x).
Virieux, J., and S. Operto, 2009, An overview of full-waveform inversion in exploration geophysics: *Geophysics*, **74**, no. 6, WCC1–WCC26, doi: [10.1190/1.3238367](http://dx.doi.org/10.1190/1.3238367).
Wenzel, W., and K. Hamacher, 1999, Stochastic tunneling approach for global minimization of the misfit potential in seismic tomography: *Physical Review Letters*, **82**, 3003–3007, doi: [10.1103/PhysRevLett.82.3003](http://dx.doi.org/10.1103/PhysRevLett.82.3003).
Xu, S., D. Wang, F. Chen, G. Lammarié, and Y. Zhang, 2012, Inversion on reflected seismic wave: 82nd Annual International Meeting, SEG, Expanded Abstracts, doi: [10.1190/segam2012-1473.1](http://dx.doi.org/10.1190/segam2012-1473.1).
Zitová, B., and J. Flusser, 2003, Image registration methods: A survey: *Image and Vision Computing*, **21**, 977–1000, doi: [10.1016/S0262-8856(03)00137-9](http://dx.doi.org/10.1016/S0262-8856(03)00137-9).
This article has been cited by:
1. Francesco Perrone, Paul Sava. 2015. Image-warping waveform tomography. *Geophysical Prospecting* **63**:10.1111/gpr.2015.63.issue-5, 1050-1069. [CrossRef]
2. Hyoungsu Baek, Timothy H. KehoDetection and characterization capabilities of Time/AmplitudeWarping 5379–5383. [Abstract] [References] [PDF] [PDF w/Links]
3. Nuno V. da Silva*Automatic Wavefield Reconstruction Inversion 1332-1336. [Abstract] [References] [PDF] [PDF w/Links]
4. Di Yang, Xuefeng Shang, Alison Malcolm, Michael Fehler, Hyoungsu Baek. 2015. Image registration guided wavefield tomography for shear-wave velocity model building. *GEOPHYSICS* **80**:3, U35-U46. [Abstract] [Full Text] [PDF] [PDF w/Links]
5. Di Yang*, Xuefeng Shang, Alison Malcolm, Mike FehlerImage registration guided wavefield tomography for shear wave velocity model building 1200–1205. [Abstract] [References] [PDF] [PDF w/Links]
6. FuchunGao*, PaulWilliamson, R. GerhardPrattA new objective function for full waveform inversion: Differential semblance in the data domain 1178–1183. [Abstract] [References] [PDF] [PDF w/Links] [Supplemental Material]
7. C. A. Perez Solano, D. Donno, H. Chauris. 2014. Alternative waveform inversion for surface wave analysis in 2-D media. *Geophysical Journal International* **198**, 1359–1372. [CrossRef] |
Audio Books
by Hewie Poplock
“Audiobooks are for people who hate reading and for those of us who love reading.”
- MATTHEW RUBERY, THE UNTOLD HISTORY OF THE TALKING BOOK
Thomas Edison created the first spoken word phonograph record in 1877.
He predicted technology might one day allow books to be listened to “with great profit and amusement by the lady or gentleman whose eyes and hands may be otherwise employed.”
1932 - The American Foundation for the Blind began creating books on vinyl records for war-blinded soldiers and blind civilians who couldn’t read braille.
1952 - Caedmon Records became the first company dedicated to selling spoken word records to the public.
The evolution of the spoken book mirrors innovations in the music industry:
- Books on tape replaced vinyl audiobooks
- Streaming superseded compact discs
- Smartphones are replacing all else
As the audiobook industry flourishes, so is the number of ways you can listen to audiobooks with apps for smartphones, iPads, desktops and Kindles from Amazon, Google and Apple — everyone’s competing for a chunk of the thriving sector.
Most audiobooks are available to listen to on your smartphone, tablet, smartwatch and desktop or laptop — how to listen to audiobooks depends mostly on which device you have and your access to apps on it. Both Apple and Android devices will allow you to access virtually every audiobook app.
Library Systems
Vancouver Public Library
Mesa Public Library
City of Santa Clarita Public Library
Milwaukee County Federated Library System
SouthShore Regional Library
HCPLC Library Closings
Manatee Libraries 2016-2017 FLA LIBRARY OF THE YEAR WINNER
Orange County Library System
Sarasota County BRIDGES Digital Library
BRIDGES Iowa’s eLibrary
Metropolitan Library System
Your Seminole County Public library card provides you access to free digital content including eBooks, audiobooks, magazines, music and videos.
**DOWNLOADABLE AND STREAMING MATERIALS**
**STREAM & DOWNLOAD**
Your Seminole County Public library card provides you access to free digital content including eBooks, audiobooks, magazines, music and videos.
### eBooks & Audiobooks
| Service | Checkout Limits |
|---------|-----------------|
| OverDrive | (5 per card)
e-Books & Audiobooks
7, 14, 21 days |
| Instructions |
|--------------|
| Libby App
Apple iOS | Android
Classic OverDrive App
Apple iOS | Android | Kindle |
| Service | Checkout Limits |
|---------|-----------------|
| hoopla | (4 per card, per month)
eBooks & Audiobooks
21 days |
| Instructions |
|--------------|
| Hoopla App
Apple iOS | Android | Kindle |
| Service | Checkout Limits |
|---------|-----------------|
| TumbleBook Library | None |
| Instructions |
|--------------|
| TumbleBook App
Apple iOS | Android |
Audiobooks
Showing 1-50
| Audiobook | Title | Author |
|-----------|------------------------------|-----------------|
| | Beard Necessities | Penny Reid |
| | The Huntress | Kate Quinn |
| | Dragonmlayer | Tui T. Sutherland |
| | At the Wolf's Table | Rosella Postorino |
| | Do No Harm: The Oxytocin Effect | Lewis Nelson, M.D. |
| | The June Boys | Court Stevens |
| | The Sacrament | Olaf Olafsson |
| | Work For It | Talia Hibbert |
| | Witches | Sam George-Allen |
| | To Fly Among the Stars Become... | Rebecca Siegel |
Access your favorite digital media providers!
E-books - OverDrive | Freading | axis360 | ePULP | hoopla
Audiobooks - hoopla | OverDrive | RBdigital
We've released a new feature to give you more control over your holds. Learn more here.
Showing 1-24 of 1,000 results
New audiobook additions
| Title | Author | Availability |
|------------------------------|-----------------|--------------|
| The Unexpected Spy | Tracy Walster | Available now|
| Walk the Wire | David Baldacci | Coming soon |
| Quit Like a Woman | Holly Whitaker | |
| Own Your Everyday | Jordan Lee Dooley| |
Subject
Nonfiction 547
Fiction 453
Literature 237
Biography & Autobiography 221
Thriller 163
Politics 131
History 113
Suspense 96
Mystery 90
Sociology 89
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Fantasy 75
Self-Improvement 73
Business 71
Romance 69
Health & Fitness 46
Family & Relationships 37
Performing Arts 35
E-Source Home > Entertainment: Movies, Music, & More
Databases
▶ Flipster- eMagazines (Login required - click here)
▶ Hoopla- Streaming movies/TV shows, eBooks, eAudiobooks, music, and comics
▶ OverDrive- eBooks and eAudiobooks (Login required - click here)
▶ RBdigital eAudiobooks (formerly OneClickdigital)
Sarasota County Libraries
My Account
Access your library account.
Search the Catalog
Find books, movies, music and more using SUNCAT, the library's catalog.
Digital Library
Access our digital resources.
Library Events
View events at all of our libraries.
eBooks and Downloads
cloudLibrary
Borrow and download eBooks and eAudiobooks to your computer or portable device using the cloudLibrary app.
Flipster
Digital access to the most popular magazines. If prompted to enter "Patron ID," enter your library card barcode.
hoopla®
Digital access to thousands of movies, TV shows, music, audiobooks, ebooks and comic books. With no waiting, titles can be streamed immediately, or downloaded to phones or tablets for offline enjoyment later.
OverDrive/Libby
Download eBooks and eAudiobooks using the Overdrive or Libby app.
Other Library Apps and Downloadables
**Greater Phoenix Digital Library**
The Greater Phoenix Digital Library, powered by Overdrive, combines the resources of 8 public libraries in Central Arizona to bring you downloadable books, audiobooks, and video. Use with the Overdrive or Libby app.
Technical Help for Greater Phoenix Digital Library
**rb digital**
Audiobooks, including many classics. 30,000+ unlimited-access audiobooks - no holds!
Magazines, full color, with no due date.
Acorn TV, television and film from Britain and beyond.
Popular Spanish language telenovelas and translated movies.
The Great Courses, online courses taught by award-winning experts and professors.
Technical help for rb digital
**cloudLibrary**
Check out additional ebooks and audiobooks through the cloudLibrary app.
Technical help for cloudLibrary
**Freegal**
Download free MP3s and stream music from freegal. Choose from 9 million songs from over 10,000 labels.
Technical help for freegal
**TumbleBookCloud**
TumbleBookCloud (formerly TumbleReadables) offers ebooks, graphic novels, videos, and audiobooks for students and adults.
Technical help for TumbleBookCloud
**TumbleBooks**
TumbleBooks are animated, talking online picture books for children and students.
Technical help for TumbleBooks
Get help with audiobooks from your library
If you're looking to borrow free audiobooks from your library, you've come to the right place. We've picked out the articles below to help you get started.
Borrowing audiobooks
- Borrowing titles in OverDrive for Android and Fire tablets
- Borrowing titles in OverDrive for Chromebook
- Borrowing titles in OverDrive for iOS (iPhone/iPad/iPod touch)
- Borrowing titles in OverDrive for Windows 8/10
- Borrowing titles on a Windows 7 or Mac computer
- How many books can I borrow and place on hold at the same time?
- How to change your lending period for digital titles
- How to only see available titles
- Using audience or maturity levels to limit the books you see in your library's collection
- What is the history and how does it work?
Greater Phoenix Digital Library
The Greater Phoenix Digital Library, powered by Overdrive, combines the resources of 8 public libraries in Central Arizona to bring you downloadable books, audiobooks, and video. Use with the Overdrive or Libby app.
Technical Help for Greater Phoenix Digital Library
rb digital
Audiobooks, including many classics. 30,000+ unlimited-access audiobooks - no holds!
Magazines, full color, with no due date.
AcornTV, television and film from Britain and beyond.
Pongalo, Spanish language telenovelas and translated movies.
The Great Courses, online courses taught by award-winning experts and professors.
Technical help for rb digital
cloudLibrary
Check out additional ebooks and audiobooks through the cloudLibrary app.
Technical help for cloudLibrary
SouthShore Regional Library
@SouthShoreRegionalLibrary
HCPLC.org
Hillsborough County Public Library Cooperative
Discover • Engage • Transform
| Service | Description |
|------------------|-----------------------------------------------------------------------------|
| OverDrive | Borrow eBooks and audiobooks on any major computer system or device. |
| Hoopla | Download or stream up to 12 eBooks, comics or other materials each month. |
| RB Digital | Full-color digital magazines for anytime, anywhere reading on desktops, mobile devices, and apps. |
| Flipster | Popular magazine titles including Consumer Reports and Consumer Reports Buying Guide. |
| myON | Personalized eBook reading for students with recommendations based interests, reading level, and ratings. |
| Axis 360 | Great reads for children and young adults available on your mobile device or PC. |
| Tumblebooks | A curated collection of children's eBooks for grades K-6 including animated picture books, read-along chapter books, graphic novels and math stories. |
| TeenBookCloud | Now available! Features over 1000 titles including graphic novels, enhanced e-books with full audio narration, classics, and more. |
| RomanceBookCloud | Now available! A wide collection of romance eBooks, including award winners and best sellers. |
In an abundance of caution to our customers and staff due to COVID-19 coronavirus, all libraries are closed until further notice: Important Library
Smart search: audiobooks
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EBOOKS AND EAUDIOBOOKS
You can read or listen to books on most mobile devices or your computer. They are free to borrow, and expire automatically, so there are never late charges. Look through our eMedia services below to find a digital book format that works for you.
**ALWAYS AVAILABLE EBOOKS**
Our always available eBook collection features over 250,000 titles. These titles span nearly 3 dozen subject areas and include categories like: Arts & Architecture, Biographies & Memoirs, Children's & Young Adult Fiction & Nonfiction, Computer Science, Cooking, Fiction, Home & Garden, Law, Philosophy, Reference, Self-Help & Family, and True Crime.
Always available means NO waitlist or holds! Read eBooks directly in your browser or download to your device for up to 21 days.
**AUDIOBOKS**
Enjoy audiobooks for all ages and from all genres on your computer or mobile device. Audiobooks from OverDrive can be checked out for 7 or 14 days (you choose!) and when the checkout period expires, they check themselves in so there are never any late fees! Directions on how to enjoy audiobooks on your device may be found on [this page](#).
**EBOOKS (POPULAR FICTION AND NONFICTION)**
Enjoy eBooks for all ages and from all genres on your computer or mobile device. eBooks from OverDrive can be checked out for 7 or 14 days (you choose!) and when the checkout period expires, they check themselves in so there are never any late fees! Directions on how to enjoy eBooks on your device may be found on [this page](#).
Borrow and enjoy. It’s that simple.
Articles & Databases
eBooks & Audiobooks
Streaming Videos
Downloadable Music
Digital Magazines
Mobile Apps
Audio Book Cloud – An online audio book collection of streaming audio books for all ages with unlimited remote access.
Biblioboard – An online collection of ebooks that are always available, no waiting or holds.
Freading
Choose from over 20,000 ebook titles in a wide variety of genres. Titles are always available, no waiting or holds.
OverDrive
A leading full-service eBooks and audiobooks including Kindle compatible titles.
Teen Book Cloud – An online database of eBooks perfect for teens. Includes fiction, non-fiction, drama and poetry, educational videos, and even graphic novels.
Digital Audiobooks
VPL to Go
An extensive selection of popular fiction and non-fiction ebooks and audiobooks for all ages. Read in your browser or download through the OverDrive or Libby apps. For more information see our help guide.
Access: Everywhere for Vancouver residents
RB Digital Audiobooks
Over 7,500 Audiobook titles to download or stream from your computer or through the RBDigital app on your mobile device.
Access: Everywhere for VPL cardholders
TumbleBook Library
A popular collection of talking picture books for young readers. Has text, animation, music and narration.
Access: Everywhere for everyone
eAudiobooks
Browse
All new eAudiobooks
eAudiobook services
Overdrive eBooks & eAudiobooks
Our largest eBook collection. Includes current, popular fiction and non-fiction, videos and audiobooks.
RBdigital Audiobooks
Downloadable audiobooks you can listen to on a computer, a portable player or mobile device. Includes current and popular fiction and nonfiction.
Showing 1-24 of 7,535 results
Available now
All audiobooks
Availability
Available now
Audience
Date added
Audiobooks
Subject
Fiction 4,098
Nonfiction 1,800
Literature 1,265
Mystery 1,158
Thriller 1,073
Young Adult Fiction 782
More
Audiobooks and eBooks
Enjoy a large selection of e-books, audiobooks, music and video for use with a wide variety of portable devices, PCs and Macs.
EXPLORE
OverDrive Downloadable Media
The Milwaukee County Federated Library System is pleased to offer OverDrive Downloadable Media, a FREE service offered through the Wisconsin Public Library Consortium. OverDrive allows you to select and download audiobooks, ebooks, videos or music to play directly on your computer or on supported portable devices.
Wisconsin's Digital Library is the starting point where you login to your account and download these materials. You can also search for and download titles directly from the library catalog or use the new Libby App as well.
Getting Started
To get started with OverDrive, follow these steps:
1. Review the Help area on OverDrive--these screens walk you through the process step by step for your device.
2. You will need a valid library card number and PIN to create and maintain your account through OverDrive. If you have problems logging into OverDrive, please contact your local library.
OverDrive Help
Audible
30 days of membership free, plus 1 audiobook and 2 Audible Originals to get you started.
After trial, you’ll get 3 titles each month: 1 audiobook and 2 Audible Originals of your choice.
Easy exchanges. Don’t like your audiobook? Swap it for free, anytime.
Cancel anytime, your audiobooks are yours to keep forever.
What you get
Your free 30-day membership comes with:
- Your choice of 1 audiobook + 2 Audible Originals
- Exclusive audio-guided wellness programs
- A friendly email reminder before your trial ends
Click to Try Audible Free
$14.95 per month after 30 days. Cancel anytime.
Amazon Prime Members Get More
Audible is an Amazon company. Prime members are invited to choose 2 books to get started. Happy listening!
Audible
$14.95 per month after 30 days. Cancel anytime.
Stay informed, inspired, and entertained.
What you get
Your free 30-day membership comes with:
- Your choice of 1 audiobook + 2 Audible Originals
- Exclusive audio-guided wellness programs
- A friendly email reminder before your trial ends
Amazon Prime Members Get More
Audible is an Amazon company. Prime members are invited to choose 2 books to get started. Happy listening!
Ready for a great listen? Choose from this selection of listener favorites.
You're getting a free audiobook.
$14.95 per month after 30 days. Cancel anytime.
• Audible is strictly audiobooks. Yes, they have over 100,000 audiobooks,
• Audible, similar to Netflix Originals, offers original content exclusive to them.
• And since Audible is owned by Amazon, you can listen to your audiobooks through Alexa.
• You can listen to Audible books in a dozen different languages. You can even choose from abridged and unabridged versions.
Audible Compatible Devices
- All iOS devices
- All Android devices
- Windows phones
- Kindles (Fire, Oasis 8th & 9th Generation, Paperwhite and 8th Generation)
- Sandisk & Creative MP3 players
- VictorReader System
- BrailleNote & Apex BrailleNote
- Garmin & TomTom GPS devices
- Mac & Windows computers
Stories help.
They entertain. They teach. They keep young minds active, alert, and engaged.
For as long as schools are closed, we’re open. Starting today, kids everywhere can instantly stream an incredible collection of stories, including titles across six different languages, that will help them continue dreaming, learning, and just being kids.
All stories are free to stream on your desktop, laptop, phone or tablet.
Explore the collection, select a title and start listening.
It’s that easy.
Learn How to Use Stories:
Please see here for our Privacy Notice.
Scribd
$9.99 per month after 30 days. Unlimited audiobooks. Cancel anytime.
Scribd offers audiobooks and more. They have eBooks, magazines, research papers and sheet music.
With a premium membership from Scribd you can enjoy thousands of different audiobooks in different genres. You can also access short stories, essays, articles & documents.
Scribd also offers original content that you can only listen to with a Scribd membership.
Scribd Compatible Devices
- Apple devices iOS-9 or newer (this includes Apple Watches)
- Android systems that are Android 4.4 or higher
- Kindle Devices with Fire OS 4 or higher (this does not include paperwhite)
Scribd vs. Audible Summary
- **Content**: Audible and Scribd both offer an extensive library to their listeners, but Audible is the clear winner here because it offers basically every book (for a price). If you are determined to listen to a specific book that just hit the shelves, Audible is probably right for you. If you are looking for more than audiobooks (like magazines and research papers), then Scribd is right for you.
- **Download Ownership**: Audible is better if you want to keep your library forever. Scribd works more like Netflix; once you cancel your subscription, you can no longer access the content.
- **Compatibility**: Both services work on most smartphones, which is what most people will use anyway. If we had to pick a winner, it would be Audible, but we doubt that’s a major factor for most users.
- **Price**: If price is the major factor, Scribd is definitely cheaper. Like most services these days, both Scribd and Audible offer free trial periods for newcomers to test out their products.
Chirp is a free audiobook service that brings you amazing limited-time deals on popular audiobooks, including New York Times bestsellers.
Spend less, listen more.
**HOW CHIRP WORKS**
- Create your free account and tell us what types of audiobooks you enjoy.
- Receive daily recommendations and save up to 95%.
- Download our free audiobook app for iOS or Android.
- Stream audiobooks immediately, or download them to listen offline.
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Audiobooks
What do audiobooks sound like? Here are some samples
Questions?
Hewie Poplock
Central Florida Computer Society
Sarasota Technology User Group
email@example.com
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Meeting ID: 2018-04
Meeting Date: Mon February 12, 2018 07:00 PM
Location: Council Chambers
Chair: Leslie O'Shaughnessy, Mayor
Prepared By: Debbie Caskenette, Deputy Clerk
Attendance Committee Members:
Leslie O'Shaughnessy, Mayor
Claude E. McIntosh, Councillor
Elaine MacDonald, Councillor
Denis Carr, Councillor
Maurice Dupelle, Councillor
Bernadette Clement, Councillor
Mark A. MacDonald, Councillor
Andre Rivette, Councillor
Carlyne Hébert, Councillor
Justin Towndale, Councillor
David Murphy, Councillor
Attendance Staff:
Maureen Adams, Chief Administrative Officer
Manon L. Levesque, City Clerk
Debbie Caskenette, Deputy Clerk
Tracey Bailey, General Manager, Financial Services
Mark A. Boileau, General Manager, Planning, Development and Recreation
Pierre Voisine, Fire Chief
Norm Quenneville, Manager Glen Stor Dun Lodge
Bruce Donig, Deputy Chief
Stacey Ferguson, Manager, Social and Housing Services
Wayne Markell, Deputy Chief
Bob Peters, Division Manager, Economic Development
Scott Porter, Supervisor, Parks & Landscaping
Enrique Figueredo Kamm, Transportation Engineer
IN-CAMERA SESSION
Motion to move into a Closed Meeting at 6:00 p.m. to address matters pertaining to Section 239 (2) and (3.1) of the Municipal Act, 2001.
A meeting or part of a meeting may be closed to the public if the subject matter being considered is:
Item #1, Report 2018-009-CL, Lay Appointments to the Cornwall Youth Advisory Committee
b) personal matters about an identifiable individual, including municipal or local board employees
Action Taken at In-Camera Meeting: Council appointed two students to the Cornwall Youth Advisory Committee and directed Administration to prepare the
appropriate By-law for the next Regular Meeting of Council.
Item #2, Report 2018-06-FI, Collective Bargaining Update
d) labour relations or employee negotiations
Action Taken at In-Camera Meeting: Council received Report 2018-06-FI and provided Administration with direction.
Moved By: Andre Rivette, Councillor
Seconded By: Bernadette Clement, Councillor
Motion Carried
MOMENT OF PERSONAL REFLECTION
NATIONAL ANTHEM
Assembly
ROLL CALL
ADDITIONS, DELETIONS OR AMENDMENTS
All matters listed under General Consent, save and except “Delegations” are considered to be routine and will be enacted by one motion.
1 Addition of By-law 2018-018 to authorize The Corporation of the City of Cornwall to enter into an Agreement with the Ministry of Economic Development and Growth to administer the Summer Company Program.
2 Amendment to the number of the Confirming By-law from 2018-018 to 2018-019.
3 Amendment to the Unfinished Business Listing by changing the date of March 26, 2018, for Item 2017-22, Bringing University Opportunities to Cornwall.
4 Unfinished Business Item #2, Recruiting Policy and Process, was removed from the Agenda.
5 Consent Item #1, Proclamation of Black History Month, was moved to Communication Item #7 for discussion.
6 Consent Item #3, Petition for Exemption to the Traffic and Parking By-law from the Residents of Sunset Boulevard, was moved to Communication Item #8 for discussion.
**ADOPTION OF AGENDA**
Motion to adopt the Agenda as amended.
Moved By: Carilyne Hébert, Councillor
Seconded By: David Murphy, Councillor
Motion Carried
**DISCLOSURE OF INTEREST**
Councillor Justin Towndale declared a conflict of interest in Communications Item #5, Canadian Register of Historic Places: The Inverarden House and Cornwall Armouries as he has an office in the Cornwall Armouries.
**COMMITTEE OF THE WHOLE**
Motion to go into Committee of the Whole and to consider and refer all Minutes, Presentations, Delegations, Consent/Correspondence, Resolutions, Reports and By-laws to that Committee.
Moved By: Mark A. MacDonald, Councillor
Seconded By: Claude E. McIntosh, Councillor
Motion Carried
**GENERAL CONSENT**
**ADOPTION OF MINUTES**
Motion to endorse the following Minutes as presented.
1 January 22, 2018 Cornwall City Council Meeting
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Moved By: Maurice Dupelle, Councillor
Seconded By: Elaine MacDonald, Councillor
Motion Carried
**PRESENTATIONS**
There were no Presentations.
**DELEGATIONS**
There were no Delegations.
**CONSENT/CORRESPONDENCE**
1 **Proclamation of Black History Month / Mois de l'histoire des Noirs**
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This matter was moved to Communication Item #7 for discussion.
2 **Proclamation of National Cupcake Day**
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Motion to proclaim Monday, February 26, 2018, as "National Cupcake Day" in the City of Cornwall.
3 **Petition for Exemption to the Traffic and Parking By-law from the Residents of Sunset Boulevard**
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This matter was moved to Communication Item #8 for discussion.
4 **Petition for a School Zone at Heart of the Family Day Care Centre**
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Motion to refer this Petition to Administration for Report.
5 **PAC Report No.2 - January 15, 2018 PAC Recommendation - Subdivision Draft Plan Amendment - Minor change to the MC Laframboise Holdings Inc. - Removal of Lapse Date - Subdivision (formerly Brownsdale Holdings Inc.) on Part of the East ½ of Lot 12, Concession 3, (File: 301-04T-2018-01)**
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Motion to endorse the PAC recommendation as presented:
(a) That the Corporation of the City of Cornwall amend the Draft Plan Conditions for MC Laframboise (Brownsdale Subdivision), by removing the March 23rd, 2018 lapse date, specifically line No. 22.
(b) That Council endorse the corresponding Resolution 2018-03
Motion to approve Consent Items #2, 4 and 5 of the Consent portion of the Agenda as presented.
Moved By: David Murphy, Councillor
Seconded By: Elaine MacDonald, Councillor
Motion Carried
RESOLUTIONS / BUSINESS ARISING FROM NOTICE OF MOTION
There were no Resolutions.
UNFINISHED BUSINESS REPORTS
1 Sidewalk Projects Along Charles Street, Grant Avenue, and Surgenor Street
Motion to approve the sidewalk projects along Charles Street, Grant Avenue, and Surgenor Street.
Moved By: David Murphy, Councillor
Seconded By: Justin Towndale, Councillor
Motion Carried
2 Recruiting Policy and Process
This item was removed from the Agenda.
3 Review of the Cornwall Youth Advisory Committee
Motion to receive Report 2018-010-CL for information purposes.
Moved By: David Murphy, Councillor
Seconded By: Maurice Dupelle, Councillor
Motion Carried
COMMUNICATIONS / REPORTS
1 Restricted Acts After Nomination Day known as Lame Duck Periods
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Motion to receive Report 2018-007-CL for information purposes.
Moved By: André Rivette, Councillor
Seconded By: Elaine MacDonald, Councillor
Motion Carried
2 Bill 68 Municipal Act Amendments to the Tax Sale Procedure
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Motion to:
a) receive Report 2018-03-FI for information purposes,
b) authorize the Treasurer to enter into Extension Agreements without Council approval of a By-law as per the Bill 68 update to the Municipal Act, and
c) update the City’s Municipal Tax Registration Policy.
Moved By: Justin Towndale, Councillor
Seconded By: Bernadette Clément, Councillor
Motion Carried
3 Summer Company 2018
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Motion to receive Report 2018-04-PDR-ED, and endorse the corresponding By-law authorizing The Corporation of the City of Cornwall to enter into the Agreement with the Province of Ontario.
Moved By: David Murphy, Councillor
Seconded By: Justin Towndale, Councillor
Motion Carried
4 Public Information Coordinator
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Motion to authorize Administration to fill the position of Public Information Coordinator.
Moved By: Elaine MacDonald, Councillor
Seconded By: Bernadette Clément, Councillor
Motion Carried
Having declared an interest on this matter, Councillor Justin Towndale left the table.
5 Canadian Register of Historic Places: The Inverarden House and Cornwall Armouries
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Motion to defer this report until further information is received from Administration.
Moved By: Maurice Dupelle, Councillor
Seconded By: André Rivette, Councillor
Motion to Defer Carried
Councillor Justin Towndale returned to the ongoing meeting.
6 Ontario Municipal Social Services Association (OMSSA) 2018 Membership
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Motion to nominate Councillor Elaine MacDonald to serve as the Elected Member of the Ontario Municipal Social Services Association to represent the Consolidated Municipal Service Manager for the year 2018.
Councillor Elaine MacDonald accepted the nomination to serve as the Elected Member of the Ontario Municipal Social Services Association.
Moved By: Denis Carr, Councillor
Seconded By: David Murphy, Councillor
Motion Carried
7 Proclamation of Black History Month / Mois de l'histoire des Noirs
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This matter was moved from Consent Item #1 for discussion.
Motion to proclaim the month of February, 2018, as "Black History Month" in the City of Cornwall.
Moved By: Bernadette Clément, Councillor
Seconded By: Claude E. McIntosh, Councillor
Motion: Carried
8 Petition for Exemption to the Traffic and Parking By-law from the Residents of Sunset Boulevard
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This matter was moved from Consent Item #1 for discussion.
Motion to refer this Petition to Administration for report.
Moved By: Maurice Dupelle, Councillor
Seconded By: Justin Towndale, Councillor
Motion: Carried
TENDERS AND REQUESTS FOR PROPOSALS
1 Tender 18-T01 Supply and Delivery of Bedding Plants
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Motion to award Tender 18-T01 to Marlin Orchards & Garden Centre from Cornwall, Ontario, being the best bid meeting the tender specifications, as follows:
Schedule 1 (Bedding Plants) at the total bid price of $13,556.65; Schedule 2 (Hanging Baskets) at the total bid price of $7,588.80; Schedule 3 (Plant Material for Fall Planting) at the total bid price of $2,748.75. All Prices exclude HST.
Moved By: André Rivette, Councillor
Seconded By: David Murphy, Councillor
Motion Carried
2 Request for Quotation 18-Q01 Package A for Tree Services
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Motion to award quotation 18-Q01 be awarded to Davey Tree Expert Company of Canada, Limited, from Ancaster, Ontario, at the total bid price of $35,466.51 (net cost to the Corporation - $31,938.69) being the best bid meeting the quotation specifications.
Moved By: Elaine MacDonald, Councillor
Seconded By: Claude McIntosh, Councillor
Motion Carried
NEW BUSINESS
1 Smart Cities Challenge/Infrastructure Canada
Whereas Infrastructure Canada is offering a Smart Cities Challenge, which is a pan-Canadian competition open to communities of all sizes, to submit project
proposals;
Whereas the Smart Cities Challenge encourages communities to adopt a smart cities approach to improve the lives of their residents through projects that involve innovation, data and connected technology;
Whereas one prize of up to $50 million is open to all communities regardless of size and two prizes of up to $10 million are open to all communities with populations under 500,000 people, and finalists will receive $250,000.00 to develop their project proposal;
Whereas the application process requires that we first engage with residents about the most pressing issues our community faces, and then submit an application by April 24, 2018;
Whereas our City residents have many different talents and new ideas and that this competition could help bring a good idea to life, that will have real impact on our community;
Now therefore be it resolved that City Council request that Economic Development report back on preparing an application to the Smart Cities Challenge.
Moved By: Bernadette Clément, Councillor
Seconded By: Maurice Dupelle, Councillor
Motion Carried
PASSING OF BY-LAWS
Motion to endorse By-laws 2018-013 to 2018-018 inclusive, listed on the Agenda.
2018-013 A By-law to authorize the Administrator of Social and Housing Services to sign the Transfer Payment Agreement with the Ministry of Housing for Social Housing Apartment Improvement Funding
Click for detail --> Explanatory Note 2018-013 Explanatory Note to By-law to authorize the Administrator of Social and Housing Services to sign the Transfer Payment Agreement with the Ministry of Housing for Social Housing Apartment Improvement Funding
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2018-014 A By-law to lift a one foot reserve known as Block 'A', on Plan 330, and name it Kirkwood Street
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Explanatory Note 2018-014 Explanatory Note to By-law naming and dedicating a one foot reserve on Kirkwood Street
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2018-015 A By-law to adopt a Commercial/Industrial Vacant Unit Tax Rebate Program for the City of Cornwall
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Explanatory Note 2018-015 Explanatory Note to By-law to Adopt a Commercial/Industrial Vacant Unit Tax Rebate Program for the City of Cornwall
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2018-016 A By-law to authorize The Corporation of the City of Cornwall to enter into a Licence Agreement with Ontario Power Generation Inc. for lands associated with the R.H. Saunders Generating Station for a ten-year period - for Public park and recreational boat launch (Guindon Park)
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2018-017 A By-law to authorize The Corporation of the City of Cornwall (on behalf of the Glen Stor Dun Lodge-Outreach Department) to approve the Community Accountability Planning Submission (CAPS) for the budget year 2018-2019 with the Champlain Local Integration Network (LHIN)
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2018-018 A By-law to authorizing The Corporation of the City of Cornwall to enter into an Agreement with the Ministry of Economic Development and Growth to administer the Summer Company Program for the term of October 1, 2017 to September 30, 2018
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Moved By: André Rivette, Councillor
Seconded By: Elaine MacDonald, Councillor
Motion Carried
REPORTS FROM STANDING / SPECIAL COMMITTEES OF COUNCIL
1 Councillor Elaine MacDonald extended her appreciation to the Department of Development, Planning and Recreation Services for the success of the recently held Provincial Cheerleading Championship held at the Civic Complex.
2 Councillor Elaine MacDonald reminded Council of the Centre for the Arts
Breakfast on February 13, 2018 unveiling of a digital arts Hall of Fame.
3 Councillor Mark A. MacDonald extended his appreciation to Fire Chief Pierre Voisine for his dedication and hard work with the Fire Master Plan Committee.
4 Councillor David Murphy announced that Councillor Towndale will be celebrating a birthday on Tuesday, February 13, 2018.
NOTICES OF MOTION
1 Cancellation of Council Meeting of Monday, October 22, 2018
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PENDING BUSINESS LISTING
The Pending Business Listing was presented and no discussion ensued.
1 Unfinished Business Listing for February 12, 2018
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Motion to receive the Unfinished Business Listed for February 12, 2018.
Moved By: Carilyne Hébert, Councillor
Seconded By: Maurice Dupelle, Councillor
Motion Carried
CONFIRMING BY-LAW
Motion to endorse By-law 2018-019, being a By-law to confirm the proceedings of the Council of The Corporation of the City of Cornwall at its meeting held on Monday, February 12, 2018.
1 A By-law to adopt, ratify and confirm the proceedings of the Council of The Corporation of the City of Cornwall at its meetings held on Monday, February 12, 2018
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Moved By: Elaine MacDonald, Councillor
Seconded By: Bernadette Clément, Councillor
Motion Carried
ADJOURNMENT
Motion to adjourn the Public Meeting of Council at 8:01 p.m.
The next regular public meeting of Council is to be held on Monday, February 26, 2018.
Manon L. Levesque
City Clerk
Leslie O'Shaughnessy
Mayor |
MINUTES OF THE PLANNING COMMISSION MEETING
Wednesday, December 6, 2017
City Council Chambers
2400 Washington Avenue
Newport News, Virginia
PRESENT: Mark W. Mulvaney, Chairman; Daniel L. Simmons, Jr., Vice-Chairman; Willard G. Maxwell, Jr.; Sharyn L. Fox; Michael F. Carpenter; Lorraine P. Austin; Elizabeth W. Willis; N. Steve Groce; (Staff: Sheila McAllister, Director of Planning; Claudia Cotton, Manager of Current Planning; Flora Chioros, Planning Coordinator; Saul Gleiser, Senior Planner; David Watson, Planner; Johnnie Davis, Planner; Jonathan Herman, Landscape Planner; Brian Pierce, Planner II; Lynn Spratley, Deputy City Attorney; Christine Mignogna, Zoning Administrator; Marc Rodgers, Senior Project Coordinator)
ABSENT: Zachary E. Wittkamp
CALL TO ORDER
Ms. Austin read the Planning Commission’s purpose as stated in Section 15.2-2210 of the Code of Virginia. She made a motion to adopt the agenda before the Planning Commission. Mr. Groce seconded the motion. The City Planning Commission voted to adopt the agenda by acclamation.
INVOCATION
Dr. Maxwell presented the invocation.
MINUTES
The minutes of the November 15, 2017 public hearing were approved as presented.
PUBLIC HEARING
DEFERRED CONDITIONAL USE PERMIT
CU-2017-0016, Coenen Land Ventures, LLC. Owner, Par 5 Development Group, LLC, Contract Purchaser. (Deferred from Planning Commission meeting of November 1, 2017) Requests a conditional use permit to construct and operate a pet care service with outside cages and runs on approximately 2.037 acres located at 12531 & 12533 Warwick Boulevard and zoned C2 General Commercial. The Parcel Nos. are 202.00.14.74 & 202.00.14.78.
Saul Gleiser, Senior Planner, presented the staff report (copy attached to record minutes).
Ms. Fox stated this is a conditional use permit; however, there are some other commercial uses that could go on this site by-right that would be more intensive. Mr. Gleiser stated yes, including a pet service without the outdoor cages and runs.
Mr. Carpenter asked if the evergreen trees in Condition No. 6 would surround both sides of the fence. Mr. Gleiser stated the trees are on the outside of the fence. Mr. Carpenter stated the trees would be a minimum of 8 feet high for screening. Mr. Gleiser stated yes, the trees are specified to be no less than 8 feet tall. Mr. Carpenter asked if the trees would be 8 feet tall at the time of planting. Mr. Gleiser stated yes.
Mr. Mulvaney opened the public hearing.
Mr. Kerry Hutcherson, 9910 Wagners Way, Chesterfield, Attorney for the applicant, spoke in favor of the application. He thanked Planning staff for their assistance. Mr. Hutcherson gave a brief description of the application (PowerPoint attached to record minutes). He stated they held a community meeting and learned some concerns were: what level of animal health and safety care would be provided; what would be done about solid waste disposal; and noise abatement. Mr. Hutcherson stated we have addressed all of these things in the conditions of the conditional use permit. He stated that, in terms of the number of pets on-site, the capacity is for 200 animals but only 162, including both canine and feline, would be boarded or staying there for daycare. Mr. Hutcherson stated the other 38 animals would be there for a shorter period as they are waiting to be groomed or picked up by their owners. He stated the quarters are designed to be very comfortable for these animals and the amount of attention they get from the PetSuites employees is frequent throughout the day. Mr. Hutcherson stated the whole idea is to make this a comfortable and positive experience for the animals, with lots of opportunities to socialize and get lots of exercise. He stated only dogs would be going outside. Mr. Hutcherson stated we have a two-pronged approach for addressing noise abatement. He stated one is the operations of the PetSuites in terms of limiting the time during the day where dogs would be outside and the populations of dogs outside so that we can prevent excessive noise through those operational standards. Mr. Hutcherson stated for any noise that is unpreventable, we will address that through acoustical screening mitigation. He stated the pet play area would be the only area where dogs will be outside playing. Mr. Hutcherson stated the acoustical fence would go around that play area, surrounded by dense landscaping and additional landscaping along the northern boundary of the property to address an adjacent neighbor’s concerns. He stated we also moved our dumpster location and put in some additional landscaping screening there to address that same neighbor’s concerns.
Mr. Joe Bridger, 7330 Chapel Hill Road, Raleigh, North Carolina, Acoustical Engineer for the applicant, gave a brief overview of his qualifications. He gave a brief explanation of the Decibel Scale. Mr. Carpenter asked how the decibel level for traffic is being measured. Mr. Bridger stated the Virginia Department of Transportation (VDOT) has traffic counts for every major section of the road, including how many cars are traveling
per day, the mix of vehicles, etc. Mr. Bridger stated that from the VDOT data, we can calculate the sound level at different distances from that road, at that section.
Dr. Maxwell stated the main thing people want to know is how much louder would the dogs be than the roadway or the other outside noise. Mr. Bridger stated it would be about the same. He stated we looked at that specifically in our study. Mr. Bridger stated we looked at both 24 hour average levels and individual events, such as dogs barking, versus the roadway noise and we found that the key locations were at the same levels at the closest neighbors, with the mitigation in place that we discussed. Mr. Hutcherson stated we took a facility in Charlotte that operates the same way this one will, and this is why it is important that there are standards across the board for PetSuites so that they all operate similarly. Mr. Hutcherson stated by getting the data from the Charlotte site we can say “we know based on how a typical PetSuites site operates, this is what we would have on this site.”
Ms. Fox asked how many of these dog barking study reports has Mr. Bridger completed. Mr. Bridger stated that, unfortunately dogs barking is a common concern for a lot of places, and in North Carolina he has done a lot of facilities where they propose an outdoor place or an indoor place where they want to make sure they have real strict requirements and that everything is being contained.
Ms. Fox asked what is the level of complaints that go with the operation of a PetSuites.
Mr. Chris Bishop, 3565 Niagara Carthage Road, Carthage, North Carolina, Project Manager for Par 5, stated there have not been many complaints. He stated often when we visit the sites, because of the operation and how they manage their animals, you do have a spike of moments when the dogs are first released into the play areas when you may have significantly more noise, and it reduces as the dogs play and are active within the area. Mr. Bishop stated he called facilities in Ohio and Georgia to get an understanding of how the operation existed and to determine what are the issues they experience and how they are managing them. He stated there have not been significant complaints about the dog noise coming from the facility.
Dr. Maxwell asked if the dog barking would be louder than the noise from the adjacent roadway, and if so, how much louder would it be. Mr. Bridger stated the highway noise was calculated to be 55.8 decibels. Mr. Hutcherson asked if we did not put any sort of mitigation measures in place at the PetSuites facility, what would the decibel level of barking dogs be at the apartments. Mr. Bridger stated it is about 65 decibels. Mr. Hutcherson stated we need a 10 decibel reduction to be at the roadway decibel level.
Mr. Mulvaney stated decibel levels are one component that the human ear hears, but we are dealing with different frequencies. He asked what about different frequency levels. Mr. Mulvaney asked is there a difference between traffic noise and dogs barking or will it be the same noise frequency. Mr. Bridger stated yes, they do not sound the same. He stated you can compare numbers without getting too detailed on frequencies,
but the overall levels during events when they are happening are about the same, with the mitigation measures in place.
Ms. Austin asked if the roadway level is at 55 decibels and she is walking past PetSuites and the dogs have just come outside and they are barking, would she hear it along with the noise from the roadway. Mr. Bridger stated yes, you would hear both. Mr. Mulvaney asked why you would hear both if they are at different frequencies. Mr. Bridger stated because they are two different sources. He stated if a dump truck drives by, you know it is a dump truck versus when a motorcycle goes down the road. Mr. Bridger stated they may sound the same to your ear but you know they are two different things and two different sounds. He stated one of the important things to note is the roadway noise is what we call a “line source” where instead of having one car, you have a lot of cars up and down the road. He stated the way the sound dissipates with distance is very different. Mr. Bridger stated you have to get far away before it makes a significant drop off, whereas point sources, such as dogs or humans, dissipates more quickly when we get twice as far away.
Ms. Fox stated what we have here is a situation where the dogs are going to bark and you will be able to hear them at certain times. She stated we have all been to Dean and Don’s Farm Market and heard the dogs across the street bark with traffic on Warwick Boulevard, but the applicant has done everything they can to mitigate the impact that is going to be caused by the dogs barking. Mr. Hutcherson presented “before and after” sound mitigation diagrams in the PowerPoint presentation (attached to record minutes).
Mr. Carpenter asked if you are at 54 decibels at the building, is 60 decibels conversation level. Mr. Bridger stated yes.
Mr. Groce asked if you have an audible signal of 60 decibels and the acoustic absorption material inside the fence is installed, what would be the decibel reduction. Mr. Bridger stated the main thing you want is to block the sound and keep it from going through the fence, thereby forcing it to go over the top of the barrier. He stated it is important, which is why we have plans in place to make sure there is absorbent material. Mr. Bridger stated it should cut down 10 decibels. He stated the barrier and the absorption properties of those materials are also reducing sound on that surface by about 10 decibels.
Ms. Austin asked if there will be any sound treatment on the building side of the outside barrier. Mr. Bishop stated the design of the building helps to reduce noise. He stated if you visit a PetSuites facility, you do not hear dogs barking when you are outside until you come to the front door, you are in the parking lot, or you are walking on the sidewalk to the front door. Mr. Bishop stated the material of the building from the exterior is split-faced stone and block, which has an absorptive property, goes around the entire portion of the building. He stated we are also adding the fence and landscaping, all of which absorb that noise.
Mr. Mulvaney asked if you have the sound deadening material in the back, but sound will be increased because it is reflecting off of the exterior wall of the building. Mr. Bridger stated we are still finalizing a product choice, but we are looking at either perforated metal acoustical paneling or an acoustical CMU which has the slots in it and has a material in the middle which absorbs sound. Ms. Austin asked if that would be something other than the split-faced stone and more of a concrete block with something inside of it. Mr. Bishop stated we will still have the split-faced stone, which will already absorb the noise. He stated the dog play areas also have a slight overhang so even if the sound is reflected back to the building, some of that will be captured by that overhang and sent back down into the dog play area. Mr. Bishop stated in addition, the dog play area currently has covered areas with a solar type-fabric that will also reduce that noise. He stated once we actually get this facility up, if we need to add more, we can consider it, but at this point, based upon the study, we are going to attenuate most of the noise coming from the site within the 10 decibel range.
Ms. Austin asked where the additional sound proof material would be. Mr. Bishop stated the source of the noise is coming from a knee wall level of 36 inches and the noise would be coming from a much lower level. Mr. Bridger stated we were talking about the need to make sure we can get to the 10 decibel absorption material on the exterior of the building to prevent the noise buildup.
Mr. Carpenter asked if the wall itself will lower the sound by 10 decibels. Mr. Bridger stated yes. Mr. Carpenter asked what happens with the sound that goes over the wall. Mr. Bridger stated the sound that goes upward follows that trajectory and it is the diffraction of the edge of the fence that limits that sound by 10 decibels. He stated it dissipates with distance.
Mr. Mulvaney closed the public hearing.
Mr. Tommy Garner, 635 Snug Harbor Lane, spoke in opposition to the application. He stated he was born and raised in Newport News, he is pro-business and loves dogs and cats. Mr. Garner stated he owns the property next door, which is his air conditioning and heating business which has been located there for 17 years. He stated next door to his location is Davis Mason, a remodeling contractor. Mr. Garner stated he has apartments upstairs, some of which have been there since the building was built and some were added. He stated the first floor ceiling level of the building is at 10 feet and the proposed sound fence is at 8 feet. Mr. Garner stated his concern is there is a 2 foot height difference and he has bedroom windows all the way down the side of his building that face the proposed property, so if dogs are barking or other noise, you will hear that at certain times. He stated he understands the operation hours, but the tenants in his apartments have different work shifts and some of them sleep during the day. Mr. Garner stated the neighbors at Wellesley Place, which is mostly elderly, nap regularly in the afternoon and dogs barking would be annoying. He stated noise has been a major concern. Mr. Garner stated if a dog barks, you can hear it and multiple dogs barking is annoying. He stated shopping at Dean and Don’s Farm Market, with six lanes of traffic
going back and forth, you would still hear the dogs barking within the store. He stated he called the city and asked questions and got all of the information he could. Mr. Garner stated he also researched the sound fence and it is a good fence, and reduces the noise through it; however, he is concerned about the noise going over the fence. He stated it would affect the neighbors on each side of the site and all around them. Mr. Garner stated it would devalue his property because he would not be able to rent his apartments with dogs barking at different times of the day. He stated the Planning Commission has to ensure the welfare and health of everyone around us. Mr. Garner stated he is concerned about the smell. He stated he knows they moved the dumpster and he thanked the applicant for that because it was approximately 25 feet from his shop door. Mr. Garner stated he knows the applicant would be handling plastic bags and he has seen people put plastic bags in the dumpster and the bag busted. He stated it did not have dog waste but it did have trash from his facility. Mr. Garner stated if you know what your trashcan smells like in the middle of July, you can imagine what the dumpster the applicant would have would smell like in the middle of July. He stated he wants Mr. Coenen to sell his property because he does not want to be judgmental on what goes there. Mr. Garner stated the applicant is welcome to do a sound study at his home, where he has a two-story brick house and two boxers who run out back. He stated if they want to hear barking they can stand at the mailbox about 150 yards down the street.
Ms. Fox asked if Mr. Garner’s apartments are located in the commercial zoning. Mr. Garner stated yes. He stated there are four doors and each apartment faces the proposed property.
Mr. Groce asked if there was anything about the sound analysis that was done that would change Mr. Garner’s mind. Mr. Garner stated the sound analysis was based on an 8 foot perimeter. He stated he hired an acoustic engineer and asked him to calculate the decibel rating over the 8 foot fence, he guarantees there would be a difference of opinion. Mr. Garner stated one dog barking is annoying but when you have a pack of dogs barking, that is what they do.
Mr. Kyle Jett, 213 Maxwell Lane, spoke in opposition to the application. He stated he is a business owner at Argon Windows, located at 12537 Warwick Boulevard. Mr. Jett stated he has clients coming in regularly to look at his showroom and he has concerns about the noise level between 8:00 A.M. and 6:00 P.M. because that is when he operates. He stated he knows they have done some studies on the noise level but he still has concerns. Mr. Jett stated one day he was meeting with a client and there were kennels nearby with about 20 dogs and all he could hear was the dogs. He stated he could not hear himself think or his client speak over the barking. Mr. Jett stated he knows there are some differences with buildings and things like that, but dogs are dogs, and when they get together they are going to bark and make a lot of noise. He stated it is a major concern. Mr. Jett stated another concern he has is about parking. He stated there could be up to 200 dogs at the facility at any time. Mr. Jett stated he is concerned about overflow parking blocking the parking lots next door. He stated another major
concern is if something happens similar to Coastal Dog Services where people are protesting on the sidewalk outside of our businesses.
Ms. Willis asked what kind of wall did the kennel have that he visited. Mr. Jett stated it was mostly concrete and not what the applicant is suggesting. He stated he knows the circumstances are different, but if you could tell it was 20 dogs barking, can you imagine having 60 or 80 or 100 dogs out at a time. Ms. Willis stated not all of the dogs would be out at the same time. She asked if Mr. Jett meets his clients in the parking lot. Mr. Jett stated sometimes he goes out to greet them. Ms. Willis asked if he discusses things with his clients outside. Mr. Jett stated no, but initially when you meet someone for the first time it is important to hear them speak.
Mr. Mulvaney stated he keeps hearing a reference to 200 dogs. He stated the facility can host 200 animals, not 200 dogs. Ms. McAllister stated yes, it is 200 animals, not specifically dogs.
Mr. Brian Cooke, 410 Chadwick Place, spoke in opposition to the application. He stated he is employed at Sea Technology which is in the same building as Argon Windows at 12537 Warwick Boulevard. Mr. Cooke stated he feels this kennel will create excess noise at his facility. He stated he used to get his hair cut next to Coastal Dog Services. Mr. Cooke stated Coastal Dog Services was a very small facility in comparison to the proposed facility. He stated when he was there to get his hair cut you could definitely hear the dogs bark and it was annoying. Mr. Cooke stated he feels the dog barking would affect their everyday business with excess noise. He stated when dogs hear sirens a lot of them bark and howl and make a lot of noise. Mr. Cooke stated Warwick Boulevard is a roadway for the route to the hospital for ambulances and funeral processions. He stated there are a lot of sirens that are going to be on the main thoroughfare agitating the dogs and contributing to their barking. Mr. Cooke stated based on the noise concerns, he is opposed to this application.
Ms. Chrissy Garner, 635 Snug Harbor Lane, spoke in opposition to the application. She stated she and her husband, Tommy Garner, own two businesses and the property they are on, as well as the apartments above them, as he previously said. Ms. Garner stated she is opposed to this project because of the potential noise and odor and the same reasons everyone stated. She stated she shopped frequently at Dean and Don’s Farm Market and she has never gotten out of her car and not heard incessant barking, so she can only imagine how bad it will be when it is right next door for her tenants in her apartments. Ms. Garner stated it does not seem fair. She stated for those reasons she is opposed to the project. Ms. Garner stated she thinks it is a great concept, but it is the wrong location.
Dr. Maxwell stated he is not from Newport News and asked if there was more soundproofing at the proposed facility than Coastal Dog Services. Mr. Groce stated Coastal Dog Services has a chain link fence and no wall, so you are going to hear the dogs bark. Ms. Willis stated Coastal Dog Services has been shut down because it was
not managed properly and the animals were not taken care of properly. She stated they did not have set times to play so animals were left outside and barked incessantly. Ms. Willis stated it is not run the same and is a totally different business. She stated this facility has soundproofing with the wall and the bushes and things are planned that were not being done at Coastal Dog Services. Mr. Carpenter stated Dean and Don’s Farm Market is across the street from Coastal Dog Services and the point that has been made is “even when I am at Dean and Don’s and there is traffic back and forth on Warwick Boulevard, I can still hear the dogs barking across the street and hear them barking louder than the traffic.” He stated we were using the traffic as a benchmark earlier.
Ms. Lauren Jett, 213 Maxwell Lane, is opposed to the application but did not speak on the matter. She stated her concerns have already been stated.
Mr. William H. Ferguson, 23 Indigo Dam Road, spoke in favor of the application. He stated he works with Harvey Lindsay Commercial Real Estate. Mr. Ferguson stated Harvey Lindsay is the firm that did the marketing plan for this property. He stated the property was on the market for about a year. Mr. Ferguson stated they went after the usual suspects such as Wawa, 7-Eleven and all of the fast food chains. He stated for one reason or another the property was either a little too large or a little too expensive. Mr. Ferguson stated we had some offers such as self-storage, but they would pay one-third less and have no employees. He stated we had another offer for a gas station/car wash. Mr. Ferguson stated he and the owners sat down and discussed which would be a better project between the gas station/car wash and PetSuites. He stated they looked at National Veterinary Associates (NVA) and they are an amazing company. Mr. Ferguson stated there is a huge consolidation going on in this business and they are the world’s best pet care company. He stated we did that research because we want the right thing to come to this neighborhood. Mr. Ferguson stated unlike some of the other properties along Warwick Boulevard on this block, we are a conforming use and some of these other properties are not conforming uses. He stated the owners have by-right use for the pet facility and the Planning Commission makes sure they mitigate the problems that come with it. Mr. Ferguson stated PetSuites is a conforming use and NVA is the strongest, most financially capable pet services company in the world. He stated that is important and he urged that the Planning Commission approve this application.
Ms. Angie Broom, 22 Center Street, spoke in favor of the application. She stated she is a citizen that has lived in the Glendale area for approximately 17 years and she has a small pet and neighbors with small pets and we have issues, not only with taking our animals to be groomed in the area, but also boarding them in a safe, comfortable place. Ms. Broom stated it would be nice to have PetSuites as a neighbor, with a location that would not only accommodate boarding but also grooming and daycare.
Mr. Dominic Velardi, 403 Pin Oak Road, spoke in opposition to the application. He stated he is also speaking in opposition to the application on behalf of Ron Carrithers.
who owns the building at the corner of Wellesley Drive and Warwick Boulevard. Mr. Velardi stated it is the three-story building just south of the proposed facility. He stated he is a business owner and he is pro-business but he wants to speak against this proposal. Mr. Velardi stated Mr. Carrithers has had his building for about 18 years and it will be greatly impacted by the noise associated with this facility. Mr. Velardi stated they mentioned they can handle 162 animals, and 130 of them will be dogs. He stated dogs bark and there is a great noise concern. Mr. Velardi stated he has heard the comments made in reference to the graphs displayed about the sound and distance but he would like to share some personal experiences with the Planning Commission. He stated he owns two golden retrievers and he can attest to the amount of waste that they produce in a weekly time period. Mr. Velardi stated he can only imagine multiplying that waste by 65 put in a dumpster in July. He stated his business is located on Route 17 in York County and over 1,000 feet away from his business is a dog overnight facility. Mr. Velardi stated he gets to work at 6:30 A.M. He stated traffic on Route 17 is fairly heavy pretty much all of the time and he hears those dogs bark every day. Mr. Velardi stated he does not know how many dogs there are, but you hear them over 1,000 feet away. He stated he saw the sound and distance charts presented by the applicant and he chuckled to himself because his personal experience has not been what was shown. Mr. Velardi stated he thinks the business itself seems like something that would be usable, but as Ms. Garner has stated, certainly not in this particular location.
Ms. Willis asked what kind of fence is around the dog overnight facility 1,000 feet away from Mr. Velardi’s business. Mr. Velardi stated that facility is located on the far side of a concrete building, plus across the street from his building is a two-story 45 foot tall building which should be his buffer, as well as several pine trees. Ms. Willis asked if Mr. Velardi knows what type of schedule they use with their animals. Mr. Velardi stated no but he knows they bark between 6:30 A.M. and 7:00 A.M. and you hear it over the noise of Route 17. He stated Route 17 is fairly loud but it is almost like white noise or background noise, and you still hear the dogs barking. Mr. Velardi stated he is not against dogs, he has two of them. He stated they like to bark at the dogs on the adjoining property to his house and it is obnoxious. Ms. Willis asked if the level of barking hurts Mr. Velardi’s ears or is it just hearing them in general. Mr. Velardi stated the dog barking is its own distinct sound and it is obnoxious. He stated he imagines that if he were as close as some of the adjoining property owners he would be very disturbed by it. Mr. Velardi stated to keep in mind that if this application goes through, you cannot readdress it after the fact, but there will be some noise issues regardless of the baffling and sound barriers. Ms. Willis asked if Mr. Velardi can hear the dog barking inside his building. Mr. Velardi stated he hears it in his building because his office is on the side that is closest to the facility 1,000 feet away.
Ms. Jaqueline Black, 51 Wellesley Drive, spoke in opposition to the application. She stated she is the property manager for Wellesley Commons apartments and she works for Community Housing Partners Corporation. Ms. Black stated she thinks it has been overlooked that there are many buildings in that general area that are housing buildings, and specifically, Wellesley Commons apartments is a senior only property. She stated
we only take the elderly and sometimes we have sick people. Ms. Black stated a lot of the residents do not get out and do not drive. She stated there will be a wall for a sound barrier but Wellesley Commons apartments is three floors. Ms. Black stated we are next to Pinecroft apartments, but across the street is Hidenwood, which is a retirement home. She stated she believes the tenants are entitled to their peace and enjoyment of the property and she cannot image what that is going to do to her business, to lose their tenants because they are not going to put up with it. Ms. Black stated her tenants do not even put up with it if someone is walking around on the floor above them because they are very sensitive to noise. She stated she thinks this is going to be detrimental to them.
Mr. Mulvaney stated he has no further cards on this matter, but wanted to enter into the record the letters received by Virginia S. Chappell, James Seider and Steve Seider; Patricia Higgins; and Brian Lieberman (copies attached to record minutes).
Mr. Hutcherson stated there were a number of people who were concerned about this use, and there was one gentlemen who stood up and talked about the by-right uses that could occur here without a conditional use permit. He stated one of the by-right uses for this property in the C-2 district includes a micro craft brewery with outdoor activities, which would be pretty loud, and that can happen without us coming back to the Planning Commission or City Council. Mr. Hutcherson stated some types of nightclubs can be permitted that would also produce noise. He stated we will be a lot quieter than that because we are going through this conditional use permit process and we are addressing some of these concerns. Mr. Hutcherson stated there were a few people who talked about concerns with the smell. He stated the conditional use permit is required for us to have the outdoor activities, but the smell from the disposal of waste in a dumpster could be happening if this was a permitted by-right use, keeping all of the animals indoors. Mr. Hutcherson stated that is going to exist regardless. He stated we have made every reasonable effort to reach out to the community here through working with city staff, talking to Planning Commissioners, sending letters to the land owners in the area and inviting them to a community meeting so we could talk. Mr. Hutcherson stated we have spoken with some of the adjacent land owners directly and none of the people who came here and spoke in opposition today were at our community meeting. He stated they all came just to voice concerns here, but we would have been happy to listen to them before this meeting and try to work something out. Mr. Hutcherson stated we have really made every effort we possibly can to address these concerns and the people who came today have not made their effort to come and work with us. Mr. Mulvaney stated this is a public forum where citizens have the opportunity to come. He stated they may not have been available for the other meetings, but the fact that they have come here today shows that they are interested and concerned, and we do not take it lightly that they have come out. Mr. Mulvaney stated whether they came to the public meeting or they came to the public hearing, it is important all the way around.
Mr. Simmons stated this is a great opportunity for the city of Newport News, but at the same time we need to be cognizant of our existing business owners and existing
residents. He stated his concern is the noise levels. Mr. Simmons asked if there has been consideration of making it an indoor play facility or maybe doing something a little higher with the fence to address some of the concerns with the noise. Mr. Simmons stated he heard none of the residents today showed up at the community meeting; however, this is still an opportunity at a public hearing for them to express their concerns.
Mr. Richard Vincent, 130 Short Road, Pinehurst, North Carolina is the President of Par 5 Development Group. He stated we have internal play yards within the building. Mr. Vincent stated there are a lot of small animals we like to call handbag dogs that may be a little too intimated to play outside with the larger animals. He stated there are internal play yards were those animals can play inside. Mr. Vincent stated there are two large internal play yards, so the entire facility is not lined with kennels. He stated you may have rain outside. Mr. Vincent stated there are people paying money to have their dog boarded, played with and stimulated, and they want that animal to come home fatigued and happy. He stated we have those play yards so we could match all seasons of the year. Mr. Simmons stated that answers a portion of his questions. He stated he is not asking for a reduction in the size of the outdoor facility, but looking at another type of material to help encapsulate or enclose it, maybe with a different type of lighting or glass covering to help reduce the decibel level. Mr. Vincent stated that is a fair question but there are two things that make that cost prohibitive, not just for us but for the client. He stated Newport News, especially along Warwick Boulevard, is esteemed real estate that holds good value, so we do have a budget within which to work. Mr. Vincent stated PetSuites, as an organization, is going to commit to 20 years of a designated rent, they want to be absolutely certain that they are going to be profitable and sustainable for the entire 20 years. He stated they are not going to make a commitment and come in over budget if they are not 100 percent certain they meet those profit expectations. Mr. Vincent stated as far as some of the questions raised, you hear 162 dogs and your immediate reaction is panic, but the by-right use here, the actual kennel facility, can take 162 dogs. He stated what we are talking about is the outdoor play yard, and there will not be 162 dogs in the outdoor play yard. Mr. Vincent stated he fully respects small business and we want to be an asset to the community and have everyone be a customer of this facility. He stated business is only successful when you can invite a whole community and the ultimate referrals that bring in additional business. Mr. Vincent stated to say there will be 162 dogs barking across the street is simply not true. He stated what we have done, by qualifying the play time, is try to diminish that effect, so on average you have play groups and play time for 25 dogs. Mr. Vincent stated at most, you are going to see 50 dogs outside. He stated he was a layperson two years ago until he started working with PetSuites. He stated we had to educate ourselves on the company process so we could buy into the company. Mr. Vincent stated when you go to these facilities, you release the dogs and initially there is two to five minutes of the dogs running around and playing, they are excited and their tails wagging, and five minutes later they are exhausted and laying in the shade. He stated that barking is not two hours of solid barking. Mr. Vincent stated operationally, what makes PetSuites different is the dogs cannot see the road. He stated they do not see bicyclists or
anyone walking. Mr. Vincent stated he keeps hearing about these other facilities with chain link fences but that is night and day. He stated what we have here is an 8 foot distraction that dogs cannot see through, so they do not have the external stimuli that revs them up. Mr. Vincent stated beyond that 8 foot fence, you have additional landscaping, and additional landscaping at the edge of the property line. He stated it is not with 3 to 4 foot high trees, but 8 foot high at planting. Mr. Vincent stated there will always be two staff members outside in a play group with spray bottles and mist. He stated if the dogs get boisterous they get separated or brought inside, so there is almost a time-out, and very quickly, the dogs learn. Mr. Vincent stated what makes PetSuites different is the 20 year parent history of the NVA in hospitalizing and care for the animals. He stated you are not going to just take your dog there and pick him up, it is almost like school for your child. Mr. Vincent stated you want your dogs to come back a smarter dog, better trained and well behaved. He stated there are a lot of operational things that make it unfair to compare this entity to another entity where someone else had a previously bad experience. Mr. Vincent stated that is the same way we looked at this two years ago before we got involved with PetSuites. Mr. Vincent stated operationally, there are huge differences between this organization and others, and he thinks we have demonstrated that through the 20 plus years at NVA, whose sole reason for forming PetSuites is because they are a hospital veterinary provider, they care for and love animals. He stated this is an expansion of that same company motto and business plan. Mr. Vincent stated almost every other household has a dog, a cat or a pet. He stated if you look at the apartments, from our research online and polling the apartment buildings and their websites, they all allow dogs. Mr. Vincent stated there are four apartment buildings directly west of our property, including the apartment building that was mentioned that allowed two dogs per unit. He stated if you tally up those 4 apartment buildings, that is 1,130 potential dogs. Mr. Vincent stated they are not going to have 1,000 dogs, but there is potential for 1,000 dogs. He stated that same argument is being used against us saying we have the potential to have 162 dogs in the play yard, which is not the case because it is not their business practice and our proffers show that we are not allowing that because we have restricted group play. Mr. Vincent stated he has a boxer and Australian shepherd who sleep in bed and are basically family members, not pets. He stated he does not know of anyone who has an outdoor dog box anymore. Mr. Vincent stated they are sleeping on our sofas, are part of the family and the kids love them. He stated they vacation with them. Mr. Vincent stated but if you left two boxers outside at midnight, they are going to bark all night because they want to come into the house. He stated our facility closes at 8:00 P.M. Mr. Vincent stated two boxers in a residential neighborhood with an owner, where they do not have a restriction on when they have to bring those animals in, could be substantially louder than PetSuites because our facility closes at 8:00 P.M. He stated we even have a proffer to say that no dogs are outside beyond 6:30 P.M. as far as group play. Mr. Vincent stated he feels like there is an educational piece and this is a public form. He stated we love the fact that communities show up and get involved. Mr. Vincent stated Par 5’s background in Newport News extends almost a decade of building other commercial projects. Mr. Vincent stated he was available for additional questions and ultimately wishes to get the buy-in from the community so they can support this project.
and they can have a successful asset where pet owners and pet lovers can bring their animals.
Ms. Austin stated there are a lot of other PetSuites locations. She asked what are the typical land uses that surround them. Mr. Vincent stated 99 percent of the time it is exactly this. He stated it is a by-right kennel or it is a special use. He stated a lot of the time it is rezoning from something else, not for the kennel use, but for an outdoor play yard. Ms. Austin asked what about residential neighbors. Mr. Vincent stated in Atlanta, there is residential that abuts the property. He stated the reason PetSuites chose this location is that a lot of boarding facilities are off the beaten track, lower land costs, behind airports and noisy areas, but it is not convenient for the community. Mr. Vincent stated this is a place where your primary customer, your community lives. He stated they go to work, they drop their animal off, they come home and pick up their animal. Mr. Vincent stated it is such a homey traffic corridor, which is why PetSuites selected this location. He stated he heard the comments saying “we love the idea, we love the concept and everything about it, but it is the wrong place.” Mr. Vincent stated it is very different when you have to drive 30 minutes in the opposite direction to drop off your animal.
Ms. Austin asked what are the peak times of people dropping off and picking up their animals. Mr. Vincent stated every area is different. He stated there is a lot of shift work in this area, so Newport News may be slightly different, but for the most part it is the morning, anywhere from 6:30 A.M. to 9:00 A.M. Mr. Vincent stated the pickup usually starts around 3:00 P.M. all the way through to 8:00 P.M.
Ms. Austin asked how many animals are in residence overnight for a period of time, and how many are picked up daily. Mr. Vincent stated there is a boarding component and the daycare component and then the spa component. He stated the spa component may be 10 percent or 5 percent some days. Mr. Vincent stated a lot of people like to take their dog and have the spa treatment done after an extended stay. He stated for instance, they go on vacation on the 4th of July and come back and get their dog groomed the last day before they pick him up and take him home. Mr. Vincent stated as far as day boarding, it is usually 50/50. He stated day boarding may have 40 to 50 percent, but people come as a play date. Mr. Vincent stated you go to work, drop the dog off, the dog gets socialized, played with, and then your dog comes home rested. He stated the other 40/50 percent is overnight boarding. Mr. Vincent stated very seldom will you find 130 dogs staying overnight. He stated there are only a handful of days a year were that would happen, such as Thanksgiving, 4th of July and other major holidays. Mr. Vincent stated it is the same thing for the VCA Boulevard Animal Hospital up the street. He stated we called before Thanksgiving and there was a waiting list of more than 10 people to get their dog boarded for Thanksgiving weekend. Mr. Vincent stated they have a capacity of 28 and could expand approximately 12 outdoor kennels. He stated those weekends you can expect a waiting list and we expect full capacity those weekends, but the rest of the year you are going to have a blend between day boarding and overnight stay.
Ms. Austin stated there is a picture of a loading area on the site plan. Mr. Vincent stated that is turnaround room for a fire truck, as a safety concern.
Ms. Austin asked what kind of deliveries PetSuites would have. Mr. Vincent stated nothing larger than a pickup truck. He stated we would get bin liners, sanitation and cleaning supplies, which would be no more than the business next door and far less than a restaurant because they do not keep any product on hand. Mr. Vincent stated PetSuites is not a merchandiser and there is almost zero retail product that gets sold here other than a couple of knick knacks, collars and chew toys.
Ms. Austin asked if people have to bring their own pet food. Mr. Vincent stated yes.
Ms. Austin asked how often the trash would be picked up and the dumpster emptied. Mr. Bishop stated we will make arrangements to have the trash removed accordingly. He stated they will look at their operation and how much waste is produced. Mr. Bishop stated at minimum, it will be picked up once a week, but it will be increased if there is an increase in refuse. He stated that is a relationship they will have with the refuse waste facility. Ms. Austin asked if pickups might be increased during the summer. Mr. Bishop stated we can increase the pickups. He stated, as a reminder, we are not talking about a standard dumpster with a top, which does not create a complete seal, but a dumpster with a top that seals. Mr. Bishop stated when restaurants drop their food that is not consumed in the back, it sits baking in the sun similar to the refuse from animals. He stated it may not smell exactly the same, but the point is it is managed by the container itself. Mr. Bishop stated with PetSuites operations and how they conduct their business daily, that container will always remain closed.
Ms. Austin shared her thoughts on redeveloping the site plan, including creating a one-way driveway loop, shifting the building and creating an atrium in the center as an outdoor play area. She stated this would be a solution for this location and maybe for a lot of others as PetSuites grows. Mr. Vincent stated in an ideal world, that is what we would do if there was no budget. He stated PetSuites, as an operation, the way they can be most efficient and continue to give a consistent uniform product so that if someone boards their dog in Marietta, Georgia or they board their dog in Chesapeake, Virginia, and they go on vacation in Newport News, they know exactly what that facility is going to be like because they are consistent with the same reception area, same layout, and same way the kennels flow. Mr. Vincent stated from an operational side, this is what they have found to be the most useful allocation of space, shrink the size of the building, have the correct amounts of kennels, and the right play yard to take care of the percentage that comes from day boarding and spa. He stated we would love that creative purview but for them it is a science they have had for 15 years in practice. Mr. Vincent stated this is their prototype. Ms. Austin stated this might be a time when you might want to think of a different concept of the shape of your building and a new prototype here in Newport News that could be a future option for use in different locations where similar issues are being raised.
Mr. Mulvaney stated that is very creative, although it is not in our purview to change the layout, he thinks it was great layout.
Mr. Vincent stated we appreciate the question, unfortunately we do not have that authority.
Dr. Maxwell stated he needed answers in layman’s turns. He stated he takes being a Planning Commissioner very seriously because everything that comes to the city is pretty much filtered through the Planning Commission, so he definitely does his due diligence each and every time. Dr. Maxwell stated the applicant did a great job presenting. He stated he is familiar with PetSuites because he used to live in Atlanta and a lot of his colleagues took their dogs to the facility. Dr. Maxwell stated it really is a high class facility and he likes the wall and buffers that shield the sound. He stated they are doing a lot in order to keep the sound shielded. Dr. Maxwell stated he cares about the community and its citizens. He stated he was worried about the noise and that is why he did his due diligence on acoustics and asked questions.
Dr. Maxwell made a motion to recommend approval of conditional use permit CU-2017-0016 to City Council with conditions. The motion was seconded by Ms. Fox.
Ms. Fox stated this was a very difficult project for all of us on the Planning Commission. She stated there are some impacts associated with dogs barking. Ms. Fox stated we all know that. She stated one of our charges is to make sure that the due diligence is done and adequate nuisance prevention measures have been taken. Ms. Fox stated she thinks in this instance that they have and there is nothing we can do to fully mitigate the sound of the dogs barking. She stated in the long run this is a good project for the city and she thinks it is a good business and it is a commercial property.
Ms. Willis stated she went to Norfolk and visited four different animal day cares. She stated her concerns were the smell and she wanted to smell trash cans for herself. Ms. Willis stated these were facilities not as well known as PetSuites, they were individually run. She stated they were able to keep the smell of the garbage down and it did not smell like the back of a restaurant or anything like that. Ms. Willis stated two of the facilities did have animals outside and used chain link fences. She stated at one facility the dogs never barked while she was there and at the other one, the dogs were in an open kennel in and out all day long whenever they felt like it. Ms. Willis stated when she pulled up they saw her and barked at her until they got out and started talking to the owner. She stated that while they were in the facility, the dogs barked because it was something new and once when we were inside they stopped barking. Ms. Willis stated it was very much the stimulus which made the animals bark, so she did not feel that they were barking constantly. She stated the comparison to Coastal Dog Services is an unfair comparison because it has been shown that the owner did not have the best business model or plan for a daycare of that type on a couple of different levels. Ms. Willis stated it was not done correctly. She stated the other daycare in another neighborhood, the dogs were not outside but she talked to people who lived in the
neighborhood surrounding the facility and one lady lived right across the street and said she did not have any problems and did not hear the dogs bark and it was not offensive to her; however, the other people said they heard the dogs if they concentrated on it. She stated those people lived two blocks away, and that facility was in a neighborhood. Ms. Willis stated she thinks there is a market for what they are offering, and the people of Newport News would like to have a competent facility in which to put their animals. She stated she does understand that some people do not like the sound of barking dogs, she does think it would be a good neighbor and they have gone above and beyond to help mitigate the sounds as best they can.
Mr. Carpenter stated he thinks this project has a lot of good merits. He stated he likes to see properties being reused in the city and this is clearly that. Mr. Carpenter stated he likes that they are bringing 15 new jobs to the city. He stated it was mentioned that the tax revenues to the city would go up, which is also a plus. Mr. Carpenter stated that, at the same time, he would liken this project to a bakery. He stated he lives in the central part of the city and he can ride his bike, walk or drive his car to a bakery and get baked goods, which is a wonderful amenity. Mr. Carpenter stated in a sense, this type of use can be a plus; however, the problem is, going back to the bakery, when the bakery gets big, he does not want the bakery anywhere near him. He stated he would want that bakery in an industrial park. Mr. Carpenter stated this use with 162 possible animals boarded, and 38 animals in the grooming facility, a total of possibly 200 animals, is an industrial use to him, and nothing that should be at this location bordered by residences. He stated he understands what Ms. Fox said about how you cannot stop the dogs from barking, and we know they bark, but we can locate the project in a different location. Mr. Carpenter stated he thinks this is a great business and he does not doubt that the applicant would be great operators, but he thinks this is the wrong location for it. He stated he will be voting against it.
Mr. Simmons stated he thinks this is a great project for our city. He stated he visited some other facilities that were not up to par or had insight or planning or the finance or support of the community as this particular project. Mr. Simmons stated with that said, he really likes the concept. He stated he is pro-business and very concerned about what we bring to our city and how we continue to grow our city and what we do to improve the development opportunities here in Newport News. Mr. Simmons stated this project brings a lot of different things to it that may cause other issues he is concerned about and, with that said, he is not going to be supporting this project.
Mr. Groce stated he really likes this concept and thinks it is really terrific. He stated he has never seen so much opposition for a project like this from local businesses and he does not want to have an impact on the local businesses. Mr. Groce stated he knows we have 15 employees coming here and he is all for that, but he does not want to have an impact on the people who are already there, so therefore, he will not be recommending approval.
Mr. Mulvaney stated he understands what Mr. Carpenter is saying about location, but if you put an ice machine in a shopping center in Fairbanks, Alaska, you will probably not get any business, as well as putting a snow shovel company in Florida. He stated location is everything. Mr. Mulvaney stated he understands some of the concerns from the public, but it is not there now. He stated there are dogs, this is going to happen, and we do not know how it is going to be, and there are a ton of conditions placed on this that have to be monitored and controlled. Mr. Mulvaney stated you weigh out the fact that you are bringing business in, a needed commodity that is growing throughout the country. He stated people want to take care of their pets and they are pampering them. Mr. Mulvaney stated in researching PetSuites, they have an unbelievable reputation. He asked how do you mitigate the noise. Mr. Mulvaney asked how do you stop a car from having unleashed exhaust. He stated he thinks the applicant has proposed a lot of measures. Mr. Mulvaney stated he understands both sides and he does not think that considering putting the facility someplace else is fair because he is not sure that people would drive to an industrial facility, and in today’s society convenience is big. He stated he thanked everyone who came out to speak on the matter and there are some compelling arguments. Mr. Mulvaney stated this has been a lot of work and thanked Planning staff for all of the work put into the application. He stated the application was deferred last time and there has been a lot of research and he appreciates that.
Dr. Maxwell stated he was worried about the businesses as well. He stated this is another reason why he will vote for the application, because he would rather a building have occupants in it than remain vacant. Dr. Maxwell stated he heard Mr. Ferguson’s comments that it had been vacant for a while. He stated a lot of times we worry about our city and he is always worried about crime, and he really wants an occupied facility, and if nobody else is willing to buy it, then what better person than someone who is able. Dr. Maxwell stated if it would have been different and they were installing a chain link fence like Coastal Dog Services, he would vote against it; however, knowing the specialty and high class or degree of how they treat the dogs and have a facility with the proffers and the sound mitigation, he trusts the city and staff and they were for it, so he is going to vote for the application.
Ms. Fox stated we need to consider that it is not up to the Planning Commission to tell a business whether their location is right or wrong. She stated the applicant has come to us with this location and we have to consider this use in this location. Ms. Fox stated she is voting for the application.
**Vote on Roll Call**
For: Maxwell, Fox, Willis, Mulvaney
Against: Carpenter, Simmons, Austin, Groce
Abstention: None
The Planning Commission vote tied (4:4) and failed to make a recommendation on conditional use permit CU-2017-0016 to City Council with conditions.
The Planning Commission had a 10 minute recess.
**ZONING TEXT AMENDMENT**
**ZT-2017-0005, City of Newport News.** Requests an amendment to the Zoning Ordinance to establish parking requirements through the approved Master Plan in the O3 Office/Research and Development District. (Article XIX. O3 Office/Research and Development District Regulations, Section 45-1904, Off-street parking and loading regulations; Section 45-1908, Master development plan required; and Article XXX., Off-Street Parking and Loading Regulations, Section 45-3004, Parking requirements for specific uses.)
Claudia Cotton, Manager of Current Planning, presented the staff report (copy attached to record minutes).
Mr. Mulvaney opened and closed the public hearing.
Mr. Carpenter made a motion to recommend adoption of zoning text amendment ZT-2017-0005 to City Council. The motion was seconded by Ms. Willis.
**Vote on Roll Call**
For: Fox, Carpenter, Simmons, Austin, Willis, Groce, Maxwell, Mulvaney
Against: None
Abstention: None
The Planning Commission voted unanimously (8:0) to recommend adoption of zoning text amendment ZT-2017-0005 to City Council.
**EXECUTIVE SECRETARY REPORT**
Ms. McAllister stated we will be having our work session on Wednesday, December 13, 2017 at 2:00 P.M. in the 10th Floor City Council conference room to discuss the draft comprehensive plan.
Ms. McAllister stated we have no cases for January 3, 2018.
Mr. Simmons made a motion to cancel the January 3, 2018 public hearing. The motion was seconded by Ms. Austin. The Planning Commission voted by acclamation.
Ms. McAllister stated this is Ms. Austin’s last meeting. She thanked Ms. Austin for serving two full terms and stated she will be missed.
Ms. McAllister wished everyone a happy holiday.
Mr. Mulvaney thanked Ms. Austin for the unbelievable thought process she brought to the Planning Commission. He stated she has addressed things in a manner that the public could grasp and painted a picture that was extremely vivid to be able to understand what was going on. Mr. Mulvaney thanked Ms. Austin for the last eight years.
Ms. Austin stated thank you, this has been a lot of fun. She stated she loves knowing all of the things about the community that she did not know before and having a little glimpse over the horizon of what is coming up. Ms. Austin stated she has learned so much about the kinds of issues we deal with in democracies and how it is kind of slow, but it works great. She stated she has been very happy to be a part of it.
Mr. Mulvaney thanked city staff for the presentation of “Another Way of Life, A Story of Reston Virginia”. He stated that it was truly a learning experience. Mr. Mulvaney stated the movie offered an out-of-the-box component and together, with the Economic Development Authority, collaboratively we watched the movie to see how communities can come together. Ms. McAllister thanked everyone for their attendance.
There being no further business, the meeting adjourned at 4:27 P.M.
PetSuites
Pet Resort & Spa
For the Love of Animals and the People Who Love Them
www.petsuitesofamerica.com
PetSuites Conditional Use Permit
Benefits for citizens and the City generally
- World-class pet grooming, boarding, and day-care services for pet owners
- Increased real property value and tax revenue
- Increased sales tax revenue
- Boost to local economy/business opportunities for local contractors
- Employment opportunities at PetSuites
Comprehensive Plan Conformance
- City’s Comprehensive Plan recommends neighborhood commercial uses
- Property is located within the Upper Warwick Boulevard Retail Corridor
- Commercial development/redevelopment is encouraged in this enterprise zone
Impacts to neighborhood and larger community to be addressed through:
- Conditions of the CUP and PetSuites’ operating standards and procedures
PetSuites Conditional Use Permit
- Community engagement:
- Conversations with City Planning Staff and Planning Commissioners
- Conservations with neighboring landowners
- Community meeting held on 11/28/17 at Christ United Methodist Church
- Par 5 worked with City staff to address questions, concerns, and other feedback received through community engagement
- Proposed CUP allows a business operation that will boost the local economy, serve citizens’ pet-care needs, and will be compatible with surrounding uses.
Parent Organization:
- Outstanding care
- Stringent national standards
- Company culture is the brand
- Trained and friendly staff
Mission
To improve the comfort and well-being of pets by providing progressive and compassionate care. We develop a team of individual hospitals and pet resorts that share knowledge to achieve sustainable growth.
NVA Hospitals and Resorts
| | 1997 | Today |
|----------------|------|-------|
| Locations | 22 | 510 |
| States | 7 | 43 |
| Countries | 1 | 4 |
| Patients (visits) | 225K | 6.9M |
To improve the comfort and well-being of pets by providing progressive and compassionate care. We develop a team of individual hospitals and pet resorts that share knowledge to achieve sustainable growth.
PetSuites Experience:
- PetSuites is "The Leader of the Pack" in the pet boarding industry, delivering world-class facilities and services at convenient resort locations for over 15 years.
- PetSuites ensures that all furry patrons enjoy a safe and engaging visit regardless of the length, and affords owners peace of mind knowing our focus is completely on the need of your pets.
- The PetSuites objective and model is exceptional amenities supported by relentless customer care.
- All PetSuites operations are corporate managed, and the properties are under a 20-year lease with multiple term options.
PetSuites Delivers:
- A State of the art facility with superior environmental controls
- Spacious well managed pet daycare and lodging
- Offering individual Suites / Townhouses / Penthouses
- Large areas for play to ensure pet wellbeing and socialization
- Owner tours and facility orientations
- Online Reservations
- Friendly, experienced, professional staff fully capable of extraordinary pet care and treatment
- Trained and educated to monitor pet health and administer medications for canines
PetSuites Operation:
The Stats
- Daily Schedule: 6:30am – 8:00pm Mon-Sun (365 days)
- Outdoor Area Use: 06:30am-8:00pm
- Group Play Sessions 10:00am-12:00pm and 1:00-3:00pm
(average of 15-25 Dogs with 2 employees)
- Employee Population: 12 personnel daily
- Occupancy: 162 pets (132 canine / 30 feline)
- Grooming Capacity: 38 pets (canine / feline)
- Annual Occupancy: 48,000
The Services
- Daycare – Something for Everyone: PetSuites recognizes the individuality of our guests (canine or feline) with schedules designed for the party animal or couch potato, and provides pets a choice of interacting with people or animals.
- Boarding – Spacious Accommodations: PetSuites offers a variety of boarding options, managed by trained technicians, that range in room sizes and facilities for dogs and cats. All pets are monitored throughout the day with individual logs and technicians record eliminations and behavior patterns ensuring all guests enjoy a positive and healthy experience.
- Grooming – Happy and Healthy: PetSuites professional stylists design grooming packages that fits the pet’s specific needs. A well-groomed pet is a happy and healthy pet! The service includes a nail trim, ear cleaning and full service bathing with premium shampoo and additional services such as: deshedding, dental treatments, and nail polishing.
**PetSuites Facility Detail:**
**Canine Quarters:** All quarters come with full service housekeeping, three potty breaks and lamb’s wool bedding.
- Small Suite 3x10
- Medium Suite 3x13
- Large Suite 4x14
- X-Large Suite 5x14
- Townhouse 6x8: Adds a raised toddler-style bed, flat-screen TV tuned to Animal Planet, privacy walls.
- Penthouse 8x12: Adds a raised toddler-style bed, flat-screen TV tuned to Animal Planet, privacy walls.
**Canine Playtime (All guest receive a minimum of 2-3 sessions a day)**
- **Individual:** Outdoor and indoor play times are 15-20 minutes in length
- **Group:** Outdoor and indoor play times are up to 2 hours in length
**All dogs must be neutered/spayed, meet certain criteria and pass a Free 2-part evaluation to participate in group playtime**
**Feline Quarters (includes cuddle and exercise time)**
- Cat Condo: 326 cubic feet with four levels and views of birds or an aquarium.
- Cat Villas: 144 cubic feet with deluxe beds and ladders.
Conscientious Neighbor / Responsible Service Provider
Waste Management: Petsuites religiously follows and enforces NVA guidelines and procedures for animal standards of care. All feces are disposed of in accordance with the local solid waste guidelines and collected in sealed containers with plastic liners. All surface areas are designed, managed and disinfected in accordance with NVA guidelines and local ordinances to ensure sanitary conditions and reduce environmental impact.
Noise Abatement: Petsuites understands that excessive and sustained noise is a nuisance and can be disruptive to the local environments they operate within. Noise studies and abatement is part of the design and build process. To mitigate the sound level of dogs at the property line, Petsuites installs appropriate landscaping and acoustical barriers to absorb, reduce and prevent noise transmission. Additional mitigation measures are enforced within the business model by controlled hours and canine populations allowed in the outdoor group play areas.
PetSuites Newport News, VA - Prototype:
PetSuites Facility Overview
14,000 SQFT Building
- Exterior
- Indoor Condo's
- Outdoor Play Area
- Outdoor Pet Pool
- Indoor Play Area
- Indoor Suites
- Lobby
Customer Satisfaction:
PetSuites (Roswell, GA)
Facebook Comments
Chris St. Orge Glavine ★★★★★ March 29, 2017
This is the Ritz for dogs...our doggies get such great care here. The facility is so clean. When our 12 year old Maggie began to show signs of a struggle during her last visit they were so quick to call and get her the emergency care she needed. They have a genuine love for all their "fur clients". We have a total peace of mind when we have to be without them - thank you PetSuites!
Karlie Flores ★★★★★ July 18, 2017
When I first walked into PetSuites of Roswell the first thing I noticed was how clean it was. I was amazed to learn just how much cleaning gets done on a daily basis, and knowing that it is constantly being cleaned makes me feel more confident in leaving my dog here. You can definitely tell who the people who work here care about your animal(s) and they DO care about their customer's satisfaction. The staff gives each and every pet that comes through attention and affection. I will not bring my baby anywhere else.
Richard Price reviewed PetSuites Roswell - Atlanta ★★★★☆ April 23, 4
My son and I visited PetSuites yesterday to see if it would be a good place to keep our dog Skeeter there next month while we go on vacation. When we walked in, it smelled so clean (not bleached out but clean and fresh). We were greeted by Victoria who readily assisted us and gave us tour. The dogs there all appeared happy. There was also someone there washing the dog bowls with Dawn dish detergent. We then were given a tour outside (Victoria was excellent in explaining expectations and daily routine of the pets while in their care during the tour). There we were shown the potty areas for the dogs (which they go either 3-4 times a day) as well as the play area and pool for the dogs, which was really nice and monitored by 2-3 personnel. Two thumbs up!
Heather Voges Welch ★★★★★ September 13, 2017
We were VERY impressed with PetSuites! The facility is wonderful - very clean and spacious. The staff welcomed our dog, Lily, with open arms and treated her as their own pet. This communication was phenomenal - we received updates and photos of Lily during her stay. We had evacuated from Hurricane Irma and PetSuites made a stressful situation so much better. We appreciate their love and care for our four-legged family member and would highly recommend PetSuites!
Customer Satisfaction:
PetSuites (Norcross, GA)
Facebook Comments
4.8 of 5 stars
10 reviews
Great facilities and really friendly staff! My dog always has a fun time at day play and comes home all worn out!
We were VERY impressed with Petsuites! The facility is wonderful- very clean and spacious. The staff welcomed our dog, Lily, with open arms and treated her as their own pet. The communication was phenomenal- we received updates and photos of Lily during her stay. We had evacuated from Hurricane Irma and Petsuites made a stressful situation so much better. We appreciate their love and care for our four-legged family member and would highly recommend Petsuites!
Went and had tour of the facility today! The lady who gave me the tour went above and beyond! She was so sweet! It is an awesome facility would definitely recommend them to friends.
Bluto and Jake spent the weekend here for the first time, prices were comparable to other businesses. Bluto loved the pool, Jake loved the group play and had a great experience. At one year old it was important that he have a great experience socializing. Jake got a bath and his nails clipped. I loved the report card that they came home with. Great staff.
PetSuites Newport News, VA - Prototype:
STANDARD STEEL METAL ROOF
COLOR: PANTONE 425c AT 60%
HARDIE BOARD SIDING
SHUTTERS COLOR: PANTONE 425c
STONE VENEER:
DUTCH QUALITY STONE.
“WEATHER LEDGE”
EAST ELEVATION
PetSuites Newport News, VA - Prototype:
NORTH ELEVATION (CONCEALED BY FENCING)
STANDARD STEEL METAL ROOF
COLOR: MARINE BLUE
HARDIE BOARD SIDING
DUR-A-QUALITY SIP/PE "PREMIER"
STANDARD STEEL METAL ROOF
COLOR: STANDARD LIGHT GREY
SPECIAL CONCRETE MASONRY UNIT
COLOR: STANDARD LIGHT GREY
METAL BUILDING WALL
" PANEL COLOR: ACRYLIC "SILVER WHIST"
STANDARD STEEL METAL ROOF
COLOR: STANDARD GREY
SPECIAL CONCRETE MASONRY UNIT
COLOR: STANDARD GREY
METAL BUILDING WALL
" PANEL COLOR: ACRYLIC "SILVER WHIST"
HOUSE BOARD SIDING
STONE VENEER
COLOR: STANDARD TAN
" PANEL SIZE: 1/4 X 1/8" (30X25CM)"
SOUTH ELEVATION
For the Love of Animals and the People Who Love Them - PetSuites
PetSuites Newport News, VA - Prototype:
- STANDARD STEEL METAL ROOF
COLOR: PANTONE 425C AT 60%
- METAL BUILDING WALL:
PANEL COLOR: MCBI “SNOW WHITE”
- SPLITFACE CONCRETE MASONRY UNIT:
COLOR STANDARD LIGHT GREY
- SIMTEK ACOUSTICAL FENCING
WEST ELEVATION
Joe Bridger
- MSME specialized in Acoustics,
- Member NCAC (National Council of Acoustical Consultants) (Board Member)
- Member of INCE (Institute of Noise Control Engineers)
- Member of ASA (Acoustical Society of America),
- Consulting since 1993.
Sound level chart
Sources
- Gun shots
- Jet plane
- Car horn
- Snowmobile
- Lawn mower
- Hair dryer
- Traffic (inside the car)
- Normal conversation
- Whisper
- Threshold of hearing
Decibel levels (dB)
150 140 130 120 110 100 90 80 70 60 50 40 30 20 10 0
Threshold of pain
Example of difference in change in sound level between a point and line source
line source versus point source
point source (dog) line source (highway) difference
For the Love of Animals and the People Who Love Them - PetSavers
Before Mitigation Measures Implemented
Noise level Day/Night in dBA
- 75 - 78
- 72 - 75
- 69 - 68
- 63 - 66
- 60 - 63
- 57 - 60
- 54 - 57
After Mitigation Measures Implemented
Noise level in dB(A)
- 78
- 76 - 78
- 72 - 74
- 69 - 72
- 66 - 69
- 63 - 66
- 60 - 63
- 57 - 60
- 54 - 57
Mitigation Measures Proposed to achieve goal of 10 dB reduction at nearest neighbors (SUMMARY)
- We are confident a 10 dB reduction will be achieved with purely acoustical measures.
PetSuites
Pet Resort & Spa
For the Love of Animals and the People Who Love Them
www.petsuitesofamerica.com
November 27, 2017
Mr. Mark W Mulvaney, Chairman
Planning Commission
2400 Washington Avenue
Newport News, Virginia 23607
Dear Mr. Mulvaney:
I am writing concerning CU-2017-0016, Coen Land Ventures, LLC, request for a conditional use permit to construct and operate a pet care service with outside cages and runs on approximately 2.037 acres of land at 12531 and 12533 Warwick Boulevard.
My sons, James Seider and Steve Seider and I are opposed to this project due to the noise level from the dogs barking in the cages outside and on the runs. This project backs up to our property and would devalue our property; it would be difficult to rent or sell our house in the future.
Please do not approve this project.
Sincerely,
Virginia S. Chappell, James Seider and Steve Seider
28 Deep Creek Road
Newport News, VA
P.S. We are unable to attend the hearing. Please enter our objections into the record.
Mr. Gleiser:
I write this email to encourage the Newport News Planning Commission and City Council to support the Conditional Use Permit proposed by Par 5 Development Group/Pet Suites at 12531 and 12533 Warwick Boulevard.
I attended a community meeting arranged by Par 5/Pet Suites on November 28, 2017. I attended the meeting to learn more about the proposal. I believe that I am one of the closest homeowners to the proposed development. I reside at 26 Deep Creek Road. This development is not far from the rear of my residential property.
At the community meeting, I learned about the services for dogs and cats that the business offers. I learned that the business developers are cognizant of community concerns related to noise and that they have taken great effort in mitigating noise through the use of landscaping and construction practices. In addition, they strive to be a good neighbor by limiting the hours that dogs are allowed outside. I left the meeting extremely confident that Pet Suites would be a good neighbor.
It is also important to highlight that Pet Suites is a growing business with locations throughout the United States and one under development in Chesapeake. There are economic benefits to our community if we welcome this business to Newport News. The construction and property improvements should be attractive to Newport News from an economic perspective. The jobs that will be created both with the construction of the property and the operation of the Pet Suites business will provide opportunities for our citizens. This business emphasizes caring for pets and it will be used by many of our citizens. Thus, this is a great economic and lifestyle opportunity for Newport News to bring a unique new business to the city and enhance this portion of Warwick Boulevard.
I give permission for this email to be shared with the Planning Commission and City Council. I support the Conditional Use Permit proposal.
Thanks,
Brian Lieberman
26 Deep Creek Road, Newport News, Virginia |
The Institute for Advanced Study,
Princeton, N. J.
Dear Sir:
We are desirous of securing the publications listed below for the files of the library of this Office. If you can send them to us we shall appreciate it and enclose a free mailing label which may be used to forward them.
Sincerely yours,
Sabra W. Vought
Chief, Library Division.
The Institute for Advanced Study.
...Founded by Louis Bamberger and Mrs Felix Fuld.
Princeton, N.J., The Institute for advanced study, 1934, (Bulletin nos.1, 2, 3.).
April 28, 1966
Mrs. Verna Hobson
Secretary to Dr. R. Oppenheimer
Institute for Advanced Study
Princeton, New Jersey
Dear Mrs. Hobson:
On May 11, 1966 Mr. Asraf, Manager of the Oxford University Press in Kuala Lumpur (Malaysia), and Chief Malay Editor expects to be with us for a few hours. During his short visit he would like to see as much as possible of interest in Princeton. Do you think that Mr. Asraf could come to the Institute some time in the afternoon, for a general orientation? Also, could he have access to your new Library of which I have heard so much about?
May we call you some time in the first week of May to see what time will be most convenient? Thank you for your cooperation.
Yours sincerely,
Peter Holmes-Wood
Manager, IBEG
All communications, orders (separate order slips for each publisher) and payments may be grouped together and sent to International Book Export Group, P.O. Box 231, Princeton, N.J. for distribution to the various publishers.
Dear Sirs,
Cognizance of an important "International-scale vacuum" in legal affairs throughout the entire region of the Middle-East is an evident verity which has been approached by a group of convinced intellectuals who aggregated in a unit to form the "International Centre for Legal Consultations."
This Institute is devoted to cover up all forms of legal relations and is apt to assure any individual or collective work relative to local and international law.
Grounded on a basic philosophy to satisfy all legal potentials, the CENTRE is mainly directed by an élite of professionally-trained advocates, Deans and University professors whose legal efficiency is capable to assist in any issue of local, regional and international nature.
Specifically this Institute engages to offer the following services:
1. Technical legal assistance before juridical and administrative authorities;
2. Supervise, represent and evaluate various legal problems and cases;
3. Draw contracts, agreements and treaties;
4. Safeguard foreign interests;
5. Prepare researches in constitutional, economic and administrative fields, in all languages according to the most recent developments;
P.T.O.
Moreover, this Centre offers expert objective advice. Its consultants have wide backgrounds and contacts in finance, law and business. It possesses a rich and up-to-date reference system that can satisfy all enquiries.
Anticipating the honour to serve you,
Respectfully,
Director
Dr. Hamed Rabie
[Signature]
Director
Institute for Advanced Study
Princeton, New Jersey
My dear Sir:
The Xth International Congress of Genetics will be held in Montreal, Canada, August 20-27, 1958. It is hoped that, despite the difficulty overseas geneticists will have in finding money for travel, that this will be a truly international affair. The Genetics Society of America, which is the sponsoring organization, through the General Organizing Committee has appointed two committees to help finance this Congress. The Canadian Finance Committee is undertaking the task of raising some $88,000 in Canada which, in addition to registration fees, is expected to be enough to run the Congress itself. The U. S. Finance Committee has as its responsibility securing a minimum of $25,000, a sum which is expected to be used to defray partially the travel of overseas geneticists.
In cooperation with this venture the members of the Genetics Society of America have voted to assess themselves $2 a year for three years. The U. S. Finance Committee further expects to raise about $15,000 from various agencies of the national government. Thus, about $10,000 must be raised from other institutions, private and public, and from businesses and individuals. It has been our past experience that we can expect few large donations but we believe in the American philosophy of the backbone of American philanthropy. In 1932, 17 American Universities and Research Institutes donated sums varying from $100 to $1500 towards the VIth International Congress of Genetics which was held in Ithaca, New York.
If your institution cares to make a contribution, not only will we be most grateful, but some colleague overseas will certainly appreciate the tangible results of your efforts.
Cheques should be made out to:
Genetics Society of America
for the Xth International Congress of Genetics
and sent to me or to Francis J. Ryan, Department of Zoology, Columbia University, New York 27, New York.
Sincerely yours,
John R. Freer, Jr.
Corresponding Member, U. S.
Finance Committee
JRP; op
My dear Sir:
My Committee, which is organising the International Congress on Mental Health, has asked me to write to you to find out whether it is possible for you to facilitate the attendance of some of your staff members and associates. We feel that it is very important that we should have as full a representation as is possible of those in the various organisations who are especially concerned with the different aspects of the problem of mental health.
As you will see from the enclosed Programme, our plans for the Congress depart somewhat from the customary fashion of having a large number of papers devoted primarily to problems of the individual. We are attempting to focus interest more on the wider problems of a sick society, since at the moment this seems particularly appropriate.
We have in existence at the present time a great many preparatory commissions, which contain members of the various professional groups - psychiatrists, psychologists, sociologists, anthropologists, educators and others - who are busy discussing the various aspects of the topics which have been broadly outlined in the Programme for the Mental Hygiene Conference (i.e., the third and most important of the three Conferences mentioned in the Programme). We hope that in this way we may get a little nearer to finding points of agreement and so be able to present a group opinion which may, through the World Health Organisation and UNESCO, be the beginnings of a contribution from social scientists to the solution of the wider problems of the world.
We hope that it may be possible for some of your staff to attend this Congress. It would certainly strengthen our hands greatly if they were able to do so.
Yours sincerely,
J. R. Rees, M.D., F.R.C.P.
Chairman of Organising Committee
Enclosed you will find official application blanks and other material from Congress headquarters in London. Because this same material is directed to people in many different countries, some points may need further explanation for people in this country in order to avoid misunderstanding. Time is short. Applications and reservations must be sent in promptly. Please read the following comments carefully.
Most questions appear to center around membership, fees, application blanks and travel.
Membership
Notice that on page 3 of the program, membership in the International Conference on Mental Hygiene is defined as being open to "trained workers in mental health and related subjects and to members of recognized organizations connected with such work." This includes all persons who are members of professional associations in mental hygiene or related fields. The following categories of applicants are eligible for membership in the Conference on Mental Hygiene: (1) members of professional associations in psychiatry, psychology, social work, sociology, anthropology; (2) members of the clergy, the medical profession, the teaching profession including nursery school teachers, and the nursing profession; (3) members of Preparatory Commissions working for the Conference; (4) individuals with special competence, special experience, or special interest in the field of mental hygiene.
Fees
Note reverse side of membership application for details about fees. Estimate the pound Sterling at $4.00. Fee for entire Congress is £6 or about $24. Decide the amount of fee you wish to pay, depending on which Conferences you plan to attend. Go to your bank and arrange to make your remittance by purchasing a draft in pound Sterling on a London bank, preferably Barclays Bank, Ltd. Make this payable to "International Congress on Mental Health." Send it, along with one copy of the application blank, to the Congress Organiser in London. Do not send any money to the New York City office.
Application Blanks
Some people have already received these application blanks direct from England. If since the middle of January you have filled out blanks identical with the ones enclosed, your application is official. If, however, you have sent in only the smaller preliminary blank which was issued some months ago, it is now necessary to send in the enclosed official blanks.
IMPORTANT: Send original blank with remittance for fees, by airmail (15¢ per ½ oz.) to the Congress Organizer, International Conference on Mental Health, 19 Manchester St., London W 1, England. Send duplicate application (no money) to Nina Ridenour, Executive Officer, International Committee for Mental Hygiene, 1790 Broadway, New York 19, N. Y.
Travel
The American Express Co. have been appointed official transportation agents for the United States. In the enclosed printed matter, substitute the name American Express for Thomas Cook throughout. The Congress offices here and in London are not handling details of travel for individuals. You are at liberty to book through any travel agent you wish, but American Express will have official information about the Congress. They will make complete arrangements for transportation, hotel accommodation, tours, etc. Please do not send questions about travel either to the N. Y. or the London offices. Make all travel arrangements directly with your travel agent. Hotel accommodation in London is difficult to obtain. Be sure your travel agent arranges accommodation for you for the full period of your stay.
It is doubtful whether there will be sufficient transportation for all who wish to attend the Congress. Steamship accommodation is particularly at a premium. First come, first served. Make your travel arrangements at once.
Address questions about the Congress (but not details about travel) to
Nina Ridenour, Executive Officer,
International Committee for Mental Hygiene, 1790 Broadway, New York 19
International Congress on Mental Health
LONDON 11-21 AUGUST 1948
Organised by the
NATIONAL ASSOCIATION FOR MENTAL HEALTH
Patron of the Association
H.R.H. THE DUCHESS OF KENT
Patrons of the Congress
THE RT. HON. CLEMENT R. ATTLEE, C.H., M.P. THE RT. HON. ANTHONY EDEN, M.C., M.P.
Vice-Patrons
GENERAL SIR RONALD ADAM, BT., G.C.B., D.S.O., O.B.E.
THE RT. HON. ANEURIN BEVAN, M.P., Minister of Health
THE RT. HON. R. A. BUTLER, M.P.
MRS. R. A. BUTLER
DR. G. BROCK CHISHOLM, C.B.E., M.C., Executive Secretary of the World Health Organisation (Interim Commission)
H.E. MRS. LEWIS W. DOUGLAS
THE RT. HON. THE EARL OF FEVERSHAM, D.S.O.
MR. GEORGE GIBSON, C.H.
DR. WILLIAM GILLIATT, C.V.O., President of the Royal College of Obstetricians and Gynaecologists
SIR WILLIAM GOODENOUGH, BT.
Mr. GEOFFREY HEYWORTH
THE RT. REV. AND RT. HON. THE LORD BISHOP OF LONDON
THE RT. HON. LORD MCGOWAN, K.B.E.
THE RT. HON. LORD MORAN, M.C., President of the Royal College of Physicians
SIR OTTO NIEMEYER, G.B.E., K.C.B.
THE LADY NORMAN
THE RT. HON. VISCOUNT SAMUEL, P.C., G.C.B., G.B.E.
THE RT. HON. GEORGE TOMLINSON, M.P., Minister of Education
THE RT. HON. LORD WAKEHURST, K.C.M.G.
SIR ALFRED WEBB-JOHNSON, BT., K.C.V.O., C.B.E., D.S.O., President of the Royal College of Surgeons
The following message has been received from the Rt. Hon. Aneurin Bevan, M.P., Minister of Health—
In this country we are inaugurating a National Health Service in which the vital importance of mental health is fully recognised. I join in welcoming to the Congress in 1948 all who are concerned with the diverse aspects of mental health work. To many of the problems we need a fresh approach, and this Congress provides an invaluable opportunity for making new contacts and pooling ideas, which cannot fail to speed us along the road of progress.
Aneurin Bevan
The following message has been received from the Rt. Hon. R. A. Butler, M.P., President of the National Association for Mental Health—
Our Congress in 1948 must help forward the work of the World Health Organisation in mental hygiene and allied fields. London will welcome this great opportunity to encourage an interchange of views between scientifically trained men and women from many countries. Your personal contribution can help to make this a notable landmark in our struggle towards better mental health.
R.A. Butler
The Congress consists of three separate International Conferences on Child Psychiatry, Medical Psychotherapy, and Mental Hygiene, each under the auspices of the appropriate international body. The Mental Hygiene Conference, which forms the major part of the programme, will be the third world gathering of its kind.
The Congress has the full approval of His Majesty's Government and the active support of UNESCO and of the World Health Organisation of the United Nations (Interim Commission).
The Congress Office is at 19 Manchester Street, London, W.1. Meetings will take place at
CENTRAL HALL, WESTMINSTER, LONDON, S.W.1
INTERNATIONAL CONFERENCE ON CHILD PSYCHIATRY
Under the auspices of the International Committee for Child Psychiatry
Full Membership of this Conference is open to medical and other qualified workers in child psychiatry and guidance institutions, or in related subjects.
Associate Membership (without the privilege of speaking at Plenary Sessions) is open to anyone who lacks the qualifications for Full Membership, but has joined the Mental Hygiene Conference (see opposite page).
**Fee**
- £2
- £1 10s.
**Theme:** Personality development in its individual and social aspects with special reference to aggression.
**Main Topic**
| Mornings Only | WEDNESDAY, 11th AUGUST | Aggression in relation to emotional development, normal and pathological. |
|---------------|------------------------|--------------------------------------------------------------------------|
| | THURSDAY, 12th AUGUST | Aggression in relation to family life. |
| | FRIDAY, 13th AUGUST | Psychiatric problems in the educational sphere. |
| | SATURDAY, 14th AUGUST | The community and the aggressive child. |
The speakers at this Conference have already been nominated, but anyone able to contribute should communicate with the Programme Secretary, so that they may be put in touch with those concerned.
INTERNATIONAL CONFERENCE ON MEDICAL PSYCHOTHERAPY
Under the auspices of the International Federation for Medical Psychotherapy
Full Membership of this Conference is open to medically qualified persons and to a limited number of other workers in medical psychotherapy and related subjects.
Associate Membership (without the privilege of speaking at Plenary Sessions) is open to anyone who lacks the qualifications for Full Membership, but has joined the Mental Hygiene Conference (see opposite page).
**Fee**
- £2
- £1 10s.
**Theme:** Guilt
**Main Topic**
| Afternoons Only | WEDNESDAY, 11th AUGUST | The genesis of guilt. |
|-----------------|------------------------|----------------------|
| | THURSDAY, 12th AUGUST | Guilt and the dynamics of psychological disorder in the individual. |
| | FRIDAY, 13th AUGUST | Collective guilt. |
| | SATURDAY, 14th AUGUST | Advances in group and individual therapy. |
The speakers at this Conference have already been nominated, but anyone able to contribute should communicate with the Programme Secretary, so that they may be put in touch with those concerned.
INTERNATIONAL CONFERENCE ON MENTAL HYGIENE
The third world meeting under the auspices of the International Committee for Mental Hygiene
Membership of this Conference is open to trained workers in mental health and related subjects and to members of recognised organisations connected with such work £4
THEME: Mental Health and World Citizenship
MONDAY, 16th AUGUST Problems of world citizenship and good group relations.
TUESDAY, 17th AUGUST The individual and society.
WEDNESDAY, 18th AUGUST Family problems and psychological disturbance.
THURSDAY, 19th AUGUST Planning for mental health; organisation, training, propaganda.
FRIDAY, 20th AUGUST Mental health in industry and industrial relations.
SATURDAY, 21st AUGUST Concluding session and summaries.
Preparatory Commissions, or discussion groups, are at work in many countries preparing material for this Conference. Their reports will form the basis of much of the final programme and will influence the choice of speakers in the Plenary Sessions to whom individual invitations will be issued. Details of Preparatory Commissions and their work may be had from the Congress Office, or from Co-ordinators overseas; a monthly Bulletin about this activity is issued.
The main topics have deliberately been widely drawn, leaving Preparatory Commissions and individuals freedom to select subsidiary topics (within the general framework) on which useful contributions can be made.
It is hoped that the work of these Preparatory Commissions, necessarily national in character, may be submitted to international consideration both before and after the Congress by a carefully chosen group representative of different countries and professions. In addition, there will be opportunity during the Conference for arranging Group Discussions between those from various countries, who have been working on similar or related topics.
Specialist Meetings for Psychiatrists, Psychologists, Social Workers, Social Scientists, Educationalists, Nurses, Administrators and others are also being arranged. At some of these meetings there will be opportunity for the presentation of papers of technical interest. Suggestions for such contributions should be sent without delay to the Programme Secretary.
This folder is accompanied by an Information Sheet, containing further details about the above draft programmes, and various administrative matters. Forms of Application for Membership should be completed at once and forwarded so as to reach the Congress Office not later than 29th February, 1948.
Corresponding Membership has been arranged for those who are unable to be present, as well as for interested organisations, libraries, and other public bodies; the fees are printed on the back of the forms of Application for Membership.
Exhibitions of material connected with the subjects of all three conferences will be arranged and it is also hoped to show a number of relevant Cinematograph Films.
President of the Congress
Dr. J. R. Rees, C.B.E.
Vice-Presidents (Great Britain)
Mr. Percy Barter, C.B.
Prof. F. C. Bartlett, C.B.E.
Dr. A. Helen Boyle
Prof. Sir Cyril Burt
Sir Ernest Rock Carling
Prof. F. A. E. Crew
Dr. H. Crichton-Miller
Sir Allen Daley
Sir Andrew Davidson
Prof. James Drever
Dame Evelyn Fox, D.B.E.
Prof. M. Ginsberg
Prof. H. R. Hamley
Dr. Bernard Hart, C.B.E.
Prof. Sir David Henderson
Lt.-General Sir Alexander Hood, G.B.E., K.C.B.
The Rt. Hon. Lord Horder, G.C.V.O.
Dr. G. W. B. James, C.B.E., M.C.
Sir Wilson Jamieson, K.C.B.
Dr. John Jardine, O.B.E.
Dr. Ernest Jones
Prof. Aubrey J. Lewis
Prof. J. M. Mackintosh
Dr. W. Gordon Masefield
Dr. Thomas G. Moorhead
Prof. T. H. Pear
Prof. J. A. Ryle
Prof. T. S. Simey
Prof. Godfrey Thomson
Dr. A. F. Tredgold
Prof. C. W. Valentine
Prof. A. W. Wolters
Dr. M. B. Wright, O.B.E.
Dr. Henry Yellowlees, O.B.E.
Members of Congress Committees
Dr. J. R. Rees, C.B.E., Chairman of the Organising Committee
Miss Robina S. Addis
Dr. A. Helen Boyle
Miss Joan Bright, O.B.E.
Miss S. Clement Brown
Mrs. R. A. Butler
Dr. Gerald Caplan, Secretary General, International Committee for Child Psychiatry
Prof. Henry Dicks
H.E. Mrs. Lewis W. Douglas
Dr. Otho Fitzgerald, Hon. Secretary, British Medical Society for Psychotherapy
Dame Evelyn Fox, D.B.E.
Prof. J. C. Flugel, Chairman of the Programme Committee
Dr. G. R. Hargreaves, O.B.E., Chairman of the Business Committee
Miss Noel K. Hunnybun
Miss M. de Vere Hunt
Dr. Elliott Jaques
The Hon. Mrs. John Maclay
Dr. the Hon. Walter S. Maclay, O.B.E., Ministry of Health
Dr. Emanuel Miller
The Lady Norman, Chairman of the Hospitality Committee
Dr. Doris M. Odium
Miss M. C. Owen, M.B.E., General Secretary of the National Association for Mental Health
Lt.-Col. A. A. W. Petrie, C.B.E.
Mr. H. Phillipson
Dr. T. P. Rees
Dr. T. Ferguson Rodger, Department of Health for Scotland
Dr. Kenneth Soddy, Medical Director of the National Association for Mental Health
Dr. E. B. Strauss
Dr. P. M. Turquet
Mrs. P. Volkov
The Lady Wakehurst
Honorary Treasurer: Sir Otto Niemeyer, G.B.E., K.C.B.
Congress Organiser: Michael Harvard
Congress Office: 19 Manchester Street, London, W.I
Telephone: WELBECK 8126 (3 lines) Telegraph: PSYCONGRES, London
This Information Sheet, which will be followed by other sheets numbered consecutively and dated, gives the detailed information that is at present available under a number of headings. All enquiries should be addressed to The Congress Organiser, International Congress on Mental Health, 19, Manchester Street, London, W.I.
Distributed with this Information Sheet are (i) a separate folder setting out the Congress programme and the names of the principal officials, and (ii) a form of application for membership.
The information given in these folders supersedes that given in the small introductory booklet, which was issued earlier this year.
1. Application for Membership
If you want to attend the Congress, it is essential to complete a form of Application for Membership and forward it to the Congress Organiser without delay; all Applications for Membership (which should be accompanied by the appropriate Fees unless special circumstances make this impossible) will be acknowledged on receipt. You may already have sent in a Preliminary Application, which was required to estimate the numbers likely to attend, but, in order to become a Member, you must now complete the accompanying Application for Membership form.
All those living outside the United Kingdom should complete the form in duplicate, forwarding both parts to the Congress Organiser, except those living in North America, who should forward the second part to Dr. Nina Ridenour, International Committee for Mental Hygiene, 1790 Broadway, New York 19, New York.
It cannot be over emphasised that, because of the accommodation difficulties and the large numbers wanting to attend, you should send in your form at once. Applications for Membership should reach the Congress Office, 19 Manchester Street, London, W.I, not later than 29th February, 1948.
If you live in a country where travel and currency restrictions may prevent you from coming to the Congress, you should, even so, complete and forward an Application for Membership, but please first read the paragraph headed "Visitors from the War-damaged Countries."
2. Co-ordinators Overseas
"Co-ordinators" have been appointed in a number of overseas countries to distribute information and ultimately, it is hoped, to assist the co-ordination of delegations attending the Congress. You will be advised if there is a Co-ordinator in your country; you should at once communicate with him (or her), notifying your intention of attending the Congress.
Co-ordinators are asked to inform the Congress Organiser immediately of any particular difficulties which might prevent the maximum delegation coming from their countries. Exact information about currency and travel restrictions, and any action necessary to overcome them, is essential; otherwise we cannot initiate effective assistance.
3. Invitations to Overseas Governments
Every effort is being made to send invitations through the normal channels to overseas governments asking them to nominate observers to attend the Congress and to help other individuals, who wish to come.
4. Corresponding Membership
Corresponding Membership of each of the three separate Conferences (or all three together) is available to those who have the necessary qualifications but are unable to attend, and also to interested organisations, libraries and other public bodies. The subscription will cover future literature put out by the Congress Office, including the proceedings of the Congress. The combined fee for all three Conferences is £3 for Corresponding Membership.
5. Travel
Thomas Cook & Sons, who have offices or agents in every country, have full information about the Congress and are acting as agents for travel arrangements and the reservation of hotels (see also the paragraph on "Accommodation"). They will also make detailed arrangements for those wanting to make pre and post Congress visits or sightseeing tours, both in Great Britain and elsewhere in Europe. Because of the difficulty of arranging arrival and departure dates to fit the Congress exactly, you may have a few days, which could profitably be spent in such ways.
Certain European countries have granted reduced railway fares for those coming to the Congress and details will be supplied by Thomas Cook & Sons in due course.
You should make your travel and hotel reservations at the same time as you send in your Application for Membership. In all cases of difficulty the Congress Office should immediately be advised.
6. Accommodation
Every effort will be made to arrange hotel or hostel accommodation for all those from overseas, and in cases of difficulty the Congress Office will endeavour to advise all Members. There is an acute shortage of hotel accommodation in London and it is imperative for this reason alone that rooms should be reserved at once.
Members from overseas should make room reservations, at the same time as they arrange their travel, through Thomas Cook & Sons and at the same time they should complete the appropriate part of the form of Application for Membership, for the information of the Congress Office. Accommodation cannot be guaranteed, but rooms nearest to the type required will if possible be reserved.
Accommodation can only be reserved by those who have applied for Membership.
We hope to arrange a limited amount of free accommodation in private houses for Members from the war-damaged countries. The Congress Organiser will welcome offers of bed and breakfast in the London area for allocation in such cases.
7. Fees
The fees payable for Membership of the three Conferences are set out against the Membership regulations. Reduced combined fees for the three Conferences have been arranged and are listed on the back of the accompanying Application Form; the maximum fee for the whole Congress is £6. You should take care to enter the correct figure in your application, according to the type of Membership you desire.
All remittances should be made payable to the "International Congress on Mental Health" and must accompany your application; they will be acknowledged on receipt at the Congress Office, but such acknowledgment does not in itself constitute acceptance of the applicant as a Member.
8. Total Cost
To assist those from overseas, who need to know in advance the approximate total cost of attending the Congress, the following estimated figures are given for eleven days in London; they are intended to cover the inevitable incidental expenses and tips, but if you know London, or have friends there, you will probably be able to manage more cheaply.
| Description | £ | s. | d. |
|--------------------------------------------------|----|----|----|
| Single bedroom with breakfast (15s. to 35s.)—say, 20s. per day | 11 | 0 | 0 |
| Other meals—say, 15s. per day | 8 | 5 | 0 |
| Membership—combined fee for all three Conferences| 6 | 0 | 0 |
| Allocation for visits and sightseeing | 2 | 5 | 0 |
| Miscellaneous expenses | 2 | 10 | 0 |
Estimated total cost in London: £30 0 0
9. Visitors from the War-damaged Countries
It is appreciated that some of those who wish to come to the Congress from the war-damaged countries may be prevented from doing so, through lack of funds or other restrictions. If you are in this position, you should write to the Congress Organiser immediately, stating the precise difficulty and any action required to overcome it. Send in a completed Application Form (even if you cannot forward any money); please also send a sponsoring letter from your own professional organisation. Every effort will then be made by us to arrange for you to participate in the Congress. Unless you write to us individually, we cannot actively help you; international negotiations move slowly and time is short, so please write to us at once.
10. Local Authorities Delegates
The appropriate Government authorities for health and education in England and Wales, Scotland, and Northern Ireland have given permission for the payment of expenses of Local Authorities delegates attending the Congress. In the case of England and Wales the Ministry of Health have indicated that the expenses of not more than two delegates will be payable.
Attention is drawn to the fact that the Congress is equally concerned with medical, sociological and educational matters and it is hoped that representatives of various professions concerned with these subjects will be able to attend.
11. Congress Funds
As the expenses of a very large and comprehensive Congress like this cannot be met from membership fees, we need to raise a further considerable sum of money. Generous donations have already been received, but much remains to be collected. Sums both large and small will be gratefully received by our Honorary Treasurer, alike from all individuals or organisations interested in the success of the Congress.
12. Programme
The programme for each of the three separate Conferences on Child Psychiatry, Medical Psychotherapy and Mental Hygiene, is set out in detail in a separate folder distributed with this Information Sheet. The main themes and topics are indicated, but the final details will not be arranged until the programme preparatory work now in progress has reached a more advanced stage.
The content of this programme is medical, sociological and educational and emphasis is laid upon the value of contributions from representatives of all the various professions concerned with the subjects.
13. Languages
It is hoped to make adequate translation and interpreting arrangements. Delegations who do not understand English or French are advised to include among their number someone who can act as interpreter.
Each paper will, if possible, be printed in its original language and distributed to Members on their arrival. It is intended to furnish summaries in the other working languages.
14. Cinematograph Films
We intend to show a number of cinematograph films relevant to the topics of the Congress. If you have, or know about, such films which can be loaned for exhibition, please write to the Congress Organiser giving full details such as the title and description, the names of the director and makers, the size in millimetres, the length in time, the language, whether talking or silent, and whether or not in colour. Such offers will be particularly welcome from overseas.
15. Exhibitions
It is hoped to arrange concurrently with the Congress, exhibitions of pictorial displays, apparatus, literature and other matter relevant to the discussions. Material for consideration, or the wish to exhibit, should be notified to the Congress Organiser without delay; photographs and full details, which must include measurements, should be sent as soon as possible.
The cost of transporting exhibition material to and from London will not normally be borne by the Congress. Expenditure on stands and displays for commercial exhibits must be met by the exhibitors and a nominal charge will be made to them for exhibition space.
16. Pre and Post Congress Visits
Visits of varying lengths from five to eight days are being planned both before and after the Congress, to places of technical interest both in Great Britain and on the European continent; the latter will probably be to Holland, Switzerland and Scandinavia. Details will be notified as soon as possible to those interested, but meanwhile the travel agents should be notified of your intention.
Visits to places of technical and specialised interest within the London area will, so far as possible, be arranged to take place during the period of the Congress.
17. Social Programme and Sightseeing
The Organisers do not expect that prevailing economic difficulties and regulations will prevent them offering an attractive range of social facilities in connection with the Congress.
For those who do not know London and its surroundings it may be said that, in spite of some absence of pre-war domestic facilities, the greater part of its traditional life and historic associations remain intact.
Sightseeing tours and visits are being planned.
18. Accompanying Relatives
The number of accompanying relatives eligible for Congress facilities will necessarily be limited, because a large attendance is anticipated and hotel accommodation is very scarce. Accompanying relatives (unless themselves Members or Associate Members of the Conferences) may not be able to attend the technical sessions though it is hoped to arrange meetings of a more general character at which they can be present. They will however be very welcome and it is hoped to provide sufficient facilities to make their visit enjoyable.
19. Meeting Place
The meetings of the Congress will be held at Central Hall, Westminster, London, S.W.1, and at other halls near by.
MICHAEL HARVARD
Congress Organiser
All communications regarding this Congress should be addressed to
The Congress Organiser,
International Congress on Mental Health,
19 Manchester Street,
London, W.1
Telephone: WELBECK 8126 (3 lines) Telegraph: PSYCONGRES, London
INTERNATIONAL CONGRESS ON MENTAL HEALTH
LONDON 11-21 AUGUST, 1948
APPLICATION FOR MEMBERSHIP
This form should be completed (even if you have sent in a Preliminary Application) and forwarded to the Congress Organiser, by whom it will be acknowledged. Applicants from overseas should complete the form in duplicate (see Information Sheet No. 1).
PLEASE USE TYPEWRITER OR BLOCK LETTERS
| Title | First Name | Surname | Degrees |
|-------|------------|---------|---------|
| | | | |
| Address | Country |
|---------|---------|
| | |
| Languages understood (in order of preference) | Nationality |
|-----------------------------------------------|-------------|
| | |
| Occupation or Professional Positions held |
|-------------------------------------------|
| |
I am a member of the following professional societies or related bodies
I am a member of the Congress Preparatory Commission, or discussion group, at
| I wish to apply for membership as indicated by the crosses inserted in these squares. (Insert X in the appropriate squares.) |
|--------------------------------------------------------------------------------------------------------------------------|
| Membership Conference |
| Child Psychiatry |
| Med. Psychotherapy |
| Mental Hygiene |
| None |
I enclose membership fee amounting to (see overleaf)
For Office use only
| I expect to be accompanied by | Name | Relationship |
|------------------------------|------|--------------|
| | | |
I am interested in the following tours (see overleaf). Please send full details when available.
| Pre or Post Congress | 1st Choice | 2nd Choice | 3rd Choice |
|----------------------|------------|------------|------------|
| | | | |
I have applied to Thos. Cook & Son Ltd. for hotel reservations in London from to
(To be completed by Overseas Applicants only.)
* I enclose two copies of this application.
*I have sent a copy of this application to Dr. Ridenour, International Committee for Mental Hygiene, 1790 Broadway, New York, 19.
*Strike out which is not applicable.
To the Congress Organiser,
International Congress on Mental Health,
19 Manchester Street,
London, W.1
Signature..................................................................................................................................
Date...........................................................................................................................................
MEMBERSHIP FEES
Before applying for membership, please read carefully the qualifications required (see Programme folder). Remittances should be made payable to "International Congress on Mental Health" and crossed Barclays Bank Ltd. They should accompany the Application Form. Fees are shown in the following table:
| Membership | Conference | Full | Associate | Corresponding |
|------------|------------|------|-----------|---------------|
| All three Conferences Combined | £6 | *See Note below | £3 |
| Mental Hygiene only | £4 | None | £2 |
| Child Psychiatry only | £2 | £1 10s. | £1 |
| Medical Psychotherapy only | £2 | £1 10s. | £1 |
*If you join all three Conferences but are an Associate Member of Child Psychiatry or Medical Psychotherapy the combined fee is £5 10s.; similarly, if you are an Associate of both, the combined fee is £5.
PRE AND POST CONGRESS VISITS
The tours will mostly be after the Congress except for those compelled to reach England early. The time, which may vary, includes travel to and from England; these plans are only tentative.
| Tour Number | Countries | Number of Days |
|-------------|----------------------------|----------------|
| 1 | ENGLAND | 5 |
| 2 | ENGLAND | 8 |
| 3 | ENGLAND AND SCOTLAND | 8 |
| 4 | SCOTLAND | 5 |
| 5 | SCOTLAND | 8 |
| 6 | HOLLAND | 5 |
| 7 | HOLLAND AND SWITZERLAND | 8 |
| 8 | SWITZERLAND | 5 |
| 9 | SWITZERLAND | 8 |
| 10 | DENMARK | 5 |
| 11 | SCANDINAVIA | 5 |
| 12 | SCANDINAVIA | 8 |
Visits will be mostly to places of technical interest, but sightseeing will be included, especially in the longer tours. Those requiring only sightseeing tours should apply to the travel agents.
Speaking in New York on May 19th, 1947, Dr. Brock Chisholm, the Executive Secretary of the World Health Organisation (Interim Commission) said:
"The World Health Organisation, to fulfil the obligations in the field of mental and social health, which have been laid on it by the nations of the world, must develop plans which will reach far into the future and will be world-wide in scope. Where will these plans come from? Who will initiate them? From what body will their technical authority derive? Who will bring together the experience of all the nations in the field of mental health and advise the World Health Organisation? Surely the answer to these questions is obvious: from the International Congress on Mental Health should develop a permanent organisation largely for this purpose.
"Perhaps never before in history has there been a more important meeting of any kind than that Congress can be, if all the people qualified and obligated to attend, do so, and if they can at the same time ignore all sectional interest, all local or national loyalties, all matters of personal or individual prestige or advantage, and by a free pooling of their knowledge and experience, offer even a little, but concrete hope for a frightened world.
"Here, of course, is the crucial question we must most seriously ask ourselves—'Are psychologists and psychiatrists themselves, individually and as a body, able to do what I have just suggested?' Can they in fact agree on anything? It would be a major disaster to the world, and highly damaging to perhaps the most important hope of the world, if the International Congress on Mental Health were to turn out to be a discussion of obscure psychological dogmata or a conflict between various 'schools'.
During these next two years there is an opportunity for psychology and psychiatry to justify their existence in the eyes of the world—for the first time to contribute very importantly and recognisably to the future peace of the world by becoming real leaders in the planned development of a new kind of human being, one who can live at peace with himself and his fellow men. All this can be done if, at the International Congress on Mental Health, even a few principles of mental health, even a few signposts for the bringing up of children, even a little hope for a sorely beset and anxious world, can be agreed on by qualified people from all over the world.
To reach such agreement there must of course be extensive preparation, national and international committees, and consultation: serious, time-consuming, costly hard work, and above all, the willingness to make extensive compromises. In spite of all these difficulties, however, surely something concrete can be produced, something however limited, couched in simple language, and intelligible to the hundreds of millions of people whose lives will be affected by whatever comes out of—or fails to come out of—that Congress.
The International Congress on Mental Health
to be held in London from 11th to 21st August, 1948
is being organised by the
National Association for Mental Health.
All enquiries should be addressed to the Congress Organiser at
19 Manchester Street,
London, W.1
Made and Printed in Great Britain by Lund Humphries, London.
now is the time
The International Congress on Mental Health
London, England
August 11-21, 1948
SPONSORED BY
THE INTERNATIONAL COMMITTEE FOR MENTAL HYGIENE, INC.
1790 BROADWAY, NEW YORK 19, NEW YORK
June 12, 1964
Dear President Sammartino:
Thank you for your letter of May 5, which I have found on my return to Princeton. I should be glad to be a member of the committee for the International Cooperation Year. When we know the time of the fall meeting, I will see whether I can come or find a friend to come in my stead.
With good wishes,
Robert Oppenheimer
President Peter Sammartino
Fairleigh Dickinson University
Rutherford, New Jersey
May 7, 1964
Dear Dr. Sammartino:
Thank you for your letter of May 5, which has been received in Dr. Oppenheimer's absence. He will see it promptly on his return to Princeton before the end of the month.
Sincerely yours,
(Mrs. J.R. Haymes, Jr.)
Office of the Director
Dr. Peter Sammartino
State Chairman
International Cooperation Year
Fairleigh Dickinson University
Rutherford, New Jersey
May 5, 1964
Dr. Robert Oppenheimer
Director
Institute of Advanced Study
Princeton, New Jersey
Dear Dr. Oppenheimer:
Next year we shall be celebrating the twentieth anniversary of the United Nations. It will be a year-long celebration, to be known as International Cooperation Year.
May we have the privilege of listing your name on the official committee?
I should also appreciate it if you would choose one person as your representative who will attend a meeting in the Fall to plan for the International Cooperation Year.
Sincerely yours,
Peter Sammartino
State Chairman
International Cooperation Year
PS:is
February 9, 1955
Dear Mr. VanDenbergh:
Thank you for your follow up postcard of February 7th.
On January 31st, I wrote as follows in answer to your invitation:
"Dr. Oppenheimer will not be able to attend the Foreign Student Advisors Conference on February 14th; and he regrets very much that he cannot. We would like to send a delegate were it possible; but we are in the midst of our very short term, our faculty are small in number, and their own schedules are quite busy. We will have to decline your invitation to this year's conference with sincere regret."
Sincerely yours,
Katherine Russell
Mr. F. A. VanDenbergh, Jr., President
International House of Philadelphia
3905 Spruce St.
Philadelphia 4, Pa.
We have not yet received your reply to our invitation to the Student Advisers Conference to be held at International House, 3905 Spruce St., Philadelphia, on Monday, February 14th at 9:30 A.M. to 4 o'clock P.M., luncheon included.
We very much hope you can attend, and if so, we would appreciate a reply. If per chance our invitation did not reach you, we would be pleased to send you an announcement.
F. A. VanDenbergh, Jr.
President, International House
of Philadelphia
Dr. Robert Oppenheimer
Institute for Advance Study
Princeton, N. J.
January 31, 1955
Dear Mr. VanDenbergh:
Thank you for your invitation of January 21st. Dr. Oppenheimer will not be able to attend the Foreign Student Advisers Conference on February 14th; and he regrets very much that he cannot. We would like to send a delegate were it possible; but we are in the midst of our very short term, our faculty are small in number, and their own schedules are quite busy. We will have to decline your invitation to this year's conference with sincere regret.
Sincerely yours,
Katherine Russell
Mr. F. A. VanDenbergh, Jr., President
International House of Philadelphia
3905 Spruce Street
Philadelphia 4, Pa.
I will ______ will not ______ be able to attend the Fourth Annual Philadelphia Area Foreign Student Advisers Conference combined with Area IX of the National Association of Foreign Student Advisers, to be held at International House, 3905 Spruce Street, Philadelphia 4, Pennsylvania, on Monday, February 14.
I am making ______ luncheon reservations.
I am designating ____________________________ as my alternate.
Signed____________________________________
Representing_________________________________
International House of Philadelphia
3905 Spruce Street
Philadelphia 4, Pennsylvania
Dear Dr. Oppenheimer:
The Fourth Annual Philadelphia Area Foreign Student Advisers Conference, which this year will be held in cooperation with Area IX of the National Association of Foreign Student Advisers, will take place at International House, 3905 Spruce Street, on Monday, February 14.
Registration, introductions and coffee start at 9:30 a.m., and the morning session "Essentials of a Foreign Student Program - its Successes and its Problems" will run from 10:00 a.m. to 12:00 noon. Lunch will be served at International House. Beginning at 1:15 p.m., the afternoon session will discuss "Resources in the Foreign Student Field" and will terminate at 4:00 p.m. Registration fee is $2.00 and includes luncheon.
Keynoters and resource persons will be Donald Cook, Educational Exchange Service of the Department of State, George Hall, Director of the Foreign Student Department, Institute of International Education, Forrest D. Brown, Foreign Student Adviser at Bucknell University and Area Representative for NA-FSA, Anthony Chillum, representative of the Immigration and Naturalization Service, and Mrs. Ruth Furkaple, representative from The Committee on Friendly Relations Among Foreign Students.
We are purposely avoiding a rigid agenda so as to enable advisers to address themselves to the questions that interest them most. At time of registration, you will be given an opportunity to submit the questions you would like discussed, and we urge you to think about this matter so that we may have your guidance for the enrichment of the Conference.
Donald Cook has asked us to especially invite those of you who are concerned with the development of the Fulbright program, as he has some very serious problems to discuss with you. If these problems are not satisfactorily solved, it may well develop into the drastic curtailment of the Fulbright movement, if not to its conclusion.
Please return the enclosed reply card at your earliest convenience so that we may make final plans for the luncheon. If there are other members of your faculty that should be invited to this Conference, please feel free to extend our invitation to them and so indicate on your reply card. If for any reason you find this time inconvenient, we urge you to send your delegate.
Sincerely yours,
F. A. Vandenbergh, Jr.
President
SOCIETE DES NATIONS
INSTITUT INTERNATIONAL DE COOPERATION INTELLECTUELLE
RAPPORT DE L'INSTITUT
sur la
DEUXIEME REUNION DES DIRECTEURS DE
L'ENSEIGNEMENT SUPERIEUR
tenue à Paris, les 28 et 29 avril 1933
SOCIÉTÉ DES NATIONS
Institut International de Coopération Intellectuelle.
LE DÉVELOPPEMENT DE LA POLITIQUE INTERNATIONALE DE LA SCIENCE.
Rapport présenté par
Zoltán Magyary
Professeur à la Faculté de Droit de l'Université
de Budapest.
à la douzième réunion
des directeurs de l'enseignement supérieur
à Paris le 28 mars 1933.
June 22, 1953
Institute for Advanced Study
Princeton University
PRINCETON, NEW JERSEY
Dear Sir,
The Ministry of Foreign Affairs in Rome has asked me to recommend to your consideration an application for financial assistance that the International Museum of Ceramics in Faenza addressed to your Institute on May 17, 1953, in order to develop and enlarge its existing scientific laboratories.
The International Museum of Ceramics, a well known organization established in 1913, was seriously damaged during World War II and is at present struggling with financial difficulties which have so far prevented the equipment with modern instruments of its scientific and technological laboratories.
I should feel greatly obliged to you for any consideration you may give to the Museum's application, and I would very much appreciate it if you could kindly let me know your views on the matter.
Sincerely yours,
Carlo de Ferrariis Salzano
Consul General of Italy
Mr. R. Oppenheimer (Dir)
Institute for Advanced Study
PRINCETON (New Jersey)
Sir:
Our office deals with interchanging students and professionals, thus organizing travels, and subscriptions of European periodicals and other publications, as well as undertaking the supply of any sort of technical, scientific and artistic literature and material that might be required from European countries most especially from Spain.
For each group of 26 students or professionals coming over to this continent for study purposes or on professionals travel, we could offer one free travel and stay, for the leader of the expedition or group. These travels will be organized according to the special interest of the travellers considering art, industry or other items of interest to the travellers. If there is any information you want in relation to any special subject please let us know.
Awaiting your kind reply
we remain
yours faithfully,
Eduardo Cobos
Director
3 October, 1952
A) The International Office for Professional and Technical Relations is a private organisation, which has as its object the encouragement of helping foreign professional and technical people, and students, to obtain a better knowledge of Spain, of her art, her literature, her economy, etc.
B) To further this aim it offers the following services.
1) To organise journeys through Spanish territory, although on receiving a petition from the interested party (or parties) these trips can be arranged in other countries too.
2) It offers Spanish books and publications.
3) It offers photographs and documentary films (16 m/m) on such subjects as art, archeology, landscape, folklore and it accepts demands for specified themes.
4) It organises private exchange visits, between professional and technical people and students from other countries.
5) It facilitates lodging in chalets in the most temperate climatic regions (Balearic Islands, Canary Islands, and the Mediterranean) in season, for professionals, professors etc. who come to Spain with their families.
6) It encourages sports-trips for sportsmen, both Spanish and foreign in order to promote a widespread interest and practise of sports and physical culture.
7) It offers correspondence exchanges with Spanish students.
8) It offers special prices to the professors who come with their pupils, and professional people who come in groups.
9) The services of our Organisation are free, for those who come to Spain through it. The journey is organised and prepared by a group of professors and specialists, in agreement with the wishes of the travellers.
10) All its activities are aimed at furthering the foreigner's knowledge of Spain and the Spanish, putting itself at the service of all professionals of the world who wish to know Spain.
We would like to offer our services for the supply of press-cuttings.
Our service comprises a thorough coverage of the following groups of papers.
(1) The complete National & Provincial daily press of the United Kingdom.
(2) The magazine press of the United Kingdom. The technical ,, ,, ,, ,, ,
(3) All the principal provincial weekly papers.
(4) The principal Publications of the British Commonwealth.
(5) The most important papers and magazines from:-
France, Belgium, Holland, Italy, Switzerland,
Norway, Sweden, Denmark, Germany, Austria, Spain,
Portugal, Hungary, Czechoslovakia, Rumania,
Argentina.
(6) The most important papers and magazines of the United States.
No effort has been spared to make the service the most comprehensive and the most efficient in the world today.
Cuttings can be supplied on almost any subject, e.g.: industrial, trade and political matters, technical development, literature, art and science, display advertisements, etc.
Should you by any chance be already covered for United Kingdom cuttings, we should be pleased to quote you for a service restricted to overseas publications.
Yours faithfully,
INTERNATIONAL PRESS-CUTTING BUREAU.
SUBSCRIPTION FORM
INCLUSIVE BRITISH, FOREIGN AND COLONIAL SERVICE
To the INTERNATIONAL PRESS-CUTTING BUREAU
19, GROSVENOR PLACE,
LONDON, S.W.I.
Date...........................................
Please supply, until countermanded, press-clippings, relating to the following:
........................................................................................................................................................
........................................................................................................................................................
........................................................................................................................................................
Name ................................................................. (BLOCK LETTERS)
Address..............................................................................................................................................
........................................................................................................................................................
........................................................................................................................................................
Signature ...........................................................................................................................................
TERMS
Service fee of $1.00 monthly plus 8 cents per clipping.
Bills payable quarterly.
"Thank you for your excellent service. I cannot conceive the work being better done."
(Signed)
Sir Richard Livingstone.
"We have found your service very intelligently conducted and satisfactory in every respect."
(Signed) Secretary,
American Engineering Standard Committee.
"I would like once again to express my great appreciation of the swiftness and all-embracing scope of the International Press-Cutting Bureau. I cannot praise the Bureau too warmly."
(Signed)
Edith Sitwell.
"Your service has been very satisfactory."
(Signed)
H. L. Mencken.
"The most efficient service of which I have any knowledge."
(Signed)
Col. House.
16 October 1959
Dear Mr. LaMont:
Thank you for your letter of October 14th. We are enclosing a booklet about the Institute for Advanced Study, and the articles of incorporation, and hope that these will be of help to you.
Yours sincerely,
(Mrs. Mills Edgerton)
Office of the Director
Mr. George D. LaMont
International Operations Institute
5134 Ordway Street, N.W.
Washington 8, D.C.
Mr. J. Robert Oppenheimer,
Director, Institute of Advanced Studies,
Princeton, N.J.
Sir:
The International Operations Institute, with which I am associated, is setting up a special training program for persons employed abroad. In this connection we would appreciate anything you can give us with respect to the organization, international regulations, by-laws, etc. of the Institute of Advanced Studies.
A copy of a draft text for a printed brochure briefly describing the International Operations Institute is enclosed.
Very truly yours,
George D. LaMont
International Operations Institute is a non-profit organization for training personnel for work overseas and to perform basic and operational research. It is composed of persons thoroughly experienced and skilled in work abroad.
Draft text for printed brochure
INTERNATIONAL OPERATIONS INSTITUTE
Dedicated to Improved Performance of Americans Overseas
(first page)
"Waging the peace" in a dynamic revolutionary era confronts Americans with novel and complex tasks. Political scientists, psychologists, economists, sociologists and other members of the academic community, no less than their colleagues in U.S. diplomatic missions and business houses abroad, are "soldiers of peace." Behavioral scientists - those who seek to understand human beings as individuals and in social relations - in particular, possess valuable techniques which can reveal important insights and guidelines for U.S. operations, public and private, overseas. What has been lacking is the marriage of scientific endeavors with peace waging pursuits. To supply that bridge, instilling a wider appreciation within government and business of what the social sciences can do while bringing academic leaders into closer touch with the day-to-day reality of international relations, is the unique aim of the International Operations Institute - a school for advanced study of diplomacy and foreign operations.
(second page)
"International operations" - a mid-twentieth century term for what used to be encompassed in the word diplomacy - include a wide array of activities, ranging from the banking and commercial realm through religion and education to the vast variety of U.S. Government actions and programs in foreign countries. More than a million Americans deal everyday with some aspect of America's external relations. To do their jobs, these Americans require novel insights and skills. The descriptive and historical knowledge supplied in most international relations and language-and-area studies, while valuable, do not provide the kinds of understanding and skills needed for effective performance in this sphere. The quick skill of judging affairs or the recognition that communication with foreigners involves acquaintance with their mental processes and predispositions in addition to the language, for example, are acquired generally from the experience of life. That experience can be simulated,
however. Simulation of real life experiences, through the study of specific cases, is the method of teaching adopted and taught by the International Operations Institute.
I. O. I. teaches skills rather than abstract knowledge, although the latter has a vital part in the curriculum. Its students are drawn from two principal sources: teachers and teachers-to-be of international relations and foreign languages; and employees of government departments, business corporations or religious bodies. To the former are taught the "action skills" of practitioners in international relations, particularly those relating to negotiation and communication in foreign cultures. To the latter, I. O. I. offers instruction in the "action skills" of social scientists: informal ways of polling public opinion, making interviews-in-depth and content analyses of newspapers, using statistical data effectively, to name a few. In its seminars and workshops for teachers and men of affairs alike, I. O. I. will endeavor to stress the larger purposes of the United States abroad, as drawn from the leaders of U. S. national life. Special attention will be given also to inculcating the skills of group discussion leading using case materials and conducting more complex simulation exercises dealing with substantive international relations problems.
The Institute represents a new approach to a graduate curriculum for training in international relations and overseas operations. Through experimental sessions, directed to the needs of both teachers and practitioners, I. O. I. seeks to demonstrate applications of the behavioral sciences in the teaching and conduct of international relations. It supplements language training at member universities by offering a unique kind of "area studies" - problem-oriented discussions of concrete situations met in particular foreign environments. Emphasis throughout is on actual human behavior as it casts verifiable light on aspirations, sensitivities, local values, concepts and perspectives. The technique used, insofar as possible, is the "re-living" of other persons' experiences. Recognizing that its students are busy people, I. O. I. offers its training evenings and weekends primarily, with occasionThe Institute's courses are offered in collaboration with universities participating in the program of I. O. I.'s parent organization, the Fund For Foreign Service Education, Inc. Teaching staff, both permanent and part-time, are drawn principally from the ranks of university personnel and retired American diplomats. I. O. I.'s location on a beautiful estate 10 minutes from the center of Washington, D.C. affords an ideal site for it to fulfill its mission as a "transmission belt," a "middleman" between the professional disciplines of the academic world and the practical knowledge and experience of men of affairs in government and industry. From their fruitful collaboration will come better understanding of the objective phenomena in foreign areas affecting the success of U.S. activities, public and private, there. To serve on the Institute's faculty, curriculum committee and advisory board, distinguished representatives of government, industry and the universities are being invited to lend their support and encouragement to this private educational institution.
For further information,
write:
George Gregg Fuller
President
International Operations Institute
3816 Huntington Street, NW
Washington, D.C.
Course offerings:
Evening seminars - 12 sessions each
Social Science Applications In International Relations - Instructor: R. H. Stephens
Designed for government personnel, this course reveals to them the range of methods and data available from the social sciences to help them in dealing with every-day problems met in diplomacy, the conduct of assistance programs or other overseas operations. Topics treated include: the use of large scale data on population, literacy, budgets, political participation, etc.; principles of opinion sampling; community studies; study of elites; interview and survey methods; mass communication studies and content analysis; the study of "role groups"; survey of statistical methods; international relations as a "field of forces." The aim is not detailed treatment, but rather to give an impression of the range and variety of behavioral research methods. Applications of these techniques to concrete problems facing people in government are illustrated by selected discussion of case studies.
Functions of the Foreign Service Officer - Instructor: Henry Deimel, et. al.
A series of group discussions of actual problems encountered by Americans abroad, this course introduces younger FSO's as well as personnel from other agencies to the special skills and aptitudes which make for personal effectiveness overseas. The course teaches receptivity to the needs and views of foreign peoples, how to recognize typical behavior patterns in non-Western cultures, what kinds of knowledge can usefully be applied in concrete situations abroad. The cases deal with a wide range of activities from political reporting through furnishing technical assistance.
Techniques of Effective Communication for Students of Portuguese - Instructor: S. Walter Washington
Designed for teachers or students of Portuguese, this course views communication as a complex process involving far more than familiarity with a language. Behavioral research methods of studying attitudes, opinions, stereotypes, images, elite group values, symbols and communication habits are discussed. Course consists primarily of a series of case studies involving communication problems with Brazilian nationals or other Portuguese speaking persons. Students review samples of literature, anti-American propaganda, speeches and editorials for the light they throw on underlying attitudes, value judgments and mental predispositions where Portuguese is a mother tongue.
Weekend Workshops - 6 sessions each (2 or 3 days)
Practical Techniques for Commercial and Diplomatic Negotiators - Instructor: George C. Fuller, et. al.
History and theory of negotiation, illustrated by case studies and simulation exercises, is the theme of this intensive course.
Using Case Studies and Simulation Exercises in the Teaching of International Relations - Instructor: George D. Lakont, et. al.
The purpose of this intensive course is to explain the case study - group discussion techniques to university and service academy personnel as well as give practice in their use and that of the simulation exercises,
November 20, 1950
Registrar
The Institute for Advanced Study
Princeton, New Jersey
Dear Sir:
We are currently engaged in an extensive survey program on the college students of the United States and would like to enlist your cooperation. Would you be good enough to send us your current student directory?
In the event you have an alumni directory we would like very much to receive it also for our work involving the alumni elements.
Thanking you for your consideration, I am
Cordially yours,
Bascom L. Fields,
Asst. to the Director
BLF:eb
Encl:
P.S. Will you please advise if any expense is involved?
The Registrar,
Institute for Advanced Study
Princeton,
New Jersey.
U.S.A.
Dear Sir,
Under a separate cover we are sending a copy of the catalogue of the Institute of Statistical Studies and Research, and would like to get the catalogue of your University/Department.
We will also appreciate it very much if you will put the Institute on your mailing list for future issues of the catalogue and publications.
Thank you for your cooperation.
With best regards.
Yours sincerely,
Dr. Hassan M. Hussein
In Dean
TENTH ANNUAL CONFERENCE
OF
INTERNATIONAL STUDENT SERVICE
The Dwight Art Memorial at Mount Holyoke College
MOUNT HOLYOKE COLLEGE
SOUTH HADLEY
MASSACHUSETTS
August 31st—September 9th, 1931
COMMITTEE IN THE UNITED STATES
140 Nassau Street
New York, New York
A. BUEL TROWBRIDGE, Chairman
MARY BEATTIE BRADY GEORGE STEWART
Vice-Chairman Treasurer
HARRY STARR WILLIAM G. SCHRAM
Vice-Chairman Controller
MARGARET S. QUAYLE, Executive Secretary
GORDON BERRY HAROLD B. INGALLS
RABBI S. M. BLUMENFIELD CHARLES JANEWAY
MARtha BOTSFORD SOLOMON LIPTZIN
GORDON CHALMERS ALAIN LOCKE
MARION CUTHBERT EDITH LOEWENSTEIN
DALE DEWITT PATRICK McHUGH
ELEANOR DODGE ANN L. MULLIN
A. R. ELLIOTT E. R. MURROW
WILLIAM EYES, 3RD LOUISE PARKS
ANNIE M. FERTIG GEORGE N. SCHUSTER
RUTH FERTIG TREDWELL SMITH
FATHER GEORGE B. FORD HENRIETTA THOMSON
HILDEGADE HAMILTON ANNE WIGGIN
EDITH HARLAN LOIS WILDY
RALPH HARLOW CHESTER WILLIAMS
FRANCIS A. HENSON JAMES WATERMAN WISE
WINNIFRED WYGAL
XME CONFÉRENCE ANNUELLE
ENTRAIDE UNIVERSITAIRE INTERNATIONALE
MOUNT HOLYOKE COLLEGE, SOUTH HADLEY
MASSACHUSETTS, U.S.A.
31 Août — 9 Septembre 1931
13—14, rue Calvin, Genève (Suisse)
"Our" office was on the second floor,
right between the central towers and
commanded an entrancing view.
ENTR'AIDE UNIVERSITAIRE INTERNATIONALE
Comité de Patronage:
S.E.M. Thomas MASARYK, Président de la République tchécoslovaque;
S.E.M. ADATCI, Ministre du Japon à Paris; Lord CECIL; M. le Professeur D. C. DUISBERG; M. le Professeur Albert EINSTEIN;
S.E.M. le Président Paul PAINLEVÉ; Reichsgerichtspräsident i. R.
Dr. Walter SIMONS; Rabindranath TAGORE.
L'Entr'aide Universitaire Internationale fut fondée en 1920 sous le nom d'European Student Relief, dans le but d'aider à la ré-édification de la vie universitaire européenne, fortement ébranlée par la guerre mondiale. Depuis, elle a poursuivi son activité et est devenue un mouvement universitaire groupant tous ceux qui œuvrent afin que l'Université réponde à sa triple destination et qu'elle devienne à la fois un centre de culture nationale, un moyen d'échanges internationaux sur le plan intellectuel et l'expression de l'universalité de la culture.
L'Entr'aide Universitaire Internationale cherche à contribuer à la réalisation de cet idéal universitaire. A cet effet, elle concentre ses efforts afin de susciter une coopération pratique, nationale et internationale, et à résoudre les problèmes qui, à l'heure actuelle, font obstacle à cette réalisation. En poursuivant cette tâche, l'Entr'aide Universitaire Internationale fait abstraction des distinctions de races, de nationalités ou de convictions religieuses et politiques.
Elle applique des méthodes diverses selon les différents domaines de son activité et qui sont adéquates à chacun d'eux. C'est ainsi
que, faisant appel à la solidarité étudiante, elle porte secours dans les cas où la vie universitaire a été ébranlée à la suite d'événements économiques ou autres,
qu'elle encourage les entreprises coopératives d'étudiants afin de rendre l'Université accessible à tout homme réellement doué, quelle que soit la classe sociale à laquelle il appartient,
qu'elle s'attache à établir des contacts plus étroits entre l'Université et les autres domaines de la vie nationale, concourant ainsi à faire sortir l'Université de l'isolement social où elle se trouve actuellement reléguée,
que, par des conférences et des publications, elle contribue à l'avènement de l'Université Idéale et par l'aplanissement des difficultés et la destruction des hostilités qui divisent la vie universitaire en divers courants opposés pour des raisons politiques, religieuses ou raciales, qu'elle favorise l'établissement d'une compréhension et d'une entente mutuelles.
La Xème Conférence Annuelle de l'Entr'aide Universitaire Internationale qui aura lieu à Mount Holyoke sera la première Conférence Internationale organisée par l'Entr'aide Universitaire Internationale aux États-Unis. Elle maintiendra la tradition des rencontres internationales organisées précédemment par l'Entr'aide Universitaire Internationale et poursuivra la tâche qui fut celle de toutes ses assises annuelles, tenues en Tchécoslovaquie, en Hongrie, Allemagne, France, Yougoslavie, Suisse, Autriche et Angleterre. Elle devra, en particulier, resserrer les liens entre la jeunesse universitaire d'Amérique et celle des autres continents, définir les principes de culture supérieure propres à chaque pays et concrétiser les méthodes qui, suivant l'expérience qu'en a faite l'Entr'aide Universitaire Internationale, déterminent une collaboration plus étroite des universités du monde, pour la solution des problèmes sociaux et internationaux que la jeunesse doit affronter.
Dr. Tissington TATLOW, Londres, Dr. Reinhold SCHAIRER, Dresde,
Président. Vice-Président.
Dr. Walter M. KOTSCHNIG, Genève
secrétaire général.
PROGRAMME PROVISOIRE
Sujet de la Conférence :
L'UNIVERSITÉ DANS LA CRISE ACTUELLE
Président de la Conférence :
Dr. Arnold WOLFERS, Directeur de la Hochschule für Politik, Berlin.
Vice-Présidents :
Dr. Mary E. WOOLLEY, Présidente de Mount Holyoke College.
Dr. S. K. DATTA, ancien membre de l'Assemblée législative de l'Inde.
Lundi après-midi. Arrivée des délégués.
31 août 20 heures. Séance d'ouverture.
Discours d'introduction — M. A. Buel Trowbridge,
Président du Comité américain de l'E.U.I.
Discours de bienvenue — Dr. Mary E. Wooley, Pré-
sidente de Mt Holyoke College.
Discours officiel de bienvenue des Etats-Unis aux
membres de la Conférence.
21 heures. Réception.
Concert — Harvard Glee Club.
Mardi « L'Université dans la crise actuelle. » — Dr. Walter
9 h. 30. M. Kotschnig.
Discussion.
1er septembre 17 heures. « La civilisation américaine » (le conférencier sera an-
noncé postérieurement).
20 heures. Discussion de l'exposé précédent.
Mercredi « Conception de l'Université en Europe et aux États-
9 h. 30. Unis » —
A. pour les États-Unis : Dr. John Noble Mac
Cracken, Président de Vassar College ;
B. pour l'Europe : M. l'Abbé Grémaud de l'Uni-
versité de Fribourg (Suisse).
Discussion.
17 heures. Suite de la discussion.
20 heures. « Le pouvoir de la tradition dans l'Europe actuelle » —
C. W. Guillebaud de l'Université de Cambridge.
Jeudi « La crise de l'Occident » — Dr. Arnold Wolfers.
9 h. 30. Discussion (4 groupes).
3 septembre 17 heures. 1re réunion des groupes pour la discussion du pro-
gramme et de l'activité de l'E.U.I.
20 heures. « La crise de l'Orient » — Dr. S. K. Datta.
Vendredi « La jeunesse dans la crise moderne » — Cecil Headrick,
9 h. 30. États-Unis et Mlle Sindelkova, Tchécoslovaquie.
Discussion (4 groupes)
après-midi. Excursion.
soirée libre.
Samedi 9 h. 30. La Conférence se partage en 2 groupes pour discuter:
A. L'étudiant et la politique, introduit :
pour l'Europe, par M. Pobérezski ;
pour l'Amérique, par James Dombrouski.
B. L'étudiant et le problème racial, introduit :
pour l'Europe, par James Parkes ;
pour l'Amérique par Marion Cuthbert.
17 heures. Suite de la discussion.
soirée récréative.
Dimanche matinée libre.
6 septembre 16 heures. 2ème séance des groupes pour la discussion du pro-
gramme et de l'activité de l'E.U.I.
20 heures. « L'Université dans l'Amérique Latine » (le confé-
rencier sera annoncé postérieurement).
Lundi 9 h. 30. 3ème et 4ème séances des groupes pour la discussion du pro-
gramme et de l'activité de l'E.U.I.
20 heures. « L'Université et les Nègres aux Etats-Unis » — M. le
Président Hope.
21 heures. « L'art des nègres d'Amérique » — Dr. Alain Locke.
Fisk Jubilee Singers.
Mardi 9 h. 30. Séance plénière (rapports des groupes de discussion
sur le programme et l'activité de l'E.U.I.).
17 heures. Séance sur le budget.
20 heures. Séance de clôture.
Groupes pour la discussion du programme et de
l'activité de l'E.U.I.
La tâche des groupes qui se réuniront les 3, 6 et 7 septembre sera de considérer
les diverses activités de l'E.U.I. et de soumettre à son Assemblée, des suggestions
pour l'avenir. Ces groupes, au nombre de 4, suivront le programme suivant :
Groupe 1 : Problèmes universitaires : enquêtes sur les conceptions universitaires
dans les divers pays, surpeuplement des universités, orientation professionnelle,
semaines universitaires, etc.
Groupe 2 : Entr'aide estudiantine et organisation coopérative : projets concrets
pour le développement de l'œuvre de Self-Help, à l'exemple de celle accomplie
actuellement en Bulgarie, au Pays de Galles et en Chine ; monographies à publier
par l'E.U.I. sur les Maisons d'Etudiants, les Caisses de Prêts, les Caisses d'Assu-
rance-maladie, service social des étudiants, tel que colonies de travail, service
social au village, groupes de « Students-in-Industry », etc.
Groupe 3 : Coopération intellectuelle et études internationales : organisation
de semaines d'études sur des sujets spéciaux, publication de plans d'études,
Conférence balkanique, etc.
Groupe 4 : Méthodes d'activité : comités nationaux, membres correspondants,
autres questions d'organisation, publications (« Vox Studentium », « More
Facts », etc.).
Renseignements supplémentaires.
Toute autre information est contenue dans les circulaires 1 et 3 ou peut être
obtenue au Secrétariat de l'E.U.I., 13-14, rue Calvin, Genève, Suisse.
Gentlemen:
The International Study Centre should like to put the following matter to your attention:
There is a possibility for our study-centre to dispose in Holland of a holiday-centre situated between Amsterdam and Hilversum. This centre can lodge abt. 90 persons and is opened for us from September 1 till June 15th of each year.
Furthermore we could dispose of a splendid Austrian holiday-centre in the neighbourhood of Kitzbühel, Tirol (1200 meter height). This house can lodge approx. 50 persons, is modern fitted, each room has central heating, ideal ski-run and all year opened.
However, before making a definite arrangement for these two houses, we should like to ask if your organization could be interested in these houses and which cooperation-possibilities could be affected:
a) Do you think you could regularly direct people to these houses?
b) How many?
c) In which period?
d) Which prices could be spent?
We hereto observe that in Holland we could also arrange trips e.g. to museums, concerts, theaters, technical visits, views of towns, introductions about Holland etc., whilst in Austria we could organize leads about Kitzbühel, Salzburg, Innsbrück a.o., and if desired: carriage.
We do hope you will excuse our questions, but you will understand that in view of the structure of our organization, we only can build up these holiday-centres in cooperation with international organizations.
We should be much obliged to you if you could let us have your opinion in this matter and should also appreciate if you could give us addresses of other international organizations to which we might contact for cooperation.
Thanking you in anticipation for any information you can give us, we remain, Gentlemen,
Yours sincerely
INTERNATIONAL STUDY CENTRE
W.K.Petersilka, director.
7th January 1964
Dear Sir,
I would appreciate reference to or a reprint describing your organization and if possible the special kind of contributions your institute has been able to make. A similar organization is needed in the field of natural sciences particularly those dealing with renewable natural resources. A group of ecologists have informally discussed this need at the last three meetings of the International Union for the Conservation of Nature and Natural Resources, and I am writing various institutes to get a perspective of the means of encouraging advanced thinking in other fields, that we may make as sensible recommendations as possible to hasten the maturation of the infant "science" of ecology at our next meeting.
Sincerely yours,
Thane Riney
Consultant Ecologist
FAO/IUCN African Special Project
P.S. My address as of February 1st, will be:
Forestry & Forest Products Division,
F.A.O.,
Viale delle Terme di Caracalla,
Rome / Italy.
Dr. Robert Oppenheimer, Director
The Institute of Advanced Study
Princeton, New Jersey 08540
Dear Dr. Oppenheimer:
Through the Center for Agricultural and Economic Development, Iowa State University is sponsoring a conference—Alternatives for Balancing Future World Food Production and Needs. The conference will be held in the Memorial Union on the campus, November 8-10, 1966.
Developments abroad in recent years have abruptly revitalized a question long left dormant and only partially answered: can the food-producing ability of the world keep pace with population growth? However, the realities of the present suggest that an inverted form of the question deserves equal consideration: can population growth be voluntarily paced to parallel the expansion of food supplies? Beyond the elemental issue of survival, this question has attracted global attention because failure to balance food supplies with needs threatens to thwart the nearly universal aspirations for higher living standards so evident throughout the world. This conference will provide an organized forum where an interdisciplinary group can examine the nature and significance of the problem, and then proceed to a critical, comparative analysis of relevant alternative solutions. From this effort we hope to derive; (1) an accurate characterization of the future world food situation, (2) a determination of the responsibilities of the wealthy and the less wealthy nations for finding and executing solutions to future food problems, and (3) a thorough assessment of alternative action proposals with special emphasis on possible United States programs.
We extend an invitation to you and members of your staff to attend the conference. Enclosed are a copy of the conference program which provides additional details on the topics to be considered, and a form which may be returned to indicate the names of those wishing to attend. We will provide additional information on transportation and lodging to persons responding to the invitation.
We look forward to a productive conference and to receiving your response.
Sincerely,
Floyd Andre
Dean of Agriculture
c.j
Enclosure:
The following persons from our staff plan to attend the Center for Agricultural and Economic Development Conference: "Alternatives for Balancing Future World Food Production and Needs," November 8, 9 and 10, 1966, Iowa State University, Ames, Iowa.
(Name) ___________________________ (Address)
(Name) ___________________________ (Address)
(Name) ___________________________ (Address)
Signed: ___________________________
Organization: _______________________
Address: ___________________________
CENTER FOR AGRICULTURAL AND ECONOMIC DEVELOPMENT
IOWA STATE UNIVERSITY OF SCIENCE AND TECHNOLOGY
AMES, IOWA
ALTERNATIVES FOR BALANCING FUTURE
WORLD FOOD PRODUCTION AND NEEDS
NOVEMBER 8, 9 and 10, 1966
Tuesday Morning
A. THE SITUATION AND ITS ISSUES
1. Summary of the World Food Situation: Population Growth, Food Supplies, Nutritional Developments and Emerging Problems.
Lester R. Brown; Staff Economists Group, U. S. Department of Agriculture
Trends in production and supply of foods; trends in population and demand interpretation of per capita food production trends in terms of diet adequacy; the dual importance of population growth as a determinant of food demand and as a determinant of the rate of economic development in developing countries; projections to the future with implications to emerging problems by regions; the degree of urgency and uniqueness of the problem for the future.
2. The Social and Ethical Setting of the World Food Situation.
Andrew Cordier; Columbia University
The responsibility of the U. S. and other wealthy nations for the alleviation of the world food deficit; the moral and ethical responsibilities of food deficit nations relative to present and prospective food supplies; the conflicts of national and world policies in respect to food supplies; the conflicts of national, regional and international policies in respect to food supplies and health improvements which increase populations versus birth control activities which slow or stabilize population growth; the political, religious and economic restraints which limit meshing of investments in food and population growth; a summary of the moral, ethical, political and economic facets of the problem.
Tuesday Afternoon
B. NUTRITIONAL ASPECTS OF THE WORLD FOOD PROBLEM
3. Ecological Patterns Related to Malnutrition and Food Acceptance.
Nevin S. Scrimshaw; Massachusetts Institute of Technology,
Malnutrition as part of an environmental pattern including poverty, poor sanitation, unwise food customs, low education levels, etc.; cultural determinants and opportunities in food formulations and substitutions; existing cultural restraints in nutrition; means of lifting cultural restraints and meeting applied nutrition problems; solutions by countries and cultures; problems in formulating vegetable and other food mixtures.
C. POPULATION PROSPECTS AND CONTROLS
4. World Population: Underlying Causes of Growth Differentials.
Dudley Kirk; Population Council, New York.
Density and growth differentials according to system of social organization with special reference to industrialization and urbanization; cultural determinants of family size; improved health and nutrition as contributors to further and more rapid population growth.
5. Curbing Fertility in Developing Countries: An Evaluation of Opportunities and Programs.
Donald Bogue; University of Chicago.
Current and prospective birth control technology; cultural and economic restraints to use of this technology; restraints in respect to time for effective population control; means of easing restraints; projections to future under various conditions and assumptions.
Wednesday Morning
D. INCREASING THE WORLD FOOD SUPPLY
6. World Food Production Prospects and Potentials: A short-run look.
Albert H. Moseman; Agency for International Development, U. S. Department of State.
Present trends and prospects in agricultural products for the world and its regions; potentials for the near future by world aggregates with special reference to the food deficit regions; expansion opportunities in the short run from more and better use of conventional inputs.
7. World Food Production Prospects and Potentials: A long-run look.
Charles E. Kellogg; Soil Conservation Service, U. S. Department of Agriculture.
Long-term outlook for agricultural products for the world with special reference to the food deficit regions; potential production expansion from programs requiring larger investments and longer developmental periods.
8. Overcoming Institutional Obstacles to Agricultural Progress.
Rainer Schickele; Agricultural Development Council.
Needs for upgrading educational levels and facilities (both general and extension); cultural and institutional restraints to agricultural improvement; response of existing political power groups to major changes in the organization of agriculture; problems of meeting capital requirements for agricultural improvement; a summary of some of the major problems to be overcome in developing countries if their physical food-producing potentials are to be realized and the broad outlines of approaches needed to solve them; an assessment of the possible expansion of agricultural output and the time lags involved if all feasible steps were taken.
Wednesday Afternoon
9. The Role of Protein Formulation Processes in Meeting the Food Needs of Developing Countries.
Arthur Odell; James Ford Bell Research Center, General Mills, Inc.
Existing status of the technology and potentials for the future potential costs, economic feasibility and realistic possibilities for filling the food gap.
10. Prospects for Expanding Food Production From the Oceans.
Francis T. Christy, Jr.; Resources for the Future, Inc.
Potentials for the future; storage and distribution problems; economic feasibility and realistic possibilities for filling protein deficits.
E. STRUCTURING ACTION PROGRAMS TO OVERCOME FOOD DEFICITS.
11. Altering the Variables of the Food Supply-Demand Situation.
Erven J. Long; Agency for International Development; U. S. Department of State.
A discussion of the variables in food supply, population growth and food demand; existing economic, cultural and political restraints on agricultural improvement, synthetic food production and population control; which variables can and should be varied; what is the potential outlook and return from varying different variables of the set; what are the time lags and what potential contributions can each make in the short run and in the long run.
Wednesday Evening
F. THE NATIONAL OUTLOOK, INTERESTS AND RESPONSIBILITIES OF THE UNITED STATES
12. The National Interest and Responsibility of the United States in Relation to World Food Needs.
Kenneth W. Thompson, The Rockefeller Foundation.
Interrelationships and conflicts with domestic policies, moral, ethical and political responsibilities of the United States in meeting world food needs; realistic role of the U. S. relative to domestic goals and political feasibility; relationships with regional and international organizations.
Thursday Morning
13. Objectives, Scope, Achievements and Hazards of Existing U. S. Food Aid and Economic Development Programs.
Earl O. Heady; Iowa State University.
Appraisal of United States policies in respect to domestic food production and world food demand; should United States supply capacity be used only to meet emergency food crises; to what extent does food aid alone only postpone the "day of reckoning" in the sense of encouraging a larger world population to starve or subsist at low nutritional standards at a later time; what would be the domestic cost and economic and political feasibility of "all out" United States production to help fill the world food gap; to what extent can excess United States foods be used to actually catalyze development in backward countries; what would be the impact of greater world flows of United States food aid in international markets and the economies of other developed nations; an appraisal of present and projected policies in use of United States food supplies and capacities for meeting world food needs and attaining long-run development; optimal use of funds in domestic food production versus direct international development; summary of policy proposals for short-run and long-run in terms of domestic production policy, pricing levels and mechanisms.
14. Capacity of the United States to Supply Food for Export and Prospective Needs and Policy.
John A. Schnittker, Undersecretary, U. S. Department of Agriculture.
Melvin L. Upchurch, Economics Research Service, U. S. Department of Agriculture.
The United States position in capacity, production potential and domestic policy; outlook and projections for food-producing capacity; supply of United States food relative to domestic demand, international market demand and world food needs; United States supply relative to total market demand and world food needs.
15. Alternative United States Investments in Food Production and Potential Population Control and Their Evaluation.
Theodore W. Schultz; University of Chicago.
Impact of food shipments in terms of agricultural prices and development restraints or catalysts in recipient countries; magnitudes of costs to the United States in turning loose domestic production and "feeding the world;" potentials and relative payoffs in aid through shipment of domestically produced food, in investments in improving agricultural knowledge and technology in underdeveloped countries in fertilizer and other input facilities and in dollar aid; potentials and relative payoff from investment in population control; competitiveness of investments in short-run programs with longer run programs; summary of prospects, problems and realistic approaches in using United States capacity.
Thursday Morning
13. Objectives, Scope, Achievements and Hazards of Existing U. S. Food Aid and Economic Development Programs.
Earl O. Heady; Iowa State University.
Appraisal of United States policies in respect to domestic food production and world food demand; should United States supply capacity be used only to meet emergency food crises; to what extent does food aid alone only postpone the "day of reckoning" in the sense of encouraging a larger world population to starve or subsist at low nutritional standards at a later time; what would be the domestic cost and economic and political feasibility of "all out" United States production to help fill the world food gap; to what extent can excess United States foods be used to actually catalyze development in backward countries; what would be the impact of greater world flows of United States food aid in international markets and the economies of other developed nations; an appraisal of present and projected policies in use of United States food supplies and capacities for meeting world food needs and attaining long-run development; optimal use of funds in domestic food production versus direct international development; summary of policy proposals for short-run and long-run in terms of domestic production policy, pricing levels and mechanisms.
14. Capacity of the United States to Supply Food for Export and Prospective Needs and Policy.
John A. Schnittker, Undersecretary, U. S. Department of Agriculture.
Melvin L. Upchurch, Economics Research Service, U. S. Department of Agriculture.
The United States position in capacity, production potential and domestic policy; outlook and projections for food-producing capacity; supply of United States food relative to domestic demand, international market demand and world food needs; United States supply relative to total market demand and world food needs.
15. Alternative United States Investments in Food Production and Potential Population Control and Their Evaluation.
Theodore W. Schultz; University of Chicago.
Impact of food shipments in terms of agricultural prices and development restraints or catalysts in recipient countries; magnitudes of costs to the United States in turning loose domestic production and "feeding the world;" potentials and relative payoffs in aid through shipment of domestically produced food, in investments in improving agricultural knowledge and technology in underdeveloped countries in fertilizer and other input facilities and in dollar aid; potentials and relative payoff from investment in population control; competitiveness of investments in short-run programs with longer run programs; summary of prospects, problems and realistic approaches in using United States capacity.
Thursday Afternoon
16. A Panel Discussion: Optimal Strategies for Balancing World Food Production and Needs.
Don Paarlberg; Purdue University
Louis M. Thompson; Iowa State University
Wallace Ogg; Iowa State University
Optimal combinations in economic and political strategies relative to food supply and demand; national, supranational, and international approaches, organizations and policy; selection among strategies of (a) food production in developed countries shipped to underdeveloped countries, (b) aid in improving domestic agriculture of new nations through scientific and educational inputs and direct (fertilizer) and indirect (fertilizer plants) agricultural inputs, (c) population control, (d) investment in knowledge and facilities for food production from nonagricultural sources, (e) other; overall world plans and organization needed.
Dear Foreign Student Advisor:
I am writing to you to request the names and the addresses of the Iranian students attending your University.
The purpose of ISAUS is to attempt to extend its membership to all Iranian students in the United States. By this we hope to attempt to present the Iranian culture and customs through cultural programs and exhibits to the American students and the public. Also through publications and panel discussions on the current events in Iran, we would like to produce a link between Iranian students in this country and the Iranian society; this we feel is very necessary and would diminish the problem of the students' re-orientation to the Iranian society on their return to Iran.
I am enclosing a form for the names and the addresses of the Iranian students at your University.
With many thanks,
Yours truly,
Ali Barzegar
Organizational Vice President,
ISAUS
Encl.
The Secretary,
Institute for Advanced Study,
20 Nassau Street,
Princeton,
New Jersey,
U.S.A.
Dear Sir,
I am desired by the Minister for Education to state that he would feel obliged if you would be so good as to forward to this Office one or two copies of your Bulletin No.7 containing particulars of the Institute for Advanced Study.
Yours faithfully,
for Secretary.
Dear Doctor Aydelotte:
Thank you very much indeed for your kindness in supplying me with information regarding the terms and conditions upon which the professors hold office in the Institute for Advanced Study which will, of course, be treated as confidential.
Yours sincerely,
[Signature]
Secretary
Dr. Frank Aydelotte, Director
The Institute For Advanced Study
Princeton, New Jersey
October 22, 1940
Dear Mr. Devlin:
In reply to your inquiry of October 4th, I take pleasure in sending you in confidence the information you request regarding terms and conditions upon which the professors and members of the academic staff hold office at the Institute.
The salaries of our professors are not uniform. It is our practice when a man comes from another institution to fix his salary at about the same level as it had been at the institution from which he came, since we do not wish the financial inducement to be important in such a case. Increases are then made within the limits of the financial resources of the Institute and according to what seems to the Trustees and Faculty the value of the individual concerned and the importance of his productive work. The highest salaries are $15,000 and the greater number of the members of our faculty receive between $10,000 and $15,000.
Princeton is an expensive place in which to live. It may be that your Institute will be established in a locality where the cost of living is less than it is here. In that case I should not think it necessary, or perhaps even advisable, for you to undertake to match our salary scale.
Our professors are required to participate in the pension plan of the Teachers Insurance and Annuity Association, to which each professor contributes five per cent of his salary each year, the Institute contributing a like amount, to build up a fund which will buy him an annuity at the time of his retirement. In the case of young men who begin participation in this plan at the age of thirty-five, the annuity at sixty-five is expected to be approximately one-half their salary.
For permanent appointments in the Institute we have only one rank, namely, that of professor, with the salary scale indicated above. In addition, assistants may be appointed to professors for short terms at moderate stipends of $1500 to $1800 per year. These stipends are not increased with length of service, the purpose being to avoid keeping young men too long in a position which would have no satisfactory future.
In addition, the Institute has a certain amount of money which may be used in case of need for stipends for the assistance of scholars who may come here for periods of study lasting as a rule from one to two years.
Since you wrote to me first Dr. Abraham Flexner, the founder and first director of the Institute, has published his autobiography, the closing chapter of which tells in some detail the facts about the organization of the Institute for Advanced Study. He has kindly promised to send you a copy, which I believe you will find an interesting and valuable supplement to this factual information.
If there are any further questions which I can answer, please do not hesitate to write to me.
Yours sincerely,
Denis Devlin, Esq.
Irish Legation
Washington, D. C.
FA/MCE
October 22, 1940
Dear Dr. Flexner:
Many thanks for your letter of October 21.
I have re-written the letter to Devlin in the light of your suggestions, incorporating practically all of them verbatim. I did not, however, include your suggestion about secretarial help. The work which is done by our secretaries here would be done by quite different people in English institutions, and I know from long experience with the Rhodes Trust that it is quite out of the question to get them to change their system.
I told Devlin about your book, suggested that he would find it very valuable, and told him that you had kindly promised to send him a copy. I think that will be extremely useful to him. The address is Denis Devlin, Esq., Irish Legation, Washington, D. C.
We are delighted to have Anna with us. She and I had a pleasant evening at the meeting of the Archaeological Institute at the Present Day Club last evening. Marie was tired and we made her go to bed. Ben Meritt is now President, and Campbell, one of our members, gave a most interesting address at last night's meeting.
Yours sincerely,
Dr. Abraham Flexner
150 East 72nd Street
New York City
FA/MCE
October 18, 1940
Dear Dr. Flexner:
Some months ago I had a letter of inquiry from the Irish Legation in Washington concerning the organization of the Institute for Advanced Study. It seems that President deValera wants to establish a similar organization in Ireland and I believe has Schroedinger there already as the first professor in the new research institute.
I wrote Mr. Devlin a full description of the Institute last spring, which apparently was quite satisfactory to him on general grounds, but I have now had the enclosed letter of inquiry as to salaries, retiring allowances, etc. I have drafted a frank reply, carbon copy of which I enclose, but before sending it I should like your advice as to whether you think it wise to give out so much information concerning our financial organization. I may say that my inclination is to do it, but I should be very glad to have your opinion on the question.
Yours sincerely,
Dr. Abraham Flexner
150 East 72nd Street
New York City
FA/MCE
Dear Frank:
I have your note of October 18th, enclosing the proposed answer to Mr. Devlin.
I think your inclination to help Mr. Devlin is sound. On the whole, your letter seems to me clear and satisfactory. I should, however, to protect both them and you amplify it at one or two points. You say, "we hope eventually that each professor will receive a salary of $15,000 per year." To this I should add a proviso, namely: "providing his productive work justifies increase to this amount." I should also add a sentence something like this: "Princeton is an expensive place in which to live. It may be that your Institute will be established in someplace where the cost of living is less. If so, it would, I think, not be necessary to indicate how much is the maximum salary scale provided the other conditions for work duplicate those at the Institute." I should also add at the end a sentence something like this: "We have found out through experience that in order to create for professors and workers, as well as for the director, maximum conditions of efficiency the usual run of secretarial and stenographic help does not suffice. Just as we require unusual capacity and productivity in our professors, so, in order that they may not waste themselves, we require unusual capacity and culture in the secretarial staff and this requires a higher standard of remuneration than is common in business or in law, etc."
The general conditions coincide with ours. These matters are really not kept secret and there is nothing to be gained by keeping them secret provided we can be helpful by imparting such information as your letter, with these additions, provides. Nevertheless, I should suggest that the details be kept as confidential as possible.
It might also help the Irish who, I imagine, are not too wealthy, to be told that an Institute of this kind can be carried on, and was carried on for a period of seven or eight years, without a building of its own, and that we
procured our present building only after experience had made clear to us the sort of building which our work required. If you think it worth while, I will send Devlin a copy of my book, one of the final chapters of which covers the question. You might mention it to him as containing a somewhat detailed account of the principles upon which the Institute is based and the concrete steps we have taken in a leisurely way to build it up.
Yours very sincerely,
Dr. Frank Aydelotte.
{Enclosures}
October 17, 1940
Dear Mr. Devlin:
In reply to your inquiry of October 4th, I take pleasure in sending you in confidence the information you request regarding terms and conditions upon which the professors and members of the academic staff hold office at the Institute.
For permanent appointments in the Institute we have only one rank, namely, that of professor, and we hope eventually that each professor will receive a salary of $15,000 per year. It is our practice when a man comes from another institution to fix his salary at about the same level as it had been in the institution from which he comes, since we do not wish the financial inducement to be important in the case of a man who comes to the Institute. In the course of time it is our intention to bring such men up to the standard salary of $15,000. Professors are appointed upon permanent tenure and can be removed only for failure to perform satisfactorily the duties of their position or to conform to the standards of conduct expected in an American university.
Our professors are required to participate in the pension plan of the Teachers Insurance and Annuity Association, to which each professor contributes five per cent of his salary each year, the Institute contributing a like amount, to build up a fund which will buy him an annuity at the time of his retirement. In the case of young men who begin participation in this plan at the age of thirty-five, the annuity is expected to be approximately one-half their salary.
Assistants are appointed to professors for short terms at moderate stipends of $1500 to $1800 per year. These stipends are not increased with length of service, the purpose being to avoid keeping a young man too long in a position which would have no satisfactory future.
In addition the Institute pays stipends of varying amounts to scholars who may come here for periods of study lasting as a rule from one to two years.
I hope that this will give you the information you want. If there are any further questions, I should be glad to have you write to me.
Yours sincerely,
IRISH LEGATION
WASHINGTON, D.C.
October 4, 1940
Dr. Frank Aydelotte, Director
The Institute For Advanced Study
Princeton, N.J.
Dear Doctor Aydelotte:
Following a recent communication received from my Government, I am taking advantage of your kind offer to answer further questions regarding the organization of the Institute for Advanced Study. Would you be so kind as to let me have particulars regarding and terms and conditions upon which the professors and other academic staff hold office in the institute, the salaries and emoluments they receive and the superannuation scheme under which they are entitled to benefit. If such particulars should be regarded as confidential, you may be sure that my Government would see to it that they remain so.
Yours sincerely,
[Signature]
Secretary
Dr. Frank Aydelotte, Director
The Institute For Advanced Study
Princeton, N.J.
Dear Doctor Aydelotte:
Thank you very much indeed for the printed copy of the Certificate of Incorporation and By-Laws of the Institute for Advanced Study and for the copies of the various bulletins of the Institute, as mentioned in your letter of May 18th, which you were so good as to send me. I am sending them to Mr. de Valera who will doubtless find them of great value in connection with the foundation of the institute in Ireland. You will be interested to learn that the bill providing for its foundation has now been enacted and so far it is the intention to set up two schools, one for Celtic studies and one for theoretical physics. I am sending you enclosed a copy of the bill which you may find interesting.
I expect to receive further enquiries from my Government and in that case I shall be happy to avail of your very kind invitation to come to Princeton in order to get a better working knowledge of the functioning of the Institute. I shall be glad to arrange a date for my visit which will be suitable to you.
Sincerely yours,
[Signature]
Secretary
ARRANGEMENT OF SECTIONS.
Section.
1. Definitions.
2. Establishment of the Institute.
3. Functions of the Institute.
4. Establishment and disestablishment of Constituent Schools.
5. The functions and duties of the Constituent Schools.
6. Method of establishing and disestablishing Constituent Schools.
7. Establishment orders.
8. Appointment, etc., of the Senior Professors of a Constituent School.
9. The Council of the Institute.
10. The ex-officio members of the Council.
11. Tenure of office of members of the Council.
12. Resignation of members of the Council.
13. Removal of members of the Council.
14. Meetings and procedure of the Council.
15. Common seal of the Institute.
16. Housing and accommodation.
17. The Registrar-Bursar.
18. Officers and servants of the Institute.
19. Superannuation.
20. Appointments to and removals from the academic staff of a Constituent School.
21. Attendance of the chairman of the Council at meetings of Governing Boards.
22. Powers of the Council in relation to publications and scholarships.
23. Regulations.
24. Appeals to the Minister by Governing Boards of Constituent Schools.
25. State endowment of the Institute and Constituent Schools.
26. Power to charge fees.
27. Power of Institute to accept donations.
28. Finances, accounts, and audit.
29. Annual report by the Council.
30. Expenses.
31. Short title.
[No. 24a of 1939.]
May 18, 1940
Dear Mr. Devlin:
I learned with great satisfaction from your letter of May 9 of the purpose of Mr. de Valera to sponsor a bill in the Irish Parliament for the foundation of an Institute of Advanced Studies similar in character to our institution in Princeton.
It gives me great pleasure to send you under separate cover a printed copy of the Certificate of Incorporation and By-Laws of the Institute for Advanced Study, together with a copy of the first bulletin of the Institute, telling of the organization and purpose, and the most recent bulletin, which is No. 8. No. 9 is now in the press and will be forwarded to you as soon as copies are available. In addition to this material I send you one or two popular descriptions of the Institute, which may be of value.
I believe, however, that it might be worth your while when you have read over this material to come to Princeton for a day to see something of the Institute for yourself. I think it extremely likely that questions would occur to you that could be answered most effectively in this way. We are now on vacation, but there will always be some members of the faculty about, and I shall be here myself off and on during the entire summer except for the month of July.
If meanwhile any questions occur to you that could be answered by mail, please feel free to write me again. I should be happy to serve you in any way in making plans for the new institution in Ireland.
Yours sincerely,
Mr. Denis Devlin, Secretary
Irish Legation
Washington, D. C.
FRANK AYDELOTTE
FA/MCE
Dr. Frank Aydelotte, Director
Princeton Institute for Advanced Study
Princeton University
Princeton, N.J.
Dear Sir:
The Prime Minister, Mr. de Valera, is at present sponsoring a bill in the Irish Parliament for the foundation of an Institute of Advanced Studies, State endowed and not attached to any of the Universities, and the organization and administration of the Institute are at present under consideration.
My Minister feels that information regarding the Princeton Institute for Advanced Study would be of great assistance to my Government in this matter and I should, accordingly, be very grateful if you would be so good as to let me have some particulars of the origin, function and work of your Institute.
Yours sincerely,
[Signature]
Secretary
October 8, 1936
Dear Professor Irving:
Thank you for your note of the 6th and for writing Mr. Reis as you did.
I am sorry that you find yourself compelled to use eye glasses. That only proves that you are getting into my age category.
With all good wishes,
Sincerely yours,
ABRAHAM FLEXNER
Professor John I. Irving
Department of Philosophy
Princeton University
Princeton, New Jersey
AF/MCE
October 6, 1936.
Dear Dr. Fenner:
I am enclosing Mr. Reis' letter which you were good enough to send me some days ago. I have written to Mr. Reis that he has been misinformed and that it would be a waste of his time to come to Princeton at present. I have suggested that he write to the Institute of Mediaeval Studies at Toronto for information about their plans for research in mediaeval philosophy.
Since the death of Prof. H.C. Horwitt in 1929 our department has done nothing in mediaeval philosophy. We have left the course in the catalogue but it has never been given. There is a vague feeling that something may be done about it at some future time, but no definite plans have been made.
Please forgive me for taking so long to answer your letter. I have been having my eyes tested during the last two weeks and I got behind with everything. I now have to wear glasses for reading, and this annoys me very much.
I shall look forward to seeing you and Mrs. Fenner soon.
Yours sincerely,
J.G. Irving.
September 25, 1936
Dear Professor Irving:
I have just received the enclosed note, and I have written Mr. Reis that I am forwarding it to you with the request that you tell him whether or not he has been misinformed. Will you be good enough to do so?
Mrs. Flexner and I are expecting to be in Princeton by the 1st of October and we hope to see you very soon.
With all good wishes,
Ever sincerely,
Abraham Flexner
Professor John A. Irving
Graduate College
Princeton, New Jersey
AF/MCE
February 6, 1936
Dear Professor Irving:
I am sending you a note from Dr. Finley with a letter from Professor Joshi and my reply thereto. Would you like to talk with Joshi when he comes down to Princeton? If so, what is the best time for you?
Always sincerely,
ABRAHAM FLEXNER
Professor John A. Irving
Department of Philosophy
Princeton University
Princeton, New Jersey
AF/MCE
November 9, 1959
The Institute for Advanced Study
Princeton, N.J.
Gentlemen:
We hereby confirm the receipt of the Certificate of Incorporation and By-Laws, and "Some Introductory Information", copies of which you were good enough to send us.
Thanking you for your attention and assistance, we remain,
Yours sincerely,
Dr. N.A. Chouraqui
March 8, 1935
Prof. Director G. V. Ivanoushkin
Korolenkostr., 5S-a.
Kiev, U. S. S. R.
My dear Professor Ivanoushkin:
Thank you very much for sending me the publications of your Academy, which we are very glad to have.
I am sending you under separate cover a copy each of the four Bulletins of the Institute for Advanced Study and am placing your name on the mailing list that you may receive subsequent publications.
With much appreciation of your cooperation,
Sincerely yours,
AF: ESB
Abraham Flexner
XXII. INTERNATIONAL CONGRESS OF ORIENTALISTS
(Istanbul, September 15-22, 1951)
The XXIInd International Congress of Orientalists will be held under the patronage of the President of the Turkish Republic, H.E. Celâl Bayar, in the premises of the Faculties of Law and Economics of the University of Istanbul, from September 15th to 22nd.
A Committee of Patronage has been set up consisting of the following personalities: the Prime Minister of the Turkish Republic, the Minister of Foreign Affairs, the Minister of Public Instruction, the Rectors of the University and the Technical University of Istanbul, the Rector of the University of Ankara, the Governor and Mayor of Istanbul.
Further an Honorary Committee and, to assist the Organizing Committee, an Advisory Committee have been elected. The names of the members of these two committees, as well as those of the members of the subcommittees for accommodation, exhibitions, excursions and scientific questions, which have been attached to the Organizing Committee, will be published in the third circular.
ACTIVITIES OF THE CONGRESS:
The sections which the Congress will comprise, and the specialists who will direct these sections, have been determined through an inquiry among scholars of the respective sections in different countries. Particulars about the sections, subsections and about the heads and secretaries of these will be given in our next circular. According to information so far received, the Congress will have a large attendance. Besides the scholars who were present at the International Congress of Orientalists in Paris, we expect at our Congress members from Germany and from the new states of Israel, Pakistan, India and Indonesia.
Owing to the large number of contributions, the sections will be divided into subsections. For such separate fields as philology, ethnography, archaeology, prehistory, and
---
1) The Inter-parliamentary Congress will also take place in the course of September. As the convening of two large Congresses at the same time raises complications with regard to the questions of accommodation and sightseeing, we were obliged to learn the definitive date of the Interparliamentary Congress before finally fixing the date of our Congress. The date of the Interparliamentary Congress (1-9 September) was communicated to our government only the 1st April. We were thus obliged to change the date of our Congress (which had been provisionally fixed for the 8-15 September) to the 15-22 September.
2) We give the names of the sections, which were already shown in the first circular: 1. Ancient Orient, 2. Ancient Anatolia, 3. Semitic Studies, 4. Islamic Studies, 5. East Asia (China, Japan, Indonesia) 6. Central Asia, 7. Turcology, 8. Indo-Bggy, 9. Iranian Studies, 10. Christian Orient, 11. Old Testament, 12. African Studies, 13. Egyptology, 14. Byzantine-Islamic Studies, 15. Islamic Art.
Le Comité d'Organisation du XXIIe Congrès International des Orientalistes a l'honneur de vous inviter à ce Congrès qui se tiendra à Istanbul du 15 au 22 Septembre 1951. Si vous avez l'intention d'y présenter une communication, nous vous prions de nous en faire connaître le titre et de nous envoyer un résumé de quelques lignes de cette communication.
Le Président du Comité d'Organisation
Prof. Dr. ZEKİ VELİDİ TOGAN
Le secrétaire général du C. O.
Doç. Dr. BÜLENT DAVRAN
According to the decision of the XXI\textsuperscript{rd} International Congress of Orientalists in Paris 1948, the XXII\textsuperscript{nd} Congress was to take place in Istanbul in 1951. Turkish delegates who were present at the Congress in Paris warmly approved of this decision. The Board of Public Education in Turkey charged the University of Istanbul (October 20, 1950) with the convocation of the Congress, proposing that it should receive the cooperation of the University of Ankara, Turkish Linguistic and Historical Societies. The Rector of the University of Istanbul has invited representatives from the University of Ankara and from those two societies, and has set up an Organizing Committee, under my chairmanship; furthermore he has undertaken to establish an Advisory Committee, composed of outstanding personalities in our country. The orientalists and scientific institutes interested in the Congress will be informed of the successive stages of the work of the committees.
At the Congress in Paris no instructions were issued and no desires expressed concerning the tasks of the XXII\textsuperscript{nd} Congress. After several discussions with Turkish scholars and foreign orientalists, we have arrived at the conclusion that the Congress in Istanbul should take place on a rather larger scale than did the preceding ones, since Istanbul forms a most important point of contact between the Christian Occident and the Moslem Orient, Europe and Asia, and is the scientific centre of the Turkish State. Furthermore we have decided that the following sections should be represented at our Congress:
1. Ancient Orient, 2. Ancient Anatolia, 3. Semitic Studies, 4. Islamic Studies, 5. East Asia (China, Japan, Indonesia), 6. Central Asia, 7. Turcology, 8. Indology, 9. Iranian Studies, 10. Christian Orient, 11. Old Testament, 12. African Studies, 13. Egyptology, 14. Byzantino-Islamic Studies. As the Congress is going to take place in a centre which contains the most outstanding Turco-Islamic works of art, we consider it convenient to add: 15. Islamic art.
Though it took some time to establish the Organizing Committee, we, i.e. those at the University of Istanbul who are interested in these congress problems, had started previously to make personal contact with various orientalists, in order to staff the different sections.
We shall do everything in our power to ensure the representation on a large scale of the scientific institutions of the different countries which have been working in the field of Oriental research, either directly or through their departments. In particular we shall contact the scientific institutes in the Orient.
The Congress will be held in September. The constitution of the Congress and of its different sections, the conditions of participation, the general outlines of the programme, the information about excursions, journeys, exhibitions, etc. will be published in the 2\textsuperscript{nd} circular.
We beg the scholars to whom this first circular is sent and who wish to take part in the Congress, to inform us as quickly as possible of their wishes concerning the organization and to send us the subjects of their communications, together with brief summaries.
President of the Organizing Committee:
Prof. Dr. ZEKİ VELİDİ TOĞAN
Secretary:
Doç. Dr. BÜLENT DAVRAN |
China's Progress Towards the Millennium Development Goals
2008 Report
Published Jointly by
Ministry of Foreign Affairs of the People's Republic of China
United Nations System in China
© Copyright
Ministry of Foreign Affairs of the People’s Republic of China, 2008
中华人民共和国外交部，2008
United Nations System in China, 2008
联合国驻华系统，2008
All rights reserved. Information from this booklet may be freely reproduced as long as credit is given.
保留所有权利。本出版物所在信息可自由复制，但须标明出处。
Note: Data used in this report are from official Chinese government sources except where otherwise indicated.
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| Preface | 2 |
| Foreword | 4 |
| Introduction to the MDGs | 7 |
| China’s Development During 30 Years of Reform and Opening Up | 8 |
| China’s Development Strategy and the MDGs | 11 |
| Human Development in China | 13 |
| Assessment of China’s MDG Progress | 15 |
| Goal 1: Eradicate extreme poverty and hunger | 16 |
| Goal 2: Achieve universal primary education | 28 |
| Goal 3: Promote gender equality and empower women | 33 |
| Goal 4: Reduce child mortality | 39 |
| Goal 5: Improve maternal health | 44 |
| Goal 6: Combat HIV/AIDS, malaria and other diseases | 49 |
| Goal 7: Ensure environmental sustainability | 56 |
| Goal 8: Develop a global partnership for development | 67 |
| Conclusion | 73 |
Ever since its founding, the United Nations has regarded promotion of development as one of its key tasks. For decades, UN has dedicated itself to the cause of global development and made positive contribution. In the year 2000, world leaders gathered in New York and adopted the UN Millennium Declaration, laying the foundation for the Millennium Development Goals (MDGs) as a roadmap and timetable for realizing the global aspiration for development. In the past eight years, good progress has been made in the implementation of these Goals thanks to the unremitting efforts of the international community—yet huge challenges remain. In this year of mid-term review of progress towards the MDGs, we hope that the UN High-Level Event on the MDGs in September will serve as a catalyst for further accelerating efforts to reach the Goals.
This year also marks the 30th anniversary for China’s process of reform and opening up, during which remarkable economic and social progress has been achieved. With development its first priority, China has set its own goal of building a moderately prosperous society (Xiaokang) in an all-round way, which is fundamentally in line with the MDGs. After years of hard work, China has ahead of schedule met the MDG targets of halving the impoverished population and providing universal primary education, and has made fairly fast progress in other areas such as health and gender equality. China will very likely achieve all MDGs by 2015. As a major developing country home to one fifth of the world’s population, China’s success will be in itself the biggest contribution to world stability and development as well as the attainment of the MDGs globally.
On the other hand, China faces quite a few challenges in the course of development and still has a long way to go before fully achieving the MDGs. The Chinese Government will continue to apply the scientific outlook on development, featuring comprehensive, coordinated and sustainable development, follow a people-oriented approach, strengthen overall coordination and work to build a harmonious socialist society of moderate prosperity in an all-round way.
The Chinese Foreign Ministry, in collaboration with the UN System in China, previously published reports on China’s progress towards the MDGs in 2003 and 2005. The 2008 report, again co-authored by the two sides, contains updated information and some additions. It is a summary of China’s economic and social development during its 30 years of reform and opening up as well as a review of China’s latest progress towards the various MDGs. It also points out problems and challenges China has encountered in achieving the MDGs and puts forward recommendations for future action.
This report, the latest outcome of the productive cooperation between the Chinese
Government and the UN System in China, is another testament to their sound partnership. In its drafting process, the UN system in China played an active part, providing rich materials and valuable advice. I wish to thank them for their contribution. I am sure this co-authored report will give a strong boost to China’s cooperation and exchanges with the United Nations and help China draw on the good practices and experiences of other countries.
We have already passed the half-way point to the target date of the MDGs. The Chinese Government will continue to work for the timely achievement of the MDGs in China and make its own contribution to the common cause of development worldwide.
Liu Jieyi
Assistant Minister of Foreign Affairs
The People’s Republic of China
FOREWORD
In 2008 the world marks the mid-point of the 15 year period for achievement of the global Millennium Development Goals. On this occasion many world leaders are gathering in New York to review progress that has been made since the historic Millennium Declaration of 2000, and reconfirm their commitment to greater attainments between now and 2015. At such a moment this report, which assesses China’s MDG accomplishments and lays out new challenges for the future is timely and significant both for China and for the entire world.
This report presents China’s outstanding record of rapid and broad-based development over the 30 years since the beginning of the reform and opening up era in China in 1978. China’s poverty reduction achievements have been particularly remarkable. Since 1990 the number of poor people in China has fallen by more than 300 million, a great contribution to global progress toward MDG 1. In fact it is clear that without China’s reduction in poverty it would be impossible for mankind to achieve the MDG target of halving the share of the population living in poverty. Even before 1990 China had already started sustained increases in standards of living. Since 1978 more than 600 million Chinese people have been lifted out of poverty, an achievement of staggering proportions.
With many MDGs already achieved and most others firmly on track China is moving beyond several of the MDG targets and setting more ambitious social goals suitable for an advancing middle income society. In its medium-term 5-year plans and in its longer term vision of achieving an all-around Xiao Kang society by the year 2020 the government is placing great emphasis on reducing widening internal inequalities, particularly in terms of income and access to good quality health care and education services. As part of China’s emphasis on a balanced, scientific approach to development, the government is steadily increasing its investment of human and financial resources in the less advanced interior regions, particularly in the Western provinces, where human development indicators are still well behind those in the wealthier coastal regions.
In the area of poverty alleviation too, even after far exceeding the MDG target, there is still the vital task of lifting China’s remaining poor people out of poverty, and ensuring that they and others who have risen out of poverty are protected by safety nets that prevent them from sliding back when hit by the loss of a job, or an illness, or a natural disaster. China has already demonstrated that it is determined to move strongly to build on its earlier achievements in poverty alleviation, and confront head-on these remaining challenges.
This report is the product of a strong collaboration between the UN in China and the Chinese Ministry of Foreign Affairs, which coordinated inputs from a large number of government agencies. I would like to express my thanks and appreciation to colleagues on both the UN and government side who put so much hard work into this production.
The UN is honored to work in partnership with the Government of China in this effort, and we will continue to strengthen our support for China as it builds on the achievements of the last 30 years, and develops its own solutions to the new challenges that it faces.
Khalid Malik
UN Resident Coordinator
INTRODUCTION TO THE MDGS
At the UN Millennium Summit in September 2000, 189 member states unanimously adopted the Millennium Declaration. Subsequently, a universal set of development goals and targets was agreed and called the Millennium Development Goals (MDGs). Spanning eight areas of social, economic and environmental importance, with specific targets using 1990 as the baseline and 2015 as the target year, the MDGs are a clear, comprehensive and authoritative set of global development goals.
Recognized and actively supported by a wide range of parties, the MDGs have become an important standard for measuring global development progress and organizing international development cooperation. Having set detailed targets and indicators for all eight goals, the UN regularly issues global progress reports to track their achievement. In addition, the UN system works with member states to draft national MDG progress reports to raise awareness, stimulate debate and promote further action for development. In China, the Government and the UN Country Team previously drafted national reports in 2003 and 2005.
This year marks both the 30th anniversary of the era of China’s reform and opening up, and the halfway point for the MDGs. The following report summarizes China’s development over the past three decades and its MDG progress to date.
CHINA’S DEVELOPMENT DURING 30 YEARS OF REFORM AND OPENING UP
In the 30 years since 1978, when its reform era began, China has achieved a remarkable transformation from a closed and highly centralized planned economy to an open and dynamic market economy. While serious new challenges have also emerged, socialism with Chinese characteristics has fuelled growth that has caught the attention of the world and enabled a country of over a billion people to emerge from poverty and improve its socioeconomic development.
The first important element of China’s progress has been sustained and rapid economic growth. The reform process unleashed productivity and gave strong momentum to the economy. From 1978 to 2007, China’s GDP on average grew by 9.8 percent per year and now accounts for 6 percent of the world total, making China the fourth largest economy in the world. Per capita GDP has increased from 379 yuan in 1978 to 18,934 yuan in 2007. The structure of the economy has significantly improved and agricultural output has grown. With greater industrial production and expanded infrastructure, China has become a major global production hub. This has spurred rapid urbanization, with the urban share of the population rising from 17.9 percent to 44.9 percent, as new centres of economic dynamism have emerged. All of these factors have produced a windfall for national finances, which have shot up from 113.2 billion yuan in 1978 to 5.13 trillion yuan in 2007. Foreign exchange reserves have risen from US $167 million to US $1.53 trillion. To ensure that the benefits from progress are broadly distributed, a comprehensive strategy for integrated regional development has sought to speed up development and boost the capacity for growth in central and western China.
A second important element in China’s successful development has been the policy of opening all aspects of the economy, across all regions, to the outside world. Following its 2001 entry into the World Trade Organization (WTO), China has become fully integrated into the global economy, increasing its international trade from US $20.64 billion in 1978 to US $2.17 trillion in 2007, and its global trading rank from 29th to 3rd place. In 1978, both foreign direct investment (FDI) in China and China’s overseas investment were below US $20 million, but in 2007 realized FDI outside the financial sector reached US $74.77 billion, while
China’s own overseas investment had grown to US $18.72 billion. Increasing openness has greatly improved enterprise competitiveness and overall economic strength in China, while its active participation in international cooperation has contributed also to economic growth abroad.
A third aspect has been dramatic improvements in people’s living conditions. Income levels have grown steadily at a rapid pace, and many people’s lives have moved from a state of severe deprivation to a moderately well-off (or “Xiaokang” – the government’s term for its goal of achieving a balanced and solidly middle income level of development) state. Between 1978 and 2007, urban disposable income per capita increased from 343.4 yuan to 13,785.8 yuan, while rural incomes grew from 133.6 yuan to 4,140.4 yuan—a more than six-fold increase in both even after adjustment for inflation. The share of food in spending for urban and rural residents fell from 57.5 percent to 36.3 percent and from 67.7 percent to 43.1 percent, respectively, between 1978 and 2007. The emphasis in overall spending has shifted from a focus on basic needs such as food and clothing, to more diverse consumption patterns including housing, travel, education, culture, health, and so on. The rate of extreme poverty in rural areas has fallen from 250 million to 14.79 million people, while public goods and services such as universal primary education, public and basic health care, cultural facilities, etc. have been greatly expanded.
Fourthly, the institutions of the socialist market economy have been established and are being continually improved. An economic system centred on public ownership but where other ownership forms play an important role has been established. Rural reform moves steadily forward. Strategic adjustments to the national economy and the reform of state-owned enterprises are deepening, while the non-state sector is continually and rapidly developing and now accounts for over one-third of GDP. The role of the market in resource allocation has been established in a primary way, and an integrated national market system is being created. Capital markets have grown to a large scale, while other markets are being developed to allocate land, labour and technology. Public administration reforms have been broadened, and the function of the Government further shifted towards economic adjustment, market supervision, social administration and public services. A system for indirect macro-level control through economic and legal means has been set up and is being consistently improved, while progress is being made on the rule of law and access to information. Structural reform and institutional development in the social sector have achieved noteworthy results, as urban and rural social security systems are being gradually expanded and institutionalized protection has been established for the livelihoods of poor and vulnerable groups. There is a system in place whereby incomes are primarily distributed according to the contribution derived from economic inputs, in particular from labour, whilst a variety of other distribution systems also exist. Reforms of compulsory education, health care, housing security, etc. have steadily advanced.
China still faces plenty of new and
emerging challenges in its ongoing process of development, including low overall productivity, long-standing structural contradictions and a reliance on an extensive model of growth. These have not yet been fundamentally addressed; a number of institutional and instrument obstacles are still present. Nor has the trend of widening income disparities been reversed. The task of promoting a development model in which economic and social needs are properly balanced, and rural and urban as well as interregional gaps are reduced, remains rather difficult. The Government is steadfast in implementing a scientific development perspective and continues steadily pushing forward the process of reform and opening up. It aims to accelerate economic restructuring and alter the growth model, while increasing efforts to improve people’s social security and well-being, resolve all problems that arise moving forward, and promote socioeconomic development in a sound and fast manner.
CHINA’S DEVELOPMENT STRATEGY AND THE MDGS
Each country striving to achieve the MDGs does so through its own policies and practices. China began developing its own development goals and indicators to measuring progress towards the Xiaokang Society in 1980. By 2002, the Government had raised the bar by making this concept broader and more comprehensive. China has integrated its drive to meet the MDGs into its efforts to create a Xiaokang Society by formulating five strategies:
1. **Expand domestic demand**
The eradication of poverty and hunger are key MDG targets. China recognizes that sustainable economic growth must be based on domestic demand, especially household consumption. By increasing household incomes, particularly for low-income groups in both rural and urban areas, strengthening social security and improving the overall economic environment, China has bolstered the role of domestic demand in economic growth, with positive results. During this process, China has met the basic needs of over 200 million people and achieved the MDG targets on poverty and hunger far ahead of schedule.
2. **Continually improve the economic structure**
Economic growth is fundamental to achieving any of the MDGs. China has always made structural reform the centrepiece of its economic growth strategy, with the following directions set out for adjustments to the industrial sector: (i) strengthening the role of agriculture by improving productivity, optimizing the production structure, developing agricultural processing and strengthening rural infrastructure; (ii) charting a new course for the industrial sector through increasing market orientation, expanding the role of enterprises, strengthening capacities for innovation, optimizing the structure of industrial production, improving the quality of capital goods, minimizing resource consumption, improving product quality and strengthening competitiveness; and (iii) further breaking monopolies, lowering barriers to entry, and focusing on developing modern and productive as well as traditional service industries that can grow in size and quality.
3. Maintain the protection of environmental resources as a basic state policy
Ensuring the sustainability of the environment is a key part of the MDGs. China’s growth is still extensive, necessitating new strategies that save energy and protect the environment, and can bring about fundamental changes in the development model. China’s longterm target is to establish a resourceefficient and environmentally friendly society. The main strategies to achieve this are to adjust the structure of the economy, enhance the ratio of the service industry and high-tech industry in the total economy, eliminate high energy consumption and high pollution production, promote energy-saving technology, develop a circular economy, protect and recover natural zoology, strengthen environmental protection, strengthen the legal system, improve price mechanisms and financial policies, and enhance people’s saving awareness, with all levels of government taking the lead.
4. Continue the balanced development of urban and rural areas, and different regions
A key MDGs requirement is to balance development across different regions and areas. At the start of its reforms, China implemented a coastal development strategy, encouraging some regions to prosper first. But the development of the central and western regions has been slower, producing disparities between rural and urban areas and different regions in income levels, living conditions and access to public services. The Government has adopted strategies to develop the central and western regions, along with the traditional industrial base in the northeast. Different regions have also implemented targeted policies to promote balanced distribution in terms of population, economic resources and the environment.
5. Persist in the strategy of development rooted in technology and education
Achieving universal primary education is a key target of the MDGs. China has long prioritized education, technological progress and innovation as primary development drivers, particularly to shift the economic growth model to draw more on technology and human capital. In so doing, the main strategy is to simultaneously strengthen compulsory education, vocational training and higher education, so as to move from being an economy mainly endowed with abundant labour towards one also rich with human capital. Strengthening the capacity for innovation is now the foundation for strategies to further develop science and technology. Investment in technology is continually raising; the share of research and development in total GDP is envisaged to rise from the current 1.34 percent to 2 percent in 2010 and 2.5 percent in 2020. China actively promotes international cooperation around technology, strengthens intellectual property protection and fosters a positive environment that encourages innovation.
Since the reform era began, China’s human development index (HDI) has increased by nearly 50 percent, from 0.53 in 1978 to 0.777 in 2005. In comparative terms, this means the country has risen from being just over the group of low HDI countries to now being just short of the high HDI group (0.5 is the cut-off point for low development as defined by the UN). Relative to other countries at the same level of human development in 1980, China’s HDI grew twice as fast as the average.
At the same time, China’s income inequality is widening. The per capita income ratio between urban and rural residents dropped from 2.6:1 in 1978 to 1.9:1 in 1985 first, then rose to 3.3:1 in 2007. China’s income inequality is now the second highest in Asia, and is reaching levels that pose risks for the sustainability of future development. Such gaps are particularly critical in view of the increasing burden placed on individuals in paying for things such as health care and higher education, implying that income
| Indicator | Value | Year | High province/region | Low province/region |
|------------------------------------------------|---------|------|----------------------|---------------------|
| Population size (1,000,000) | 1,321 | 2007 | 94.49 | 2.84 |
| Population growth rate (%) | 5.17 | 2007 | 1.53 | 11.78 |
| Life expectancy at birth | 72.95 | 2005 | 75.2 | 69.6 |
| Real GDP per capita (yuan at current exchange) | 18934 | 2007 | | |
| Population below international poverty line (%)| 2.8 | 2004 | | |
| Estimates of HIV/AIDS prevalence | 700,000 | 2007 | | |
| Reported cases of HIV infection | 49606 | 2004 | | |
| Malaria prevalence rate (%) | 6.53 | 2004 | | |
| Reported death due to malaria | 31 | 2004 | | |
| Rural areas with improved water supply (%) | 93.78 | 2004 | | |
| Rural access to clean drinking water (%) | 60.02 | 2004 | | |
| Under-five mortality rate (%) | 18.1 | 2007 | | |
| Net primary enrolment ratio (%) | 99.5 | 2007 | | |
| Percentage of girls in primary education (%) | 99.52 | 2007 | | |
| Maternal mortality ratio (per 100,000 live births) | 33.6 | 2007 | | |
inequalities lead to disparities in access to key public services. Since the turn of the century, China’s leadership has focused considerable attention on a more balanced growth model that will start to narrow the gap between urban and rural citizens and between the wealthy coastal provinces and the poorer inland provinces. Reversing widening income gaps although rather difficult, remains one of major tasks for the Government in coming years.
Overall, China has made great progress in achieving the MDGs. Most targets have been met or exceeded seven years in advance, including for poverty, hunger, illiteracy, and infant and under-five mortality rates. China is also on track to reduce maternal mortality, and control HIV and AIDS and tuberculosis, with good hopes for achieving the MDG targets by 2015. As part of its contributions to MDG 8, China is an active partner in South-South cooperation, providing various forms of assistance to other developing countries.
Nonetheless, China clearly still faces huge challenges in achieving sustainable development, including still considerable environmental pressures, and regional and rural/urban gaps. Other development problems include an ageing population caused by population control and increased life expectancy. By 2035, 1 in 4 Chinese people will be 60 years or older. Rapid urbanization along with advances in technology, transportation, and communication have led to a decrease in physical activity, as well as to shifts to less physically intense occupations. As the threat of most communicable diseases subsides, the incidence of non-communicable diseases associated with these lifestyle changes is increasing.
But China is taking action to address these challenges. It has publicized them and set greater targets for the next seven years, going beyond the requirements of the MDGs. Among these targets, the most important ones relate to reducing disparities, especially those in income and access to high-quality health care and education. Building on past successes, and drawing on the experience and financial and human resources that the last three decades of rapid development have produced, China is now poised to move its social development ahead even more rapidly, beyond the original MDG targets and towards more ambitious goals suitable for an advancing middle-income society.
This report presents detailed discussion of progress on all eight MDGs. Every goal will be introduced in terms of its status and trends, supportive environment and potential MDGs gaps.
**Goal 1: Eradicate extreme poverty and hunger**
| Targets | Prospects for achievement | Level of national support |
|------------------------------------------------------------------------|---------------------------|---------------------------|
| Target 1a: Halve, between 1990 and 2015, the proportion of people whose income is less than one dollar a day | Already met | Strong |
| Target 1b: Achieve full and productive employment and decent work for all, including women and young people | Potentially | Strong |
| Target 1c: Halve, between 1990 and 2015, the proportion of people who suffer from hunger | Already met | Strong |
In its 30 years of reform and opening up, involving almost a quarter of the world’s population, China has aimed to get rid of poverty, and pursue harmonious development and common wealth. Poverty reduction successes have rested largely on the foundation of rural reforms that started in 1978. Poverty reduction and development programmes implemented since 1986 have further contributed to ensuring that basic living needs are met in poor rural areas. Since 2002, the Chinese Government has planned urban and rural development in a coordinated way, within a greater policy framework combining industrial, regional and social policies.
Since 2007, a minimum living standard allowances system has been nationally implemented in rural areas. Various other initiatives for structural reform, economic development, targeted poverty alleviation, urban/rural integration, etc. have jointly contributed to rapid strides in poverty reduction. As a result, the number of people in absolute rural poverty has fallen from 250 million in 1978 to 14.79 million in 2007.
China uses 9 percent of the world’s cultivated land to feed 20 percent of the global population, making a great contribution to world grain security. Its
Table 1.1: Changes in Chinese grain production over 30 years
| Year | Planted acreage (million hectares) | Tons of grain produced | Kilogrammes of grain per hectare |
|------|-----------------------------------|------------------------|----------------------------------|
| 1978 | 121 | 305 | 2,527 |
| 1983 | 114 | 387 | 3,395 |
| 1984 | 113 | 407 | 3,608 |
| 1988 | 110 | 394 | 3,578 |
| 1993 | 111 | 456 | 4,130 |
| 1998 | 114 | 512 | 4,502 |
| 2002 | 104 | 457 | 4,399 |
| 2003 | 99 | 431 | 4,332 |
| 2004 | 102 | 469 | 4,621 |
| 2005 | 104 | 484 | 4,642 |
| 2006 | 105 | 497 | 4,716 |
| 2007 | 106 | 501 | 4,751 |
Source: Data for 1949-1973 are from the book *New China 50 Years’ Agricultural Statistical Material* China Statistical Press.
Total grain production increased from 305 million tons in 1978 to 501 million tons in 2007, with grain production rising from 2,527 to 4,751 kilogrammes per hectare (see Table 1.1). The average annual increase in agricultural production has been 6.7 percent, far above the world average. Average annual increases in the production of meat, eggs, fruit and aquatic products have exceeded 7 percent, with per capita production levels surpassing world averages. Productivity has thus kept up with steadily rising demand, fostering improvements in the nutrition of both urban and rural residents.
**Target 1a: Halve, between 1990 and 2015, the proportion of people whose income is less than one dollar a day**
**Status and Trends**
According to the government poverty line, the number of absolute poor in China’s rural areas fell from 85 million people in 1990 (9.6 percent of the total rural population) to 14.79 million people in 2007 (1.6 percent of the total rural population). China is the first developing country to achieve the MDG poverty reduction target before the proposed deadline. Measured by the common international poverty line of US $1 per day, the share of China’s rural population living in poverty was reduced from 46 percent in 1990 to 10.4 percent in 2005, also meeting the MDG target well ahead of time (see Figure 1.1).
Another indicator used for target 1a is the poverty gap ratio, which reflects not only how many poor people there are, but also how far below the poverty line their income is. China has achieved good results on this indicator, with the ratio falling by 75 percent between 1990 and 2005 (see Figure 1.2). Income gaps between urban and rural areas as well as across different regions of the country are still widening, however. In 1990, the
income ratio between China’s urban and rural residents was 2.2 to 1 (1510.2 yuan vs. 686.3 yuan), while in 2007 it had grown to 3.33 to 1 (13,786 yuan vs. 4,140 yuan). In 2007, the per capita income of the officially designated poor counties was 2,278 yuan, 55 percent of the national rural average and only 16 percent of the urban average.
China’s advances have made a significant contribution to global progress on poverty reduction. From 1990 to 2005, the number of people worldwide living on less than US $1 per day fell by 418 million, or 23 percent, to 1.4 billion. Excluding China, however, the global poor population actually rose by 58 million people. China has actively participated in global poverty reduction outside its borders by providing international development assistance, exchanging poverty reduction experiences and fostering international cooperation, and offering other forms of support to other developing countries and regions. While the picture changes slightly depending on the measures and conversion factors used, the conclusion remains the same: globally, the first MDG would be very hard to meet without China’s impressive achievements in poverty reduction.
**Supportive Environment**
Rapid economic growth has underpinned China’s progress in reducing poverty. From 1978 to 2007, China’s average annual increase in GDP was 9.8 percent, with GDP per capita rising from US $226 to over US $2,000.
The Government has always made rural poverty reduction a priority when creating mid- and long-term national economic and social development strategies. National poverty reduction standards have been adjusted according to levels of economic development and the national financial
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**Figure 1.1: Rural poverty headcount**
situation, while the key areas targeted for support have been determined according to the distribution of the remaining poor. The central Government has also routinely increased funding for poverty reduction, earmarking 150 billion yuan for a special fund for poverty reduction and mobilizing a further 200 billion yuan for poverty reduction loans between 1978 and 2007 (see Figure 1.3). Financial inputs from local governments have continually expanded.
Broad social participation and active international cooperation have been important factors as well. Various tiers of government, social agencies and large state-owned companies have assisted 481 key counties. Better-developed provinces and cities in eastern China have helped 11 poorer western provinces and cities. Private sector firms and non-governmental organizations (NGOs) have also been active in poverty reduction, along with various multilateral and bilateral agencies.
Since the 1990s, China has actively promoted “participatory poverty reduction.” This engages the poor in poverty reduction programmes and decisions about the allocation of funds to build their capacities to develop. Similar initiatives have been taken to target groups with particular needs, such as rural women, children and the disabled.
Chinese financial institutions have made a number of contributions. Between 2001 and 2007, the China Agriculture Bank issued poverty reduction loans totaling 150.7 billion yuan to the poorest counties. These loans mainly assist poor households to develop income-generation activities such as planting crops and animal husbandry, but also support the agricultural processing industry, labour-intensive industry, trade and retail intermediaries, rural infrastructure and social development programmes. They are structured to enhance living conditions and productivity, promote economic sustainability and ensure continued rural poverty reduction.
**Potential MDG Gaps**
(1) China still has a large number of poor people. Based on the current official poverty line, by the end of 2007, there were still 14.79 million people classified as “absolute poor,” along with 28.41 million low-income earners in rural China. This amounts to 43.2 million people, or 4.6 percent of the rural population.
(2) Poverty is still deep. Many of the poor have weak capacities and limited conditions for development, often living in remote regions with difficult natural conditions, underdeveloped infrastructure and a lack of public services. Many belong to vulnerable groups with few income sources and a tenuous position in the labour market, including women or people with disabilities who are in need of special assistance and support.
(3) The risk of natural disaster in poor regions is five times higher than the national average, illustrating that the remaining poor often face a challenging combination of economic, social and natural risks that can lead to many difficulties. The structure of poverty is also not constant but shows significant fluctuations, with large numbers of people moving in and out of poverty every year. Temporary poverty seems more common than chronic poverty.
(4) Urban poverty still needs to be further defined, monitored and calculated. Historically speaking, urban poverty rates have been low, but the situation has been changing in recent years. The Government has put in place a number of measures to mitigate any new forms of urban poverty, such as the urban minimum living standard allowance system. As urbanization continues, however, further efforts should be made to address this potential problem. A key part of the response should be to systematically collect economic and social data on rural migrant labour in the cities.
(5) A new challenge to poverty reduction in China is the global trend of rapid increases in the prices of staple foods, particularly cereals such as wheat, rice and corn.
**TARGET 1B: ACHIEVE FULL AND PRODUCTIVE EMPLOYMENT AND DECENT WORK FOR ALL, INCLUDING WOMEN AND YOUNG PEOPLE**
**Status and Trends**
*Employment-to-population ratios*
China has a large working-age population of 769.9 million people as of 2007. The employment-to-population ratio for persons aged 15 and above, which provides a picture of the employmentgenerating capacity of an economy, has declined steadily, from a very high 76.3 percent in 1990 to 73 percent in 2006. Figures are different based on gender, but the trends are similar, as shown in Figure 1.4.
Falling employment-to-population ratios are not a troubling indicator for China. Expanded opportunities for vocational education have allowed young people to update and improve their skills, a crucial step towards higher value production.
Other factors such as economic restructuring, more intense labour market competition and rapid income growth may also be contributing to lower labour market participation and employment-to-population ratios. Nevertheless, in 2006, China had a higher employment-to-population ratio than 154 countries for which data are available. Only 22 countries reported a higher ratio than China.
**Vulnerable employment**
According to the criteria of the International Labour Organization (ILO), employment status is used to identify people in vulnerable employment. There are three categories of the employed: wage and salary workers, contributing family workers and self-employed workers. By definition, contributing family workers and self-employed workers are less likely to have formal work arrangements, so the share of vulnerable employment is calculated as the sum of contributing family workers and self-employed workers as a percentage of total employment.
In China, the total employed population can be divided into the following groups: urban unit workers (state-owned and collective enterprises, joint ventures and shareholding companies), workers in urban and rural private enterprises, workers in township and village enterprises,
self-employed workers (including with employees and without employees) and farmers. The sum of self-employed workers and farmers from the statistics in China is conceptually consistent with the ILO definition for vulnerable employment.
Under this definition, vulnerable employment has declined in China. This can be largely attributed to the expansion of employment in township and village enterprises and the private sector. But the movement of workers from rural to urban areas has posed significant challenges which poses great pressure on urban employment. Productively absorbing the growing urban workforce requires an environment conducive to the generation of decent and productive formal sector employment opportunities, characterized by an expansion in wage employment which remains a big challenge at the present stage.
The share of the working poor in total employment
China’s success in poverty alleviation has been primarily a result of rapid economic growth, active government actions against poverty and the involvement of the entire society. Economic growth rates averaging over 9 percent between 1992 and 2004 tremendously increased the living standards of ordinary people by providing huge numbers of non-agricultural employment opportunities. The Government is now shoring up social security systems for both urban and rural areas to provide income support for poor and low-income families.
According to ILO criteria, the working poor are defined as individuals who work but live with their families on less than US$1 a day per family member. Direct measurements of working poverty are not available from official sources, as this requires cross-tabulations at the household level of poverty status with employment status. If, however, assumptions are made that i) the poverty rate of the population aged 15 and above is equal to that of the full population and ii) all of the extreme US $1 per day
Source: International Labour Organization, ILO Key Indicators of Labour Market, Fifth Edition, 2007.
working age poor are employed out of necessity, an upper-bound estimate of the working poor can be obtained. This estimate appears in Figure 1.6, revealing that the share of the working poor has declined sharply, from 33.4 percent in 1992 to 12.1 percent in 2004.
**Labour productivity**
Labour productivity—measured as output per person employed—can be used to assess the likelihood that a national economy will create and sustain decent employment opportunities with fair and equitable remuneration for all persons.
Figure 1.7 illustrates labour productivity trends in China, showing it has grown rapidly since 1990, when it was US $1,871 per worker. By 2006, it had reached US $6,352 per worker, 3.4 times the 1990 amount. This has made a major contribution to reducing extreme poverty.
Rising labour productivity in China stems from several importance factors: the improvement of labour quality, economic growth, technological progress and integration into the world economy. The development of education in China has significantly reduced illiteracy rates and improved the quality of the labour force. Higher savings rates and the inflow of FDI have driven rapid growth and created more non-agricultural opportunities for the rural labour force. Global economic integration has allowed China to improve its people’s welfare through benefiting from the dissemination of technological advances and through more efficient resource allocation.
**Supportive Environment**
Full employment is a top Government policy goal. Policy measures including the provision of education and training for farmers, migrants and urban workers; the improvement of public employment services; and the development of a labour market information and monitoring system have helped update the skills of farmers and workers to improve their employability. The Government has made efforts to maintain rapid economic growth so as to generate more employment opportunities. The high economic growth rates of the past decade have largely
*Source: International Labour Organization, ILO Key Indicators of Labour Market, Fifth Edition, 2007.*
reduced the share of the working poor by generating employment opportunities for rural surplus labour, and increased living standards.
The Government has also drafted labour laws and regulations to promote employment and improve social protection for workers, especially for rural migrant workers. A series of policies and regulations has been drafted since the mid-1980s, and updated or adjusted in light of changes in the labour market and the requirements of economic reform. In 2007, the Government promulgated two important labour law milestones: the Employment Promotion Law and the Labour Contract Law. These were implemented in 2008 to increase the quantity and quality of employment, and provide better protections for workers.
**Potential MDG Gaps**
(1) Informal employment will be a big challenge to the goal of decent employment and healthy development in China. The number of rural migrants is estimated at about 130 million, but most are employed in small and medium sized private enterprises without adequate social protection. Formalizing employment arrangements for migrants should be a priority policy action.
(2) The emergence of urban poverty poses another challenge. At present, China has already established an unemployment insurance system and a minimum living allowance system to provide income support for the urban poor. In addition to improving the minimum living allowance system in cities, linking unemployment insurance to training programmes could be another option to help the urban poor.
(3) There are some problems in training projects for migrant workers and the development of vocational education. Arrangements for training courses, and training contents and objectives do not always meet the needs of rural migrant workers, and coordination between governments in places that send and receive migrants is low. In vocational education, public investment has been limited. Resolving these problems will
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**Figure 1.8:** The prevalence of underweight children under age five in urban and rural areas, 1990-2005
support the continued rapid growth of labour productivity.
**Target 1C: Reduce by half the proportion of people who suffer from hunger**
**Status and Trends**
China has already achieved this target, having reduced the proportion of the population with a minimum food consumption level from 17 percent in 1990 to 7 percent in 2002. While the dietary energy level has improved, the dietary pattern has also changed. The consumption of corn and rhizomes is decreasing, while the daily average intake of meat, especially from domesticated animals, and milk and eggs shows an upward trend.
The prevalence of underweight among children under five declined from 19.1 percent in 1990 to 6.9 percent in 2005, a decrease of 64 percent (see Figure 1.8). Both urban and rural areas have achieved a reduction by half in underweight prevalence. The prevalence of stunting among children under five dropped from 33.4 percent in 1990 to 9.4 percent in 2005.
Although the overall nutritional status of children in China has improved dramatically, the national average data hides regional disparities. Figure 1.8 illustrates that the prevalence of underweight of rural children is almost five-fold higher among rural children than that among children in urban areas. In less economically developed regions, the prevalence of child malnutrition still remains relatively high. The prevalence rates of underweight and stunting of children in the poorer western provinces in 2005 are double those in most developed eastern areas (Table 1.2).
**Supportive Environment**
The Government has strictly implemented a farmland protection policy and set up an insurmountable “red line”—that is, China will maintain an arable land area of 120 million hectares by the end of the 11th Five-Year Plan (2010). As comparison, China’s arable land area was 122 million hectares in 2007. The plan sets a binding target for grain production of around 500 million tons. Various measures support major grain-producing areas to stabilize production and encourage cultivation. The government has also advocated long-term sales contracts to ensure a supply-demand balance.
**Table 1.2: Comparison of child malnutrition between eastern and western China**
| Year | Eastern provinces | Western provinces | P |
|------|-------------------|-------------------|-----|
| | Underweight % | | |
| 1992 | 15.1 | 21.4 | <0.0001 |
| | Stunting % | | |
| | 33.6 | 42.7 | <0.0001 |
| 1998 | Underweight % | | |
| | 8.3 | 18.3 | <0.0001 |
| | Stunting % | | |
| | 16.9 | 29.4 | <0.0001 |
| 2000 | Underweight % | | |
| | 9.1 | 19.9 | <0.0001 |
| | Stunting % | | |
| | 14.2 | 27.6 | <0.0001 |
| 2005 | Underweight % | | |
| | 5.8 | 12.5 | <0.0001 |
| | Stunting % | | |
| | 10.7 | 16.3 | <0.0001 |
China’s agriculture and rural economic reforms are market-oriented, emphasize the role of science and technology, and focus on improving quality to boost overall productivity and output. The Government plans to further expand areas for fodder crops, increase livestock and poultry breeding, and improve livestock and poultry species. In addition, it will strengthen the protection of aquatic resources and develop the aquaculture industry.
Given global food price increases, China is implementing a policy of self-sufficiency in grain production, along with various interventions to safeguard this. A series of policies has been issued on agriculture, rural areas and farmers; the agriculture tax has been rescinded; and agricultural subsidies are being provided, including direct subsidies for grain producers, improved seeds, agricultural inputs and farm machines. Priority goes to large producers of high-quality grains. For those who are vulnerable to food insecurity, a minimum living standard allowance for food expenditures is now provided. In 2007, over 15 million farmers in 23 provinces benefited from this safety net, an 82 percent increase over 2005.
The Ministry of Health has formally approved a general standard of complementary food supplementation for infants this year. This is a significant milestone and will contribute to the growth of children in China, especially in rural areas, as it will enable the sale of the standardized and approved complementary food supplements on the open market.
The newly revised Dietary Guidelines for Chinese Residents were issued in 2008. The detailed guidelines for special target groups, such as pregnant women and lactating mothers, infants and young children were also updated. These guidelines will provide specific guidance to different population groups on practices of food and nutrition intakes.
**Potential MDG Gaps**
(1) China’s arable land and water resources are scarce, so it will face a problem of tight supplies of grain in the future, possibly for a long period of time. Arable land is under pressure from other uses. There is a need to comply with the 11th Five-Year Plan and effectively protect 120 million hectares of arable land.
(2) China’s agricultural productivity is still relatively low. The use of agricultural science and technology is limited, infrastructure is still underdeveloped, and the ability to withstand natural disasters is marginal. Animal and plant diseases threaten agricultural production and the quality of agricultural products. The supply of agricultural investment funds cannot meet the large demand, and economic globalization and regional economic integration are presenting new challenges for domestic agricultural
development, particularly through international competition in agricultural product markets.
(3) Appropriate feeding practices for infants and young children have not been well promoted in China. Widespread commercialization, population migration and employment put pressure on new mothers to augment breastfeeding with formula. Meanwhile, due to the inadequate feeding practices and the lack of standard supplement preparations for infants, micro-nutrient deficiency remains common among infants and young children.
Goal 2: Achieve universal primary education
| Target | Prospects for achievement | Level of national support |
|----------------------------------------------------------------------|---------------------------|--------------------------|
| Target 2a: Ensure that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling | Already met | Strong |
Education is the basis of national development, and educational equality is essential for social equity. Throughout the reform era, the Chinese Government has paid great attention to education development, given priority to the strategic position of education, promoted the important strategies of both developing the country through science and education, and strengthening the country through human resource development. Since 1983, it has issued the Teacher’s Law, the Education Law, the Vocational Education Law, and the Compulsory Education Law, etc., as part of the legal framework for ensuring the sustainable development of education. In the Five-Year Plans for national economic and social development, education is always an important component. By end 2000, China was close to achieving the goal of universal nine-year compulsory education, and eliminating illiteracy among young and middle-aged people. In 2006, the Government revised the Compulsory Education Law and clarified the policy of providing free compulsory education. The Government of China insists on the universal benefits of education, focuses on the right of education for vulnerable groups, makes great efforts to redress imbalances of education between urban and rural areas, and across different regions. It upholds the principle of giving priority to rural areas, the central and western regions, poverty-stricken areas, border areas and minority regions in the allocation of public educational resources. With a focused responsibility of local governments and public schools in receiving areas, additional efforts are being made to guarantee that children of migrant workers have opportunities to enjoy equal access to compulsory education. Education for children who are left behind in rural areas is also taken into
China has consistently increased its investments in education. From 2003 to 2007, central fiscal educational expenditures totaled 2.43 trillion yuan, up 1.26 times compared to the previous five year period. By 2010, the Government will strive to ensure that allocations for public education reach 4 percent of GDP.
In the 30 years of reform and opening up, China has steadily advanced toward its goal of universal education. In 1978, the primary enrolment ratio was 94%, and the promotion rate from primary to secondary education was 87.7%. In 2007, the two indicators had been increased to 99.5% and 99.9% respectively.
**Target 2A: Ensure that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling**
**Status and Trends**
China has achieved the overall primary education target in MDG Goal 2. The national development plan has set up the more ambitious goals of universalizing nine-year compulsory education, which includes both primary and junior secondary education. By end 2007, the primary Net Enrolment Ratio for both boys and girls had reached 99.5 percent. The primary school five-year retention rate increased from 95 percent in 2000 to 99 percent in 2006. The Gross Enrolment Ratio in junior secondary education reached 98 percent, while the coverage of nine-year compulsory education was 99.3 percent for the country (see Figure 2.1). Twenty-five provinces, autonomous regions and municipalities have achieved universal nine-year compulsory education. However, there are still significant disparities.
*Data Source: Education Statistical Yearbook 2001, MOE
Essential Statistics of Education in China 2007, MOE*
between urban and rural areas, the eastern and western regions, and various counties on school conditions, teachers’ competencies, and teaching qualities.
The national target of “Education For All” is intended to eliminate illiteracy among young and middle-aged population. As part of this group, the literacy rate of young people aged 15 to 24 increased from 94 percent in 1990 to 99 percent in 2005 (see Figure 2.2). This high literacy rate is clearly linked to achievements in universalizing nine-year compulsory education since 1990. The urban-rural gap in literacy rates of young people has been narrowed, from 6 per cent in 1990 to 1.6 per cent in 2005. However, the literacy rate of rural adults 15 years old and above is still relatively low.
**Supportive Environment**
The Government has made compulsory education, especially rural compulsory education, an important part of the national development strategy. It has established an educational development strategy that focuses on rural compulsory education, revised and issued the Compulsory Education Law, which provides a legal guarantee for the sustainable and sound development of compulsory education. During the periods of 1996 to 2000 and 2001 to 2005, the central Government invested 8.9 billion yuan (US$1.3 billion), while local financial support amounted to 12.5 billion yuan (US$1.8 billion) to speed up progress towards universal compulsory education in the poverty areas in 22 middle and western provinces.
In late 2005, the Chinese Government decided to reform the mechanism for funding rural compulsory education by including it fully within the national public financial security system. This established guaranteed funding mechanism, with sharing of budgets between the central and local governments on a project basis and a pro rata rate basis. The Government ensures children’s right to access compulsory education through the policy of “two exemptions and one subsidy” by exempting school fees and textbook expenses for rural students, and
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**Figure 2.2: Literacy rates among young people (15-24) and adults (15 and above)**
providing living subsidy to rural boarding school students. From 2006 to 2007, this policy benefited nearly 150 million rural students. They are now being fully extended to urban areas.
In addition to the “Project for Compulsory Education in Rural Areas” and the “Project for Reconstruction Of Rural Classrooms At Risk”, the Government has boosted resources for a number of other projects, such as “the Project for Rural Boarding School Construction”, “the Rural Modern Distance Education Project”, and “The Project For Reconstruction Of Rural Secondary School Buildings”. Such support has significantly improved the teaching conditions, teaching qualities, and contributed to the universal nine-year education in middle and western areas of China.
Another education development strategy promoted by the Government of China is to encourage developed areas and urban areas to provide assistance to rural areas. In particular, two projects have been promoted between schools in eastern developed regions and western poor regions, and between urban schools and rural schools in the same province. Since 2000, the eastern region and urban areas have sent a large number of teachers and school management personnel to provide teacher training in poorer areas, as well as provide them with financial support, books, teaching materials and etc., to support children from families with financial difficulties, without reimbursement. In recent years, the number of migrant workers has been growing, highlighting the increasingly emerging issue of education of their children. The Government has formulated a series of policy measures based on the principle that “the government of migrant-receiving areas must take primary responsibility for education of migrant children, and that full-time public primary schools and secondary schools should be open to migrant children”, with a view to guaranteeing the rights of the children of migrant workers on education. At present, the vast majority of children who migrate with their parents have access to compulsory education. At the same time, governments at all levels attach great importance to the education and supervision of children left behind in rural schools after their parents migrate.
**Potential MDG Gaps**
While the MDG target 2 has been achieved, the Government of China is making efforts to address some existing challenges:
(1) **Teaching quality and learning outcomes**: the main disparities between urban and rural areas lies in teaching quality and learning outcomes, which are caused by differences of teachers’ competencies, teaching facilities, and application of interactive teaching methods. In order to promote equality in education and improve teaching qualities, long-term efforts should be made to strengthen basic education in rural areas. A set of national universal minimum
education standards, including eligibility criteria for teachers, school facility standards, and ceilings on the number of students per class would help ensure education equality.
(2) Migrant children and children with disabilities: More efforts need to be made to establish registration and tracking systems, and to solve the fundamental problem of education budgeting for migrant children. Special services should be provided to children with disabilities, and efforts made to integrate them into normal schools. This will enhance basic education access and completion among children with disabilities.
(3) Education budgeting: The government needs to continue increasing the percentage for the education budget in national GDP and financial expenditures, focusing on rural and remote areas, in order to reduce the burden of families and improve quality of education services.
(4) Education statistics: China has established a huge and complete education statistics system. However, methods for defining and calculating some indicators still need further improvement, including the development and use of the “cohort” method to track school attendance, and further, resolving difficulties in statistics caused by the promotion and migration of students between different regions.
Goal 3: Promote Gender Equality and Empower Women
| Target | Prospects for achievement | Level of national support |
|----------------------------------------------------------------------|---------------------------|--------------------------|
| Target 3a: Eliminate gender disparity in primary and secondary education, preferably by 2005, and in all levels of education no later than 2015 | Likely | Strong |
China has the largest population in the world, and half of its 1.3 billion people are women. Promoting gender equality and women’s development are not only important to China’s development but the progress of humanity. The Chinese Government attaches great importance to women’s development and has made the achievement of equality between men and women a basic national policy, and includes women’s development in national economic and social development plans. Over the 30 years of reform and opening up, China has achieved sustained economic growth and overall social progress, which helps safeguard equal rights and opportunities for women and men. The Government has therefore taken economic, judicial, administrative and media measures to guarantee that women enjoy equal rights in the political, economic and cultural spheres, as well as in social life and their families.
The 1995 UN Fourth World Conference on Women, which issued the Beijing Declaration and Platform for Action, has exerted great influence on the promotion of gender equality and women’s development worldwide. For its part, the Chinese Government issued the Programme for the Development of Chinese Women (2001-2010), which specifies 34 major objectives and 100 strategies and measures in six areas: women and the economy, women in decision-making and management, the education of women, women and health, women and the law, and women and the environment. In May 2007, the National Working Committee on Children and Women under the State Council published
a mid-term evaluation report showing on-track implementation of the programme.
**Target 3A: Eliminate gender disparity in primary and secondary education, preferably by 2005, and in all levels of education no later than 2015**
**Status and Trends**
China is making smooth progress on achieving gender equality in primary and junior secondary education. The ratio of primary Net Enrolment Ratio for girls to boys rose from 98 in 1991 to 106 in 2006. China has basically achieved gender equality in primary education. In 2007, the primary Net Enrolment Ratios for girls and boys was 99.52 percent and 99.46 percent, respectively. The overall gender disparities in primary education have been eliminated. The number and percentage of girls in tertiary education level are increasing. In 2007, there were 534,600 female graduate students in China, accounting for 44.74 percent of the total number. Overall, the gap between men and women education years has decreased to about one year. China has achieved the target of “elimination of gender disparity in primary and junior secondary education”, and is on the way “to eliminating gender disparities at all levels of education no later than 2015” (see Figure 3.1).
Meanwhile, adult literacy rates have steadily risen. In 2005, the literacy rate for women from 15 to 24 years old was 97.7 percent, only one percent lower than that of men of the same age; essentially, gender equality has been achieved. The literacy rate of all women above 15 years of age is 83.85 percent, while for women between the ages of 15 and 50, it is 95 percent. The literary rate of women above 15 in rural areas is only 78 percent, however, much lower than the 92 percent for man. The gap in literacy rates varies from province to province, ranging from 4 to 27 percent.
**Figure 3.1:** Ratio of gross enrolment ratios of girls to boys in primary, secondary and higher education
Source: Calculations made by UNICEF based on statistics from the annual reports of the Ministry of Education.
China has witnessed increases in women’s employment rate, one of the indicators applied to MDG 3. In 2006, 347 million women from both urban and rural areas found jobs, accounting for 45.4 percent of the total employed population. More and more women find employment in high-tech sectors such as the computer, software, telecommunications and finance industries, although the proportion of women who work irregularly is higher than for men. An income gap between men and women still exists (as shown in Figure 3.2).
Women enjoy equal rights in labour and social security policies. By the end of 2007, there were 201.37 million workers covered by pension insurance, 223.11 million by basic medical insurance, 116.45 million by unemployment insurance, 121.73 million by work injury insurance and 77.75 million by maternity insurance, which is a remarkable improvement, compared to statistics in 2000. Labour and social security bodies at all levels keep intensifying their supervision to identity and correct violations against female workers.
Women’s political participation, another indicator applied to MDG 3, is important to ensure that women’s rights and interests are protected and upheld. In China, 21.3 percent of people at the parliamentary level are women, about three percentage points above the average for Asia. The average participation rate at the highest level of decision-making almost equals that of the Americas (21.6 percent) and Europe (21.2 percent). At present, there are more than 15 million women cadres, accounting for 38.5 percent of the total. The proportion of women cadres at the ministerial and director-general levels are 10.3 percent and 12.9 percent, rising by 1.3 percent and 0.7 percent compared with rates in 2003.
In general, the political participation of women in decision-making and administration still lags behind that of
### 3.2: Variations in urban incomes, 2005
| Income Range | Female (%) | Male (%) |
|--------------------|------------|----------|
| 4000 Yuan & above | 0.5 | 1.3 |
| 3001-4000 Yuan | 10.4 | 10.9 |
| 2001-3000 Yuan | 1.8 | 3.5 |
| 1501-2000 Yuan | 4 | 7.4 |
| 1000-1500 Yuan | 8.8 | 14.8 |
| 501-1000 Yuan | 43.8 | 48.9 |
| 500 Yuan & below | 40.6 | 23.1 |
(%)
men. The parliamentary participation figure has remained around 20 percent since the late 1970s, for example (see Figure 3.3). Although China has increased the number of women cadres, they commonly work in areas appropriate for women according to traditional stereotypes. Many assume deputy positions, but not principal ones.
Based on the data of the 5th Population Census conducted in 2000, the sex ratio at birth was 116.86 males to 100 females. This is high and reflects a gender imbalance caused by various factors, including culture (such as gender stereotypes); economy (such as lower productivity in remote rural areas, an underdeveloped social security system, and traditional living patterns that involve relying on boys to support older people); and science and technology (such as abuse of B-ultrasound technology, sex identification and artificial termination of pregnancy). A consistent increase in the sex ratio at birth negatively impacts social balance and harmonious development. By taking comprehensive measures to reverse this trend—for example, the national Care for Girls Action initiative, awards to households with a single child and assistance to households with two daughters—the Government is making efforts to develop policies conducive to gender equality and the advancement of women.
**Supportive Environment**
China has made promoting gender equality an important objective in the guidelines of national development plans. It ratified the Convention on the Elimination of All Forms of Discrimination against Women (CEDAW) in 1979 and has complied with its obligations. The government reports to the CEDAW Committee every four years, and continuously makes efforts to follow the subsequent recommendations.
China has established a legal system to protect women’s rights and interests, and promote gender equality. This is based in the Constitution and the Law of the People’s Republic of China Concerning the Guarantee of the Rights and Interests of Women, along with relevant national and regional laws and regulations. From 2001 to 2006, China promulgated and/
or modified the Population and Family Planning Law, the Marriage Law, the Law of the People’s Republic of China on Land Contracts in Rural Areas, the Law of the People’s Republic of China Concerning the Guarantee of the Rights and Interests of Women, the Law of the People’s Republic of China on Maternal and Infant Health Care, Stipulations on Family Planning Technical Services, Labour Security Supervision Regulations and Legal Aid Ordinances. The Government also promulgated the National Action Plan of Education for All and the National Programme of Action for Child Development (2001-2010), providing legal and policy guidance to guarantee equal educational opportunities for boys and girls. Favourable measures to support girls include the famous Spring Bud Plan, which helps girl dropouts from poor families return to school. By 2007, this plan had assisted over 1.7 million girls from 30 provinces with an investment of 600 million yuan.
Women account for 70 percent of adults who are illiterate. Since 2007, the Government has earmarked 50 million yuan (7.4 million US$) annually to support literacy projects, focusing on ethnic groups in western areas and women. China has launched “women’s illiteracy eradication campaign”, combined with women’s vocational training. By 2007, over 20 million women became literate through this initiative.
The Government attaches great importance to women’s re-employment, working to create more jobs for women, provide employment services and training, and help laid-off female workers find new jobs, with an emphasis on extending these services to rural women.
**Potential MDG Gaps**
(1) To monitor progress towards gender equality, more effective mechanisms and systems for collecting solid data, disaggregated by gender, age, region and ethnicity, need to be developed. The dissemination and utilization of data also need to improve to monitor and promote gender equality more efficiently.
(2) To overcome existing stereotypes on the value of men and women, awareness of gender equality needs to be highlighted in educational activities, textbooks and the mass media.
(3) Discrimination based on gender, age and region still exists in the labour market. The possibilities of re-employment for middle-aged and elderly women are extremely unlikely. Female college graduates and young women face more employment difficulties than their male peers. Employment quality and the structure of employment for women also need to be further improved. Attention should be paid to the issue of women having an earlier retirement age than men.
(4) Women’s participation in public affairs and political life has to be bolstered, which requires an enabling political, social
and cultural environment at all levels of society.
(5) Violence against women is a very critical gender issue. To eliminate it, more commitment and actions are needed.
(6) A comprehensive approach needs to be in place to overcome traditional stereotypes on the roles and responsibilities of women and men in family and society, as these often devalue women. Social security should be optimized through comprehensive social and economic measures to improve the situation of relying only on sons to support the elderly. The legal system needs to be improved to prevent sex-selective abortions, which will help reverse the skewed sex ratio at birth.
**Goal 4: Reduce Child Mortality**
| Targets | Prospects for Achievement | Level of National Support |
|------------------------------------------------------------------------|---------------------------|---------------------------|
| Target 4A: Reduce under-5 mortality by two-thirds | Already Met | Strong |
In the context of China’s reform and opening up, over the last 30 years, the Government has worked continuously to improve maternal and child health (MCH) through legislation, clarifying the function and management of the various elements of the MCH service network, implementing MCH projects, allowing NGOs to play their role and engage in international cooperation and exchange, all of which has ensured that the health status of women and children has improved steadily. The Government of China promulgated "The Law on Maternal and Infant Health Care of the People's Republic of China" in 1994, which is the first one to protect the rights and interests of women and children and a legal basis for MCH services. In 2001, the Government of China formulated National Programs of Action on Women's Development and Children's Development for 2001-2010. It has also announced the "Implementation Method for the Law of Maternal and Infant Health Care".
MCH care is now based on the foundation of a complete law and regulation system, which provide support to the protection of women's and children's health. There are now more than 3000 MCH centres nationwide, employing 500,000 staff in a three-tiered network of county, township and village level services providing MCH care to the country. The mortality rate of children under-five years of age has decreased from 64 per 1000 live births in 1980 to 18.1 in 2007.
**Target 4A: Reduce under-5 mortality by two-thirds from 1990 to 2015**
1. **Status and trends**
China has progressed smoothly in reducing the mortality of children under-5 years of age. The infant mortality rate has reduced from 50.2 per 1000 live
births in 1991 to 15.3 in 2007 (a decline of 69.5%) and the mortality of children under-5 has dropped from 61 per 1000 live births in 1991 to 18.1 in 2007 (a decline of 70.3%), suggesting that China has achieved this MDG ahead of time (see Figure 4.1).
Review of the Maternal and Child Survival Strategy in China was conducted by the Ministry of Health, WHO, UNICEF and UNFPA in 2005 - 2006. A classification of urban areas and rural counties was developed, which rated the health and socio-economic development of each county into one of two urban categories (small-medium cities; large cities) and four rural categories (types 1 – IV, with type IV being the poorest). Deaths in poorer rural counties (types II-IV) account for 80% of the under five deaths in China, compared to their population share of 64%. In western areas, the U5MR still remains about 40 per 1000 live births. Progress also lags among the infants and children of migrant women, who account for an increasing proportion of the population in major urban areas but have less access to health care. Data on this group are not available; nor are data on IMR or U5MR broken down by gender, which are important in the context of the increasingly skewed sex ratio favouring
The Government and UN agencies acknowledge wide disparities in child mortality rates across China, according to socioeconomic status, urban-rural residence and geographic location. Although these gaps in mortality have decreased numerically, the mortality in poor western provinces remains high relative to wealthy eastern provinces. Given China’s population, these disparities are important, as enormous numbers of mothers and children remain at higher risk than national figures would suggest. Most strikingly, infant and child mortality is almost 2.7 times higher in the western than eastern region, 2.4 times higher in rural than urban areas, and 2 to 5 times higher in the poorest rural counties than in large cities.
males at birth (118 boys to 100 girls in 2005, up from 110:100 in 2000). A relatively higher female infant mortality rate was partially due to the preference for male child which caused some artificial intervention.
In 2000, over 80% of under-five deaths occurred in infancy, 50% in the newborn period and 40% in the first week of life (due mainly to neonatal asphyxia, premature delivery or low birth weight; severe infection, and congenital malformations). National data from 2007 now suggest that 84% of deaths under-fives occur during infancy and 59% in the newborn period. This underscores China’s appropriate focus on improving access to and the quality of delivery and newborn services to further reduce IMR and U5MR. Beyond infancy, pneumonia, injury and diarrhoea in rural areas, and injury and pneumonia in urban areas are the most important causes of child death. It is estimated that over 75% of child deaths are caused by a small number of preventable conditions, and that 34% of U5 deaths in China are easily preventable, particularly in poorer rural areas. Nutritional status, although improved, remains a significant contributing factor to child mortality, particularly in rural areas. Micronutrient deficiency is common and is decreasing more slowly than child underweight.
The situation of child immunization varies greatly across the country. According to the latest national survey conducted in 2004, coverage with measles vaccine and other recommended childhood vaccines now exceeds 90% nationally, but measles coverage in some western provinces reached only 56-68% from 2001 to 2003. The incidence rate of some vaccine-preventable diseases was still high among those children who live in western poverty regions and floating population.
2. Supportive Environment
Improving child health and reducing the mortality of children is a priority task of the Government of China. As stated above, China has already formed a more complete system of laws and regulations related to MCH. China has also established its own specific objectives for infant and maternal mortality rates as well as for immunization coverage in the 11th National Development Plan (2006-2010); these national goals are generally more ambitious than the MDG targets. The Government of China has also implemented the NCMS (New Cooperative Medical Scheme) since 2003, which is anticipated to cover the entire rural population by 2010. A system of medical financial aid to fund and subsidize the poor to participate in NCMS has also been introduced. It is anticipated that both the urban and rural population will be able to access essential health care by 2010.
In 2003, the Government of China introduced a systematic social project to eliminate gender discrimination and manage the problem of the high male: female birth sex ratio. The “Care Girls Action” project has developed socio-economic policies favoring girls and also families using family planning methods that concur with national family planning policy, and investigates and punishes the crimes of non-medically indicated antenatal gender selection, artificial abortion for sex selection purpose, female infanticide and abandonment, abducting and trafficking of girls, etc.
The Government of China has also made much effort to improve MCH services. Each level of health facility has established prompt and effective healthcare and the “green channel” system to eliminate maternal and infant death due to delayed referral or first-aid. In addition, the “Reducing Maternal Mortality Rate and Elimination of Neonatal Tetanus”, “Birth Defect Intervention” and “Prevention of Mother to Child Transmission of HIV/Aids” Projects, as well as several cooperative projects with international organizations (all of which have improved the services in poor middle and western areas), have reduced maternal and infant mortality rates.
In particular, the Government of China has organized and implemented the “Reducing Maternal Mortality Rate and Elimination of Neonatal Tetanus” Project, allocating 1680 million RMB for this project during the years 2000 to 2008. The central and local governments also allocated special funds for childhood Expanded Programme on Immunisation (EPI) and other MCH activities. The central government funds a 40 RMB subsidy to members of the NCMS in middle and western areas. In addition, a further minimum 40 RMB is provided by local government to each person who joins the Scheme.
In 2007, EPI was further expanded to provide 12 kind of vaccines to all children (oral polio; diphtheria, tetanus and acellular pertussis; BCG for tuberculosis; measles mumps rubella; hepatitis B, Japanese encephalitis, meningococcal meningitis and hepatitis A). Central government will fund purchase of all vaccines and syringes as well as subsidies of 1-2 RMB per dose for health workers in poor areas of the country.
3. Potential MDG gaps
(1) Insufficient funding of the public health sectors has resulted in the preventive health service and its coverage to be incomplete. In some provinces, the lack of operational funds have limited the preventive health care service coverage and its quality.
(2) The NCMS and urban health insurance schemes need to be further strengthened according to specific local conditions. Medical care should not be unaffordable for the poor.
(3) Differences in access to quality health care still exist, affecting rural and poor populations, the floating population, and children of minority ethnicity. Enhancing the basic MCH service available to these populations is a high priority. Much attention should be paid to the quality of human resources working in MCH care, especially in rural China and particularly in the area of neonatal health care.
(4) The traditional mentality of favouring men over women still exists in China, promoting people to prefer boys over girls and partially causing the female infant mortality rate to be higher than male. Special attention should be paid to the higher female infant mortality in rural area.
(5) Although the national maternal and child mortality surveillance system has been strengthened in recent years, challenges remain on measurement of the child mortality rate and immunization coverage among unregistered and floating populations.
(6) Some traditional and new strategies that could have a significant impact on child survival remain under-implemented, particularly in the poorest areas. These include early post-natal screening and counseling on appropriate feeding for all infants; screening and special care of low-birth weight infants; integrated management of childhood illness; supplementation with micronutrients and the use of new vaccines to prevent diarrhea, pneumonia and meningitis.
Goal 5: Improve Maternal Health
| Target | Prospects for Achievement | Level of National Support |
|----------------------------------------------------------------------|---------------------------|--------------------------|
| Target 5A: Reduce the maternal mortality ratio (MMR) by three quarters by 2015 | Likely | Strong |
| Target 5B: Realize universal reproductive health by 2015 | Potentially | Good |
Over the past 30 years, the reform process and opening up of China to the outside world have brought economic prosperity, and also greatly promoted women’s health and reproductive health. The Chinese government attached great importance to maternal health and reproductive health issues, included these issues into national development strategies, promulgated a series of relevant laws, regulations and policies, and gradually established a set of comprehensive policies and a related legal system. These have included The Law on Maternal and Infant Health Care, Law on the Protection of Women’s Rights and Interests, The Population and Family Planning Law, Regulation on the Technical Services in Family Planning, and The Program for the Development of Chinese Women, which provide solid legal guarantees for the protection of women’s rights, and improving the reproductive health status of China’s women. In recent years, China has continuously intensified health care reform to establish the basic health care system which includes health care during pregnancy and reproductive health services. China has also actively increased government investment, mobilized all sorts of social resources to build a health care network covering the nation’s women and has continuously improved the maternal and reproductive health service quality. In addition, China also carried out community education to improve people’s scientific understanding on maternal and reproductive health care. These measures have greatly improved maternal health and reproductive health and reduced maternal mortality. The maternal mortality ratio (MMR) has been drastically reduced from 100 per 100,000
live births before 1980 to 36.6 per 100,000 in 2007. At the same time, the uptake of reproductive health services is rising, and Chinese women’s survival and health have dramatically improved.
**TARGET 5A: REDUCE THE MMR BY THREE QUARTERS, BETWEEN 1990 AND 2015**
1. **Status and Trends**
China has reduced the MMR from a baseline of 94.7 maternal deaths per 100,000 live births in 1990 to 36.6 per 100,000 in 2007 (see Figure 5.1 for detail), a reduction of 61.4%, and placing China on track to achieve this MDG target. However, again regional differences indicate that the MMR in rural areas is far higher than that of urban areas, and also higher in poor than in developed regions.
Analysis on the causes of maternal death revealed that obstetric haemorrhage (in particular postpartum haemorrhage) and pregnancy associated hypertension or eclampsia are the leading causes. Raising the hospital delivery rate is the most effective way to reduce the MMR. Since implementation of the “Reducing the Maternal Mortality Ratio and Eliminating Neonatal Tetanus” project, the hospital delivery rate in rural areas has greatly increased.
2. **Supportive Environment**
Improving MCH is a strong priority of the Chinese government. The 11th Five-year Plan set specific targets for maternal mortality, as well as goals for hospital delivery rates. These national goals are generally more ambitious than the MDG targets. A comprehensive policy and legal framework has been established to address the above targets. Funding for prenatal and obstetric care receive strong support from government. China has established a three-tier MCH service network (village, township and county)
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**Figure 5.1 Trends in Maternal Mortality Ratio, 1990-2007**
and a routine service system to promote prenatal and post-natal care and monitor maternal and infant mortality. Another major influence on maternal health in China is the Ministry of Health’s “Reducing the Maternal Mortality Ratio and Eliminating Neonatal Tetanus” project. Commencing in 378 poor rural counties in 2001, this project has now expanded to over 1,200 counties, improving the access of poor rural women to better quality antenatal and obstetric care. In addition, since 2003 key indicators of health among migrant populations are included in the MCH reports submitted annually by provinces, and many provinces and cities have developed local policies to increase the access of migrant communities to local health services.
A joint review by the Chinese Government and the UN system of maternal and child survival strategy in 2005-2006 established the status of maternal health in China and outlined agreed strategies for improving the situation. Scaling up financial assistance for poor pregnant women’s hospital delivery has greatly reduced maternal and newborn mortality. Recognizing the major impact that out-of-pocket expenses on health care have on families, the central government is rapidly expanding public funding for NCMS, which now covers 85.7% of counties and has 730 million subscribers.
3. Potential MDG Gaps
(1) Disparities in access to and the quality of health services for rural, poor, migrant and ethnic minority women continue, leaving many of these groups with a disproportionate burden of mortality. The knowledge and practices of midwifery and obstetric staff in particular should be improved, particularly in rural China, focusing on delivery care, and emergency and referral services.
(2) The fees charged for maternity services have, until recently, been a barrier to the care and treatment of many of China’s neediest women. Further strengthening
of the NCMS and urban health insurance schemes is required to ensure coverage, for all women, of an essential package of affordable quality services.
(3) Some traditional and new strategies that could have a significant impact on maternal mortality such as pre-pregnancy counseling and care, and early supplementation with multiple micronutrients for pregnant women remain under-implemented, particularly in the poorest areas.
**Target 5B: Achieve, by 2015, universal access to reproductive health**
**Status and Trends**
There are four internationally agreed indicators to measure progress in reproductive health: contraceptive prevalence, the adolescent birth rate, antenatal care coverage and the unmet need for family planning. The adolescent birth rate and unmet need for family planning are new indicators, and thus the Chinese Government may not have data on them this year.
Official data show that China has been doing well in achieving universal access to reproductive health, and will reach this target on time, particularly in terms of contraceptive prevalence and antenatal care. Data for 2007 reveal that the contraceptive prevalence rate in China was 89.74 percent among married women of reproductive age (see Figure 5.3), much higher than the world average of 63.1 percent and the average of the less-developed regions at 62.4 percent.
**Figure 5.3 Composition of contraceptive use in China, 2007**
in 2003. Modern methods such as the intrauterine device and condoms account for most contraceptive usage.
Data on antenatal care indicate progress in providing care by skilled health personnel (doctors, nurses or midwives). The antenatal care coverage rate has hovered around 90 percent since 2000 (see Figure 5.4). China has also advanced systematic pregnancy care, with higher criteria to monitor and manage early pregnancy counselling, antenatal care, delivery and postpartum visits, with coverage at 76 to 78 percent. Disparities continue across different provinces and between urban and rural areas, however.
**Supportive Environment**
In reproductive health care, family planning policies have contributed to increased contraceptive prevalence. Various contraceptives are free and readily available to married couples. Since 1999, China has implemented the Reproductive Health Promotion Programme. It covers the provision of informed choice in family planning services and integrated reproductive care services; community-based programs for reducing birth defects; and a model combining RTI prevention with MCH services and family planning services. UNFPA has supported the Reproductive Health/Family Planning Programme jointly implemented by the National Population and Family Planning Commission and Ministry of Health in 30 provinces. Given rising unwanted pregnancy rates among unmarried young people, the programme has piloted initiatives to provide sexual and reproductive health education targeting young people. At present, many MCH hospitals have adolescent health care service.
**Potential MDG Gaps**
(1) Adolescent births and unmet needs for family planning underscore that much work remains in reproductive health care, particularly in providing services to unmarried people and migrants. Since the definitions and methods of calculation for adolescent birth rates and unmet needs for family planning have just recently been agreed as part of the MDGs, the Government will try to incorporate these indicators into routine reporting systems and/or surveys.
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**Figure 5.4 Coverage of antenatal care in China, 2004-2007**
**Goal 6: Combat HIV/AIDS, Malaria and Other Diseases**
| Targets | Prospects for achievement | Level of national support |
|------------------------------------------------------------------------|---------------------------|---------------------------|
| Target 6a: Have halted by 2015 and begun to reverse the spread of HIV/AIDS | Likely | Strong |
| Target 6b: Achieve, by 2010, universal access to treatment for HIV/AIDS for all those who need it | Potentially | Good |
| Target 6c: Have halted by 2015 and begun to reverse the spread of malaria and other major diseases | Likely | Good |
Great progress has been achieved in infectious disease prevention and treatment in China over the reform period. In the 1950s, the top causes of death in China were infectious diseases and verminosis, which by 2005 had declined to the ninth most common cause following years of effort. Among developing countries, China has been the first to eliminate some of the most serious infectious diseases, including variola and poliomyelitis. Since the first AIDS case was reported in 1985, China has continually increased policy support for HIV prevention and treatment, as well as its financial investment. The Government has taken a leadership and organizational role in forming a national working mechanism with every department assigned its own specific responsibility and the involvement of the whole society in HIV prevention and control work. It has achieved substantial progress.
China is one of 22 countries with a heavy burden of tuberculosis, having the second largest number of TB patients in the world. Two 10-year national prevention and treatment plans have been implemented since 1981, and a set of modern TB control strategies has emerged.
The number of malaria patients has declined from 24 million in the 1970s to a few hundred thousand by the end of 2007. The number of areas heavily affected by malaria has decreased remarkably.
Although China suffers frequent natural disasters, it has had not an outbreak of infectious disease after a disaster in many years. China successfully responded to SARS in 2003, controlled the expansion of avian influenza to humans in 2004, and ensured that no infectious disease outbreak occurred after the recent earthquake in Sichuan. Disease prevention and control organizations at the central, provincial, city and county levels have been established, along with prevention, control and treatment systems for serious infectious diseases such as HIV and AIDS, TB, malaria, schistosomiasis, hepatitis B, etc.
**TARGET 6A: HAVE HALTED BY 2015 AND BEGUN TO REVERSE THE SPREAD OF HIV/AIDS**
**TARGET 6B: ACHIEVE, BY 2010, UNIVERSAL ACCESS TO TREATMENT FOR HIV/AIDS FOR ALL THOSE WHO NEED IT**
**Status and Trends**
Although the situation is still fluid, and there are a number of difficult challenges ahead, China is on track to achieving the first target. According to the 2007 Joint Assessment Report prepared by the State Council AIDS Working Committee Office and the UN Theme Group on AIDS in China, China had approximately 700,000 people living with HIV and AIDS by 2007, including 40.6 percent infected by heterosexual transmission, 11 percent through men having sex with men and 38.1 percent through intravenous drug use. The HIV infection rate is 0.05 percent (see Figure 6.1). Currently, China’s HIV epidemic remains one of low prevalence overall, but with pockets of high infection.
**Fig. 6.1 Estimated transmission paths of all HIV infections, 2007**
- Heterosexual sex
- Injecting drug use
- Homosexual sex
- Transfusion/donation
- Mother-to-child (MTCT)
among specific sub-populations and in some localities. The epidemic continues to expand, but with declining speed, and geographic distribution is highly varied. Sexual transmission is now the main mode for the spread of HIV.
Among the HIV infections reported between January and October 2007, about 1.6 percent were acquired through mother-to-child transmission, a marked increase over the 0.1 percent rate in 1998. Over the same period, women comprised about 29.5 percent of newly reported HIV cases. If the prevention of mother-to-child transmission is not scaled up, more women may pass the virus to their children. By the end of December 2007, programmes to prevent mother-to-child transmission covered more than 4.41 million pregnant women in 271 counties, and were backed by financial support from the central Government (see Figure 6.2). The HIV transmission rate from mother-to-child decreased nearly 60 percent through prevention measures.
China’s 2008 report to the UN General Assembly Special Session on HIV and AIDS indicated that based on the Global Fund Round 5 AIDS baseline survey, 50 percent of men aged 15 to 24, and 55 percent of young women aged 15 to 24 obtain proper information and knowledge of HIV prevention and treatment.
By the end of December 2007, antiretroviral therapy was being provided in 1,232 counties in 31 provinces (autonomous regions and municipalities). The cumulative number of people aged 15 and above who had commenced treatment was 41,777, with 33,980 currently receiving the therapy (see Figure 6.3).
**Supportive Environment**
The Government strengthened the national AIDS policy framework by issuing the Regulations on AIDS Prevention and Control, and the new Five-Year Action Plan for Reducing and Preventing the Spread of AIDS (2006-2010) in early 2006. The State Council AIDS Working Committee Office
---
**Fig. 6.2 Results from programmes in 271 counties to prevent mother-to-child transmission, 2007**
was established in 2004; all 31 provinces (autonomous regions and municipalities) and 88 percent of cities have established AIDS prevention and treatment leadership. The Four Free One Care policy provides free anti-retroviral drugs to AIDS patients, free voluntary counselling and testing, free drugs to HIV-positive pregnant women to prevent mother-to-child transmission, free schooling for children orphaned by AIDS, and care and economic assistance to the households of people living with HIV and AIDS. The Government has also conducted a series of advocacy and education activities among migrant populations, youth and women in order to raise HIV and AIDS awareness, and fight stigma and discrimination against people living with HIV. A multisector prevention and treatment mechanism has been developed. Government financial inputs for AIDS prevention and treatment topped 2.6 billion yuan from 2005 to 2007.
Active international cooperation includes partnerships with UN organizations; the Global Fund to Fight AIDS, Tuberculosis and Malaria; and bilateral agencies from Australia, the United Kingdom and the United States. Many international NGOs have also been engaged in HIV and AIDS prevention and treatment work in China, including the Clinton Foundation and Gates Foundation. International projects have covered all 31 provinces (autonomous regions and municipalities).
**Potential MDG Gaps**
(1) The National AIDS Publicity and Education Guidelines should be revised and updated. Information, education and communication activities that reach vulnerable groups, including out-of-school youth, minorities, migrant workers, and migrant populations from remote and rural areas, need concerted attention. Anti-stigma advocacy and education among health care workers and the whole society should be strengthened to reduce stigma and discrimination, and encourage the broader involvement of those affected by HIV and AIDS.
(2) There should be a nationwide scaling up of effective interventions directed at high-risk populations. Although much
improvement has been observed in condom use among sex workers and clients, the scale of such interventions has been below what is needed in order to generate significant impacts.
(3) Comprehensive approaches to changing behaviours among intravenous drug users should be stepped up. Effective follow up is often constrained by the lack of reliable information on key target populations, particularly men having sex with men. Not enough is known about the size of these populations or their behaviour patterns.
(4) Anti-retroviral therapy should be standardized, and adherence to treatment protocols improved. There should be initiatives to promote the availability of second-line drugs, and support local governments in devising matching policies and increasing investments in implementing the Four Free, One Care programme.
(5) Regulations and laws should be further adjusted and/or completed to support civil society organizations working to prevent HIV and AIDS.
**TARGET 6C: FROM 1990 TO 2015, REDUCE TUBERCULOSIS AND MALARIA CASES BY HALF**
**Status and Trends**
China has revised this target to make it more suitable for national circumstances. Based on WHO estimates, China has 1.31 million new TB cases each year, and 600,000 of them are smear positive, which makes China number two in the world in the number of cases. China is one of 22 high-burden countries for tuberculosis. A 2000 survey found that the prevalence of active pulmonary TB was 367/106, and the prevalence of smear-positive pulmonary TB was 122/106. The survey estimated that China has 4.5 million active TB cases; 1.5 million of them are smear positive. Every year there are 130,000 TB deaths. The prevalence is twice as high in the less-developed central and western provinces as in the more economically prosperous eastern provinces. About 80 percent of TB cases occur in rural areas, with TB serving as one of China’s “poverty-causing” diseases.
China has adopted the WHO-recommended DOTS control strategy for TB, increasing coverage from 5 percent in 1991 to 100 percent in 2007. Case detection has increased from 5 percent to 79 percent, while the cure rate has remained above 85 percent since 1994.
The number of reported malaria cases has risen from 24,000 in 2000 to 64,000 in 2006. Stronger control measures have led to downward trends in malaria reporting. A total of 50,148 malaria cases with 18 deaths were reported in 31 provinces (municipalities and autonomous regions), or a 21.9 percent decline compared to 2006. The notification rate was 0.70
per 10,000. Among these cases, 48,318 involved vivax malaria, 1,830 falciparum malaria. Cases are still being reported in 1,182 counties (cities, districts) in over 20 provinces, covering a population of nearly 700 million people. These cases have been distributed mainly in the relatively under-developed and inaccessible areas, including the southwest border areas, the central mountainous area of Hainan, Huabei Plain of Anhui, Henan, and the border areas of Henan and Hubei in central China.
Malaria control made significant progress in 2007. Four million person-time blood screenings were conducted for fever patients; 363,000 people received radical treatment during their resting stages; and 1.856 million people received prophylactic medication in the season when malaria transmission is high. A total of 4 million people were protected through indoor residual insecticide spraying in malaria outbreak sites, insecticide immersion of nets in key villages, and delivery of free long-lasting insecticide-treated nets for poor residents in remote areas. In addition, about 49,000 malaria control workers received technical training, and various health education activities were conducted among populations in endemic areas.
Children born in China in the 1950s could expect to live for 46 years, while those born in 2000 could expect to live for over 71 years.\textsuperscript{8} Such rapid development is contributing to major societal changes and new challenges. Reduced fertility and increased life expectancy has led to a population that is rapidly aging. By 2035, one in four people living in China will be 60 years or older.\textsuperscript{9} At the same time, chronic diseases already account for 82.5 percent of deaths and 70 percent of disability.\textsuperscript{10} The economic loss from three major non-communicable conditions (heart disease, stroke, and diabetes) in China was estimated at $558 billion between 2005 and 2015.\textsuperscript{11} A large part of this loss is due to premature death and disabilities among adults between 35 and 69 years of age. However, more than 50 percent of deaths from chronic disease are attributable to a small number of modifiable risks factors, including salt intake and diet, exercise, and tobacco use.\textsuperscript{12}
The three main causes of death in China are cerebrovascular diseases (22.45 percent), cancer (22.32 percent), and chronic respiratory diseases (15.81 percent). More than 160 million adults in China are hypertensive,\textsuperscript{13} and more than half are undiagnosed.\textsuperscript{14} The prevalence of hypertension has increased by 31 percent during 1991 to 2002. The prevalence of hypertension is higher in northern provinces (34 percent) compared with southern ones (23 percent).\textsuperscript{15} Diabetes is estimated to affect 2.6 percent of the population above the age of 18, although most are unaware of their condition and even fewer receive treatment.\textsuperscript{16} There are 350 million smokers in China, and an additional 540 million people (including 180 million children) are exposed to second hand smoke.\textsuperscript{17}
Over the next 10 years in China, it is projected that deaths from chronic diseases will increase by 19 percent. A high burden of chronic disease is not an inevitable consequence of an ageing population – much of this burden of disease occurs prematurely and could be prevented if cost-effective policies were implemented. However, awareness and implementation of policies and interventions are still low. Although
challenges remain, China is taking important steps to prevent adults from dying too young or suffering disabilities related to chronic conditions.
**Supportive Environment**
The State Council developed the National TB Prevention and Control Programme (2001-2010) in 2001. Accordingly, the Ministry of Health created two five-year implementation plans—for 2001-2005 and 2006-2010—with targets and tasks for different stages of national TB control. China has gradually implemented free treatment, strengthened case notification and case management, provided health services for TB cases in remote rural areas, set up township microscopy sites to help rural residents access health services in time, and strengthened work planning and budget estimation.
In order to achieve programme targets, China has gradually increased allocations for TB prevention and control. Central funding rose from 260 million yuan in 2004 to 480 million yuan in 2007. Provincial and sub-provincial governments have also upped their inputs. Support and technical assistance has come from the World Bank; the UK’s Department for International Development; grants from Japan; the Global Fund to Fight AIDS, Tuberculosis and Malaria; the Canadian International Development Organization; the Damien Foundation Belgium and the WHO.
To respond to the difficulties of TB control among migrant workers, drug-resistant TB, and TB and HIV co-infection, the Ministry of Health has conducted pilot activities in several locations and is studying these experiences.
The Government has also increased financial inputs for malaria control. Free anti-malaria drugs are provided to high-prevalence provinces. In 2007, the Ministry of Finance and Ministry of Health allocated 24 million yuan in special funding to support malaria prevention and control in some high-prevalence provinces. Since 2003, China has successfully applied for Global Fund support, receiving US $62 million. The Government also pays attention to regional collaboration with neighbouring countries on malaria control, and is working on establishing a disease notification mechanism for the Burma border area.
**Potential MDG Gaps**
(1) The rapid expansion of DOTS has led to quality problems in some places, including a lack of staff and weak human resource capacities. This affects training, supervision, cooperation between TB control facilities and general hospitals, surveillance and statistics, laboratory functioning, health promotion, etc. Initiatives on TB control in migrant populations, multi-drug resistant TB, and TB and HIV cross infection are still in the pilot stage. A comprehensive TB prevention and control programme needs to be further elaborated and implemented.
(2) Due to inconvenient transportation, weak awareness among medical workers, and poor compliance with existing policies, some residents in remote rural areas do not receive a prompt or accurate diagnosis. The standard treatment rate is low, as a result. Frequent population shifts and malaria prevalence in border countries are additional large challenges.
GOAL 7: ENSURE ENVIRONMENTAL SUSTAINABILITY
| Targets | Prospects for achievement | Level of national support |
|------------------------------------------------------------------------|---------------------------|---------------------------|
| Target 7a: Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources | Likely | Strong |
| Target 7b: Reduce biodiversity loss, achieving, by 2010, a significant reduction in the rate of loss | Potentially | Good |
| Target 7c: Halve, by 2015, the proportion of the population without sustainable access to safe drinking water and basic sanitation | Likely | Strong |
Over its 30 years of reform and opening up, China’s efforts to protect the environment and improve socioeconomic development have been simultaneously progressing. In the 1970s, as China began transitioning from a planned to a market economy, economic growth was achieved with an environmental price. The 1980s were a turning point for environmental protection, which was positioned as part of basic state policy, laws and regulations were improved on this subject. In the 1990s, especially after the UN Conference on the Environment and Development, China altered its traditional development path to emphasize sustainability. Since the turn of the century, China has realized that the coordinated development of the economy, population, natural resources and environment is critical to the Xiaokang Society. It has set achievement of an ecologically sound civilization as part of its national strategic tasks. China is continuing to explore ways of achieving this by establishing energy-saving and environmentally friendly industrial structures, and promoting sustainable consumption, aiming for the harmonized coexistence of human beings and the natural world.
Target 7A: Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources
Status and Trends
Years of rapid growth have taken a toll on China’s land and forest resources. In recent years, a number of government initiatives have attempted to address this issue. These include returning farm land to forests, grasslands or wetlands; practicing forest and wetland conservation, and nature reserve development; using reforestation to combat desertification; managing grasslands and controlling pollution. National forest coverage increased from 13.92 percent to 18.21 percent from 1990 to 2005. The total artificial forest area is 54 million hectares or one-third of the world’s total, giving China the top ranking for this in the world. By 2007, 2,531 natural reserves had been established, and 15.2 million hectares of land had been protected, accounting for 15.19 percent of the total land area of China. Nationwide, 47 percent of wetlands are protected, and the total area of natural forest reserves comprises 12.8 percent of total land area.
Today, China is the world’s second biggest energy consumer. It has become the second largest emitter of greenhouse gases in absolute terms, with 3.65 tons per capita of greenhouse gas emissions (fossil energy) in 2004. Its emissions, however, are about one-fifth of those of the United States at 19.7 tons, and less than one third of the average for developed countries. This is due in part to impressive progress in energy saving and the reduction of emissions. From 1990 to 2005, China saved 800 million tons of coal equivalent, which is the same as reducing 1.8 billion tons of carbon dioxide emission by adjusting the economic structure and increasing energy efficiency alone. In 2007, energy use per unit of GDP declined by 1.16 tons of coal equivalent, down by 3.66 percent compared with 2006, which saved about 100 million tons of coal. Sulfur and carbon dioxide emissions declined by 4.7 percent and 3.2 percent, respectively. The share of coal in overall one-off energy consumption has fallen from 1990 to 2005, from 76.2
Figure 7.1: Changes in China’s patterns of energy consumption since 1990
percent to 68.9 percent, while the shares of oil, gas and hydro-power have increased from 16.6 percent, 2.1 percent and 5.1 percent to 21 percent, 2.9 percent and 7.2 percent respectively (see Figure 7.1).
The absolute increase in generation capacity for renewable sources has increased dramatically. China is one of the world’s main producers of photovoltaic generators, solar water heating technology and wind power plants. By the end of 2007, the installed capacity of hydropower generation had reached 145 gigawatts, accounting for 20 percent of the total power generation capacity. Installed wind turbine power generation capacity is over 6,000 megawatts. The solar heat collecting area was up to 110 million square metres, which accounts for 50 percent of the world total. There were more than 27 million household biogas digesters that generate 11 billion cubic metres of biogas annually. China will gradually increase the proportion of renewable energy in overall energy consumption, with targets of 10 percent by 2010 and 15 percent by 2015. By achieving these targets, the utilization of renewable energy in China by 2020 will be 600 million tons of coal equivalent, saving 1.2 billion tons of carbon dioxide and 8 million tons of sulfur emissions. Given the very rapid increase in energy demands, however, boosting the share of renewable energy in overall consumption is an ongoing challenge.
China has also made impressive progress in curbing emissions of ozone-depleting substances (see Figure 7.2). It has met the phasing-out targets of the Montreal Protocol on Substances that Deplete the Ozone Layer. By the end of 2006, the production and consumption of the major ozone-depleting substances, chlorofluorocarbons (CFCs), halons, trichloroacetic acid (TCA) and methyl bromide were reduced to the level of 1986, allowing China to fully meet the target agreed with the Executive Committee of the Montreal Protocol. From 1 July 2007, China stopped the consumption of CFCs (except for essential uses) and halons. This important target was achieved two and half years ahead of the schedule set by the protocol (December 2009).
**Supportive Environment**
Since the 1992 UN environment conference, China has developed a national environment strategy for achieving the conference’s vision of sustainable development, known as Agenda 21. The 11th Five-Year Plan (2006-2010), which was approved by the National People’s Congress, has defined national objectives, tasks, key areas of investment and policy measures, and made energy saving and emission reduction as restrict targets. In 2007, China launched the National Climate Change Programme, which set a goal of increasing the efficiency of energy use by 20 percent while increasing to 10 percent the share of renewable energy in the national energy mix by 2010. It stipulates maintaining the emission of nitrogen dioxide at the 2005 emission level, increasing forest coverage to 20 percent, rehabilitating pastureland by 24 million hectares, improving degraded grassland by 52 million hectares, increasing the coverage of protected areas to 16 percent and controlling desertification on 22 million hectares.
To implement the new Five-Year Plan for Environmental Protection, in March 2008, China officially upgraded the State Environmental Protection Administration
to a new Ministry of Environmental Protection, and established a State Bureau of Energy. It launched the first pollution cost assessment report, and became the first developing county that qualitatively analyses the economic cost of pollution. China has endorsed and implemented a number of international conventions and treaties, including the Convention on the Protection of the Ozone Layer, the UN Framework Convention on Climate Change, the UN Convention on Biodiversity, the UN Convention to Combat Desertification, the Ramsar Convention on Wetland Protection, the Stenholm Convention on Persistent Organic Pollutants, the World Convention on Heritage, etc.
China is continuously increasing inputs to environment protection. In 1996, expenditures on environmental protection only accounted for 0.7 percent of GDP, increasing to 1.4 percent in 2003. It is expected that this figure will rise to 2 percent by 2010. During the 10th Five-Year Plan period, national public investment in environmental protection amounted to 2.13 billion Yuan, with an annual increase of 28.3 percent. Local governments mobilized 370 million Yuan through local public financial resources, with an annual increase of 56.7 percent.
**Potential MDG Gaps**
(1) With the acceleration of industrialization and urbanization, the quest for natural resources will increase, which will put pressure on land use, forest management and environment protection. As land without forest and grass coverage is mainly located in areas subject to erosion and desertification, this delays and hinders eco-restoration. To adapt to climate change, there is an urgent need to introduce integrated and coordinated approaches to accelerate eco-restoration processes.
(2) Although advanced technologies and funds have been introduced, China is still facing many difficulties in reducing energy use per unit of GDP, and carbon
---
**Figure 7.2: The production and consumption of ozone-depleting substances, 1986-2006**
Ozone Depleting Substances production and consumption in China (1986-2006)
CFCs; HALON; TCA; Methyl bromide
emissions due to the dominance of coal in energy use. There is a lack of appropriate advanced techniques for energy efficiency, while industry, and the electricity, transportation and building construction sectors confront many hindrances in promoting green techniques. It is also a challenge to introduce low carbon modules in infrastructure, energy, transportation and the building sector, given current and future urbanization.
(3) China’s agriculture is under pressure from climate change and the degradation of eco-systems due to the small per capita size of land ownership. The sustainable development of agriculture will require adjusting agricultural production structures, improving agro-production conditions, preventing desert expansion and enhancing capacities to adapt to climate change.
(4) The threat posed by the pollution of water resources is particularly great, because China’s per capita endowment of water is only a quarter of the world’s average. The improvement of water resources management and allocation, the strengthening of infrastructure and the national water saving programs will contribute to water safety, better socioeconomic development and sustainable water ecosystems.
(5) Due to imbalanced regional ecological rehabilitation, the western part of China, especially northwest China, struggles with huge challenges to environmental sustainability. The vulnerable ecosystem in western China is a leading factor restricting socioeconomic development there. It is also critical to the rest of the country because it is the origin of the northwest monsoon wind and the main rivers.
**Target 7B: Reduce Biodiversity Loss, Achieving, by 2010, a Significant Reduction in the Rate of Loss**
**Status and Trends**
China is home to some of the world’s richest ecological treasures, with a great variety of unique and globally significant species and ecosystems. This biodiversity
---
**Figure 7.3: The distribution of irreplaceable species in China**
*Source of Data: The Nature Conservancy (TNC)*
is under severe threat from the pressures of economic growth, however, presenting significant challenges to sustainability and progress on the MDGs.
China’s great diversity is particularly valuable since it has a high degree of endemism, meaning its species are found only there and not naturally anywhere else (see Figure 7.3). China has recorded 33,000 species of higher plants, accounting for over 11 percent of recorded plant species worldwide, and ranks third in the world in plant diversity. It is also home to approximately 6,347 species of vertebrates, including 581 mammals, 1,244 birds, 376 reptiles, 284 amphibians and 3,862 fresh water fish species. More than 20,000 marine species have been reported, accounting for over 10 percent of the marine life diversity of the planet. China is also one of the world’s major centres of origin for agricultural crops, and one of the four major cradles of cultivated plants.
Today, China’s globally significant biodiversity confronts severe threats from the illegal harvesting and exploitation of plants and animals, as well as forest degradation. The latter has led to the phenomenon of “empty forests” in much of China. Many large lakes are shrinking and small lakes are disappearing. Water quality is declining, water levels are dropping, and pollution and eutrophication are widespread. Wetland and aquatic biodiversity is suffering from the disappearance and dysfunction of wetlands, while major and minor rivers and streams are excessively polluted. Grasslands are overgrazed, with 90 percent of natural grasslands now degraded. Desertification is increasing in fragile dryland areas, grasslands and limestone karst areas.
**Supportive Environment**
The Chinese Government has developed some important policies and plans for ecological protection and restoration. Biodiversity conservation is part of the 11th Five-Year Plan, including forest and wildlife protection, the construction of natural reserves and land conversion.
### Table 7.1: Status of major groups of animals and plants in China
| Species | Threatened % | Near threatened % | Threatened status % (est. 1998) |
|-------------------------------|--------------|-------------------|---------------------------------|
| Hermatypic corals | 100 | 0 | - |
| Butterflies | 12.8 | 20.1 | - |
| Frogs and toads | 39.9 | 19.63 | 2.5 |
| Snakes, lizards and turtles | 27.5 | 15.3 | 4.5 |
| Birds | 7.4 | 7.36 | 14.6 |
| Mammals | 39.8 | 10.7 | 22.1 |
| Conifers | 69.9 | 21.2 | 28.0 |
| Flowering plants | 86.6 | 7.2 | 13.0 |
| Rhododendrons | 55.4 | 0.04 | - |
| Orchids | 78.3 | 21.2 | - |
The update of the National Biodiversity Strategy and Action Plan is almost complete. It comprises the National Biodiversity 2010 Targets and Indicators, and provincial strategies and plans finalized or underway in key biodiversity areas. The new National Climate Change Programme includes a strong emphasis on natural forest, wetland and grassland protection and restoration. Wetland conservation regulations have been put into force, while the Ramsar implementation centre within the State Forestry Administration has been strengthened through increased attention to wetland management, as indicated by new wetland management regulations. The State Environmental Protection Administration has been upgraded to a full ministry, the Ministry of Environmental Protection. It is expected that the office responsible for Convention on Biodiversity implementation within the ministry will be significantly strengthened as a result of institutional restructuring.
Potential MDG Gaps
(1) Poor awareness of the role and importance of biodiversity for economic and social development means that biodiversity conservation is not fully integrated in planning and policy-making processes at the national and local levels.
(2) Responsibilities for biodiversity conservation are allocated to a number of government agencies. Cross-agency coordination and policy consistency need to be improved.
(3) There has been a failure to effectively implement policies and legislation on the ground. The capacity of local governments to translate and adapt national laws and policies into locally adapted regulations promoting biodiversity needs to be strengthened.
(4) Monitoring systems and procedures lack consistency and transparency. Monitoring capacities and information sharing need to be strengthened.
**Target 7C: Halve the proportion of the population without sustainable access to safe drinking water and basic sanitation**
**Status and Trends**
The Chinese Government has made significant progress in improving the quality of drinking water and the environmental sanitary.
A 2008 joint monitoring report by the United Nations International Children's Fund (UNICEF) and World Health Organization (WHO), "Progress on Drinking Water and Sanitation: Special Focus on Sanitation," estimated that the proportion of the population obtaining safe drinking water increased from 67 percent in 1990 to 88 percent in 2006. China will achieve the MDG target on "halve the proportion of population without safe drinking water" (Figure 7.4). An assessment made by the Ministry of Health and the Ministry of Water Resources found that the increases can mainly be attributed to improvement in rural areas. In 2000, 379 million rural residents lacked access to safe drinking water, the figure had declined to 251 million people by 2007. According to the 11th Five-Year Plan, another 160 million
people will obtain access to safe drinking water over the period 2006 to 2010. This means that China will exceed the MDG target.
The Government gives top priority to improved drinking water in rural areas, but gaps have resulted from different geographical and economic conditions.
According to the Ministry of Health, coverage rates of improved water sources in some western China are still much lower than national averages (see Figure 7.5).
**Figure 7.4: Proportion of the population access to improved safe drinking water**
Source: “Progress on Drinking Water and Sanitation: Special Focus on Sanitation,” UNICEF and WHO, 2008.
**Figure 7.5 Rural Safe Drinking Water Coverage (2006)**
Data Sources: MOH, China Health Statistics Yearbook 2007
Note: The map is indicative, not representing the legal boundary.
According to the UNICEF and WHO joint monitoring report, sanitary latrine coverage is increasing in both rural and urban areas. However, the coverage of sanitary latrines in rural areas is still much lower than that in urban areas. The MDG target is likely to be achieved only on condition that both central and local governments increase their financial inputs on rural sanitation improvement in the coming 9 years.
Similarly, the priority of sanitation improvement in China is in the rural areas. Statistics from Ministry of Health shows that the differences among provinces are significant. The rural sanitary latrine coverage rates range from the lowest province with 28 percent to the highest province with 95 percent (Figure 7.7).
**Figure 7.6 Proportion of population access improved sanitary latrines**
Source: “Progress on Drinking Water and Sanitation: Special Focus on Sanitation,” UNICEF and WHO.
**Figure 7.7 Rural Sanitary Latrine Coverage (2006)**
Data Sources: MOH, China Health Statistics Yearbook 2007
Note: The map is indicative, not represent the legal boundary.
Supportive Environment
The Government pays great attention to ensure providing safe drinking water and sanitary environment. The 11th Five-Year Plan prioritizes safe drinking water and rural sanitation in the New Socialist Countryside Programme. According to the “National assessment report on rural situation on safe drinking water” completed in 2005, the Government of China has issued the “National 11th Five-Year Plan on Rural Safe Drinking Water (2006-2010)”. It calls for extending safe drinking water to another 160 million rural residents. By 2010, the problems concerning drinking water safety in moderate and severe fluorosis areas and areas affected by arsenic are to be fully solved. All water safety issues should be completely settled by 2015. In order to achieve these targets, between 2001 and 2005, the Government invested RMB 22.3 billion in water safety, including RMB 11.7 billion from the central government, and RMB 10.6 billion from local governments and individuals. Between 2006 and 2010, RMB 65.5 billion have been planned for drinking water improvement, including RMB 32 billion from the central government, RMB 27 billion from local governments and RMB 6.5 billion from rural people benefiting from the improvements.
Funding for rural sanitary latrine improvement increased annually in the 10th Five-Year Plan, a trend that continues in the 11th Five-Year Plan. These increases were associated with the New Socialist Countryside Programme, the Western Areas Development Programme, the Project On Schistosomiasis Control, the Rural Health Education Project and the Project On Climate Change. Between 2004 and 2006, the central Government invested more than RMB 400 million in rural sanitary latrine improvement in schistosomiasis-affected areas, which contributed greatly to schistosomiasis control. In 2007, it invested nearly RMB 300 million in sanitary latrine improvement in non-schistosomiasis areas. The Government has also intensified the promotion of high-standard harmless sanitary latrines in rural areas.
Potential MDG Gaps
(1) There are gaps between urban and rural areas in safe drinking water coverage and sanitary latrine coverage. Disparities between the western and eastern regions have widened. Population migration and urbanization may help reduce the number of population without access to safe drinking water and essential basic sanitary facilities.
(2) The utilization of agricultural chemicals and water pollution caused by domestic garbage, solid waste and industrial waste will create problems for efforts to improve drinking water. Issues of arsenic and fluoride poisoning are still severe in some areas.
(3) Although the central Government has invested heavily in rural sanitary latrine
improvement, there is still a gap between the current status and the MDG target. It is clear that investments by local governments are insufficient. The shortage of technical and management personnel in counties, towns and villages is significant. Little attention has been paid to the departments that undertake the work. Sanitary latrine facilities are often not properly utilized and maintained due to weak sanitation and hygiene promotion.
(4) The improvement of personal and environmental sanitation remains a challenge especially in rural areas, since this means effectively guiding people to change their behaviours. New mechanisms and measures need to be brought in.
(5) The improvement of drinking water and sanitary latrine facilities requires the involvement of a large number of departments and governments of all levels, along with enterprises, communities and families. An enabling policy framework should be in place, comprising professional standards, effective coordination mechanisms and monitoring methods. Capital should be raised from various sources in order to achieve cost effectiveness and maximum impact.
Goal 8: Develop a Global Partnership for Development
As a developing country, China is not duty-bound to carry out the obligations under Goal 8, but China has always regarded strengthening cooperation with other developing countries as an important cornerstone of foreign policy. China’s South-South cooperation takes diversified forms, covering a wide range of areas such as trade, investment and technology, and constituting the important part of global South-South cooperation. Since the 1950s, China has been providing assistance to other developing countries. In recent years, with the upgrading of China’s economic strength, the size and scope of assistance has been gradually expanded. By the end of 2007, China had provided assistance to more than 120 countries with almost 2,000 projects of various types. It had waived 374 debts of 49 heavily indebted poor countries and least-developed countries. Trainings had taken place for nearly 100,000 foreign officials, managers and technicians, while about 20,000 medical staff had been sent to developing countries. China also provided urgent humanitarian assistance after the Indian Ocean tsunami and other major natural disasters.
Most developing countries are concentrated in Africa, an important area for China’s cooperation. Bilateral trade between China and Africa went from US $2 billion in 1999 to US $73 billion in 2007. Direct investment rose from US $317 million in 2004 to US $519 million in 2006. Chinese President Hu Jintao, in his speech at the 2006 Beijing Summit of the Forum on China-Africa Cooperation, promised to provide US $3 billion of preferential loans and US $2 billion of preferential buyer’s credits to Africa from 2007 to 2009, and to set up a China-Africa Development Fund that will have US $5 billion to encourage Chinese companies to invest in Africa.
China has actively participated in regional cooperation, including Greater Mekong sub-regional cooperation, Central Asia regional economic cooperation and the Greater Tumen Initiative between China, Russia, Mongolia, DPRK and the Republic of Korea, and has hoped to promote comprehensive regional economic integration in Asia. In May 2004, China and the World Bank jointly held a Global Poverty Reduction Forum in Shanghai, and communicated global poverty reduction
awareness and practices. At the forum, China announced its US $20 million contribution to the Asian Development Bank for the establishment of China’s Special Fund for Poverty Reduction and Regional Cooperation, which aims to support poverty reduction and regional cooperation in Asia and the Pacific. China also signed an agreement with UNDP to jointly create the International Poverty Reduction Centre of China. Formally established in Beijing in May 2005, the centre is a new platform for international cooperation on poverty reduction.
In recent years, with increased South-South trade and investment, private enterprises need to participate in policy dialogues on social, environmental and other issues. The Chinese Government and these enterprises are rapidly raising the status of the latter in these dialogues. For example, the Chinese business community increasingly recognizes the importance of the UN Global Compact. Since 2000, a series of Global Compact forums have been held in China. In July 2007, more than 80 Chinese business leaders attended the Global Compact Leaders Summit in Geneva, making up the largest delegation. Their presence reflects the wider participation of the Chinese business community in South-South cooperation related to the Global Compact.
**TARGET 8A: DEVELOP FURTHER AN OPEN, RULE-BASED, PREDICTABLE, NON-DISCRIMINATORY TRADING AND FINANCIAL SYSTEM**
Developing countries have regularly called for the establishment of a fair, stable, inclusive and orderly international financial system that supports international economic cooperation and promotes development. In this regard, China has been actively advocating for a greater voice and the expanded representation of developing countries in international financial institutions, towards enhancing the effectiveness of the international financial system. In the reform process of the World Bank and International Monetary Fund (IMF), China has played a positive role. It has also actively participated in the Bank for International Settlements and other agencies.
Trade is a very important factor in achieving common global development. China has always supported the multilateral trading system, opposed trade protectionism, and promoted a just and rational international trading system. Since 2001, China has fulfilled its commitments made during WTO accession negotiations, and constantly improved its economic openness, bolstering the rapid development of its national economy along with the stability of international trade. China participated in the Doha Round negotiations fully and helped link the negotiations to the achievement of development goals. In response to the WTO initiative “Aid for Trade”, China has donated US $200,000 to help developing countries, in particular the least-developed nations, to enhance their ability to
participate in international trade.
**TARGET 8B: ADDRESS THE SPECIAL NEEDS OF THE LEAST-DEVELOPED COUNTRIES**
In December 2003, Chinese Premier Wen Jiabao announced duty-free market access for some of the commodities from the least-developed countries in Africa that have diplomatic relations with China. Chinese President Hu Jintao announced at the 2005 UN Summit that China would give zero-tariff treatment for most China-bound exports from all of these countries. In November 2006, at the Summit of the Forum on China-Africa Cooperation, Chinese President Hu Jintao announced that the number of zero-tariff products would increase from 190 to 440. By June 2008, 42 of the 50 least-developed countries as defined by the United Nations were receiving zero-tariff treatment for the substantial export of goods through various channels. The proportion of zero tariffs is 9.3 percent to 14.3 percent, accounting for 97.9 percent of the total trade volume of the exports of these countries to China. About 466 items from 31 LDCs in Africa could become zero-tariff products.
**TARGET 8C: ADDRESS THE SPECIAL NEEDS OF LANDLOCKED DEVELOPING COUNTRIES AND SMALL-ISLAND DEVELOPING STATES**
As a transit developing country, China has always supported the economic development of landlocked developing countries and their participation in international trade, and has provided transit transport services. Since 2002, under the coordination of the UN Conference on Trade and Development, China, Mongolia and Russia have been engaged in negotiations on the China, Mongolia and Russia Transit Transport Agreements. Since 2003, China has been actively implementing the Almaty Programme of Action and participating in the Greater Mekong Sub-region to Facilitate Cross-boundary Passenger and Freight Transport Agreements, along with many other international conventions on transit transport. It has assisted with infrastructure construction for landlocked developing countries, including the China–Kyrgyzstan–Uzbekistan Highway and other cross-border transport routes. Regional cooperation has been targeted to facilitating trade with landlocked developing countries.
China recognizes the importance of small-island developing countries to sustainable development. It backs the Mauritius Strategy and assists small-island countries to implement it. Over the years, the Government has deepened and expanded cooperation with these states, providing assistance within its capacity. In March 2006, Chinese Premier Wen Jiabao announced at the China-Pacific Island Countries Economic Development and Cooperation Forum that the Government would provide 3 billion yuan in preferential loans to the enterprises of the Pacific Island countries to promote economic and trade cooperation for the next three years. In addition, China has offered assistance through technical cooperation and material projects, and organized various training and practical skills
courses. In 2005 and 2006, to support personnel training, China held the Tropical Agriculture Technology Training Courses for Small Island Developing Countries and the International Workshop on the Sustainable Development of Small-Island Developing States.
China helps small-island countries strengthen their capacities to manage water resources through training, personnel exchanges and the provision of experts. China is concerned about the issue of climate change as well as small-island developing countries, coping with the challenges seriously. In the past few years, China has adopted a very strict energy and climate change policy, set the world’s most ambitious goals on energy conservation and alternative energy development, and encouraged the development of new low-carbon technologies. At present, China has the world’s largest solar farms and hydropower facilities. It is becoming the world’s main exporter of renewable energy technologies.
**TARGET 8D: DEAL COMPREHENSIVELY WITH THE DEBT PROBLEMS OF DEVELOPING COUNTRIES THROUGH NATIONAL AND INTERNATIONAL MEASURES IN ORDER TO MAKE DEBT SUSTAINABLE IN THE LONG TERM**
Since 2000, China has been gradually increasing its foreign aid, particularly to boost assistance to the least-developed countries. President Hu Jintao declared that China will further expand the scale of assistance to the heavily indebted poor countries and least-developed countries at the UN High-Level dialogue on Financing for Development in September 2005. Over the following two years, China will waive or eliminate, through bilateral channels or other means, all outstanding interest-free and low-interest government loans that had been due before the end of 2004, and that were held by heavily indebted poor countries with diplomatic relations with China. During the Forum on China-Africa Cooperation, President Hu Jintao proclaimed that China would waive interest-free loans due to expire at the end of 2005 for the heavily indebted poor countries and the least-developed countries in Africa that have diplomatic relations with China. By June 2008, China had signed an agreement to eliminate the debts of 32 out of 33 eligible countries.
China also participates in debt relief and development operations initiated by international or regional organizations such as the IMF and the African Development Bank, the West African Development Bank and the Caribbean Development Bank. It has provided an SDR donation of nearly 40 million to the IMF. Since China joined the African Development Bank in 1985, it has committed US $486 million to the African Development Fund and contributed US $195 million to multilateral debt relief operations. There is also a US $2 million bilateral technical cooperation fund with the African Development Bank. China has donated US $33.2 million to the Special Development Fund of the Caribbean Development Bank, and established a US $1 million technical cooperation fund with the Caribbean Development Bank and the
West African Development Bank.
**Target 8E: In cooperation with pharmaceutical companies, provide access to affordable essential drugs in developing countries**
As a developing country, China has been making efforts to establish and improve basic domestic medical care. Since 1979, the Chinese Government has participated in the WHO’s Action Programme on Essential Drugs and organized experts to select essential medicines. China has launched an initiative in 2006 to provide basic medicines in urban communities and rural areas, and guided pharmaceutical enterprises to provide the most commonly used essential medicines to urban communities. The development of systems to provide essential medicines has helped meet the basic needs of the Chinese people through increased availability.
China has also called on developed countries to help developing countries access affordable essential medicines, and worked directly to assist other developing countries. At the 2005 UN High-Level Dialogue on Financing for Development, President Hu Jintao declared that China would provide medicines such as anti-malaria vaccines, and aid in establishing and improving medical facilities, and training medical staff. During the Forum on China-Africa Cooperation in Beijing in November 2006, he committed China to building 30 hospitals in Africa, providing 300 million yuan to help combat malaria through artemisinin-based drugs, and establishing 30 anti-malarial centres. Progress has been made on these initiatives: construction of 19 of the 30 hospitals will start this year, and will begin on the others by the end of 2009. China has set up malaria control centres in Burundi, Chad, Liberia, Gabon, the Republic of Congo and Uganda; other centres are being constructed in an orderly manner. In 2007, China provided anti-malarial drugs to 33 African countries facing serious epidemics. There are now more than 1,000 Chinese medical team members working in 40 African countries.
**Target 8F: In cooperation with the private sector, make available the benefits of new technologies, especially information and communications**
The Chinese Government stresses the fundamental importance of the information and communications industry, and supports leapfrog development strategies by making use of information technology to stimulate industrialization, and industrialization to promote information technology. These approaches have achieved positive results.
China has completed construction of a national communications infrastructure that covers the entire country, and reaches different parts of the world through advanced technology and comprehensive business service. Both the scale of this network and the number of users rank first in the world. Moreover, the pace of development has also ranked highest. As of April 2008, the total number of users of China’s fixed telephone and mobile
phone systems reached 927 million. Total telephone coverage was 70.5 percent. The number of Internet users amounted to 221 million people, and the Internet access rate was 16.8 percent. Information and communication technologies are increasingly used in pushing forward the various aspects of China’s national economic and social development.
The overall level of China’s information and communication industry still needs to be improved, however. Development between urban and rural areas, and among the different regions has been uneven. The task of narrowing the “digital divide” is still arduous. The Chinese Government has prioritized rural communications, and initiated the “Village to Village Works”. By the end of 2007, China had invested over 30 billion yuan to open new telephone lines for 75,000 administrative villages and over 20,000 natural villages. The telephone conversation rate of the administrative villages was 99.5 percent and the broadband Internet access rate 92 percent. Over 2,000 agricultural information service platforms and more than 6,000 agriculture-related Internet sites have been built. China is establishing a fund for universal telecommunications service, and is promoting the application of various techniques and guiding enterprises to participate in the construction of rural communications.
For the information industry, the 11th Five-Year Plan focuses on encouraging independent innovation, enhancing competitiveness, improving the environment for development, and promoting strategic restructuring of the information industry in order to lay a solid foundation for achieving the strategy “Powering the Country Through the Information Industry.”
China has encouraged regional cooperation in the field of information and communications. It has assisted Cambodia, Laos, Myanmar and other countries to build the Greater Mekong Sub-region Information Highway, trained senior telecommunications managers for countries in the Association of Southeast Asian Nations, and held training workshops for managers and technical personnel of member countries of the Asia-Pacific Telecommunity.
## CONCLUSION
| GOALS and Targets | WILL THE GOAL OR TARGET BE MET | STATE OF NATIONAL SUPPORT |
|-----------------------------------------------------------------------------------|--------------------------------|---------------------------|
| **MDG1: Eradicate extreme poverty and hunger** | | |
| Target 1.A: Halve, between 1990 and 2015, the proportion of people whose income is less than one dollar a day | Already met | Strong |
| Target 1.B: Achieve full and productive employment and decent work for all, including women and young people | Potentially | Strong |
| Target 1.C: Halve, between 1990 and 2015, the proportion of people who suffer from hunger | Already met | Strong |
| **MDG2: Achieve universal primary education** | | |
| Target 2.A: Ensure that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling | Already met | Strong |
| **MDG3: Promote gender equality and empower women** | | |
| Target 3.A: Eliminate gender disparity in primary and secondary education, preferably by 2005, and in all levels of education no later than 2015 | Likely | Strong |
| **MDG4: Reduce child mortality** | | |
| Target 4.A: Reduce by two-thirds, between 1990 and 2015, the under five mortality rate | Already met | Strong |
| **MDG5: Improve maternal health** | | |
| Target 5.A: Reduce by three quarters, between 1990 and 2015, the maternal mortality ratio | Likely | Strong |
| Target 5.B: Achieve, by 2015, universal access to reproductive health | Potentially | Good |
| **MDG6: Combat HIV/AIDS, malaria and other diseases** | | |
| Target 6.A: Have halted by 2015 and begun to reverse the spread of HIV/AIDS | Likely | Strong |
| Target 6.B: Achieve, by 2010, universal access to treatment for HIV/AIDS for all those who need it | Potentially | Good |
|-----------------------------------------------|------------|------|
| Target 6.C: Have halted by 2015 and begun to reverse the incidence of malaria and other major diseases | Likely | Good |
**MDG7: Ensure environmental sustainability**
| Target 7.A: Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources | Likely | Strong |
|---------------------------------------------------------------------------------|--------|--------|
| Target 7.B: Reduce biodiversity loss, achieving, by 2010, a significant reduction in the rate of loss | Potentially | Good |
| Target 7.C: Halve, by 2015, the proportion of people without sustainable access to safe drinking water and basic sanitation | Likely | Strong |
**MDG8: Develop a global partnership for development**
Analysis of China’s progress in achieving the MDGs reveals great success as well as new challenges brought on by rapid development. China is likely to achieve all the MDG targets by 2015, but special attention should be paid to promoting gender equality and women’s empowerment, combating HIV/AIDS and reversing the loss of environmental resources. The Chinese Government is aware of the problems and has taken actions to address the new challenges, paying special attention to balancing development between urban and rural areas, different regions, economic and social progress, and between people and nature. China is set to achieve further development successes by 2015, making even greater contributions to the international effort to reach the MDGs. |
Illuminations
Essays and Reflections
Edited by Hannah Arendt
New preface by Leon Wieseltier
WALTER BENJAMIN
Illuminations
TRANSLATED BY HARRY ZOHN
Edited and with an introduction by HANNAH ARENDT
Preface by LEON WIESELTIER
SCHOCKEN BOOKS · NEW YORK
English translation copyright © 1968 by Harcourt Brace Jovanovich, Inc.
Introduction copyright © 1968 by Hannah Arendt
Preface copyright © 2007 by Leon Wieseltier
All rights reserved. Published in the United States by Schocken Books, a division of Random House, Inc., New York. Originally published in Germany by Suhrkamp Verlag, Frankfurt a.M. copyright © 1955 by Suhrkamp Verlag, Frankfurt a.M.
Published by arrangement with Harcourt Brace Jovanovich, Inc. (A Helen and Kurt Wolff Book)
This reprint omits pages 141–144 of the original Harcourt, Brace & World edition.
The introduction to this book, by Dr. Hannah Arendt, appeared originally as an article in The New Yorker.
Acknowledgment is made for permission to quote from the following:
From The Trial, by Franz Kafka, trans. by Edwin and Willa Muir. Copyright © 1937 and renewed 1965 by Alfred A. Knopf, Inc.
From The Castle, by Franz Kafka. Copyright © 1930, 1954 and renewed 1958 by Alfred A. Knopf, Inc. Reprinted by permission of the publisher.
Library of Congress Cataloging-in-Publication Data
Benjamin, Walter, 1892–1940.
Illuminations.
Translation of: Illuminationen.
Reprint. Originally published: New York: Harcourt, Brace & World, 1968.
“A Helen and Kurt Wolff book”—Verso t.p.
Included bibliographical references and index.
I. Literature—Addresses, essays, lectures. II. Arendt, Hannah. III. Title.
PN37.B4413 1985 809 85-27865
ISBN 978-0-8052-0241-0
Printed in the United States of America
First Schocken paperback edition published in 1969
[08] 9 8 7 6 5 4 3 2
## Contents
**PREFACE BY LEON WIESELTIER**
vii
**INTRODUCTION**
*Walter Benjamin: 1892–1940*, by Hannah Arendt
1
**UNPACKING MY LIBRARY**
*A Talk about Book Collecting*
59
**THE TASK OF THE TRANSLATOR**
*An Introduction to the Translation of Baudelaire’s Tableaux parisiens*
69
**THE STORYTELLER**
*Reflections on the Works of Nikolai Leskov*
83
**FRANZ KAFKA**
*On the Tenth Anniversary of His Death*
111
**SOME REFLECTIONS ON KAFKA**
141
**WHAT IS EPIC THEATER?**
147
**ON SOME MOTIFS IN BAUDELAIRE**
155
**THE IMAGE OF PROUST**
201
**THE WORK OF ART IN THE AGE OF MECHANICAL REPRODUCTION**
217
**THESSES ON THE PHILOSOPHY OF HISTORY**
253
**EDITOR’S NOTE**
265
**INDEX OF NAMES**
269
It is hard to imagine a time when Walter Benjamin was not a god (or an idol) of criticism, but I can remember when, in my own student days, not so long ago, he was only an exciting rumor. It was the publication of *Illuminations*, and then a few years later of *Reflections*, these lovingly assembled and beautifully translated volumes, that confirmed the rumor. These were the books that brought the news. I can report that in the bookshops around Columbia in its roiled years, before Broadway became a boulevard of theory, they were snatched up immediately and read with a hushed fascination. No sooner was Benjamin known than he was revered. I encountered Benjamin’s name for the first time in the ornate dedication to *Major Trends in Jewish Mysticism*, the masterwork (talk about bringing the news!) of his devoted and disappointed friend Gershom Scholem, which was published a year after Benjamin’s refugee suicide: “To the memory of Walter Benjamin (1892–1940), the friend of a lifetime, whose genius united the insight of the Metaphysician, the interpretative power of the Critic, and the erudition of the Scholar—died at Port Bou (Spain) on his way into freedom.” This is still the most elementary characterization of Benjamin’s dense and elusive mind. It prepared me for the most significant quality of Benjamin’s accomplishment, and also of
his spirit: among the great modern intellectuals, he was the one who least added up.
Benjamin’s great dispersal, enacted first by his mentality and then by his history, made him especially attractive. He was a naturally unsystematic man, a hero of fragmentation in the line of Novalis and Schlegel and Nietzsche. And yet he was not an enemy of old philosophy, not at all. To a degree that is still not adequately appreciated, Benjamin was happily steeped in German philosophy, and regarded his critical task as the philosophical analysis of literature and culture. In his restless and scattered way, he was carrying on the work of Hegel’s *Aesthetics*, a foundational and unjustly discarded work that may be preposterous in its cosmic ideas but is magnificent in its local ideas. Benjamin had a similar gift for applying abstractions to pleasures. And to his explanatory fervor he added a fervor for observation: he saw more, in books and in places, than other people did, and he saw differently. The strangeness that you encounter upon reading Benjamin for the first time is almost a cognitive strangeness: he makes everything no longer familiar. His incompetence at ordinary living allowed him to see it more sharply. Like many of the insurgent children of the German Jewish bourgeoisie, he believed that banality was the enemy of life; but his anti-banalizing energy, the ferocity with which he mined the most commonplace objects and events for explosive meanings, was almost diabolical. (“The everyday as impenetrable, the impenetrable as everyday.”) In his memoirs as in his essays, he seemed to require of every perception that it be a revolution. It was his premise that nothing is what it appears to be, and this made him into a scholar of appearances. He had an unappeasable appetite for the marginal and the idiosyncratic, because deviance looked to him like an epistemological advantage. Nothing that was not neglected could be true. All this led Benjamin into the underground of esoteric interpretation.
In his temperament and in his method, Benjamin was an esotericist. He was modernity’s kabbalist. In his turgidly enchanted world there were only mysteries, locked and unlocked. His infatuation with Marxism, the most embarrassing episode of his mental wanderings, the only time that he acquiesced in the regimentation of his own mind, may be understood as merely the most desperate of his exercises in arcane reading. The text, this time, was history; but there was
nothing that was not a text, for Benjamin. He was the most bookish of the agitator-intellectuals. (He looked ridiculous in the Ibiza sun.) He textualized the universe. This was because he was essentially an exegete, a glossator. Everything he wrote was commentary. The Paris Arcades project is, among other things, a milestone in the history of commentary, an astounding renovation of an old point of regard for a new reality. Like the great medieval commentators, Benjamin demonstrated by example that commentary may be an instrument of originality. And in his case, not only of originality, but also of redemption: in Benjamin’s view, interpretation does not so much discover meaning as release it, and loose it upon the world so as to liberate it. Benjamin read messianically. Insight, for him, was a variety of intoxication. Indeed, his quest for delirium in criticism made his political writings finally useless for politics. “The realization of dream elements in waking is the textbook example of dialectical thinking”: no government ever trembled before such a dialectic. For all his proclamations of political solidarity, Benjamin finally represented only himself, and his own introverted and inextinguishable hunger for a secret knowledge, an initiation, a revelation. He was a failed mystic living amid failed sanctities, and struggling against the failures.
These volumes may be read almost as a spiritual diary. They give a portrait of a pilgrim. But this pilgrim makes no progress, and his story at some point ceases to be stirring, and becomes alienating, and then crushing. It is not only the evil circumstances of Benjamin’s death that leave one with a gathering pity for him. His dispersal comes to seem cunning, vain, frantic, sometimes dilettantish, sometimes animated by an aspiration to cultural power—a dazzling distraction from the possibility that there may have been nothing lasting at the core. Benjamin can be at once overflowing and vacant; a student of hiddenness nervously in hiding; a pilgrim without a shrine. Scholem begged Benjamin to make a choice and a commitment (and to make the choice and the commitment that he himself had made); and whereas it is true that Scholem was almost monstrous in his consistency of purpose over the years, he was right to worry about the spiritual implications of Benjamin’s indecisiveness. And this indecisiveness, which may have cost Benjamin his life, was unattractively joined to a weakness for dogmatic certitude. The uncertainty that
Scholem deplored was really a petrification by certainty, or a series of such petrifications. Benjamin’s work was scarred by a high ideological nastiness, as when he mocked “the sclerotic liberal-moral-humanistic ideal of freedom” (as if Europe in his day was suffering from a surfeit of this), and speculated acidly about the belief in “the sacredness of life” (or from a surfeit of this), and responded with perfect diffidence to the censorship and the persecution of writers in the Soviet Union, which he coldly described as “the transfer of the mental means of production into public ownership.” The pioneering explorer of memory worshipped history too much. He also wrote too much: he advised writers to “never stop writing because you have run out of ideas,” and often he acted on his own advice. I confess that there are many pages in Benjamin that I do not understand, in which the discourse seems to be dictating itself, and no direction is clear. Like many esotericists, he abuses the privilege of obscurity.
And yet Benjamin’s writings are uncommonly rich with penetrating and prescient notions: the impoverishment of experience in modern life; the primacy of memory as a mode of consciousness; the aura of the work of art, and its eclipse in the age of mechanical (not to speak of electronic) reproduction; the hope for “profane illumination”; the eternal entanglement of barbarism with civilization; the critical utility of the messianic idea—all these notions are justly celebrated, as are his luminous examinations of Goethe and Baudelaire and Kafka and Kraus. Benjamin’s work is evidence of the light that a religious sensibility may shine upon secular existence. There are certainly very few critics who can match his power of suggestiveness: his ideas and intuitions have a way of lingering productively, even when you quarrel with them. In the application of philosophical concepts to cultural and social actualities, his decidedly unmystical friend Adorno was his only peer. Philosophical thinking retained its old role, for Benjamin: it was his best defense against despair. There still is no better one.
I. THE HUNCHBACK
Fama, that much-coveted goddess, has many faces, and fame comes in many sorts and sizes—from the one-week notoriety of the cover story to the splendor of an everlasting name. Posthumous fame is one of Fama's rarer and least desired articles, although it is less arbitrary and often more solid than the other sorts, since it is only seldom bestowed upon mere merchandise. The one who stood most to profit is dead and hence it is not for sale. Such posthumous fame, uncommercial and unprofitable, has now come in Germany to the name and work of Walter Benjamin, a German-Jewish writer who was known, but not famous, as contributor to magazines and literary sections of newspapers for less than ten years prior to Hitler's seizure of power and his own emigration. There were few who still knew his name when he chose death in those early fall days of 1940 which for many of his origin and generation marked the darkest moment of the war—the fall of France, the threat to England, the still intact Hitler-Stalin pact whose most feared consequence at that moment was the close co-operation of the two most powerful secret police forces in Europe. Fifteen years later a two-volume edition of
his writings was published in Germany and brought him almost immediately a succès d'estime that went far beyond the recognition among the few which he had known in his life. And since mere reputation, however high, as it rests on the judgment of the best, is never enough for writers and artists to make a living that only fame, the testimony of a multitude which need not be astronomical in size, can guarantee, one is doubly tempted to say (with Cicero), Si vivi vicissent qui morte vicerunt—how different everything would have been "if they had been victorious in life who have won victory in death."
Posthumous fame is too odd a thing to be blamed upon the blindness of the world or the corruption of a literary milieu. Nor can it be said that it is the bitter reward of those who were ahead of their time—as though history were a race track on which some contenders run so swiftly that they simply disappear from the spectator's range of vision. On the contrary, posthumous fame is usually preceded by the highest recognition among one's peers. When Kafka died in 1924, his few published books had not sold more than a couple of hundred copies, but his literary friends and the few readers who had almost accidentally stumbled on the short prose pieces (none of the novels was as yet published) knew beyond doubt that he was one of the masters of modern prose. Walter Benjamin had won such recognition early, and not only among those whose names at that time were still unknown, such as Gerhard Scholem, the friend of his youth, and Theodor Wiesengrund Adorno, his first and only disciple, who together are responsible for the posthumous edition of his works and letters.\(^1\) Immediate, instinctive, one is tempted to say, recognition came from Hugo von Hofmannsthal, who published Benjamin's essay on Goethe's *Elective Affinities* in 1924, and from Bertolt Brecht, who upon receiving the news of Benjamin's death is reported to have said that this was the first real loss Hitler had caused to German literature. We cannot know if there is such a thing as altogether unappreciated genius, or whether it is the daydream of those who are not geniuses; but we can be reasonably sure that posthumous fame will not be their lot.
Fame is a social phenomenon; *ad gloriam non est satis unius*
opinio (as Seneca remarked wisely and pedantically), "for fame the opinion of one is not enough," although it is enough for friendship and love. And no society can properly function without classification, without an arrangement of things and men in classes and prescribed types. This necessary classification is the basis for all social discrimination, and discrimination, present opinion to the contrary notwithstanding, is no less a constituent element of the social realm than equality is a constituent element of the political. The point is that in society everybody must answer the question of what he is—as distinct from the question of who he is—which his role is and his function, and the answer of course can never be: I am unique, not because of the implicit arrogance but because the answer would be meaningless. In the case of Benjamin the trouble (if such it was) can be diagnosed in retrospect with great precision; when Hofmannsthal had read the long essay on Goethe by the completely unknown author, he called it "schlechthin unvergleichlich" ("absolutely incomparable"), and the trouble was that he was literally right, it could not be compared with anything else in existing literature. The trouble with everything Benjamin wrote was that it always turned out to be sui generis.
Posthumous fame seems, then, to be the lot of the unclassifiable ones, that is, those whose work neither fits the existing order nor introduces a new genre that lends itself to future classification. Innumerable attempts to write à la Kafka, all of them dismal failures, have only served to emphasize Kafka's uniqueness, that absolute originality which can be traced to no predecessor and suffers no followers. This is what society can least come to terms with and upon which it will always be very reluctant to bestow its seal of approval. To put it bluntly, it would be as misleading today to recommend Walter Benjamin as a literary critic and essayist as it would have been misleading to recommend Kafka in 1924 as a short-story writer and novelist. To describe adequately his work and him as an author within our usual framework of reference, one would have to make a great many negative statements, such as: his erudition was great, but he was no scholar; his subject matter comprised texts and
their interpretation, but he was no philologist; he was greatly attracted not by religion but by theology and the theological type of interpretation for which the text itself is sacred, but he was no theologian and he was not particularly interested in the Bible; he was a born writer, but his greatest ambition was to produce a work consisting entirely of quotations; he was the first German to translate Proust (together with Franz Hessel) and St.-John Perse, and before that he had translated Baudelaire's *Tableaux parisiens*, but he was no translator; he reviewed books and wrote a number of essays on living and dead writers, but he was no literary critic; he wrote a book about the German baroque and left behind a huge unfinished study of the French nineteenth century, but he was no historian, literary or otherwise; I shall try to show that he thought poetically, but he was neither a poet nor a philosopher.
Still, in the rare moments when he cared to define what he was doing, Benjamin thought of himself as a literary critic, and if he can be said at all to have aspired to a position in life it would have been that of "the only true critic of German literature" (as Scholem put it in one of the few, very beautiful letters to the friend that have been published), except that the very notion of thus becoming a useful member of society would have repelled him. No doubt he agreed with Baudelaire, "Être un homme utile m'a paru toujours quelque chose de bien hideux." In the introductory paragraphs to the essay on *Elective Affinities*, Benjamin explained what he understood to be the task of the literary critic. He begins by distinguishing between a commentary and a critique. (Without mentioning it, perhaps without even being aware of it, he used the term *Kritik*, which in normal usage means criticism, as Kant used it when he spoke of a *Critique of Pure Reason.*)
Critique [he wrote] is concerned with the truth content of a work of art, the commentary with its subject matter. The relationship between the two is determined by that basic law of literature according to which the work's truth content is the more relevant the more inconspicuously and intimately it is bound up with its subject matter. If therefore precisely those works turn out to endure whose truth is
most deeply embedded in their subject matter, the beholder who contemplates them long after their own time finds the realia all the more striking in the work as they have faded away in the world. This means that subject matter and truth content, united in the work’s early period, come apart during its afterlife; the subject matter becomes more striking while the truth content retains its original concealment. To an ever-increasing extent, therefore, the interpretation of the striking and the odd, that is, of the subject matter, becomes a prerequisite for any later critic. One may liken him to a paleographer in front of a parchment whose faded text is covered by the stronger outlines of a script referring to that text. Just as the paleographer would have to start with reading the script, the critic must start with commenting on his text. And out of this activity there arises immediately an inestimable criterion of critical judgment: only now can the critic ask the basic question of all criticism—namely, whether the work’s shining truth content is due to its subject matter or whether the survival of the subject matter is due to the truth content. For as they come apart in the work, they decide on its immortality. In this sense the history of works of art prepares their critique, and this is why historical distance increases their power. If, to use a simile, one views the growing work as a funeral pyre, its commentator can be likened to the chemist, its critic to an alchemist. While the former is left with wood and ashes as the sole objects of his analysis, the latter is concerned only with the enigma of the flame itself: the enigma of being alive. Thus the critic inquires about the truth whose living flame goes on burning over the heavy logs of the past and the light ashes of life gone by.
The critic as an alchemist practicing the obscure art of transmuting the futile elements of the real into the shining, enduring gold of truth, or rather watching and interpreting the historical process that brings about such magical transfiguration—whatever we may think of this figure, it hardly corresponds to anything we usually have in mind when we classify a writer as a literary critic.
There is, however, another less objective element than the mere fact of being unclassifiable which is involved in the life of those who “have won victory in death.” It is the element of bad luck, and this factor, very prominent in Benjamin’s life, cannot be ignored here because he himself, who probably never thought or dreamed about posthumous fame, was so extraordinarily aware
of it. In his writing and also in conversation he used to speak about the "little hunchback," the "bucklicht Männlein," a German fairy-tale figure out of *Des Knaben Wunderhorn*, the famous collection of German folk poetry.
Will ich in mein' Keller gehn,
Will ich in mein Küchel gehn,
Will mein Weinlein zapfen;
Will mein Süpplein kochen;
Steht ein bucklicht Männlein
Steht ein bucklicht Männlein
da,
da,
Tät mir'n Krug wegschnappen.
Hat mein Töpfllein brochen.*
The hunchback was an early acquaintance of Benjamin, who had first met him when, still a child, he found the poem in a children's book, and he never forgot. But only once (at the end of *A Berlin Childhood around 1900*), when anticipating death he attempted to get hold of "his 'entire life'... as it is said to pass before the eyes of the dying," did he clearly state who and what it was that had terrified him so early in life and was to accompany him until his death. His mother, like millions of other mothers in Germany, used to say, "Mr. Bungle sends his regards" (*Ungeschickt lässt grüssen*) whenever one of the countless little catastrophes of childhood had taken place. And the child knew of course what this strange bungling was all about. The mother referred to the "little hunchback," who caused the objects to play their mischievous tricks upon children; it was he who had tripped you up when you fell and knocked the thing out of your hand when it went to pieces. And after the child came the grown-up man who knew what the child was still ignorant of, namely, that it was not he who had provoked "the little one" by looking at him—as though he had been the boy who wished to learn what fear was—but that the hunchback had looked at him and that bungling was a misfortune. For "anyone whom the little man looks at pays no attention; not to himself and not to the
* When I go down to the cellar
There to draw some wine,
A little hunchback who's in there
Grabs that jug of mine.
When I go into my kitchen,
There my soup to make,
A little hunchback who's in there
My little pot did break.
little man. In consternation he stands before a pile of debris” (Schriften I, 650-52).
Thanks to the recent publication of his letters, the story of Benjamin’s life may now be sketched in broad outline; and it would be tempting indeed to tell it as a sequence of such piles of debris since there is hardly any question that he himself viewed it in that way. But the point of the matter is that he knew very well of the mysterious interplay, the place “at which weakness and genius coincide,” which he so masterfully diagnosed in Proust. For he was of course also speaking about himself when, in complete agreement, he quoted what Jacques Rivière had said about Proust: he “died of the same inexperience that permitted him to write his works. He died of ignorance . . . because he did not know how to make a fire or open a window” (“The Image of Proust”). Like Proust, he was wholly incapable of changing “his life’s conditions even when they were about to crush him.” (With a precision suggesting a sleepwalker his clumsiness invariably guided him to the very center of a misfortune, or wherever something of the sort might lurk. Thus, in the winter of 1939-40 the danger of bombing made him decide to leave Paris for a safer place. Well, no bomb was ever dropped on Paris, but Meaux, where Benjamin went, was a troop center and probably one of the very few places in France that was seriously endangered in those months of the phony war.) But like Proust, he had every reason to bless the curse and to repeat the strange prayer at the end of the folk poem with which he closes his childhood memoir:
Liebes Kindlein, ach, ich bitt,
Bet fürs bucklicht Männlein mit.*
In retrospect, the inextricable net woven of merit, great gifts, clumsiness, and misfortune into which his life was caught can be detected even in the first pure piece of luck that opened Benjamin’s career as a writer. Through the good offices of a friend, he had been able to place “Goethe’s Elective Affinities” in Hof-
*O dear child, I beg of you,
Pray for the little hunchback too.
mannsthal’s *Neue Deutsche Beiträge* (1924-25). This study, a masterpiece of German prose and still of unique stature in the general field of German literary criticism and the specialized field of Goethe scholarship, had already been rejected several times, and Hofmannsthal’s enthusiastic approval came at a moment when Benjamin almost despaired of “finding a taker for it” (*Briefe* I, 300). But there was a decisive misfortune, apparently never fully understood, which under the given circumstances was necessarily connected with this chance. The only material security which this first public breakthrough could have led to was the *Habilitation*, the first step of the university career for which Benjamin was then preparing himself. This, to be sure, would not yet have enabled him to make a living—the so-called *Privatdozent* received no salary—but it would probably have induced his father to support him until he received a full professorship, since this was a common practice in those days. It is now hard to understand how he and his friends could ever have doubted that a *Habilitation* under a not unusual university professor was bound to end with a catastrophe. If the gentlemen involved declared later that they did not understand a single word of the study, *The Origin of German Tragedy*, which Benjamin had submitted, they can certainly be believed. How were they to understand a writer whose greatest pride it was that “the writing consists largely of quotations—the craziest mosaic technique imaginable”—and who placed the greatest emphasis on the six mottoes that preceded the study: “No one . . . could gather any rarer or more precious ones”? (*Briefe* I, 366). It was as if a real master had fashioned some unique object, only to offer it for sale at the nearest bargain center. Truly, neither anti-Semitism nor ill will toward an outsider—Benjamin had taken his degree in Switzerland during the war and was no one’s disciple—nor the customary academic suspicion of anything that is not guaranteed to be mediocre need have been involved.
However—and this is where bungling and bad luck come in—in the Germany of that time there was another way, and it was precisely his Goethe essay that spoiled Benjamin’s only chance for a university career. As often with Benjamin’s writings, this
study was inspired by polemics, and the attack concerned Friedrich Gundolf's book on Goethe. Benjamin's critique was definitive, and yet Benjamin could have expected more understanding from Gundolf and other members of the circle around Stefan George, a group with whose intellectual world he had been quite familiar in his youth, than from the "establishment"; and he probably need not have been a member of the circle to earn his academic accreditation under one of these men who at that time were just beginning to get a fairly comfortable foothold in the academic world. But the one thing he should not have done was to mount an attack on the most prominent and most capable academic member of the circle so vehement that everyone was bound to know, as he explained retrospectively later, that he had "just as little to do with academe...as with the monuments which men like Gundolf or Ernst Bertram have erected." (Briefe II, 523). Yes, that is how it was. And it was Benjamin's bungling or his misfortune to have announced this to the world before he was admitted to the university.
Yet one certainly cannot say that he consciously disregarded due caution. On the contrary, he was aware that "Mr. Bungle sends his regards" and took more precautions than anyone else I have known. But his system of provisions against possible dangers, including the "Chinese courtesy" mentioned by Scholem, invariably, in a strange and mysterious way, disregarded the real danger. For just as he fled from the safe Paris to the dangerous Meaux at the beginning of the war—to the front, as it were—his essay on Goethe inspired in him the wholly unnecessary worry that Hofmannsthal might take amiss a very cautious critical remark about Rudolf Borchardt, one of the chief contributors to his periodical. Yet he expected only good things from having found for this "attack upon the ideology of George's school...this one place where they will find it hard to ignore the invective" (Briefe I, 341). They did not find it hard at all. For no one was more isolated than Benjamin, so utterly alone. Even the authority of Hofmannsthal—"the new patron," as Benjamin called him in the first burst of happiness (Briefe I, 327)—could not alter this situation. His voice hardly mattered compared with the
very real power of the George school, an influential group in which, as with all such entities, only ideological allegiance counted, since only ideology, not rank and quality, can hold a group together. Despite their pose of being above politics, George's disciples were fully as conversant with the basic principles of literary maneuvers as the professors were with the fundamentals of academic politics or the hacks and journalists with the ABC of "one good turn deserves another."
Benjamin, however, did not know the score. He never knew how to handle such things, was never able to move among such people, not even when "the adversities of outer life which sometimes come from all sides, like wolves" (Briefe I, 298), had already afforded him some insight into the ways of the world. Whenever he tried to adjust and be co-operative so as to get some firm ground under his feet somehow, things were sure to go wrong.
A major study on Goethe from the viewpoint of Marxism—in the middle twenties he came very close to joining the Communist Party—never appeared in print, either in the Great Russian Encyclopedia, for which it was intended, or in present-day Germany. Klaus Mann, who had commissioned a review of Brecht's Threepenny Novel for his periodical Die Sammlung, returned the manuscript because Benjamin had asked 250 French francs—then about 10 dollars—for it and he wanted to pay only 150. His commentary on Brecht's poetry did not appear in his lifetime. And the most serious difficulties finally developed with the Institute for Social Research, which, originally (and now again) part of the University of Frankfurt, had emigrated to America and on which Benjamin depended financially. Its guiding spirits, Theodor W. Adorno and Max Horkheimer, were "dialectical materialists" and in their opinion Benjamin's thinking was "undialectic," moved in "materialistic categories, which by no means coincide with Marxist ones," was "lacking in mediation" insofar as, in an essay on Baudelaire, he had related "certain conspicuous elements within the superstructure . . . directly, perhaps even causally, to corresponding elements in the substructure." The result was that Benjamin's original essay, "The Paris
of the Second Empire in the Works of Baudelaire,” was not printed, either then in the magazine of the Institute or in the posthumous two-volume edition of his writings. (Parts of it have now been published—“Der Flâneur” in Die Neue Rundschau, December 1967, and “Die Moderne” in Das Argument, March 1968.)
Benjamin probably was the most peculiar Marxist ever produced by this movement, which God knows has had its full share of oddities. The theoretical aspect that was bound to fascinate him was the doctrine of the superstructure, which was only briefly sketched by Marx but then assumed a disproportionate role in the movement as it was joined by a disproportionately large number of intellectuals, hence by people who were interested only in the superstructure. Benjamin used this doctrine only as a heuristic-methodological stimulus and was hardly interested in its historical or philosophical background. What fascinated him about the matter was that the spirit and its material manifestation were so intimately connected that it seemed permissible to discover everywhere Baudelaire’s correspondances, which clarified and illuminated one another if they were properly correlated, so that finally they would no longer require any interpretative or explanatory commentary. He was concerned with the correlation between a street scene, a speculation on the stock exchange, a poem, a thought, with the hidden line which holds them together and enables the historian or philologist to recognize that they must all be placed in the same period. When Adorno criticized Benjamin’s “wide-eyed presentation of actualities” (Briefe II, 793), he hit the nail right on its head; this is precisely what Benjamin was doing and wanted to do. Strongly influenced by surrealism, it was the “attempt to capture the portrait of history in the most insignificant representations of reality, its scraps, as it were” (Briefe II, 685). Benjamin had a passion for small, even minute things; Scholem tells about his ambition to get one hundred lines onto the ordinary page of a notebook and about his admiration for two grains of wheat in the Jewish section of the Musée Cluny “on which a kindred soul had inscribed the complete Shema Israel.” For him the size of an object was in an inverse ratio to its significance. And this passion, far from
being a whim, derived directly from the only world view that ever had a decisive influence on him, from Goethe’s conviction of the factual existence of an *Urphänomen*, an archetypal phenomenon, a concrete thing to be discovered in the world of appearances in which “significance” (*Bedeutung*, the most Goethean of words, keeps recurring in Benjamin’s writings) and appearance, word and thing, idea and experience, would coincide. The smaller the object, the more likely it seemed that it could contain in the most concentrated form everything else; hence his delight that two grains of wheat should contain the entire *Shema Israel*, the very essence of Judaism, tiniest essence appearing on tiniest entity, from which in both cases everything else originates that, however, in significance cannot be compared with its origin. In other words, what profoundly fascinated Benjamin from the beginning was never an idea, it was always a phenomenon. “What seems paradoxical about everything that is justly called beautiful is the fact that it appears” (*Schriften* I, 349), and this paradox—or, more simply, the wonder of appearance—was always at the center of all his concerns.
How remote these studies were from Marxism and dialectical materialism is confirmed by their central figure, the *flâneur*. It is to him, aimlessly strolling through the crowds in the big cities in studied contrast to their hurried, purposeful activity, that things reveal themselves in their secret meaning: “The true picture of the past *flies* by” (“Philosophy of History”), and only the *flâneur* who idly strolls by receives the message. With great acumen Adorno has pointed to the static element in Benjamin: “To understand Benjamin properly one must feel behind his every sentence the conversion of extreme agitation into something static, indeed, the static notion of movement itself” (*Schriften* I, xix). Naturally, nothing could be more “undialectic” than this attitude in which the “angel of history” (in the ninth of the “Theses on the Philosophy of History”) does not dialectically move forward into the future, but has his face “turned toward the past.” “Where a chain of events appears to *us*, he sees one single catastrophe which keeps piling wreckage upon wreckage and hurls it in front of his feet. The angel would like to stay, awaken the dead, and join
Introduction
together what has been smashed to pieces.” (Which would presumably mean the end of history.) “But a storm is blowing from Paradise” and “irresistibly propels him into the future to which his back is turned, while the pile of ruins before him grows skyward. What we call progress is this storm.” In this angel, which Benjamin saw in Klee’s “Angelus Novus,” the flâneur experiences his final transfiguration. For just as the flâneur, through the gestus of purposeless strolling, turns his back to the crowd even as he is propelled and swept by it, so the “angel of history,” who looks at nothing but the expanse of ruins of the past, is blown backwards into the future by the storm of progress. That such thinking should ever have bothered with a consistent, dialectically sensible, rationally explainable process seems absurd.
It should also be obvious that such thinking neither aimed nor could arrive at binding, generally valid statements, but that these were replaced, as Adorno critically remarks, “by metaphorical ones” (Briefe II, 785). In his concern with directly, actually demonstrable concrete facts, with single events and occurrences whose “significance” is manifest, Benjamin was not much interested in theories or “ideas” which did not immediately assume the most precise outward shape imaginable. To this very complex but still highly realistic mode of thought the Marxian relationship between superstructure and substructure became, in a precise sense, a metaphorical one. If, for example—and this would certainly be in the spirit of Benjamin’s thought—the abstract concept Vernunft (reason) is traced back to its origin in the verb vernehmen (to perceive, to hear), it may be thought that a word from the sphere of the superstructure has been given back its sensual substructure, or, conversely, that a concept has been transformed into a metaphor—provided that “metaphor” is understood in its original, nonallegorical sense of metapherein (to transfer). For a metaphor establishes a connection which is sensually perceived in its immediacy and requires no interpretation, while an allegory always proceeds from an abstract notion and then invents something palpable to represent it almost at will. The allegory must be explained before it can become meaningful, a solution must be found to the riddle it presents, so
that the often laborious interpretation of allegorical figures always unhappily reminds one of the solving of puzzles even when no more ingenuity is demanded than in the allegorical representation of death by a skeleton. Since Homer the metaphor has borne that element of the poetic which conveys cognition; its use establishes the correspondances between physically most remote things—as when in the *Iliad* the tearing onslaught of fear and grief on the hearts of the Achaians corresponds to the combined onslaught of the winds from north and west on the dark waters (*Iliad* IX, 1-8); or when the approaching of the army moving to battle in line after line corresponds to the sea’s long billows which, driven by the wind, gather head far out on the sea, roll to shore line after line, and then burst on the land in thunder (*Iliad* IV, 422-23). Metaphors are the means by which the oneness of the world is poetically brought about. What is so hard to understand about Benjamin is that without being a poet he thought poetically and therefore was bound to regard the metaphor as the greatest gift of language. Linguistic “transference” enables us to give material form to the invisible—“A mighty fortress is our God”—and thus to render it capable of being experienced. He had no trouble understanding the theory of the superstructure as the final doctrine of metaphorical thinking—precisely because without much ado and eschewing all “mediations” he directly related the superstructure to the so-called “material” substructure, which to him meant the totality of sensually experienced data. He evidently was fascinated by the very thing that the others branded as “vulgar-Marxist” or “undialectical” thinking.
It seems plausible that Benjamin, whose spiritual existence had been formed and informed by Goethe, a poet and not a philosopher, and whose interest was almost exclusively aroused by poets and novelists, although he had studied philosophy, should have found it easier to communicate with poets than with theoreticians, whether of the dialectical or the metaphysical variety. And there is indeed no question but that his friendship with Brecht—unique in that here the greatest living German poet met the most important critic of the time, a fact both were fully
aware of—was the second and incomparably more important stroke of good fortune in Benjamin’s life. It promptly had the most adverse consequences; it antagonized the few friends he had, it endangered his relation to the Institute of Social Research, toward whose “suggestions” he had every reason “to be docile” (Briefe II, 683), and the only reason it did not cost him his friendship with Scholem was Scholem’s abiding loyalty and admirable generosity in all matters concerning his friend. Both Adorno and Scholem blamed Brecht’s “disastrous influence” (Scholem) for Benjamin’s clearly undialectic usage of Marxian categories and his determined break with all metaphysics; and the trouble was that Benjamin, usually quite inclined to compromises albeit mostly unnecessary ones, knew and maintained that his friendship with Brecht constituted an absolute limit not only to docility but even to diplomacy, for “my agreeing with Brecht’s production is one of the most important and most strategic points in my entire position” (Briefe II, 594). In Brecht he found a poet of rare intellectual powers and, almost as important for him at the time, someone on the Left who, despite all talk about dialectics, was no more of a dialectical thinker than he was, but whose intelligence was uncommonly close to reality. With Brecht he could practice what Brecht himself called “crude thinking” (das plumpfe Denken): “The main thing is to learn how to think crudely. Crude thinking, that is the thinking of the great,” said Brecht, and Benjamin added by way of elucidation: “There are many people whose idea of a dialectician is a lover of subtleties. . . . Crude thoughts, on the contrary, should be part and parcel of dialectical thinking, because they are nothing but the referral of theory to practice . . . a thought must be crude to come into its own in action.” Well, what attracted Benjamin to crude thinking was probably not so much a referral to practice as to reality, and to him this reality manifested itself most directly in the proverbs and idioms of everyday language. “Proverbs are a school of crude thinking,” he writes in the same context; and the art of taking proverbial and idiomatic speech literally enabled Benjamin—as it did Kafka, in whom figures of speech are often clearly discernible as a source of inspiration and
furnish the key to many a “riddle”—to write a prose of such singularly enchanting and enchanted closeness to reality.
Wherever one looks in Benjamin’s life, one will find the little hunchback. Long before the outbreak of the Third Reich he was playing his evil tricks, causing publishers who had promised Benjamin an annual stipend for reading manuscripts or editing a periodical for them to go bankrupt before the first number appeared. Later the hunchback did allow a collection of magnificent German letters, made with infinite care and provided with the most marvelous commentaries, to be printed—under the title Deutsche Menschen and with the motto “Von Ehre ohne Ruhm/Von Grösse ohne Glanz/Von Würde ohne Sold” (Of Honor without Fame/Of Greatness without Splendor/Of Dignity without Pay); but then he saw to it that it ended in the cellar of the bankrupt Swiss publisher, instead of being distributed, as intended by Benjamin, who signed the selection with a pseudonym, in Nazi Germany. And in this cellar the edition was discovered in 1962, at the very moment when a new edition had come off the press in Germany. (One would also charge it to the little hunchback that often the few things that were to take a good turn first presented themselves in an unpleasant guise. A case in point is the translation of Anabase by Alexis Saint-Léger Léger [St.-John Perse] which Benjamin, who thought the work “of little importance” [Briefe I, 381], undertook because, like the Proust translation, the assignment had been procured for him by Hofmannsthal. The translation did not appear in Germany until after the war, yet Benjamin owed to it his contact with Léger, who, being a diplomat, was able to intervene and persuade the French government to spare Benjamin a second internment in France during the war—a privilege that very few other refugees enjoyed.) And then after mischief came “the piles of debris,” the last of which, prior to the catastrophe at the Spanish border, was the threat he had felt, since 1938, that the Institute for Social Research in New York, the only “material and moral support” of his Paris existence (Briefe II, 839), would desert him. “The
very circumstances that greatly endanger my European situation will probably make emigration to the U.S.A. impossible for me,” so he wrote in April of 1939 (Briefe II, 810), still under the impact of the “blow” which Adorno’s letter rejecting the first version of the Baudelaire study had dealt him in November of 1938 (Briefe II, 790).
Scholem is surely right when he says that next to Proust, Benjamin felt the closest personal affinity with Kafka among contemporary authors, and undoubtedly Benjamin had the “field of ruins and the disaster area” of his own work in mind when he wrote that “an understanding of [Kafka’s] production involves, among other things, the simple recognition that he was a failure” (Briefe II, 614). What Benjamin said of Kafka with such unique aptness applies to himself as well: “The circumstances of this failure are multifarious. One is tempted to say: once he was certain of eventual failure, everything worked out for him en route as in a dream” (Briefe II, 764). He did not need to read Kafka to think like Kafka. When “The Stoker” was all he had read of Kafka, he had already quoted Goethe’s statement about hope in his essay on Elective Affinities: “Hope passed over their heads like a star that falls from the sky”; and the sentence with which he concludes this study reads as though Kafka had written it: “Only for the sake of the hopeless ones have we been given hope” (Schriften I, 140).
On September 26, 1940, Walter Benjamin, who was about to emigrate to America, took his life at the Franco-Spanish border. There were various reasons for this. The Gestapo had confiscated his Paris apartment, which contained his library (he had been able to get “the more important half” out of Germany) and many of his manuscripts, and he had reason to be concerned also about the others which, through the good offices of George Bataille, had been placed in the Bibliothèque Nationale prior to his flight from Paris to Lourdes, in unoccupied France. How was he to live without a library, how could he earn a living without the extensive collection of quotations and excerpts among his manuscripts? Besides, nothing drew him to America, where, as he used to say, people would probably find no other
use for him than to cart him up and down the country to exhibit him as the "last European." But the immediate occasion for Benjamin's suicide was an uncommon stroke of bad luck. Through the armistice agreement between Vichy France and the Third Reich, refugees from Hitler Germany—les refugiés provenant d'Allemagne, as they were officially referred to in France—were in danger of being shipped back to Germany, presumably only if they were political opponents. To save this category of refugees—which, it should be noted, never included the unpolitical mass of Jews who later turned out to be the most endangered of all—the United States had distributed a number of emergency visas through its consulates in unoccupied France. Thanks to the efforts of the Institute in New York, Benjamin was among the first to receive such a visa in Marseilles. Also, he quickly obtained a Spanish transit visa to enable him to get to Lisbon and board a ship there. However, he did not have a French exit visa, which at that time was still required and which the French government, eager to please the Gestapo, invariably denied to German refugees. In general this presented no great difficulty, since a relatively short and none too arduous road to be covered by foot over the mountains to Port Bou was well known and was not guarded by the French border police. Still, for Benjamin, apparently suffering from a cardiac condition (Briefe II, 841), even the shortest walk was a great exertion, and he must have arrived in a state of serious exhaustion. The small group of refugees that he had joined reached the Spanish border town only to learn that Spain had closed the border that same day and that the border officials did not honor visas made out in Marseilles. The refugees were supposed to return to France by the same route the next day. During the night Benjamin took his life, whereupon the border officials, upon whom this suicide had made an impression, allowed his companions to proceed to Portugal. A few weeks later the embargo on visas was lifted again. One day earlier Benjamin would have got through without any trouble; one day later the people in Marseilles would have known that for the time being it was impossible to pass through Spain. Only on that particular day was the catastrophe possible.
II. THE DARK TIMES
"Anyone who cannot cope with life while he is alive needs one hand to ward off a little his despair over his fate... but with his other hand he can jot down what he sees among the ruins, for he sees different and more things than the others; after all, he is dead in his own lifetime and the real survivor."
—Franz Kafka, Diaries, entry of October 19, 1921
"Like one who keeps afloat on a shipwreck by climbing to the top of a mast that is already crumbling. But from there he has a chance to give a signal leading to his rescue."
—Walter Benjamin in a letter to Gerhard Scholem dated April 17, 1931
Often an era most clearly brands with its seal those who have been least influenced by it, who have been most remote from it, and who therefore have suffered most. So it was with Proust, with Kafka, with Karl Kraus, and with Benjamin. His gestures and the way he held his head when listening and talking; the way he moved; his manners, but especially his style of speaking, down to his choice of words and the shape of his syntax; finally, his downright idiosyncratic tastes—all this seemed so old-fashioned, as though he had drifted out of the nineteenth century into the twentieth the way one is driven onto the coast of a strange land. Did he ever feel at home in twentieth-century Germany? One has reason to doubt it. In 1913, when he first visited France as a very young man, the streets of Paris were "almost more homelike" (Briefe I, 56) to him after a few days than the familiar streets of Berlin. He may have felt even then, and he certainly felt twenty years later, how much the trip from Berlin to Paris was tantamount to a trip in time—not from one country to another, but from the twentieth century back to the nineteenth. There was the nation par excellence whose culture had determined the Europe of the nineteenth century and for which Haussmann had rebuilt Paris, "the capital of the nineteenth century," as Benjamin was to call it. This Paris was not yet cosmopolitan, to be sure, but it was profoundly European, and thus it has, with unparalleled naturalness, offered itself to all homeless people as a second home ever since the middle of the last century. Neither the pronounced xenophobia of its inhabitants nor the sophisticated harassment by the local police has ever been able to change this. Long before his emigration Benjamin knew how “very exceptional [it was] to make the kind of contact with a Frenchman that would enable one to prolong a conversation with him beyond the first quarter of an hour” (Briefe I, 445). Later, when he was domiciled in Paris as a refugee, his innate nobility prevented him from developing his slight acquaintances—chief among them was Gide—into connections and from making new contacts. (Werner Kraft—so we learned recently—took him to see Charles du Bos, who was, by virtue of his “enthusiasm for German literature,” a kind of key figure for German emigrants. Werner Kraft had the better connections—what irony! 8) In his strikingly judicious review of Benjamin’s works and letters as well as of the secondary literature, Pierre Missac has pointed out how greatly Benjamin must have suffered because he did not get the “reception” in France that was due him. 9 This is correct, of course, but it surely did not come as a surprise.
No matter how irritating and offensive all this may have been, the city itself compensated for everything. Its boulevards, Benjamin discovered as early as 1913, are formed by houses which “do not seem made to be lived in, but are like stone sets for people to walk between” (Briefe I, 56). This city, around which one still can travel in a circle past the old gates, has remained what the cities of the Middle Ages, severely walled off and protected against the outside, once were: an interior, but without the narrowness of medieval streets, a generously built and planned open-air intérieur with the arch of the sky like a majestic ceiling above it. “The finest thing here about all art and all activity is the fact that they leave the few remainders of the original and the natural their splendor” (Briefe I, 421). Indeed, they help them to acquire new luster. It is the uniform façades, lining the streets like inside walls, that make one feel more physically sheltered in this city than in any other. The arcades which connect
the great boulevards and offer protection from inclement weather exerted such an enormous fascination over Benjamin that he referred to his projected major work on the nineteenth century and its capital simply as “The Arcades” (Passagenarbeit); and these passageways are indeed like a symbol of Paris, because they clearly are inside and outside at the same time and thus represent its true nature in quintessential form. In Paris a stranger feels at home because he can inhabit the city the way he lives in his own four walls. And just as one inhabits an apartment, and makes it comfortable, by living in it instead of just using it for sleeping, eating, and working, so one inhabits a city by strolling through it without aim or purpose, with one’s stay secured by the countless cafés which line the streets and past which the life of the city, the flow of pedestrians, moves along. To this day Paris is the only one among the large cities which can be comfortably covered on foot, and more than any other city it is dependent for its liveliness on people who pass by in the streets, so that the modern automobile traffic endangers its very existence not only for technical reasons. The wasteland of an American suburb, or the residential districts of many towns, where all of street life takes place on the roadway and where one can walk on the sidewalks, by now reduced to footpaths, for miles on end without encountering a human being, is the very opposite of Paris. What all other cities seem to permit only reluctantly to the dregs of society—strolling, idling, flânerie—Paris streets actually invite everyone to do. Thus, ever since the Second Empire the city has been the paradise of all those who need to chase after no livelihood, pursue no career, reach no goal—the paradise, then, of bohemians, and not only of artists and writers but of all those who have gathered about them because they could not be integrated either politically—being homeless or stateless—or socially.
Without considering this background of the city which became a decisive experience for the young Benjamin one can hardly understand why the flâneur became the key figure in his writings. The extent to which this strolling determined the pace of his thinking was perhaps most clearly revealed in the peculiarities of his gait, which Max Rychner described as “at once
advancing and tarrying, a strange mixture of both." It was the walk of a flâneur, and it was so striking because, like the dandy and the snob, the flâneur had his home in the nineteenth century, an age of security in which children of upper-middle-class families were assured of an income without having to work, so that they had no reason to hurry. And just as the city taught Benjamin flânerie, the nineteenth century's secret style of walking and thinking, it naturally aroused in him a feeling for French literature as well, and this almost irrevocably estranged him from normal German intellectual life. "In Germany I feel quite isolated in my efforts and interests among those of my generation, while in France there are certain forces—the writers Giraudoux and, especially, Aragon; the surrealist movement—in which I see at work what occupies me too"—so he wrote to Hofmannsthal in 1927 (Briefe I, 446), when, having returned from a trip to Moscow and convinced that literary projects sailing under the Communist flag were unfeasible, he was setting out to consolidate his "Paris position" (Briefe I, 444-45). (Eight years earlier he had mentioned the "incredible feeling of kinship" which Péguy had inspired in him: "No written work has ever touched me so closely and given me such a sense of communion" [Briefe I, 217].) Well, he did not succeed in consolidating anything, and success would hardly have been possible. Only in postwar Paris have foreigners—and presumably that is what everyone not born in France is called in Paris to this day—been able to occupy "positions." On the other hand, Benjamin was forced into a position which actually did not exist anywhere, which, in fact, could not be identified and diagnosed as such until afterwards. It was the position on the "top of the mast" from which the tempestuous times could be surveyed better than from a safe harbor, even though the distress signals of the "shipwreck," of this one man who had not learned to swim either with or against the tide, were hardly noticed—either by those who had never exposed themselves to these seas or by those who were capable of moving even in this element.
Viewed from the outside, it was the position of the free-lance writer who lives by his pen; however, as only Max Rychner
seems to have observed, he did so in a “peculiar way,” for “his publications were anything but frequent” and “it was never quite clear . . . to what extent he was able to draw upon other resources.” Rychner’s suspicions were justified in every respect. Not only were “other resources” at his disposal prior to his emigration, but behind the façade of free-lance writing he led the considerably freer, albeit constantly endangered, life of an homme de lettres whose home was a library that had been gathered with extreme care but was by no means intended as a working tool; it consisted of treasures whose value, as Benjamin often repeated, was proved by the fact that he had not read them—a library, then, which was guaranteed not to be useful or at the service of any profession. Such an existence was something unknown in Germany, and almost equally unknown was the occupation which Benjamin, only because he had to make a living, derived from it: not the occupation of a literary historian and scholar with the requisite number of fat tomes to his credit, but that of a critic and essayist who regarded even the essay form as too vulgarly extensive and would have preferred the aphorism if he had not been paid by the line. He was certainly not unaware of the fact that his professional ambitions were directed at something that simply did not exist in Germany, where, despite Lichtenberg, Lessing, Schlegel, Heine, and Nietzsche, aphorisms have never been appreciated and people have usually thought of criticism as something disreputably subversive which might be enjoyed—if at all—only in the cultural section of a newspaper. It was no accident that Benjamin chose the French language for expressing this ambition: “Le but que je m’avais proposé . . . c’est d’être considéré comme le premier critique de la littérature allemande. La difficulté c’est que, depuis plus de cinquante ans, la critique littéraire en Allemagne n’est plus considérée comme un genre sérieux. Se faire une situation dans la critique, cela . . . veut dire: la recréer comme genre” (“The goal I set for myself . . . is to be regarded as the foremost critic of German literature. The trouble is that for more than fifty years literary criticism in Germany has not been considered a serious genre. To create a place
in criticism for oneself means to re-create it as a genre”) (Briefe II, 505).
There is no doubt that Benjamin owed this choice of a profession to early French influences, to the proximity of the great neighbor on the other side of the Rhine which inspired in him so intimate a sense of affinity. But it is much more symptomatic that even this selection of a profession was actually motivated by hard times and financial woes. If one wants to express the “profession” he had prepared himself for spontaneously, although perhaps not deliberately, in social categories, one has to go back to Wilhelminian Germany in which he grew up and where his first plans for the future took shape. Then one could say that Benjamin did not prepare for anything but the “profession” of a private collector and totally independent scholar, what was then called Privatgelehrter. Under the circumstances of the time his studies, which he had begun before the First World War, could have ended only with a university career, but unbaptized Jews were still barred from such a career, as they were from any career in the civil service. Such Jews were permitted a Habilitation and at most could attain the rank of an unpaid Extraordinarius; it was a career which presupposed rather than provided an assured income. The doctorate which Benjamin decided to take only “out of consideration for my family” (Briefe I, 216) and his subsequent attempt at Habilitation were intended as the basis for his family’s readiness to place such an income at his disposal.
This situation changed abruptly after the war: the inflation had impoverished, even dispossessed, large numbers of the bourgeoisie, and in the Weimar Republic a university career was open even to unbaptized Jews. The unhappy story of the Habilitation shows clearly how little Benjamin took these altered circumstances into account and how greatly he continued to be dominated by prewar ideas in all financial matters. For from the outset the Habilitation had only been intended to call his father “to order” by supplying “evidence of public recognition” (Briefe I, 293) and to make him grant his son, who was in his thirties at that time, an income that was adequate and, one should add, commensurate with his social standing. At no time, not even when he had already come close to the Communists, did he doubt that despite his chronic conflicts with his parents he was entitled to such a subvention and that their demand that he "work for a living" was "unspeakable" (Briefe I, 292). When his father said later that he could not or would not increase the monthly stipend he was paying anyway, even if his son achieved the Habilitation, this naturally removed the basis of Benjamin's entire undertaking. Until his parents' death in 1930, Benjamin was able to solve the problem of his livelihood by moving back into the parental home, living there first with his family (he had a wife and a son), and after his separation—which came soon enough—by himself. (He was not divorced until 1930.) It is evident that this arrangement caused him a great deal of suffering, but it is just as evident that in all probability he never seriously considered another solution. It is also striking that despite his permanent financial trouble he managed throughout these years constantly to enlarge his library. His one attempt to deny himself this expensive passion—he visited the great auction houses the way others frequent gambling casinos—and his resolution even to sell something "in an emergency" ended with his feeling obliged to "deaden the pain of this readiness" (Briefe I, 340) by making fresh purchases; and his one demonstrable attempt to free himself from financial dependence on his family ended with the proposal that his father immediately give him "funds enabling me to buy an interest in a secondhand bookstore" (Briefe I, 292). This is the only gainful employment that Benjamin ever considered. Nothing came of it, of course.
In view of the realities of the Germany of the twenties and of Benjamin's awareness that he would never be able to make a living with his pen—"there are places in which I can earn a minimum and places in which I can live on a minimum, but there is no place where I can do both" (Briefe II, 563)—his whole attitude may strike one as unpardonably irresponsible. Yet it was anything but a case of irresponsibility. It is reasonable to assume that it is just as hard for rich people grown poor to believe in their poverty as it is for poor people turned rich to believe in
their wealth; the former seem carried away by a recklessness of which they are totally unaware, the latter seem possessed by a stinginess which actually is nothing but the old ingrained fear of what the next day may bring.
Moreover, in his attitude to financial problems Benjamin was by no means an isolated case. If anything, his outlook was typical of an entire generation of German-Jewish intellectuals, although probably no one else fared so badly with it. Its basis was the mentality of the fathers, successful businessmen who did not think too highly of their own achievements and whose dream it was that their sons were destined for higher things. It was the secularized version of the ancient Jewish belief that those who "learn" —the Torah or the Talmud, that is, God's Law—were the true elite of the people and should not be bothered with so vulgar an occupation as making money or working for it. This is not to say that in this generation there were no father-son conflicts; on the contrary, the literature of the time is full of them, and if Freud had lived and carried on his inquiries in a country and language other than the German-Jewish milieu which supplied his patients, we might never have heard of an Oedipus complex.\(^{12}\) But as a rule these conflicts were resolved by the sons' laying claim to being geniuses, or, in the case of the numerous Communists from well-to-do homes, to being devoted to the welfare of mankind—in any case, to aspiring to things higher than making money—and the fathers were more than willing to grant that this was a valid excuse for not making a living. Where such claims were not made or recognized, catastrophe was just around the corner. Benjamin was a case in point: his father never recognized his claims, and their relations were extraordinarily bad. Another such case was Kafka, who—possibly because he really was something like a genius—was quite free of the genius mania of his environment, never claimed to be a genius, and ensured his financial independence by taking an ordinary job at the Prague workmen's compensation office. (His relations with his father were of course equally bad, but for different reasons.) And still, no sooner had Kafka taken this position than he saw in it a "running start for
suicides,” as though he were obeying an order that says “You have to earn your grave.” 18
For Benjamin, at any rate, a monthly stipend remained the only possible form of income, and in order to receive one after his parents’ death he was ready, or thought he was, to do many things: to study Hebrew for three hundred marks a month if the Zionists thought it would do them some good, or to think dialectically, with all the mediating trimmings, for one thousand French francs if there was no other way of doing business with the Marxists. The fact that despite being down and out he later did neither is worthy of admiration, and so is the infinite patience with which Scholem, who had worked very hard to get Benjamin a stipend for the study of Hebrew from the university in Jerusalem, allowed himself to be put off for years. No one, of course, was prepared to subsidize him in the only “position” for which he was born, that of an homme de lettres, a position of whose unique prospects neither the Zionists nor the Marxists were, or could have been, aware.
Today the homme de lettres strikes us as a rather harmless, marginal figure, as though he were actually to be equated with the figure of the Privatgelehrter that has always had a touch of the comic. Benjamin, who felt so close to French that the language became for him a “sort of alibi” (Briefe II, 505) for his existence, probably knew about the homme de lettres’s origins in prerevolutionary France as well as about his extraordinary career in the French Revolution. In contrast to the later writers and literati, the “écrivains et littérateurs” as even Larousse defines the hommes de lettres, these men, though they did live in the world of the written and printed word and were, above all, surrounded by books, were neither obliged nor willing to write and read professionally, in order to earn a living. Unlike the class of the intellectuals, who offer their services either to the state as experts, specialists, and officials, or to society for diversion and instruction, the hommes de lettres always strove to keep aloof from both the state and society. Their material existence was based on income without work, and their intellectual attitude rested upon their resolute refusal to be integrated politically or socially. On
the basis of this dual independence they could afford that attitude of superior disdain which gave rise to La Rochefoucauld’s contemptuous insights into human behavior, the worldly wisdom of Montaigne, the aphoristic trenchancy of Pascal’s thought, the boldness and open-mindedness of Montesquieu’s political reflections. It cannot be my task here to discuss the circumstances which eventually turned the hommes de lettres into revolutionaries in the eighteenth century nor the way in which their successors in the nineteenth and twentieth centuries split into the class of the “cultured” on the one hand and of the professional revolutionaries on the other. I mention this historical background only because in Benjamin the element of culture combined in such a unique way with the element of the revolutionary and rebellious. It was as though shortly before its disappearance the figure of the homme de lettres was destined to show itself once more in the fullness of its possibilities, although—or, possibly, because—it had lost its material basis in such a catastrophic way, so that the purely intellectual passion which makes this figure so lovable might unfold in all its most telling and impressive possibilities.
There certainly was no dearth of reasons to rebel against his origins; the milieu of German-Jewish society in Imperial Germany, in which Benjamin grew up, nor was there any lack of justification for taking a stand against the Weimar Republic, in which he refused to take up a profession. In A Berlin Childhood around 1900 Benjamin describes the house from which he came as a “mausoleum long intended for me” (Schriften I, 643). Characteristically enough, his father was an art dealer and antiquarian; the family was a wealthy and run-of-the-mill assimilated one; one of his grandparents was Orthodox, the other belonged to a Reform congregation. “In my childhood I was a prisoner of the old and the new West. In those days my clan inhabited these two districts with an attitude mingled of stubbornness and self-confidence, turning them into a ghetto which it regarded as its fief” (Schriften I, 643). The stubbornness was toward their Jewishness; it was only stubbornness that made them cling to it. The self-confidence was inspired by their position in the non-Jewish
environment in which they had, after all, achieved quite a bit. Just how much was shown on days when guests were expected. On such occasions the inside of the sideboard, which seemed to be the center of the house and thus "with good reason resembled the temple mountains," was opened, and now it was possible "to show off treasures such as idols like to be surrounded with." Then "the house's hoard of silver" appeared, and what was displayed "was there not tenfold, but twentyfold or thirtyfold. And when I looked at these long, long rows of mocha spoons or knife rests, fruit knives or oyster forks, the enjoyment of this profusion struggled with the fear that those who were being expected might all look alike, just as our cutlery did" (Schriften I, 632). Even the child knew that something was radically wrong, and not only because there were poor people ("The poor—for the rich children of my age they existed only as beggars. And it was a great advance in my understanding when for the first time poverty dawned on me in the ignominy of poorly paid work" [Schriften I, 632]) but because "stubbornness" within and "self-confidence" without were producing an atmosphere of insecurity and self-consciousness which truly was anything but suitable for the raising of children. This was true not only of Benjamin or Berlin West * or Germany. With what passion did Kafka try to persuade his sister to put her ten-year-old son in a boarding school, so as to save him from "the special mentality which is particularly virulent among wealthy Prague Jews and which cannot be kept away from children . . . this petty, dirty, sly mentality." 14
What was involved, then, was what had since the 1870s or 1880s been called the Jewish question and existed in that form only in the German-speaking Central Europe of those decades. Today this question has been washed away, as it were, by the catastrophe of European Jewry and is justly forgotten, although one still encounters it occasionally in the language of the older generation of German Zionists whose thinking habits derive from the first decades of this century. Besides, it never was anything
* A fashionable residential area of Berlin.
but the concern of the Jewish intelligentsia and had no significance for the majority of Central European Jewry. For the intellectuals, however, it was of great importance, for their own Jewishness, which played hardly any role in their spiritual household, determined their social life to an extraordinary degree and therefore presented itself to them as a moral question of the first order. In this moral form the Jewish question marked, in Kafka's words, "the terrible inner condition of these generations." No matter how insignificant this problem may appear to us in the face of what actually happened later, we cannot disregard it here, for neither Benjamin nor Kafka nor Karl Kraus can be understood without it. For simplicity's sake I shall state the problem exactly as it was stated and endlessly discussed then—namely, in an article entitled "German-Jewish Mt. Parnassus" ("Deutschjüdischer Parnass") which created a great stir when Moritz Goldstein published it in 1912 in the distinguished journal Der Kunstwart.
According to Goldstein, the problem as it appeared to the Jewish intelligentsia had a dual aspect, the non-Jewish environment and assimilated Jewish society, and in his view the problem was insoluble. With respect to the non-Jewish environment, "We Jews administer the intellectual property of a people which denies us the right and the ability to do so." And further: "It is easy to show the absurdity of our adversaries' arguments and prove that their enmity is unfounded. What would be gained by this? That their hatred is genuine. When all calumnies have been refuted, all distortions rectified, all false judgments about us rejected, antipathy will remain as something irrefutable. Anyone who does not realize this is beyond help." It was the failure to realize this that was felt to be unbearable about Jewish society, whose representatives, on the one hand, wished to remain Jews and, on the other, did not want to acknowledge their Jewishness: "We shall openly drum the problem that they are shirking into them. We shall force them to own up to their Jewishness or to have themselves baptized." But even if this was successful, even if the mendacity of this milieu could be exposed and escaped—what would be gained by it? A "leap into modern Hebrew literature" was impossible for the current generation. Hence: "Our relationship to Germany is one of unrequited love. Let us be manly enough at last to tear the beloved out of our hearts... I have stated what we must want to do; I have also stated why we cannot want it. My intention was to point up the problem. It is not my fault that I know of no solution." (For himself, Herr Goldstein solved the problem six years later when he became cultural editor of the Vossische Zeitung. And what else could he have done?)
One could dispose of Moritz Goldstein by saying that he simply reproduced what Benjamin in another context called "a major part of the vulgar anti-Semitic as well as the Zionist ideology" (Briefe I, 152-53), if one did not encounter in Kafka, on a far more serious level, a similar formulation of the problem and the same confession of its insolubility. In a letter to Max Brod about German-Jewish writers he said that the Jewish question or "the despair over it was their inspiration—an inspiration as respectable as any other but fraught, upon closer examination, with distressing peculiarities. For one thing, what their despair discharged itself in could not be German literature which on the surface it appeared to be," because the problem was not really a German one. Thus they lived "among three impossibilities... : the impossibility of not writing" as they could get rid of their inspiration only by writing; "the impossibility of writing in German"—Kafka considered their use of the German language as the "overt or covert, or possibly self-tormenting usurpation of an alien property, which has not been acquired but stolen, (relatively) quickly picked up, and which remains someone else's possession even if not a single linguistic mistake can be pointed out"; and finally, "the impossibility of writing differently," since no other language was available. "One could almost add a fourth impossibility," says Kafka in conclusion, "the impossibility of writing, for this despair was not something that could be mitigated through writing"—as is normal for poets, to whom a god has given to say what men suffer and endure. Rather, despair has become here "an enemy of life and of writing; writing was here
only a moratorium, as it is for someone who writes his last will and testament just before he hangs himself." 18
Nothing could be easier than to demonstrate that Kafka was wrong and that his own work, which speaks the purest German prose of the century, is the best refutation of his views. But such a demonstration, apart from being in bad taste, is all the more superfluous as Kafka himself was so very much aware of it—"If I indiscriminately write down a sentence," he once noted in his Diaries, "it already is perfect" 17—just as he was the only one to know that "Mauscheln" (speaking a Yiddishized German), though despised by all German-speaking people, Jews or non-Jews, did have a legitimate place in the German language, being nothing else but one of the numerous German dialects. And since he rightly thought that "within the German language, only the dialects and, besides them, the most personal High German are really alive," it naturally was no less legitimate to change from Mauscheln, or from Yiddish, to High German than it was to change from Low German or the Alemannic dialect. If one reads Kafka's remarks about the Jewish troupe of actors which so fascinated him, it becomes clear that what attracted him were less the specifically Jewish elements than the liveliness of language and gesture.
To be sure, we have some difficulty today in understanding these problems or taking them seriously, especially since it is so tempting to misinterpret and dismiss them as mere reaction to an anti-Semitic milieu and thus as an expression of self-hatred. But nothing could be more misleading when dealing with men of the human stature and intellectual rank of Kafka, Kraus, and Benjamin. What gave their criticism its bitter sharpness was never anti-Semitism as such, but the reaction to it of the Jewish middle class, with which the intellectuals by no means identified. There, too, it was not a matter of the frequently undignified apologetic attitude of official Jewry, with which the intellectuals had hardly any contact, but of the lying denial of the very existence of widespread anti-Semitism, of the isolation from reality staged with all the devices of self-deception by the Jewish bourgeoisie, an isolation which for Kafka, and not only for him, included
the often hostile and always haughty separation from the Jewish people, the so-called Ostjuden (Jews from Eastern Europe) who were, though one knew better, blamed by them for anti-Semitism. The decisive factor in all this was the loss of reality, aided and abetted by the wealth of these classes. "Among poor people," wrote Kafka, "the world, the bustle of work, so to speak, irresistibly enters the huts . . . and does not allow the musty, polluted, child-consuming air of a nicely furnished family room to be generated." They fought against Jewish society because it would not permit them to live in the world as it happened to be, without illusions—thus, for example, to be prepared for the murder of Walther Rathenau (in 1922): to Kafka it was "incomprehensible that they should have let him live as long as that." What finally determined the acuteness of the problem was the fact that it did not merely, or even primarily, manifest itself as a break between the generations from which one could have escaped by leaving home and family. To only very few German-Jewish writers did the problem present itself in this way, and these few were surrounded by all those others who are already forgotten but from whom they are clearly distinguishable only today when posterity has settled the question of who is who. ("Their political function," wrote Benjamin, "is to establish not parties but cliques, their literary function to produce not schools but fashions, and their economic function to set into the world not producers but agents. Agents or smarties who know how to spend their poverty as if it were riches and who make whoopee out of their yawning vacuity. One could not establish oneself more comfortably in an uncomfortable situation.") Kafka, who exemplified this situation in the above-mentioned letter by "linguistic impossibilities," adding that they could "also be called something quite different," points to a "linguistic middle class" between, as it were, proletarian dialect and high-class prose; it is "nothing but ashes which can be given a semblance of life only by overeager Jewish hands rummaging through them." One need hardly add that the overwhelming majority of Jewish intellectuals belonged to this "middle class"; according to Kafka, they constituted "the hell of German-Jewish letters," in which Karl
Kraus held sway as “the great overseer and taskmaster” without noticing how much “he himself belongs in this hell among those to be chastised.” That these things may be seen quite differently from a non-Jewish perspective becomes apparent when one reads in one of Benjamin’s essays what Brecht said about Karl Kraus: “When the age died by its own hand, he was that hand” (Schriften II, 174).
For the Jews of that generation (Kafka and Moritz Goldstein were but ten years older than Benjamin) the available forms of rebellion were Zionism and Communism, and it is noteworthy that their fathers often condemned the Zionist rebellion more bitterly than the Communist. Both were escape routes from illusion into reality, from mendacity and self-deception to an honest existence. But this is only how it appears in retrospect. At the time when Benjamin tried, first, a half-hearted Zionism and then a basically no less half-hearted Communism, the two ideologies faced each other with the greatest hostility: the Communists were defaming Zionists as Jewish Fascists and the Zionists were calling the young Jewish Communists “red assimilationists.” In a remarkable and probably unique manner Benjamin kept both routes open for himself for years; he persisted in considering the road to Palestine long after he had become a Marxist, without allowing himself to be swayed in the least by the opinions of his Marxist-oriented friends, particularly the Jews among them. This shows clearly how little the “positive” aspect of either ideology interested him, and that what mattered to him in both instances was the “negative” factor of criticism of existing conditions, a way out of bourgeois illusions and untruthfulness, a position outside the literary as well as the academic establishment. He was quite young when he adopted this radically critical attitude, probably without suspecting to what isolation and loneliness it would eventually lead him. Thus we read, for example, in a letter written in 1918, that Walther Rathenau, claiming to represent Germany in foreign affairs, and Rudolf Borchardt, making a similar claim with respect to German spiritual affairs, had in common the “will to lie,” “the objective mendacity” (Briefe I, 189 ff). Neither wanted to “serve” a cause through his works—in
Borchardt’s case, the “spiritual and linguistic resources” of the people; in Rathenau’s, the nation—but both used their works and talents as “sovereign means in the service of an absolute will to power.” In addition, there were the littérateurs who placed their gifts in the service of a career and social status: “To be a littérateur is to live under the sign of mere intellect, just as prostitution is to live under the sign of mere sex” (Schriften II, 179). Just as a prostitute betrays sexual love, a littérateur betrays the mind, and it was this betrayal of the mind which the best among the Jews could not forgive their colleagues in literary life. In the same vein Benjamin wrote five years later—one year after the assassination of Rathenau—to a close German friend: “... Jews today ruin even the best German cause which they publicly champion, because their public statement is necessarily venal (in a deeper sense) and cannot adduce proof of its authenticity” (Briefe I, 310). He went on to say that only the private, almost “secret relationships between Germans and Jews” were legitimate, while “everything about German-Jewish relations that works in public today causes harm.” There was much truth in these words. Written from the perspective of the Jewish question at that time, they supply evidence of the darkness of a period in which one could rightly say, “The light of the public darkens everything” (Heidegger).
As early as 1913 Benjamin weighed the position of Zionism “as a possibility and thus perhaps a necessary commitment” (Briefe I, 44) in the sense of this dual rebellion against the parental home and German-Jewish literary life. Two years later he met Gerhard Scholem, encountering in him for the first and only time “Judaism in living form”; soon afterwards came the beginning of that curious, endless consideration, extending over a period of almost twenty years, of emigration to Palestine. “Under certain, by no means impossible conditions I am ready if not determined [to go to Palestine]. Here in Austria the Jews (the decent ones, those who are not making money) talk of nothing else.” So he wrote in 1919 (Briefe I, 222), but at the same time he regarded such a plan as an “act of violence” (Briefe I, 208), unfeasible unless it turned out to be necessary. Whenever such
financial or political necessity arose, he reconsidered the project and did not go. It is hard to say whether he was still serious about it after the separation from his wife, who had come from a Zionist milieu. But it is certain that even during his Paris exile he announced that he might go "to Jerusalem in October or November, after a more or less definitive conclusion of my studies" (Briefe II, 655). What strikes one as indecision in the letters, as though he were vacillating between Zionism and Marxism, in truth was probably due to the bitter insight that all solutions were not only objectively false and inappropriate to reality, but would lead him personally to a false salvation, no matter whether that salvation was labeled Moscow or Jerusalem. He felt that he would deprive himself of the positive cognitive chances of his own position—"on the top of a mast that is already crumbling" or "dead in his own lifetime and the real survivor" among the ruins. He had settled down in the desperate conditions which corresponded to reality; there he wanted to remain in order to "denature" his own writings "like methylated spirits... at the risk of making them unfit for consumption" by anyone then alive but with the chance of being preserved all the more reliably for an unknown future.
For the insolubility of the Jewish question for that generation by no means consisted only in their speaking and writing German or in the fact that their "production plant" was located in Europe—in Benjamin's case, in Berlin West or in Paris, something about which he did "not have the slightest illusions" (Briefe II, 531). What was decisive was that these men did not wish to "return" either to the ranks of the Jewish people or to Judaism, and could not desire to do so—not because they believed in "progress" and an automatic disappearance of anti-Semitism or because they were too "assimilated" and too alienated from their Jewish heritage, but because all traditions and cultures as well as all "belonging" had become equally questionable to them. This is what they felt was wrong with the "return" to the Jewish fold as proposed by the Zionists; they could all have said what Kafka once said about being a member of the Jewish people: "... My people, provided that I have one." 23
Introduction
No doubt, the Jewish question was of great importance for this generation of Jewish writers and explains much of the personal despair so prominent in nearly everything they wrote. But the most clear-sighted among them were led by their personal conflicts to a much more general and more radical problem, namely, to questioning the relevance of the Western tradition as a whole. Not just Marxism as a doctrine but the Communist revolutionary movement exerted a powerful attraction on them because it implied more than a criticism of existing social and political conditions and took into account the totality of political and spiritual traditions. For Benjamin, at any rate, this question of the past and of tradition as such was decisive, and precisely in the sense in which Scholem, warning his friend against the dangers to his thinking inherent in Marxism, posed it, albeit without being aware of the problem. Benjamin, he wrote, was running the risk of forfeiting the chance of becoming “the legitimate continuer of the most fruitful and most genuine traditions of a Hamann and a Humboldt” (Briefe II, 526). What he did not understand was that such a return to and continuation of the past was the very thing which “the morality of [his] insights,” to which Scholem appealed, was bound to rule out for Benjamin.\(^{24}\)
It seems tempting to believe, and would indeed be a comforting thought, that those few who ventured out onto the most exposed positions of the time and paid the full price of isolation at least thought of themselves as the precursors of a new age. That certainly was not the case. In his essay on Karl Kraus, Benjamin brought up this question: Does Kraus stand “at the threshold of a new age?” “Alas, by no means. He stands at the threshold of the Last Judgment” (Schriften II, 174). And at this threshold there really stood all those who later became the masters of the “new age”; they looked upon the dawn of a new age basically as a decline and viewed history along with the traditions which led up to this decline as a field of ruins.\(^{25}\) No one has expressed this more clearly than Benjamin in his “Theses on the Philosophy of History,” and nowhere has he said it more unequivocally than in a letter from Paris dated 1935: “Actually, I hardly feel constrained to try to make head or tail of this condition of the world.”
On this planet a great number of civilizations have perished in blood and horror. Naturally, one must wish for the planet that one day it will experience a civilization that has abandoned blood and horror; in fact, I am . . . inclined to assume that our planet is waiting for this. But it is terribly doubtful whether we can bring such a present to its hundred- or four-hundred-millionth birthday party. And if we don’t, the planet will finally punish us, its unthoughtful well-wishers, by presenting us with the Last Judgment” * (Briefe II, 698).
Well, in this respect the last thirty years have hardly brought much that could be called new.
III. THE PEARL DIVER
Full fathom five thy father lies,
Of his bones are coral made,
Those are pearls that were his eyes.
Nothing of him that doth fade
But doth suffer a sea-change
Into something rich and strange.
—THE TEMPEST, I, 2
Insofar as the past has been transmitted as tradition, it possesses authority; insofar as authority presents itself historically, it becomes tradition. Walter Benjamin knew that the break in tradition and the loss of authority which occurred in his lifetime were irreparable, and he concluded that he had to discover new ways of dealing with the past. In this he became a master when he discovered that the transmissibility of the past had been replaced by its citability and that in place of its authority there had arisen a strange power to settle down, piecemeal, in the present and to deprive it of “peace of mind,” the mindless peace of complacency. “Quotations in my works are like robbers by the roadside who make an armed attack and relieve an idler of his convictions” (Schriften I, 571). This discovery of the modern function of quotations, according to Benjamin, who exemplified
* Weltgericht (Last Judgment) plays on the dual meaning of Gericht (judgment; dish). (Translator’s note.)
Introduction
it by Karl Kraus, was born out of despair—not the despair of a past that refuses "to throw its light on the future" and lets the human mind "wander in darkness" as in Tocqueville, but out of the despair of the present and the desire to destroy it; hence their power is "not the strength to preserve but to cleanse, to tear out of context, to destroy" (Schriften II, 192). Still, the discoverers and lovers of this destructive power originally were inspired by an entirely different intention, the intention to preserve; and only because they did not let themselves be fooled by the professional "preservers" all around them did they finally discover that the destructive power of quotations was "the only one which still contains the hope that something from this period will survive—for no other reason than that it was torn out of it." In this form of "thought fragments," quotations have the double task of interrupting the flow of the presentation with "transcendent force" (Schriften I, 142-43) and at the same time of concentrating within themselves that which is presented. As to their weight in Benjamin's writings, quotations are comparable only to the very dissimilar Biblical citations which so often replace the immanent consistency of argumentation in medieval treatises.
I have already mentioned that collecting was Benjamin's central passion. It started early with what he himself called his "bibliomania" but soon extended into something far more characteristic, not so much of the person as of his work: the collecting of quotations. (Not that he ever stopped collecting books. Shortly before the fall of France he seriously considered exchanging his edition of the Collected Works of Kafka, which had recently appeared in five volumes, for a few first editions of Kafka's early writings—an undertaking which naturally was bound to remain incomprehensible to any nonbibliophile.) The "inner need to own a library" (Briefe I, 193) asserted itself around 1916, at the time when Benjamin turned in his studies to Romanticism as the "last movement that once more saved tradition" (Briefe I, 138). That a certain destructive force was active even in this passion for the past, so characteristic of heirs and late-comers, Benjamin did not discover until much later, when he had already lost his faith in tradition and in the indestructibility of the world. (This will be discussed presently.) In those days, encouraged by Scholem, he still believed that his own estrangement from tradition was probably due to his Jewishness and that there might be a way back for him as there was for his friend, who was preparing to emigrate to Jerusalem. (As early as 1920, when he was not yet seriously beset by financial worries, he thought of learning Hebrew.) He never went as far on this road as did Kafka, who after all his efforts stated bluntly that he had no use for anything Jewish except the Hasidic tales which Buber had just prepared for modern usage—"into everything else I just drift, and another current of air carries me away again." Was he, then, despite all doubts, to go back to the German or European past and help with the tradition of its literature?
Presumably this is the form in which the problem presented itself to him in the early twenties, before he turned to Marxism. That is when he chose the German Baroque Age as a subject for his Habilitation thesis, a choice that is very characteristic of the ambiguity of this entire, still unresolved cluster of problems. For in the German literary and poetic tradition the Baroque has, with the exception of the great church chorales of the time, never really been alive. Goethe rightly said that when he was eighteen years old, German literature was no older. And Benjamin's choice, baroque in a double sense, has an exact counterpart in Scholem's strange decision to approach Judaism via the Cabala, that is, that part of Hebrew literature which is untransmitted and untransmissible in terms of Jewish tradition, in which it has always had the odor of something downright disreputable. Nothing showed more clearly—so one is inclined to say today—that there was no such thing as a "return" either to the German or the European or the Jewish tradition than the choice of these fields of study. It was an implicit admission that the past spoke directly only through things that had not been handed down, whose seeming closeness to the present was thus due precisely to their exotic character, which ruled out all claims to a binding authority. Obligative truths were replaced by what was in some sense significant or interesting, and this of course meant—as no
one knew better than Benjamin—that the “consistence of truth . . . has been lost” (Briefe II, 763). Outstanding among the properties that formed this “consistence of truth” was, at least for Benjamin, whose early philosophical interest was theologically inspired, that truth concerned a secret and that the revelation of this secret had authority. Truth, so Benjamin said shortly before he became fully aware of the irreparable break in tradition and the loss of authority, is not “an unveiling which destroys the secret, but the revelation which does it justice” (Schriften I, 146). Once this truth had come into the human world at the appropriate moment in history—be it as the Greek *a-letheia*, visually perceptible to the eyes of the mind and comprehended by us as “un-concealment” (“Unverborgenheit”—Heidegger), or as the acoustically perceptible word of God as we know it from the European religions of revelation—it was this “consistence” peculiar to it which made it tangible, as it were, so that it could be handed down by tradition. Tradition transforms truth into wisdom, and wisdom is the consistence of transmissible truth. In other words, even if truth should appear in our world, it could not lead to wisdom, because it would no longer have the characteristics which it could acquire only through universal recognition of its validity. Benjamin discusses these matters in connection with Kafka and says that of course “Kafka was far from being the first to face this situation. Many had accommodated themselves to it, adhering to truth or whatever they regarded as truth at any given time and, with a more or less heavy heart, forgoing its transmissibility. Kafka’s real genius was that he tried something entirely new: he sacrificed truth for the sake of clinging to the transmissibility” (Briefe II, 763). He did so by making decisive changes in traditional parables or inventing new ones in traditional style; however, these “do not modestly lie at the feet of the doctrine,” as do the haggadic tales in the Talmud, but “unexpectedly raise a heavy claw” against it. Even Kafka’s reaching down to the sea bottom of the past had this peculiar duality of wanting to preserve and wanting to destroy. He wanted to preserve it even though it was not truth, if only for the sake of this “new beauty in what is vanishing” (see Benjamin’s essay on
Leskov); and he knew, on the other hand, that there is no more effective way to break the spell of tradition than to cut out the "rich and strange," coral and pearls, from what had been handed down in one solid piece.
Benjamin exemplified this ambiguity of gesture in regard to the past by analyzing the collector's passion which was his own. Collecting springs from a variety of motives which are not easily understood. As Benjamin was probably the first to emphasize, collecting is the passion of children, for whom things are not yet commodities and are not valued according to their usefulness, and it is also the hobby of the rich, who own enough not to need anything useful and hence can afford to make "the transfiguration of objects" (Schriften I, 416) their business. In this they must of necessity discover the beautiful, which needs "disinterested delight" (Kant) to be recognized. At any rate, a collected object possesses only an amateur value and no use value whatsoever. (Benjamin was not yet aware of the fact that collecting can also be an eminently sound and often highly profitable form of investment.) And inasmuch as collecting can fasten on any category of objects (not just art objects, which are in any case removed from the everyday world of use objects because they are "good" for nothing) and thus, as it were, redeem the object as a thing since it now is no longer a means to an end but has its intrinsic worth, Benjamin could understand the collector's passion as an attitude akin to that of the revolutionary. Like the revolutionary, the collector "dreams his way not only into a remote or bygone world, but at the same time into a better one in which, to be sure, people are not provided with what they need any more than they are in the everyday world, but in which things are liberated from the drudgery of usefulness" (Schriften I, 416). Collecting is the redemption of things which is to complement the redemption of man. Even the reading of his books is something questionable to a true bibliophile: "'And you have read all these?' Anatole France is said to have been asked by an admirer of his library. 'Not one-tenth of them. I don't suppose you use your Sèvres china every day?'" ("Unpacking My Library"). (In Benjamin's library there were collections of rare children's
books and of books by mentally deranged authors; since he was interested neither in child psychology nor in psychiatry, these books, like many others among his treasures, literally were not good for anything, serving neither to divert nor to instruct.) Closely connected with this is the fetish character which Benjamin explicitly claimed for collected objects. The value of genuineness which is decisive for the collector as well as for the market determined by him has replaced the “cult value” and is its secularization.
These reflections, like so much else in Benjamin, have something of the ingeniously brilliant which is not characteristic of his essential insights, which are, for the most part, quite down-to-earth. Still, they are striking examples of the flânerie in his thinking, of the way his mind worked, when he, like the flâneur in the city, entrusted himself to chance as a guide on his intellectual journeys of exploration. Just as strolling through the treasures of the past is the inheritor’s luxurious privilege, so is the “collector’s attitude, in the highest sense, the attitude of the heir” (“Unpacking My Library”) who, by taking possession of things—and “ownership is the most profound relationship that one can have to objects” (ibid.)—establishes himself in the past, so as to achieve, undisturbed by the present, “a renewal of the old world.” And since this “deepest urge” in the collector has no public significance whatsoever but results in a strictly private hobby, everything “that is said from the angle of the true collector” is bound to appear as “whimsical” as the typically Jean Paulian vision of one of those writers “who write books not because they are poor, but because they are dissatisfied with the books which they could buy but do not like” (ibid.). Upon closer examination, however, this whimsicality has some noteworthy and not so harmless peculiarities. There is, for one thing, the gesture, so significant of an era of public darkness, with which the collector not only withdraws from the public into the privacy of his four walls but takes along with him all kinds of treasures that once were public property to decorate them. (This, of course, is not today’s collector, who gets hold of whatever has or, in his estimate, will have a market value or can enhance his social status, but the collector who, like Benjamin, seeks strange things that are considered valueless.) Also, in his passion for the past for its own sake, born of his contempt for the present as such and therefore rather heedless of objective quality, there already appears a disturbing factor to announce that tradition may be the last thing to guide him and traditional values by no means be as safe in his hands as one might have assumed at first glance.
For tradition puts the past in order, not just chronologically but first of all systematically in that it separates the positive from the negative, the orthodox from the heretical, and which is obligatory and relevant from the mass of irrelevant or merely interesting opinions and data. The collector's passion, on the other hand, is not only unsystematic but borders on the chaotic, not so much because it is a passion as because it is not primarily kindled by the quality of the object—something that is classifiable—but is inflamed by its "genuineness," its uniqueness, something that defies any systematic classification. Therefore, while tradition discriminates, the collector levels all differences; and this leveling—so that "the positive and the negative . . . predilection and rejection are here closely contiguous" (Schriften II, 313)—takes place even if the collector has made tradition itself his special field and carefully eliminated everything not recognized by it. Against tradition the collector pits the criterion of genuineness; to the authoritative he opposes the sign of origin. To express this way of thinking in theoretical terms: he replaces content with pure originality or authenticity, something that only French Existentialism established as a quality per se detached from all specific characteristics. If one carries this way of thinking to its logical conclusion, the result is a strange inversion of the original collector's drive: "The genuine picture may be old, but the genuine thought is new. It is of the present. This present may be meager, granted. But no matter what it is like, one must firmly take it by the horns to be able to consult the past. It is the bull whose blood must fill the pit if the shades of the departed are to appear at its edge" (Schriften II, 314). Out of this present when it has been sacrificed for the invocation of the past arises then "the
deadly impact of thought” which is directed against tradition and the authority of the past.
Thus the heir and preserver unexpectedly turns into a destroyer. “The true, greatly misunderstood passion of the collector is always anarchistic, destructive. For this is its dialectics: to combine with loyalty to an object, to individual items, to things sheltered in his care, a stubborn subversive protest against the typical, the classifiable.” 28 The collector destroys the context in which his object once was only part of a greater, living entity, and since only the uniquely genuine will do for him he must cleanse the chosen object of everything that is typical about it. The figure of the collector, as old-fashioned as that of the flâneur, could assume such eminently modern features in Benjamin because history itself—that is, the break in tradition which took place at the beginning of this century—had already relieved him of this task of destruction and he only needed to bend down, as it were, to select his precious fragments from the pile of debris. In other words, the things themselves offered, particularly to a man who firmly faced the present, an aspect which had previously been discoverable only from the collector’s whimsical perspective.
I do not know when Benjamin discovered the remarkable coincidence of his old-fashioned inclinations with the realities of the times; it must have been in the mid-twenties, when he began the serious study of Kafka, only to discover shortly thereafter in Brecht the poet who was most at home in this century. I do not mean to assert that Benjamin shifted his emphasis from the collecting of books to the collecting of quotations (exclusive with him) overnight or even within one year, although there is some evidence in the letters of a conscious shifting of emphasis. At any rate, nothing was more characteristic of him in the thirties than the little notebooks with black covers which he always carried with him and in which he tirelessly entered in the form of quotations what daily living and reading netted him in the way of “pearls” and “coral.” On occasion he read from them aloud, showed them around like items from a choice and precious collection. And in this collection, which by then was anything but
whimsical, it was easy to find next to an obscure love poem from the eighteenth century the latest newspaper item, next to Goecking's "Der erste Schnee" a report from Vienna dated summer 1939, saying that the local gas company had "stopped supplying gas to Jews. The gas consumption of the Jewish population involved a loss for the gas company, since the biggest consumers were the ones who did not pay their bills. The Jews used the gas especially for committing suicide" (Briefe II, 820). Here indeed the shades of the departed were invoked only from the sacrificial pit of the present.
The close affinity between the break in tradition and the seemingly whimsical figure of the collector who gathers his fragments and scraps from the debris of the past is perhaps best illustrated by the fact, astonishing only at first glance, that there probably was no period before ours in which old and ancient things, many of them long forgotten by tradition, have become general educational material which is handed to schoolboys everywhere in hundreds of thousands of copies. This amazing revival, particularly of classical culture, which since the forties has been especially noticeable in relatively traditionless America, began in Europe in the twenties. There it was initiated by those who were most aware of the irreparability of the break in tradition—thus in Germany, and not only there, first and foremost by Martin Heidegger, whose extraordinary, and extraordinarily early, success in the twenties was essentially due to a "listening to the tradition that does not give itself up to the past but thinks of the present." Without realizing it, Benjamin actually had more in common with Heidegger's remarkable sense for living eyes and living bones that had sea-changed into pearls and coral, and as such could be saved and lifted into the present only by doing violence to their context in interpreting them with "the deadly impact" of new thoughts, than he did with the dialectical subtleties of his Marxist friends. For just as the above-cited closing sentence from the Goethe essay sounds as though Kafka had written it, the following words from a letter to Hofmannsthal dated 1924 make one think of some of Heidegger's essays written in the forties and fifties: "The conviction which guides me in
my literary attempts . . . [is] that each truth has its home, its ancestral palace, in language, that this palace was built with the oldest *logoi*, and that to a truth thus founded the insights of the sciences will remain inferior for as long as they make do here and there in the area of language like nomads, as it were, in the conviction of the sign character of language which produces the irresponsible arbitrariness of their terminology” (*Briefe* I, 329). In the spirit of Benjamin’s early work on the philosophy of language, words are “the opposite of all communication directed toward the outside,” just as truth is “the death of intention.” Anyone who seeks truth fares like the man in the fable about the veiled picture at Saïs; “this is caused not by some mysterious monstrousness of the content to be unveiled but by the nature of truth before which even the purest fire of searching is extinguished as though under water” (*Schriften* I, 151, 152).
From the Goethe essay on, quotations are at the center of every work of Benjamin’s. This very fact distinguishes his writings from scholarly works of all kinds in which it is the function of quotations to verify and document opinions, wherefore they can safely be relegated to the Notes. This is out of the question in Benjamin. When he was working on his study of German tragedy, he boasted of a collection of “over 600 quotations very systematically and clearly arranged” (*Briefe* I, 339); like the later notebooks, this collection was not an accumulation of excerpts intended to facilitate the writing of the study but constituted the main work, with the writing as something secondary. The main work consisted in tearing fragments out of their context and arranging them afresh in such a way that they illustrated one another and were able to prove their *raison d’être* in a free-floating state, as it were. It definitely was a sort of surrealistic montage. Benjamin’s ideal of producing a work consisting entirely of quotations, one that was mounted so masterfully that it could dispense with any accompanying text, may strike one as whimsical in the extreme and self-destructive to boot, but it was not, any more than were the contemporaneous surrealistic experiments which arose from similar impulses. To the extent that an accompanying text by the author proved unavoidable, it was
a matter of fashioning it in such a way as to preserve "the intention of such investigations," namely, "to plumb the depths of language and thought . . . by drilling rather than excavating" (Briefe I, 329), so as not to ruin everything with explanations that seek to provide a causal or systematic connection. In so doing Benjamin was quite aware that this new method of "drilling" resulted in a certain "forcing of insights . . . whose inelegant pedantry, however, is preferable to today's almost universal habit of falsifying them"; it was equally clear to him that this method was bound to be "the cause of certain obscurities" (Briefe I, 330). What mattered to him above all was to avoid anything that might be reminiscent of empathy, as though a given subject of investigation had a message in readiness which easily communicated itself, or could be communicated, to the reader or spectator: "No poem is intended for the reader, no picture for the beholder, no symphony for the listener" ("The Task of the Translator"; italics added).
This sentence, written quite early, could serve as motto for all of Benjamin's literary criticism. It should not be misunderstood as another dadaist affront of an audience that even then had already become quite used to all sorts of merely capricious shock effects and "put-ons." Benjamin deals here with thought things, particularly those of a linguistic nature, which, according to him, "retain their meaning, possibly their best significance, if they are not \(a\) priori applied exclusively to man. For example, one could speak of an unforgettable life or moment even if all men had forgotten them. If the nature of such a life or moment required that it not be forgotten, that predicate would not contain a falsehood but merely a claim that is not being fulfilled by men, and perhaps also a reference to a realm in which it is fulfilled: God's remembrance" (ibid.). Benjamin later gave up this theological background but not the theory and not his method of drilling to obtain the essential in the form of quotations—as one obtains water by drilling for it from a source concealed in the depths of the earth. This method is like the modern equivalent of ritual invocations, and the spirits that now arise invariably are those spiritual essences from a past that have suffered the Shakespearean “sea-change” from living eyes to pearls, from living bones to coral. For Benjamin to quote is to name, and naming rather than speaking, the word rather than the sentence, brings truth to light. As one may read in the preface to the *Origin of German Tragedy*, Benjamin regarded truth as an exclusively acoustical phenomenon: “Not Plato but Adam,” who gave things their names, was to him the “father of philosophy.” Hence tradition was the form in which these name-giving words were transmitted; it too was an essentially acoustical phenomenon. He felt himself so akin to Kafka precisely because the latter, current misinterpretations notwithstanding, had “no far-sightedness or ‘prophetic vision,’” but listened to tradition, and “he who listens hard does not see” (“Max Brod’s Book on Kafka”).
There are good reasons why Benjamin’s philosophical interest from the outset concentrated on the philosophy of language, and why finally naming through quoting became for him the only possible and appropriate way of dealing with the past without the aid of tradition. Any period to which its own past has become as questionable as it has to us must eventually come up against the phenomenon of language, for in it the past is contained ineradicably, thwarting all attempts to get rid of it once and for all. The Greek *polis* will continue to exist at the bottom of our political existence—that is, at the bottom of the sea—for as long as we use the word “politics.” This is what the semanticists, who with good reason attack language as the one bulwark behind which the past hides—its confusion, as they say—fail to understand. They are absolutely right: in the final analysis all problems are linguistic problems; they simply do not know the implications of what they are saying.
But Benjamin, who could not yet have read Wittgenstein, let alone his successors, knew a great deal about these very things, because from the beginning the problem of truth had presented itself to him as a “revelation . . . which must be heard, that is, which lies in the metaphysically acoustical sphere.” To him, therefore, language was by no means primarily the gift of speech which distinguishes man from other living beings, but, on the contrary, “the world essence . . . from which speech arises”
(Briefe I, 197), which incidentally comes quite close to Heidegger’s position that “man can speak only insofar as he is the sayer.” Thus there is “a language of truth, the tensionless and even silent depository of the ultimate secrets which all thought is concerned with” (“The Task of the Translator”), and this is “the true language” whose existence we assume unthinkingly as soon as we translate from one language into another. That is why Benjamin places at the center of his essay “The Task of the Translator” the astonishing quotation from Mallarmé in which the spoken languages in their multiplicity and diversity suffocate, as it were, by virtue of their Babel-like tumult, the “immortelle parole,” which cannot even be thought, since “thinking is writing without implement or whispers, silently,” and thus prevent the voice of truth from being heard on earth with the force of material, tangible evidence. Whatever theoretical revisions Benjamin may subsequently have made in these theological-metaphysical convictions, his basic approach, decisive for all his literary studies, remained unchanged: not to investigate the utilitarian or communicative functions of linguistic creations, but to understand them in their crystallized and thus ultimately fragmentary form as intentionless and noncommunicative utterances of a “world essence.” What else does this mean than that he understood language as an essentially poetic phenomenon? And this is precisely what the last sentence of the Mallarmé aphorism, which he does not quote, says in unequivocal clarity: “Seulement, sachons n’existerait pas le vers: lui, philosophiquement remunère le défaut des langues, complément supérieur”—all this were true if poetry did not exist, the poem that philosophically makes good the defect of languages, is their superior complement. All of which says no more, though in a slightly more complex way, than what I mentioned before—namely, that we are dealing here with something which may not be unique but is certainly extremely rare: the gift of thinking poetically.
And this thinking, fed by the present, works with the “thought fragments” it can wrest from the past and gather about itself. Like a pearl diver who descends to the bottom of the sea, not to excavate the bottom and bring it to light but to pry loose
the rich and the strange, the pearls and the coral in the depths, and to carry them to the surface, this thinking delves into the depths of the past—but not in order to resuscitate it the way it was and to contribute to the renewal of extinct ages. What guides this thinking is the conviction that although the living is subject to the ruin of the time, the process of decay is at the same time a process of crystallization, that in the depth of the sea, into which sinks and is dissolved what once was alive, some things "suffer a sea-change" and survive in new crystallized forms and shapes that remain immune to the elements, as though they waited only for the pearl diver who one day will come down to them and bring them up into the world of the living—as "thought fragments," as something "rich and strange," and perhaps even as everlasting *Urphänomene*.
HANNAH ARENDT
Notes
1. Walter Benjamin, *Schriften*, Frankfurt a.M., Suhrkamp Verlag, 1955, 2 vols., and *Briefe*, Frankfurt a.M., 1966, 2 vols. The following references are to these editions.
2. Yearbook of the Leo Baeck Institute, 1965, p. 117.
3. *Op. cit.*
4. The classical description of the *flâneur* occurs in Baudelaire’s famous essay on Constantin Guys “Le Peintre de la vie moderne”—see Pléiade edition, pp. 877-83. Benjamin frequently refers to it indirectly and quotes from it in the Baudelaire essay.
5. Both have recently reiterated this—Scholem in his Leo Baeck Memorial Lecture of 1965, in which he said, “I am inclined to consider Brecht’s influence on Benjamin’s output in the thirties baleful, and in some respects disastrous,” and Adorno in a statement to his disciple Rolf Tiedemann according to which Benjamin admitted to Adorno that he had written “his essay on the Work of Art in order to outdo Brecht, whom he was afraid of, in radicalism” (quoted in Rolf Tiedemann, *Studien zur Philosophie Walter Benjamins*, Frankfurt, 1965, p. 89). It is improbable that Benjamin should have expressed fear of Brecht, and Adorno seems not to claim that he did. As for the rest of the statement, it is, unfortunately, all too likely that Benjamin made it because he was afraid of Adorno. It is true that Benjamin was very shy in his dealings with people he had not known since his youth, but he was afraid only of people he was dependent upon. Such a dependence on Brecht would have come about only if he had followed Brecht’s suggestion that he move from Paris to Brecht’s vicinity in considerably less expensive Denmark. As it turned out, Benjamin had serious doubts about such an exclusive “dependence on one person” in a strange country with a “quite unfamiliar language” (*Briefe* II, 596, 599).
6. In the review of the *Dreigroschenroman*. Cf. *Versuche über Brecht*, Frankfurt, 1966, p. 90.
7. It now seems that nearly everything has been saved. The manuscripts hidden in Paris were, in accordance with Benjamin’s instructions, sent to Theodor W. Adorno; according to Tiedemann (*op. cit.*, p. 212), they are now in Adorno’s “private collection” in FrankIntroduction
furt. Reprints and copies of most texts are also in Gershom Scholem's personal collection in Jerusalem. The material confiscated by the Gestapo has turned up in the German Democratic Republic. See "Der Benjamin-Nachlass in Potsdam" by Rosemarie Heise in alternative, October-December, 1967.
8. Cf. "Walter Benjamin hinter seinen Briefen," Merkur, March 1967.
9. Cf. Pierre Missac, "L'Eclat et le secret: Walter Benjamin," Critique, Nos. 231-32, 1966.
10. Max Rychner, the recently deceased editor of the Neue Schweizer Rundschau, was one of the most cultivated and most refined figures in the intellectual life of the time. Like Adorno, Ernst Bloch, and Scholem, he published his "Erinnerungen an Walter Benjamin" in Der Monat, September, 1960.
11. Ibid.
12. Kafka, whose outlook on these matters was more realistic than that of any of his contemporaries, said that "the father complex which is the intellectual nourishment of many... concerns the Judaism of the fathers... the vague consent of the fathers (this vagueness was the outrage)" to their sons' leaving of the Jewish fold: "with their hind legs they were still stuck to the Judaism of their fathers, and with the forelegs they found no new ground" (Franz Kafka, Briefe, p. 337).
13. Ibid., p. 55.
14. Ibid., p. 339.
15. Ibid., p. 337.
16. Ibid., pp. 336-38.
17. Franz Kafka, Tagebücher, p. 42.
18. Franz Kafka, Briefe, p. 347.
19. Ibid., p. 378.
20. In "Der Autor als Produzent," a lecture given in Paris in 1934, in which Benjamin quotes an earlier essay on the intellectual Left. See Versuche über Brecht, p. 109.
21. Quoted in Max Brod, Franz Kafkas Glauben und Lehre, Winterthur, 1948.
22. Brecht, for instance, told Benjamin that his essay on Kafka gave aid and comfort to Jewish Fascism. See Versuche, p. 123.
23. Franz Kafka, Briefe, p. 183.
24. In the above-mentioned article Pierre Missac deals with the same passage and writes: "Sans sous-estimer la valeur d'une telle réussite [d'être le successeur de Hamann et de Humboldt], on peut penser que Benjamin recherchait aussi dans le Marxisme un moyen d'y échapper." (Without underestimating the value of such a success [being the successor of Hamann and Humboldt], it is possible to think that Benjamin also sought in Marxism a means of escaping it.)
25. One is immediately reminded of Brecht's poem "On the Poor B.B."
Fröhlich macht das Haus den Esser; er leert es.
Von diesen Städten wird bleiben: der durch sie hindurchging,
der Wind!
Fröhlich macht das Haus den Esser; er leert es.
Wir wissen, dass wir Vorläufige sind
Und nach uns wird kommen: nichts Nennenswertes.
("Of these cities will remain that which blew through them, the wind./The house makes the feaster merry. He cleans it out./We know we're only temporary and after us will follow/Nothing worth talking about." The Manual of Piety, New York, 1966.)
Worth noting, too, is a remarkable aphorism of Kafka in the "Notes from the Year 1920" under the title "He": "Everything he does appears to him extraordinarily new but also, because of the impossible abundance of the new, extraordinarily amateurish, indeed hardly tolerable, incapable of becoming historical, tearing asunder the chain of generations, breaking off for the first time the music of the world which until now could at least be divined in all its depth. Sometimes in his conceit he is more worried about the world than about himself."
The predecessor of this mood is, again, Baudelaire. "Le monde va finir. La seule raison pour laquelle il pouvait durer, c'est qu'elle existe. Que cette raison est faible, comparée à toutes celles qui annoncent le contraire, particulièrement à celle-ci: qu'est-ce que le monde a désormais à faire sous le ciel? . . . Quant à moi qui sens quelquefois en moi le ridicule d'un prophète, je sais que je n'y trouverai jamais la charité d'un médecin. Perdu dans ce vilain monde, coudoyé par les foules, je suis comme un homme lassé dont l'oeil ne voit en arrière, dans les années profondes, que désabusement et amertume, et devant lui qu'un orage où rien de neuf n'est contenu, ni enseignement ni couleur." From Journaux intimes, Pléiade edition, pp. 1195-97.
Introduction
26. Cf. Kafka, Briefe, p. 173.
27. A selection appeared under the title Parables and Paradoxes in a bilingual edition (Schocken Books, New York, 1961).
28. Benjamin, "Lob der Puppe," Literarische Welt, January 10, 1930.
29. See Martin Heidegger, Kants These über das Sein, Frankfurt, 1962, p. 8.
30. For the aphorism by Mallarmé, see "Variations sur un sujet" under the subtitle "Crise des vers," Pléiade edition, pp. 363-64.
Illuminations
Unpacking My Library
A Talk about Book Collecting
I am unpacking my library. Yes, I am. The books are not yet on the shelves, not yet touched by the mild boredom of order. I cannot march up and down their ranks to pass them in review before a friendly audience. You need not fear any of that. Instead, I must ask you to join me in the disorder of crates that have been wrenched open, the air saturated with the dust of wood, the floor covered with torn paper, to join me among piles of volumes that are seeing daylight again after two years of darkness, so that you may be ready to share with me a bit of the mood—it is certainly not an elegiac mood but, rather, one of anticipation—which these books arouse in a genuine collector. For such a man is speaking to you, and on closer scrutiny he proves to be speaking only about himself. Would it not be presumptuous of me if, in order to appear convincingly objective and down-to-earth, I enumerated for you the main sections or prize pieces of a library, if I presented you with their history or even their usefulness to a writer? I, for one, have in mind something less obscure, something more palpable than that; what I am really concerned with is giving you some insight into the relationship of
a book collector to his possessions, into collecting rather than a collection. If I do this by elaborating on the various ways of acquiring books, this is something entirely arbitrary. This or any other procedure is merely a dam against the spring tide of memories which surges toward any collector as he contemplates his possessions. Every passion borders on the chaotic, but the collector’s passion borders on the chaos of memories. More than that: the chance, the fate, that suffuse the past before my eyes are conspicuously present in the accustomed confusion of these books. For what else is this collection but a disorder to which habit has accommodated itself to such an extent that it can appear as order? You have all heard of people whom the loss of their books has turned into invalids, or of those who in order to acquire them became criminals. These are the very areas in which any order is a balancing act of extreme precariousness. “The only exact knowledge there is,” said Anatole France, “is the knowledge of the date of publication and the format of books.” And indeed, if there is a counterpart to the confusion of a library, it is the order of its catalogue.
Thus there is in the life of a collector a dialectical tension between the poles of disorder and order. Naturally, his existence is tied to many other things as well: to a very mysterious relationship to ownership, something about which we shall have more to say later; also, to a relationship to objects which does not emphasize their functional, utilitarian value—that is, their usefulness—but studies and loves them as the scene, the stage, of their fate. The most profound enchantment for the collector is the locking of individual items within a magic circle in which they are fixed as the final thrill, the thrill of acquisition, passes over them. Everything remembered and thought, everything conscious, becomes the pedestal, the frame, the base, the lock of his property. The period, the region, the craftsmanship, the former ownership—for a true collector the whole background of an item adds up to a magic encyclopedia whose quintessence is the fate of his object. In this circumscribed area, then, it may be surmised how the great physiognomists—and collectors are the physiognomists of the world of objects—turn into interpreters of
fate. One has only to watch a collector handle the objects in his glass case. As he holds them in his hands, he seems to be seeing through them into their distant past as though inspired. So much for the magical side of the collector—his old-age image, I might call it.
*Habent sua fata libelli*: these words may have been intended as a general statement about books. So books like *The Divine Comedy*, Spinoza’s *Ethics*, and *The Origin of Species* have their fates. A collector, however, interprets this Latin saying differently. For him, not only books but also copies of books have their fates. And in this sense, the most important fate of a copy is its encounter with him, with his own collection. I am not exaggerating when I say that to a true collector the acquisition of an old book is its rebirth. This is the childlike element which in a collector mingles with the element of old age. For children can accomplish the renewal of existence in a hundred unfailing ways. Among children, collecting is only one process of renewal; other processes are the painting of objects, the cutting out of figures, the application of decals—the whole range of childlike modes of acquisition, from touching things to giving them names. To renew the old world—that is the collector’s deepest desire when he is driven to acquire new things, and that is why a collector of older books is closer to the wellsprings of collecting than the acquirer of luxury editions. How do books cross the threshold of a collection and become the property of a collector? The history of their acquisition is the subject of the following remarks.
Of all the ways of acquiring books, writing them oneself is regarded as the most praiseworthy method. At this point many of you will remember with pleasure the large library which Jean Paul’s poor little schoolmaster Wutz gradually acquired by writing, himself, all the works whose titles interested him in book-fair catalogues; after all, he could not afford to buy them. Writers are really people who write books not because they are poor, but because they are dissatisfied with the books which they could buy but do not like. You, ladies and gentlemen, may regard this as a whimsical definition of a writer. But everything said from
the angle of a real collector is whimsical. Of the customary modes of acquisition, the one most appropriate to a collector would be the borrowing of a book with its attendant non-returning. The book borrower of real stature whom we envisage here proves himself to be an inveterate collector of books not so much by the fervor with which he guards his borrowed treasures and by the deaf ear which he turns to all reminders from the everyday world of legality as by his failure to read these books. If my experience may serve as evidence, a man is more likely to return a borrowed book upon occasion than to read it. And the non-reading of books, you will object, should be characteristic of collectors? This is news to me, you may say. It is not news at all. Experts will bear me out when I say that it is the oldest thing in the world. Suffice it to quote the answer which Anatole France gave to a philistine who admired his library and then finished with the standard question, "And you have read all these books, Monsieur France?" "Not one-tenth of them. I don’t suppose you use your Sèvres china every day?"
Incidentally, I have put the right to such an attitude to the test. For years, for at least the first third of its existence, my library consisted of no more than two or three shelves which increased only by inches each year. This was its militant age, when no book was allowed to enter it without the certification that I had not read it. Thus I might never have acquired a library extensive enough to be worthy of the name if there had not been an inflation. Suddenly the emphasis shifted; books acquired real value, or, at any rate, were difficult to obtain. At least this is how it seemed in Switzerland. At the eleventh hour I sent my first major book orders from there and in this way was able to secure such irreplaceable items as *Der blaue Reiter* and Bachofen’s *Sage von Tanaquil*, which could still be obtained from the publishers at that time.
Well—so you may say—after exploring all these byways we should finally reach the wide highway of book acquisition, namely, the purchasing of books. This is indeed a wide highway, but not a comfortable one. The purchasing done by a book collector has very little in common with that done in a bookshop.
Unpacking My Library
by a student getting a textbook, a man of the world buying a present for his lady, or a businessman intending to while away his next train journey. I have made my most memorable purchases on trips, as a transient. Property and possession belong to the tactical sphere. Collectors are people with a tactical instinct; their experience teaches them that when they capture a strange city, the smallest antique shop can be a fortress, the most remote stationery store a key position. How many cities have revealed themselves to me in the marches I undertook in the pursuit of books!
By no means all of the most important purchases are made on the premises of a dealer. Catalogues play a far greater part. And even though the purchaser may be thoroughly acquainted with the book ordered from a catalogue, the individual copy always remains a surprise and the order always a bit of a gamble. There are grievous disappointments, but also happy finds. I remember, for instance, that I once ordered a book with colored illustrations for my old collection of children's books only because it contained fairy tales by Albert Ludwig Grimm and was published at Grimma, Thuringia. Grimma was also the place of publication of a book of fables edited by the same Albert Ludwig Grimm. With its sixteen illustrations my copy of this book of fables was the only extant example of the early work of the great German book illustrator Lyser, who lived in Hamburg around the middle of the last century. Well, my reaction to the consonance of the names had been correct. In this case too I discovered the work of Lyser, namely *Linas Märchenbuch*, a work which has remained unknown to his bibliographers and which deserves a more detailed reference than this first one I am introducing here.
The acquisition of books is by no means a matter of money or expert knowledge alone. Not even both factors together suffice for the establishment of a real library, which is always somewhat impenetrable and at the same time uniquely itself. Anyone who buys from catalogues must have flair in addition to the qualities I have mentioned. Dates, place names, formats, previous owners, bindings, and the like: all these details must tell him
something—not as dry, isolated facts, but as a harmonious whole; from the quality and intensity of this harmony he must be able to recognize whether a book is for him or not. An auction requires yet another set of qualities in a collector. To the reader of a catalogue the book itself must speak, or possibly its previous ownership if the provenance of the copy has been established. A man who wishes to participate at an auction must pay equal attention to the book and to his competitors, in addition to keeping a cool enough head to avoid being carried away in the competition. It is a frequent occurrence that someone gets stuck with a high purchase price because he kept raising his bid—more to assert himself than to acquire the book. On the other hand, one of the finest memories of a collector is the moment when he rescued a book to which he might never have given a thought, much less a wishful look, because he found it lonely and abandoned on the market place and bought it to give it its freedom—the way the prince bought a beautiful slave girl in *The Arabian Nights*. To a book collector, you see, the true freedom of all books is somewhere on his shelves.
To this day, Balzac's *Peau de chagrin* stands out from long rows of French volumes in my library as a memento of my most exciting experience at an auction. This happened in 1915 at the Rümann auction put up by Emil Hirsch, one of the greatest of book experts and most distinguished of dealers. The edition in question appeared in 1838 in Paris, Place de la Bourse. As I pick up my copy, I see not only its number in the Rümann collection, but even the label of the shop in which the first owner bought the book over ninety years ago for one-eightieth of today's price. "Papeterie I. Flanneau," it says. A fine age in which it was still possible to buy such a de luxe edition at a stationery dealer's! The steel engravings of this book were designed by the foremost French graphic artist and executed by the foremost engravers. But I was going to tell you how I acquired this book. I had gone to Emil Hirsch's for an advance inspection and had handled forty or fifty volumes; that particular volume had inspired in me the ardent desire to hold on to it forever. The day of the auction came. As chance would have it, in the sequence of the auction
this copy of *La Peau de chagrin* was preceded by a complete set of its illustrations printed separately on India paper. The bidders sat at a long table; diagonally across from me sat the man who was the focus of all eyes at the first bid, the famous Munich collector Baron von Simolin. He was greatly interested in this set, but he had rival bidders; in short, there was a spirited contest which resulted in the highest bid of the entire auction—far in excess of three thousand marks. No one seemed to have expected such a high figure, and all those present were quite excited. Emil Hirsch remained unconcerned, and whether he wanted to save time or was guided by some other consideration, he proceeded to the next item, with no one really paying attention. He called out the price, and with my heart pounding and with the full realization that I was unable to compete with any of those big collectors I bid a somewhat higher amount. Without arousing the bidders' attention, the auctioneer went through the usual routine—"Do I hear more?" and three bangs of his gavel, with an eternity seeming to separate each from the next—and proceeded to add the auctioneer's charge. For a student like me the sum was still considerable. The following morning at the pawnshop is no longer part of this story, and I prefer to speak about another incident which I should like to call the negative of an auction. It happened last year at a Berlin auction. The collection of books that was offered was a miscellany in quality and subject matter, and only a number of rare works on occultism and natural philosophy were worthy of note. I bid for a number of them, but each time I noticed a gentleman in the front row who seemed only to have waited for my bid to counter with his own, evidently prepared to top any offer. After this had been repeated several times, I gave up all hope of acquiring the book which I was most interested in that day. It was the rare *Fragmente aus dem Nachlass eines jungen Physikers* [Posthumous Fragments of a Young Physicist] which Johann Wilhelm Ritter published in two volumes at Heidelberg in 1810. This work has never been reprinted, but I have always considered its preface, in which the author-editor tells the story of his life in the guise of an obituary for his supposedly deceased unnamed friend—with whom he is
really identical—as the most important sample of personal prose of German Romanticism. Just as the item came up I had a brain wave. It was simple enough: since my bid was bound to give the item to the other man, I must not bid at all. I controlled myself and remained silent. What I had hoped for came about: no interest, no bid, and the book was put aside. I deemed it wise to let several days go by, and when I appeared on the premises after a week, I found the book in the secondhand department and benefited by the lack of interest when I acquired it.
Once you have approached the mountains of cases in order to mine the books from them and bring them to the light of day—or, rather, of night—what memories crowd in upon you! Nothing highlights the fascination of unpacking more clearly than the difficulty of stopping this activity. I had started at noon, and it was midnight before I had worked my way to the last cases. Now I put my hands on two volumes bound in faded boards which, strictly speaking, do not belong in a book case at all: two albums with stick-in pictures which my mother pasted in as a child and which I inherited. They are the seeds of a collection of children’s books which is growing steadily even today, though no longer in my garden. There is no living library that does not harbor a number of booklike creations from fringe areas. They need not be stick-in albums or family albums, autograph books or portfolios containing pamphlets or religious tracts; some people become attached to leaflets and prospectuses, others to handwriting facsimiles or typewritten copies of unobtainable books; and certainly periodicals can form the prismatic fringes of a library. But to get back to those albums: Actually, inheritance is the soundest way of acquiring a collection. For a collector’s attitude toward his possessions stems from an owner’s feeling of responsibility toward his property. Thus it is, in the highest sense, the attitude of an heir, and the most distinguished trait of a collection will always be its transmissibility. You should know that in saying this I fully realize that my discussion of the mental climate of collecting will confirm many of you in your conviction that this passion is behind the times, in your distrust of the collector type. Nothing is further from my mind than to shake either your conUnpacking My Library
viction or your distrust. But one thing should be noted: the phenomenon of collecting loses its meaning as it loses its personal owner. Even though public collections may be less objectionable socially and more useful academically than private collections, the objects get their due only in the latter. I do know that time is running out for the type that I am discussing here and have been representing before you a bit *ex officio*. But, as Hegel put it, only when it is dark does the owl of Minerva begin its flight. Only in extinction is the collector comprehended.
Now I am on the last half-emptied case and it is way past midnight. Other thoughts fill me than the ones I am talking about—not thoughts but images, memories. Memories of the cities in which I found so many things: Riga, Naples, Munich, Danzig, Moscow, Florence, Basel, Paris; memories of Rosenthal’s sumptuous rooms in Munich, of the Danzig Stockturm where the late Hans Rhaue was domiciled, of Süssengut’s musty book cellar in North Berlin; memories of the rooms where these books had been housed, of my student’s den in Munich, of my room in Bern, of the solitude of Iseltwald on the Lake of Brienz, and finally of my boyhood room, the former location of only four or five of the several thousand volumes that are piled up around me. O bliss of the collector, bliss of the man of leisure! Of no one has less been expected, and no one has had a greater sense of well-being than the man who has been able to carry on his disreputable existence in the mask of Spitzweg’s “Bookworm.” For inside him there are spirits, or at least little genii, which have seen to it that for a collector—and I mean a real collector, a collector as he ought to be—ownership is the most intimate relationship that one can have to objects. Not that they come alive in him; it is he who lives in them. So I have erected one of his dwellings, with books as the building stones, before you, and now he is going to disappear inside, as is only fitting.
The Task of the Translator
An Introduction to the Translation of Baudelaire's TABLEAUX PARISIENS
In the appreciation of a work of art or an art form, consideration of the receiver never proves fruitful. Not only is any reference to a certain public or its representatives misleading, but even the concept of an "ideal" receiver is detrimental in the theoretical consideration of art, since all it posits is the existence and nature of man as such. Art, in the same way, posits man's physical and spiritual existence, but in none of its works is it concerned with his response. No poem is intended for the reader, no picture for the beholder, no symphony for the listener.
Is a translation meant for readers who do not understand the original? This would seem to explain adequately the divergence of their standing in the realm of art. Moreover, it seems to be the only conceivable reason for saying "the same thing" repeatedly. For what does a literary work "say"? What does it communicate? It "tells" very little to those who understand it. Its essential quality is not statement or the imparting of information. Yet any translation which intends to perform a transmitting function cannot transmit anything but information—hence, something inessential. This is the hallmark of bad translations. But do we not
generally regard as the essential substance of a literary work what it contains in addition to information—as even a poor translator will admit—the unfathomable, the mysterious, the “poetic,” something that a translator can reproduce only if he is also a poet? This, actually, is the cause of another characteristic of inferior translation, which consequently we may define as the inaccurate transmission of an inessential content. This will be true whenever a translation undertakes to serve the reader. However, if it were intended for the reader, the same would have to apply to the original. If the original does not exist for the reader’s sake, how could the translation be understood on the basis of this premise?
Translation is a mode. To comprehend it as mode one must go back to the original, for that contains the law governing the translation: its translatability. The question of whether a work is translatable has a dual meaning. Either: Will an adequate translator ever be found among the totality of its readers? Or, more pertinently: Does its nature lend itself to translation and, therefore, in view of the significance of the mode, call for it? In principle, the first question can be decided only contingently; the second, however, apodictically. Only superficial thinking will deny the independent meaning of the latter and declare both questions to be of equal significance. . . . It should be pointed out that certain correlative concepts retain their meaning, and possibly their foremost significance, if they are referred exclusively to man. One might, for example, speak of an unforgettable life or moment even if all men had forgotten it. If the nature of such a life or moment required that it be unforgotten, that predicate would not imply a falsehood but merely a claim not fulfilled by men, and probably also a reference to a realm in which it is fulfilled: God’s remembrance. Analogously, the translatability of linguistic creations ought to be considered even if men should prove unable to translate them. Given a strict concept of translation, would they not really be translatable to some degree? The question as to whether the translation of certain linguistic creations is called for ought to be posed in this sense. For this thought
The Task of the Translator
is valid here: If translation is a mode, translatability must be an essential feature of certain works.
Translatability is an essential quality of certain works, which is not to say that it is essential that they be translated; it means rather that a specific significance inherent in the original manifests itself in its translatability. It is plausible that no translation, however good it may be, can have any significance as regards the original. Yet, by virtue of its translatability the original is closely connected with the translation; in fact, this connection is all the closer since it is no longer of importance to the original. We may call this connection a natural one, or, more specifically, a vital connection. Just as the manifestations of life are intimately connected with the phenomenon of life without being of importance to it, a translation issues from the original—not so much from its life as from its afterlife. For a translation comes later than the original, and since the important works of world literature never find their chosen translators at the time of their origin, their translation marks their stage of continued life. The idea of life and afterlife in works of art should be regarded with an entirely unmetaphorical objectivity. Even in times of narrowly prejudiced thought there was an inkling that life was not limited to organic corporeality. But it cannot be a matter of extending its dominion under the feeble scepter of the soul, as Fechner tried to do, or, conversely, of basing its definition on the even less conclusive factors of animality, such as sensation, which characterize life only occasionally. The concept of life is given its due only if everything that has a history of its own, and is not merely the setting for history, is credited with life. In the final analysis, the range of life must be determined by history rather than by nature, least of all by such tenuous factors as sensation and soul. The philosopher’s task consists in comprehending all of natural life through the more encompassing life of history. And indeed, is not the continued life of works of art far easier to recognize than the continual life of animal species? The history of the great works of art tells us about their antecedents, their realization in the age of the artist, their potentially eternal afterlife in succeeding generations. Where this last manifests itself, it is called fame.
Translations that are more than transmissions of subject matter come into being when in the course of its survival a work has reached the age of its fame. Contrary, therefore, to the claims of bad translators, such translations do not so much serve the work as owe their existence to it. The life of the originals attains in them to its ever-renewed latest and most abundant flowering.
Being a special and high form of life, this flowering is governed by a special, high purposiveness. The relationship between life and purposefulness, seemingly obvious yet almost beyond the grasp of the intellect, reveals itself only if the ultimate purpose toward which all single functions tend is sought not in its own sphere but in a higher one. All purposeful manifestations of life, including their very purposiveness, in the final analysis have their end not in life, but in the expression of its nature, in the representation of its significance. Translation thus ultimately serves the purpose of expressing the central reciprocal relationship between languages. It cannot possibly reveal or establish this hidden relationship itself; but it can represent it by realizing it in embryonic or intensive form. This representation of hidden significance through an embryonic attempt at making it visible is of so singular a nature that it is rarely met with in the sphere of nonlinguistic life. This, in its analogies and symbols, can draw on other ways of suggesting meaning than intensive—that is, anticipative, intimating—realization. As for the posited central kinship of languages, it is marked by a distinctive convergence. Languages are not strangers to one another, but are, a priori and apart from all historical relationships, interrelated in what they want to express.
With this attempt at an explication our study appears to rejoin, after futile detours, the traditional theory of translation. If the kinship of languages is to be demonstrated by translations, how else can this be done but by conveying the form and meaning of the original as accurately as possible? To be sure, that theory would be hard put to define the nature of this accuracy and therefore could shed no light on what is important in a translation. Actually, however, the kinship of languages is brought out by a translation far more profoundly and clearly than in the
superficial and indefinable similarity of two works of literature. To grasp the genuine relationship between an original and a translation requires an investigation analogous to the argumentation by which a critique of cognition would have to prove the impossibility of an image theory. There it is a matter of showing that in cognition there could be no objectivity, not even a claim to it, if it dealt with images of reality; here it can be demonstrated that no translation would be possible if in its ultimate essence it strove for likeness to the original. For in its afterlife—which could not be called that if it were not a transformation and a renewal of something living—the original undergoes a change. Even words with fixed meaning can undergo a maturing process. The obvious tendency of a writer's literary style may in time wither away, only to give rise to immanent tendencies in the literary creation. What sounded fresh once may sound hackneyed later; what was once current may someday sound quaint. To seek the essence of such changes, as well as the equally constant changes in meaning, in the subjectivity of posterity rather than in the very life of language and its works, would mean—even allowing for the crudest psychologism—to confuse the root cause of a thing with its essence. More pertinently, it would mean denying, by an impotence of thought, one of the most powerful and fruitful historical processes. And even if one tried to turn an author's last stroke of the pen into the *coup de grâce* of his work, this still would not save that dead theory of translation. For just as the tenor and the significance of the great works of literature undergo a complete transformation over the centuries, the mother tongue of the translator is transformed as well. While a poet's words endure in his own language, even the greatest translation is destined to become part of the growth of its own language and eventually to be absorbed by its renewal. Translation is so far removed from being the sterile equation of two dead languages that of all literary forms it is the one charged with the special mission of watching over the maturing process of the original language and the birth pangs of its own.
If the kinship of languages manifests itself in translations, this is not accomplished through a vague alikeness between adaptation
and original. It stands to reason that kinship does not necessarily involve likeness. The concept of kinship as used here is in accord with its more restricted common usage: in both cases, it cannot be defined adequately by identity of origin, although in defining the more restricted usage the concept of origin remains indispensable. Wherein resides the relatedness of two languages, apart from historical considerations? Certainly not in the similarity between works of literature or words. Rather, all suprahistorical kinship of languages rests in the intention underlying each language as a whole—an intention, however, which no single language can attain by itself but which is realized only by the totality of their intentions supplementing each other: pure language. While all individual elements of foreign languages—words, sentences, structure—are mutually exclusive, these languages supplement one another in their intentions. Without distinguishing the intended object from the mode of intention, no firm grasp of this basic law of a philosophy of language can be achieved. The words *Brot* and *pain* “intend” the same object, but the modes of this intention are not the same. It is owing to these modes that the word *Brot* means something different to a German than the word *pain* to a Frenchman, that these words are not interchangeable for them, that, in fact, they strive to exclude each other. As to the intended object, however, the two words mean the very same thing. While the modes of intention in these two words are in conflict, intention and object of intention complement each of the two languages from which they are derived; there the object is complementary to the intention. In the individual, unsupplemented languages, meaning is never found in relative independence, as in individual words or sentences; rather, it is in a constant state of flux—until it is able to emerge as pure language from the harmony of all the various modes of intention. Until then, it remains hidden in the languages. If, however, these languages continue to grow in this manner until the end of their time, it is translation which catches fire on the eternal life of the works and the perpetual renewal of language. Translation keeps putting the hallowed growth of languages to the test: How far
removed is their hidden meaning from revelation, how close can it be brought by the knowledge of this remoteness?
This, to be sure, is to admit that all translation is only a somewhat provisional way of coming to terms with the foreignness of languages. An instant and final rather than a temporary and provisional solution of this foreignness remains out of the reach of mankind; at any rate, it eludes any direct attempt. Indirectly, however, the growth of religions ripens the hidden seed into a higher development of language. Although translation, unlike art, cannot claim permanence for its products, its goal is undeniably a final, conclusive, decisive stage of all linguistic creation. In translation the original rises into a higher and purer linguistic air, as it were. It cannot live there permanently, to be sure, and it certainly does not reach it in its entirety. Yet, in a singularly impressive manner, at least it points the way to this region: the predestined, hitherto inaccessible realm of reconciliation and fulfillment of languages. The transfer can never be total, but what reaches this region is that element in a translation which goes beyond transmittal of subject matter. This nucleus is best defined as the element that does not lend itself to translation. Even when all the surface content has been extracted and transmitted, the primary concern of the genuine translator remains elusive. Unlike the words of the original, it is not translatable, because the relationship between content and language is quite different in the original and the translation. While content and language form a certain unity in the original, like a fruit and its skin, the language of the translation envelops its content like a royal robe with ample folds. For it signifies a more exalted language than its own and thus remains unsuited to its content, overpowering and alien. This disjunction prevents translation and at the same time makes it superfluous. For any translation of a work originating in a specific stage of linguistic history represents, in regard to a specific aspect of its content, translation into all other languages. Thus translation, ironically, transplants the original into a more definitive linguistic realm since it can no longer be displaced by a secondary rendering. The original can only be raised there anew and at other points of time. It is no mere coinvidence that the word "ironic" here brings the Romanticists to mind. They, more than any others, were gifted with an insight into the life of literary works which has its highest testimony in translation. To be sure, they hardly recognized translation in this sense, but devoted their entire attention to criticism, another, if a lesser, factor in the continued life of literary works. But even though the Romanticists virtually ignored translation in their theoretical writings, their own great translations testify to their sense of the essential nature and the dignity of this literary mode. There is abundant evidence that this sense is not necessarily most pronounced in a poet; in fact, he may be least open to it. Not even literary history suggests the traditional notion that great poets have been eminent translators and lesser poets have been indifferent translators. A number of the most eminent ones, such as Luther, Voss, and Schlegel, are incomparably more important as translators than as creative writers; some of the great among them, such as Hölderlin and Stefan George, cannot be simply subsumed as poets, and quite particularly not if we consider them as translators. As translation is a mode of its own, the task of the translator, too, may be regarded as distinct and clearly differentiated from the task of the poet.
The task of the translator consists in finding that intended effect [Intention] upon the language into which he is translating which produces in it the echo of the original. This is a feature of translation which basically differentiates it from the poet's work, because the effort of the latter is never directed at the language as such, at its totality, but solely and immediately at specific linguistic contextual aspects. Unlike a work of literature, translation does not find itself in the center of the language forest but on the outside facing the wooded ridge; it calls into it without entering, aiming at that single spot where the echo is able to give, in its own language, the reverberation of the work in the alien one. Not only does the aim of translation differ from that of a literary work—it intends language as a whole, taking an individual work in an alien language as a point of departure—but it is a different effort altogether. The intention of the poet is spontaneous, primary, graphic; that of the translator is derivative,
The Task of the Translator
ultimate, ideational. For the great motif of integrating many tongues into one true language is at work. This language is one in which the independent sentences, works of literature, critical judgments, will never communicate—for they remain dependent on translation; but in it the languages themselves, supplemented and reconciled in their mode of signification, harmonize. If there is such a thing as a language of truth, the tensionless and even silent depository of the ultimate truth which all thought strives for, then this language of truth is—the true language. And this very language, whose divination and description is the only perfection a philosopher can hope for, is concealed in concentrated fashion in translations. There is no muse of philosophy, nor is there one of translation. But despite the claims of sentimental artists, these two are not banalistic. For there is a philosophical genius that is characterized by a yearning for that language which manifests itself in translations. "Les langues imparfaites en cela que plusieurs, manque la suprême: penser étant écrire sans accessoires, ni chuchotement mais tacite encore l'immortelle parole, la diversité, sur terre, des idiomes empêche personne de proférer les mots qui, sinon se trouveraient, par une frappe unique, elle-même matériellement la vérité." * If what Mallarmé evokes here is fully fathomable to a philosopher, translation, with its rudiments of such a language, is midway between poetry and doctrine. Its products are less sharply defined, but it leaves no less of a mark on history.
If the task of the translator is viewed in this light, the roads toward a solution seem to be all the more obscure and impenetrable. Indeed, the problem of ripening the seed of pure language in a translation seems to be insoluble, determinable in no solution. For is not the ground cut from under such a solution if the reproduction of the sense ceases to be decisive? Viewed negatively, this is actually the meaning of all the foregoing. The traditional
* "The imperfection of languages consists in their plurality, the supreme one is lacking: thinking is writing without accessories or even whispering, the immortal word still remains silent; the diversity of idioms on earth prevents everybody from uttering the words which otherwise, at one single stroke, would materialize as truth."
concepts in any discussion of translations are fidelity and license—the freedom of faithful reproduction and, in its service, fidelity to the word. These ideas seem to be no longer serviceable to a theory that looks for other things in a translation than reproduction of meaning. To be sure, traditional usage makes these terms appear as if in constant conflict with each other. What can fidelity really do for the rendering of meaning? Fidelity in the translation of individual words can almost never fully reproduce the meaning they have in the original. For sense in its poetic significance is not limited to meaning, but derives from the connotations conveyed by the word chosen to express it. We say of words that they have emotional connotations. A literal rendering of the syntax completely demolishes the theory of reproduction of meaning and is a direct threat to comprehensibility. The nineteenth century considered Hölderlin’s translations of Sophocles as monstrous examples of such literalness. Finally, it is self-evident how greatly fidelity in reproducing the form impedes the rendering of the sense. Thus no case for literalness can be based on a desire to retain the meaning. Meaning is served far better—and literature and language far worse—by the unrestrained license of bad translators. Of necessity, therefore, the demand for literalness, whose justification is obvious, whose legitimate ground is quite obscure, must be understood in a more meaningful context. Fragments of a vessel which are to be glued together must match one another in the smallest details, although they need not be like one another. In the same way a translation, instead of resembling the meaning of the original, must lovingly and in detail incorporate the original’s mode of signification, thus making both the original and the translation recognizable as fragments of a greater language, just as fragments are part of a vessel. For this very reason translation must in large measure refrain from wanting to communicate something, from rendering the sense, and in this the original is important to it only insofar as it has already relieved the translator and his translation of the effort of assembling and expressing what is to be conveyed. In the realm of translation, too, the words ἐν ἀρχῇ ἦν ὁ λόγος [in the beginning was the word] apply. On the other hand, as regards the meanThe Task of the Translator
ing, the language of a translation can—in fact, must—let itself go, so that it gives voice to the intentio of the original not as reproduction but as harmony, as a supplement to the language in which it expresses itself, as its own kind of intentio. Therefore it is not the highest praise of a translation, particularly in the age of its origin, to say that it reads as if it had originally been written in that language. Rather, the significance of fidelity as ensured by literalness is that the work reflects the great longing for linguistic complementation. A real translation is transparent; it does not cover the original, does not block its light, but allows the pure language, as though reinforced by its own medium, to shine upon the original all the more fully. This may be achieved, above all, by a literal rendering of the syntax which proves words rather than sentences to be the primary element of the translator. For if the sentence is the wall before the language of the original, literalness is the arcade.
Fidelity and freedom in translation have traditionally been regarded as conflicting tendencies. This deeper interpretation of the one apparently does not serve to reconcile the two; in fact, it seems to deny the other all justification. For what is meant by freedom but that the rendering of the sense is no longer to be regarded as all-important? Only if the sense of a linguistic creation may be equated with the information it conveys does some ultimate, decisive element remain beyond all communication—quite close and yet infinitely remote, concealed or distinguishable, fragmented or powerful. In all language and linguistic creations there remains in addition to what can be conveyed something that cannot be communicated; depending on the context in which it appears, it is something that symbolizes or something symbolized. It is the former only in the finite products of language, the latter in the evolving of the languages themselves. And that which seeks to represent, to produce itself in the evolving of languages, is that very nucleus of pure language. Though concealed and fragmentary, it is an active force in life as the symbolized thing itself, whereas it inhabits linguistic creations only in symbolized form. While that ultimate essence, pure language, in the various tongues is tied only to linguistic elements and
their changes, in linguistic creations it is weighted with a heavy, alien meaning. To relieve it of this, to turn the symbolizing into the symbolized, to regain pure language fully formed in the linguistic flux, is the tremendous and only capacity of translation. In this pure language—which no longer means or expresses anything but is, as expressionless and creative Word, that which is meant in all languages—all information, all sense, and all intention finally encounter a stratum in which they are destined to be extinguished. This very stratum furnishes a new and higher justification for free translation; this justification does not derive from the sense of what is to be conveyed, for the emancipation from this sense is the task of fidelity. Rather, for the sake of pure language, a free translation bases the test on its own language. It is the task of the translator to release in his own language that pure language which is under the spell of another, to liberate the language imprisoned in a work in his re-creation of that work. For the sake of pure language he breaks through decayed barriers of his own language. Luther, Voss, Hölderlin, and George have extended the boundaries of the German language.—And what of the sense in its importance for the relationship between translation and original? A simile may help here. Just as a tangent touches a circle lightly and at but one point, with this touch rather than with the point setting the law according to which it is to continue on its straight path to infinity, a translation touches the original lightly and only at the infinitely small point of the sense, thereupon pursuing its own course according to the laws of fidelity in the freedom of linguistic flux. Without explicitly naming or substantiating it, Rudolf Pannwitz has characterized the true significance of this freedom. His observations are contained in *Die Krisis der europäischen Kultur* and rank with Goethe’s Notes to the *Westöstlicher Divan* as the best comment on the theory of translation that has been published in Germany. Pannwitz writes: “Our translations, even the best ones, proceed from a wrong premise. They want to turn Hindi, Greek, English into German instead of turning German into Hindi, Greek, English. Our translators have a far greater reverence for the usage of their own language than for the spirit of the foreign works.”
The Task of the Translator
... The basic error of the translator is that he preserves the state in which his own language happens to be instead of allowing his language to be powerfully affected by the foreign tongue. Particularly when translating from a language very remote from his own he must go back to the primal elements of language itself and penetrate to the point where work, image, and tone converge. He must expand and deepen his language by means of the foreign language. It is not generally realized to what extent this is possible, to what extent any language can be transformed, how language differs from language almost the way dialect differs from dialect; however, this last is true only if one takes language seriously enough, not if one takes it lightly."
The extent to which a translation manages to be in keeping with the nature of this mode is determined objectively by the translatability of the original. The lower the quality and distinction of its language, the larger the extent to which it is information, the less fertile a field is it for translation, until the utter preponderance of content, far from being the lever for a translation of distinctive mode, renders it impossible. The higher the level of a work, the more does it remain translatable even if its meaning is touched upon only fleetingly. This, of course, applies to originals only. Translations, on the other hand, prove to be untranslatable not because of any inherent difficulty, but because of the looseness with which meaning attaches to them. Confirmation of this as well as of every other important aspect is supplied by Hölderlin's translations, particularly those of the two tragedies by Sophocles. In them the harmony of the languages is so profound that sense is touched by language only the way an aeolian harp is touched by the wind. Hölderlin's translations are prototypes of their kind; they are to even the most perfect renderings of their texts as a prototype is to a model. This can be demonstrated by comparing Hölderlin's and Rudolf Borchardt's translations of Pindar's Third Pythian Ode. For this very reason Hölderlin's translations in particular are subject to the enormous danger inherent in all translations: the gates of a language thus expanded and modified may slam shut and enclose the translator with silence. Hölderlin's translations from Sophocles were his last
work; in them meaning plunges from abyss to abyss until it threatens to become lost in the bottomless depths of language. There is, however, a stop. It is vouchsafed to Holy Writ alone, in which meaning has ceased to be the watershed for the flow of language and the flow of revelation. Where a text is identical with truth or dogma, where it is supposed to be "the true language" in all its literalness and without the mediation of meaning, this text is unconditionally translatable. In such case translations are called for only because of the plurality of languages. Just as, in the original, language and revelation are one without any tension, so the translation must be one with the original in the form of the interlinear version, in which literalness and freedom are united. For to some degree all great texts contain their potential translation between the lines; this is true to the highest degree of sacred writings. The interlinear version of the Scriptures is the prototype or ideal of all translation.
Familiar though his name may be to us, the storyteller in his living immediacy is by no means a present force. He has already become something remote from us and something that is getting even more distant. To present someone like Leskov as a storyteller does not mean bringing him closer to us but, rather, increasing our distance from him. Viewed from a certain distance, the great, simple outlines which define the storyteller stand out in him, or rather, they become visible in him, just as in a rock a human head or an animal's body may appear to an observer at the proper distance and angle of vision. This distance and this angle of vision are prescribed for us by an experience which we may have almost every day. It teaches us that the art of storytelling is coming to an end. Less and less frequently do we encounter people with the ability to tell a tale properly. More and more often there is embarrassment all around when the wish to hear a story is expressed. It is as if something that seemed inalienable to us, the securest among our possessions, were taken from us: the ability to exchange experiences.
One reason for this phenomenon is obvious: experience has
fallen in value. And it looks as if it is continuing to fall into bottomlessness. Every glance at a newspaper demonstrates that it has reached a new low, that our picture, not only of the external world but of the moral world as well, overnight has undergone changes which were never thought possible. With the [First] World War a process began to become apparent which has not halted since then. Was it not noticeable at the end of the war that men returned from the battlefield grown silent—not richer, but poorer in communicable experience? What ten years later was poured out in the flood of war books was anything but experience that goes from mouth to mouth. And there was nothing remarkable about that. For never has experience been contradicted more thoroughly than strategic experience by tactical warfare, economic experience by inflation, bodily experience by mechanical warfare, moral experience by those in power. A generation that had gone to school on a horse-drawn streetcar now stood under the open sky in a countryside in which nothing remained unchanged but the clouds, and beneath these clouds, in a field of force of destructive torrents and explosions, was the tiny, fragile human body.
II
Experience which is passed on from mouth to mouth is the source from which all storytellers have drawn. And among those who have written down the tales, it is the great ones whose written version differs least from the speech of the many nameless storytellers. Incidentally, among the last named there are two groups which, to be sure, overlap in many ways. And the figure of the storyteller gets its full corporeality only for the one who can picture them both. "When someone goes on a trip, he has something to tell about," goes the German saying, and people imagine the storyteller as someone who has come from afar. But they enjoy no less listening to the man who has stayed at home, making an honest living, and who knows the local tales and traditions. If one wants to picture these two groups through their archaic representatives, one is embodied in the resident tiller of
The Storyteller
the soil, and the other in the trading seaman. Indeed, each sphere of life has, as it were, produced its own tribe of storytellers. Each of these tribes preserves some of its characteristics centuries later. Thus, among nineteenth-century German storytellers, writers like Hebel and Gotthelf stem from the first tribe, writers like Sealsfield and Gerstäcker from the second. With these tribes, however, as stated above, it is only a matter of basic types. The actual extension of the realm of storytelling in its full historical breadth is inconceivable without the most intimate interpenetration of these two archaic types. Such an interpenetration was achieved particularly by the Middle Ages in their trade structure. The resident master craftsman and the traveling journeymen worked together in the same rooms; and every master had been a traveling journeyman before he settled down in his home town or somewhere else. If peasants and seamen were past masters of storytelling, the artisan class was its university. In it was combined the lore of faraway places, such as a much-traveled man brings home, with the lore of the past, as it best reveals itself to natives of a place.
Leskov was at home in distant places as well as distant times. He was a member of the Greek Orthodox Church, a man with genuine religious interests. But he was a no less sincere opponent of ecclesiastic bureaucracy. Since he was not able to get along any better with secular officialdom, the official positions he held were not of long duration. Of all his posts, the one he held for a long time as Russian representative of a big English firm was presumably the most useful one for his writing. For this firm he traveled through Russia, and these trips advanced his worldly wisdom as much as they did his knowledge of conditions in Russia. In this way he had an opportunity of becoming acquainted with the organization of the sects in the country. This left its mark on his works of fiction. In the Russian legends Leskov saw allies in his fight against Orthodox bureaucracy. There are a number of his legendary tales whose focus is a righteous man,
seldom an ascetic, usually a simple, active man who becomes a saint apparently in the most natural way in the world. Mystical exaltation is not Leskov's forte. Even though he occasionally liked to indulge in the miraculous, even in piousness he prefers to stick with a sturdy nature. He sees the prototype in the man who finds his way about the world without getting too deeply involved with it.
He displayed a corresponding attitude in worldly matters. It is in keeping with this that he began to write late, at the age of twenty-nine. That was after his commercial travels. His first printed work was entitled "Why Are Books Expensive in Kiev?" A number of other writings about the working class, alcoholism, police doctors, and unemployed salesmen are precursors of his works of fiction.
An orientation toward practical interests is characteristic of many born storytellers. More pronouncedly than in Leskov this trait can be recognized, for example, in Gotthelf, who gave his peasants agricultural advice; it is found in Nodier, who concerned himself with the perils of gas light; and Hebel, who slipped bits of scientific instruction for his readers into his *Schatzkästlein*, is in this line as well. All this points to the nature of every real story. It contains, openly or covertly, something useful. The usefulness may, in one case, consist in a moral; in another, in some practical advice; in a third, in a proverb or maxim. In every case the storyteller is a man who has counsel for his readers. But if today "having counsel" is beginning to have an old-fashioned ring, this is because the communicability of experience is decreasing. In consequence we have no counsel either for ourselves or for others. After all, counsel is less an answer to a question than a proposal concerning the continuation of a story which is just unfolding. To seek this counsel one would first have to be able to tell the story. (Quite apart from the fact that a man is receptive to counsel only to the extent that he allows his situation to speak.) Counsel woven into the fabric of
The Storyteller
real life is wisdom. The art of storytelling is reaching its end because the epic side of truth, wisdom, is dying out. This, however, is a process that has been going on for a long time. And nothing would be more fatuous than to want to see in it merely a "symptom of decay," let alone a "modern" symptom. It is, rather, only a concomitant symptom of the secular productive forces of history, a concomitant that has quite gradually removed narrative from the realm of living speech and at the same time is making it possible to see a new beauty in what is vanishing.
v
The earliest symptom of a process whose end is the decline of storytelling is the rise of the novel at the beginning of modern times. What distinguishes the novel from the story (and from the epic in the narrower sense) is its essential dependence on the book. The dissemination of the novel became possible only with the invention of printing. What can be handed on orally, the wealth of the epic, is of a different kind from what constitutes the stock in trade of the novel. What differentiates the novel from all other forms of prose literature—the fairy tale, the legend, even the novella—is that it neither comes from oral tradition nor goes into it. This distinguishes it from storytelling in particular. The storyteller takes what he tells from experience—his own or that reported by others. And he in turn makes it the experience of those who are listening to his tale. The novelist has isolated himself. The birthplace of the novel is the solitary individual, who is no longer able to express himself by giving examples of his most important concerns, is himself uncounseled, and cannot counsel others. To write a novel means to carry the incommensurable to extremes in the representation of human life. In the midst of life's fullness, and through the representation of this fullness, the novel gives evidence of the profound perplexity of the living. Even the first great book of the genre, *Don Quixote*, teaches how the spiritual greatness, the boldness, the helpfulness of one of the noblest of men, Don Quixote, are completely devoid of counsel and do not contain the slightest scintilla of wisdom. If now and then, in the course of the centuries, efforts have been made—most effectively, perhaps, in *Wilhelm Meisters Wanderjahre*—to implant instruction in the novel, these attempts have always amounted to a modification of the novel form. The *Bildungsroman*, on the other hand, does not deviate in any way from the basic structure of the novel. By integrating the social process with the development of a person, it bestows the most frangible justification on the order determining it. The legitimacy it provides stands in direct opposition to reality. Particularly in the *Bildungsroman*, it is this inadequacy that is actualized.
One must imagine the transformation of epic forms occurring in rhythms comparable to those of the change that has come over the earth's surface in the course of thousands of centuries. Hardly any other forms of human communication have taken shape more slowly, been lost more slowly. It took the novel, whose beginnings go back to antiquity, hundreds of years before it encountered in the evolving middle class those elements which were favorable to its flowering. With the appearance of these elements, storytelling began quite slowly to recede into the archaic; in many ways, it is true, it took hold of the new material, but it was not really determined by it. On the other hand, we recognize that with the full control of the middle class, which has the press as one of its most important instruments in fully developed capitalism, there emerges a form of communication which, no matter how far back its origin may lie, never before influenced the epic form in a decisive way. But now it does exert such an influence. And it turns out that it confronts storytelling as no less of a stranger than did the novel, but in a more menacing way, and that it also brings about a crisis in the novel. This new form of communication is information.
Villemessant, the founder of *Le Figaro*, characterized the nature of information in a famous formulation. "To my readers," he used to say, "an attic fire in the Latin Quarter is more important
than a revolution in Madrid." This makes strikingly clear that it is no longer intelligence coming from afar, but the information which supplies a handle for what is nearest that gets the readiest hearing. The intelligence that came from afar—whether the spatial kind from foreign countries or the temporal kind of tradition—possessed an authority which gave it validity, even when it was not subject to verification. Information, however, lays claim to prompt verifiability. The prime requirement is that it appear "understandable in itself." Often it is no more exact than the intelligence of earlier centuries was. But while the latter was inclined to borrow from the miraculous, it is indispensable for information to sound plausible. Because of this it proves incompatible with the spirit of storytelling. If the art of storytelling has become rare, the dissemination of information has had a decisive share in this state of affairs.
Every morning brings us the news of the globe, and yet we are poor in noteworthy stories. This is because no event any longer comes to us without already being shot through with explanation. In other words, by now almost nothing that happens benefits storytelling; almost everything benefits information. Actually, it is half the art of storytelling to keep a story free from explanation as one reproduces it. Leskov is a master at this (compare pieces like "The Deception" and "The White Eagle"). The most extraordinary things, marvelous things, are related with the greatest accuracy, but the psychological connection of the events is not forced on the reader. It is left up to him to interpret things the way he understands them, and thus the narrative achieves an amplitude that information lacks.
Leskov was grounded in the classics. The first storyteller of the Greeks was Herodotus. In the fourteenth chapter of the third book of his *Histories* there is a story from which much can be learned. It deals with Psammenitus.
When the Egyptian king Psammenitus had been beaten and captured by the Persian king Cambyses, Cambyses was bent on
humbling his prisoner. He gave orders to place Psammenitus on the road along which the Persian triumphal procession was to pass. And he further arranged that the prisoner should see his daughter pass by as a maid going to the well with her pitcher. While all the Egyptians were lamenting and bewailing this spectacle, Psammenitus stood alone, mute and motionless, his eyes fixed on the ground; and when presently he saw his son, who was being taken along in the procession to be executed, he likewise remained unmoved. But when afterwards he recognized one of his servants, an old, impoverished man, in the ranks of the prisoners, he beat his fists against his head and gave all the signs of deepest mourning.
From this story it may be seen what the nature of true storytelling is. The value of information does not survive the moment in which it was new. It lives only at that moment; it has to surrender to it completely and explain itself to it without losing any time. A story is different. It does not expend itself. It preserves and concentrates its strength and is capable of releasing it even after a long time. Thus Montaigne referred to this Egyptian king and asked himself why he mourned only when he caught sight of his servant. Montaigne answers: "Since he was already overfull of grief, it took only the smallest increase for it to burst through its dams." Thus Montaigne. But one could also say: The king is not moved by the fate of those of royal blood, for it is his own fate. Or: We are moved by much on the stage that does not move us in real life; to the king, this servant is only an actor. Or: Great grief is pent up and breaks forth only with relaxation. Seeing this servant was the relaxation. Herodotus offers no explanations. His report is the driest. That is why this story from ancient Egypt is still capable after thousands of years of arousing astonishment and thoughtfulness. It resembles the seeds of grain which have lain for centuries in the chambers of the pyramids shut up air-tight and have retained their germinative power to this day.
There is nothing that commends a story to memory more effectively than that chaste compactness which precludes psychological analysis. And the more natural the process by which the storyteller forgoes psychological shading, the greater becomes the story's claim to a place in the memory of the listener, the more completely is it integrated into his own experience, the greater will be his inclination to repeat it to someone else someday, sooner or later. This process of assimilation, which takes place in depth, requires a state of relaxation which is becoming rarer and rarer. If sleep is the apogee of physical relaxation, boredom is the apogee of mental relaxation. Boredom is the dream bird that hatches the egg of experience. A rustling in the leaves drives him away. His nesting places—the activities that are intimately associated with boredom—are already extinct in the cities and are declining in the country as well. With this the gift for listening is lost and the community of listeners disappears. For storytelling is always the art of repeating stories, and this art is lost when the stories are no longer retained. It is lost because there is no more weaving and spinning to go on while they are being listened to. The more self-forgetful the listener is, the more deeply is what he listens to impressed upon his memory. When the rhythm of work has seized him, he listens to the tales in such a way that the gift of retelling them comes to him all by itself. This, then, is the nature of the web in which the gift of storytelling is cradled. This is how today it is becoming unraveled at all its ends after being woven thousands of years ago in the ambience of the oldest forms of craftsmanship.
The storytelling that thrives for a long time in the milieu of work—the rural, the maritime, and the urban—is itself an artisan form of communication, as it were. It does not aim to convey the pure essence of the thing, like information or a report. It sinks the thing into the life of the storyteller, in order to bring it out
of him again. Thus traces of the storyteller cling to the story the way the handprints of the potter cling to the clay vessel. Storytellers tend to begin their story with a presentation of the circumstances in which they themselves have learned what is to follow, unless they simply pass it off as their own experience. Leskov begins his "Deception" with the description of a train trip on which he supposedly heard from a fellow passenger the events which he then goes on to relate; or he thinks of Dostoevsky's funeral, where he sets his acquaintance with the heroine of his story "A Propos of the Kreutzer Sonata"; or he evokes a gathering of a reading circle in which we are told the events that he reproduces for us in his "Interesting Men." Thus his tracks are frequently evident in his narratives, if not as those of the one who experienced it, then as those of the one who reports it.
This craftsmanship, storytelling, was actually regarded as a craft by Leskov himself. "Writing," he says in one of his letters, "is to me no liberal art, but a craft." It cannot come as a surprise that he felt bonds with craftsmanship, but faced industrial technology as a stranger. Tolstoy, who must have understood this, occasionally touches this nerve of Leskov's storytelling talent when he calls him the first man "who pointed out the inadequacy of economic progress. . . . It is strange that Dostoevsky is so widely read. . . . But I simply cannot comprehend why Leskov is not read. He is a truthful writer." In his artful and high-spirited story "The Steel Flea," which is midway between legend and farce, Leskov glorifies native craftsmanship through the silversmiths of Tula. Their masterpiece, the steel flea, is seen by Peter the Great and convinces him that the Russians need not be ashamed before the English.
The intellectual picture of the atmosphere of craftsmanship from which the storyteller comes has perhaps never been sketched in such a significant way as by Paul Valéry. "He speaks of the perfect things in nature, flawless pearls, full-bodied, matured wines, truly developed creatures, and calls them 'the precious product of a long chain of causes similar to one another.'" The accumulation of such causes has its temporal limit only at perfection. "This patient process of Nature," Valéry continues,
The Storyteller
"was once imitated by men. Miniatures, ivory carvings, elaborated to the point of greatest perfection, stones that are perfect in polish and engraving, lacquer work or paintings in which a series of thin, transparent layers are placed one on top of the other—all these products of sustained, sacrificing effort are vanishing, and the time is past in which time did not matter. Modern man no longer works at what cannot be abbreviated."
In point of fact, he has succeeded in abbreviating even storytelling. We have witnessed the evolution of the "short story," which has removed itself from oral tradition and no longer permits that slow piling one on top of the other of thin, transparent layers which constitutes the most appropriate picture of the way in which the perfect narrative is revealed through the layers of a variety of retellings.
Valéry concludes his observations with this sentence: "It is almost as if the decline of the idea of eternity coincided with the increasing aversion to sustained effort." The idea of eternity has ever had its strongest source in death. If this idea declines, so we reason, the face of death must have changed. It turns out that this change is identical with the one that has diminished the communicability of experience to the same extent as the art of storytelling has declined.
It has been observable for a number of centuries how in the general consciousness the thought of death has declined in omnipresence and vividness. In its last stages this process is accelerated. And in the course of the nineteenth century bourgeois society has, by means of hygienic and social, private and public institutions, realized a secondary effect which may have been its subconscious main purpose: to make it possible for people to avoid the sight of the dying. Dying was once a public process in the life of the individual and a most exemplary one; think of the medieval pictures in which the deathbed has turned into a throne toward which the people press through the wide-open doors of the death house. In the course of modern times dying
has been pushed further and further out of the perceptual world of the living. There used to be no house, hardly a room, in which someone had not once died. (The Middle Ages also felt spatially what makes that inscription on a sun dial of Ibiza, *Ultima multii* [the last day for many], significant as the temper of the times.) Today people live in rooms that have never been touched by death, dry dwellers of eternity, and when their end approaches they are stowed away in sanatoria or hospitals by their heirs. It is, however, characteristic that not only a man’s knowledge or wisdom, but above all his real life—and this is the stuff that stories are made of—first assumes transmissible form at the moment of his death. Just as a sequence of images is set in motion inside a man as his life comes to an end—unfolding the views of himself under which he has encountered himself without being aware of it—suddenly in his expressions and looks the unforgettable emerges and imparts to everything that concerned him that authority which even the poorest wretch in dying possesses for the living around him. This authority is at the very source of the story.
Death is the sanction of everything that the storyteller can tell. He has borrowed his authority from death. In other words, it is natural history to which his stories refer back. This is expressed in exemplary form in one of the most beautiful stories we have by the incomparable Johann Peter Hebel. It is found in the *Schatzkästlein des rheinischen Hausfreundes*, is entitled “Unexpected Reunion,” and begins with the betrothal of a young lad who works in the mines of Falun. On the eve of his wedding he dies a miner’s death at the bottom of his tunnel. His bride keeps faith with him after his death, and she lives long enough to become a wizened old woman; one day a body is brought up from the abandoned tunnel which, saturated with iron vitriol, has escaped decay, and she recognizes her betrothed. After this reunion she too is called away by death. When Hebel, in the course of this story, was confronted with the necessity of making
this long period of years graphic, he did so in the following sentences: "In the meantime the city of Lisbon was destroyed by an earthquake, and the Seven Years' War came and went, and Emperor Francis I died, and the Jesuit Order was abolished, and Poland was partitioned, and Empress Maria Theresa died, and Struensee was executed. America became independent, and the united French and Spanish forces were unable to capture Gibraltar. The Turks locked up General Stein in the Veteraner Cave in Hungary, and Emperor Joseph died also. King Gustavus of Sweden conquered Russian Finland, and the French Revolution and the long war began, and Emperor Leopold II went to his grave too. Napoleon captured Prussia, and the English bombarded Copenhagen, and the peasants sowed and harvested. The millers ground, the smiths hammered, and the miners dug for veins of ore in their underground workshops. But when in 1809 the miners at Falun . . ."
Never has a storyteller embedded his report deeper in natural history than Hebel manages to do in this chronology. Read it carefully. Death appears in it with the same regularity as the Reaper does in the processions that pass around the cathedral clock at noon.
Any examination of a given epic form is concerned with the relationship of this form to historiography. In fact, one may go even further and raise the question whether historiography does not constitute the common ground of all forms of the epic. Then written history would be in the same relationship to the epic forms as white light is to the colors of the spectrum. However this may be, among all forms of the epic there is not one whose incidence in the pure, colorless light of written history is more certain than the chronicle. And in the broad spectrum of the chronicle the ways in which a story can be told are graduated like shadings of one and the same color. The chronicler is the history-teller. If we think back to the passage from Hebel, which has the tone of a chronicle throughout, it will take no effort to gauge
the difference between the writer of history, the historian, and the teller of it, the chronicler. The historian is bound to explain in one way or another the happenings with which he deals; under no circumstances can he content himself with displaying them as models of the course of the world. But this is precisely what the chronicler does, especially in his classical representatives, the chroniclers of the Middle Ages, the precursors of the historians of today. By basing their historical tales on a divine plan of salvation—an inscrutable one—they have from the very start lifted the burden of demonstrable explanation from their own shoulders. Its place is taken by interpretation, which is not concerned with an accurate concatenation of definite events, but with the way these are embedded in the great inscrutable course of the world.
Whether this course is eschatologically determined or is a natural one makes no difference. In the storyteller the chronicler is preserved in changed form, secularized, as it were. Leskov is among those whose work displays this with particular clarity. Both the chronicler with his eschatological orientation and the storyteller with his profane outlook are so represented in his works that in a number of his stories it can hardly be decided whether the web in which they appear is the golden fabric of a religious view of the course of things, or the multicolored fabric of a worldly view.
Consider the story "The Alexandrite," which transports the reader into "that old time when the stones in the womb of the earth and the planets at celestial heights were still concerned with the fate of men, and not today when both in the heavens and beneath the earth everything has grown indifferent to the fates of the sons of men and no voice speaks to them from anywhere, let alone does their bidding. None of the undiscovered planets play any part in horoscopes any more, and there are a lot of new stones, all measured and weighed and examined for their specific weight and their density, but they no longer proclaim anything to us, nor do they bring us any benefit. Their time for speaking with men is past."
As is evident, it is hardly possible unambiguously to characThe Storyteller
terize the course of the world that is illustrated in this story of Leskov's. Is it determined eschatologically or naturalistically? The only certain thing is that in its very nature it is by definition outside all real historical categories. Leskov tells us that the epoch in which man could believe himself to be in harmony with nature has expired. Schiller called this epoch in the history of the world the period of naïve poetry. The storyteller keeps faith with it, and his eyes do not stray from that dial in front of which there moves the procession of creatures of which, depending on circumstances, Death is either the leader or the last wretched straggler.
XIII
It has seldom been realized that the listener's naïve relationship to the storyteller is controlled by his interest in retaining what he is told. The cardinal point for the unaffected listener is to assure himself of the possibility of reproducing the story. Memory is the epic faculty par excellence. Only by virtue of a comprehensive memory can epic writing absorb the course of events on the one hand and, with the passing of these, make its peace with the power of death on the other. It is not surprising that to a simple man of the people, such as Leskov once invented, the Czar, the head of the sphere in which his stories take place, has the most encyclopedic memory at his command. "Our Emperor," he says, "and his entire family have indeed a most astonishing memory."
Mnemosyne, the rememberer, was the Muse of the epic art among the Greeks. This name takes the observer back to a parting of the ways in world history. For if the record kept by memory—historiography—constitutes the creative matrix of the various epic forms (as great prose is the creative matrix of the various metrical forms), its oldest form, the epic, by virtue of being a kind of common denominator includes the story and the novel. When in the course of centuries the novel began to emerge from the womb of the epic, it turned out that in the novel the element of the epic mind that is derived from the Muse—that is,
memory—manifests itself in a form quite different from the way it manifests itself in the story.
Memory creates the chain of tradition which passes a happening on from generation to generation. It is the Muse-derived element of the epic art in a broader sense and encompasses its varieties. In the first place among these is the one practiced by the storyteller. It starts the web which all stories together form in the end. One ties on to the next, as the great storytellers, particularly the Oriental ones, have always readily shown. In each of them there is a Scheherazade who thinks of a fresh story whenever her tale comes to a stop. This is epic remembrance and the Muse-inspired element of the narrative. But this should be set against another principle, also a Muse-derived element in a narrower sense, which as an element of the novel in its earliest form—that is, in the epic—lies concealed, still undifferentiated from the similarly derived element of the story. It can, at any rate, occasionally be divined in the epics, particularly at moments of solemnity in the Homeric epics, as in the invocations to the Muse at their beginning. What announces itself in these passages is the perpetuating remembrance of the novelist as contrasted with the short-lived reminiscences of the storyteller. The first is dedicated to one hero, one odyssey, one battle; the second, to many diffuse occurrences. It is, in other words, remembrance which, as the Muse-derived element of the novel, is added to reminiscence, the corresponding element of the story, the unity of their origin in memory having disappeared with the decline of the epic.
"No one," Pascal once said, "dies so poor that he does not leave something behind." Surely it is the same with memories too—although these do not always find an heir. The novelist takes charge of this bequest, and seldom without profound melancholy. For what Arnold Bennett says about a dead woman in one of his novels—that she had had almost nothing in the way of real life—is usually true of the sum total of the estate which the novelist administers. Regarding this aspect of the matter we owe the most important elucidation to Georg Lukács, who sees in the novel "the form of transcendental homelessness." According to Lukács, the novel is at the same time the only art form which includes time among its constitutive principles.
"Time," he says in his *Theory of the Novel*, "can become constitutive only when connection with the transcendental home has been lost. Only in the novel are meaning and life, and thus the essential and the temporal, separated; one can almost say that the whole inner action of a novel is nothing else but a struggle against the power of time. . . . And from this . . . arise the genuinely epic experiences of time: hope and memory. . . . Only in the novel . . . does there occur a creative memory which transfixes the object and transforms it. . . . The duality of inwardness and outside world can here be overcome for the subject 'only' when he sees the . . . unity of his entire life . . . out of the past life-stream which is compressed in memory. . . . The insight which grasps this unity . . . becomes the divinatory-intuitive grasping of the unattained and therefore inexpressible meaning of life."
The "meaning of life" is really the center about which the novel moves. But the quest for it is no more than the initial expression of perplexity with which its reader sees himself living this written life. Here "meaning of life"—there "moral of the story": with these slogans novel and story confront each other, and from them the totally different historical co-ordinates of these art forms may be discerned. If *Don Quixote* is the earliest perfect specimen of the novel, its latest exemplar is perhaps the *Education sentimentale*.
In the final words of the last-named novel, the meaning which the bourgeois age found in its behavior at the beginning of its decline has settled like sediment in the cup of life. Frédéric and Deslauriers, the boyhood friends, think back to their youthful friendship. This little incident then occurred: one day they showed up in the bordello of their home town, stealthily and timidly, doing nothing but presenting the *patronne* with a bouquet of flowers which they had picked in their own gardens.
"This story was still discussed three years later. And now they told it to each other in detail, each supplementing the recollection of the other. 'That may have been,' said Frédéric when they had finished, 'the finest thing in our lives.' 'Yes, you may be right,' said Deslauriers, 'that was perhaps the finest thing in our lives.'"
With such an insight the novel reaches an end which is more proper to it, in a stricter sense, than to any story. Actually there is no story for which the question as to how it continued would not be legitimate. The novelist, on the other hand, cannot hope to take the smallest step beyond that limit at which he invites the reader to a divinatory realization of the meaning of life by writing "Finis."
A man listening to a story is in the company of the storyteller; even a man reading one shares this companionship. The reader of a novel, however, is isolated, more so than any other reader. (For even the reader of a poem is ready to utter the words, for the benefit of the listener.) In this solitude of his, the reader of a novel seizes upon his material more jealously than anyone else. He is ready to make it completely his own, to devour it, as it were. Indeed, he destroys, he swallows up the material as the fire devours logs in the fireplace. The suspense which permeates the novel is very much like the draft which stimulates the flame in the fireplace and enlivens its play.
It is a dry material on which the burning interest of the reader feeds. "A man who dies at the age of thirty-five," said Moritz Heimann once, "is at every point of his life a man who dies at the age of thirty-five." Nothing is more dubious than this sentence—but for the sole reason that the tense is wrong. A man—so says the truth that was meant here—who died at thirty-five will appear to remembrance at every point in his life as a man who dies at the age of thirty-five. In other words, the statement that makes no sense for real life becomes indisputable for remembered life. The nature of the character in a novel cannot be presented any better than is done in this statement, which says that the "meanThe Storyteller
ing" of his life is revealed only in his death. But the reader of a novel actually does look for human beings from whom he derives the "meaning of life." Therefore he must, no matter what, know in advance that he will share their experience of death: if need be their figurative death—the end of the novel—but preferably their actual one. How do the characters make him understand that death is already waiting for them—a very definite death and at a very definite place? That is the question which feeds the reader's consuming interest in the events of the novel.
The novel is significant, therefore, not because it presents someone else's fate to us, perhaps didactically, but because this stranger's fate by virtue of the flame which consumes it yields us the warmth which we never draw from our own fate. What draws the reader to the novel is the hope of warming his shivering life with a death he reads about.
xvi
"Leskov," writes Gorky, "is the writer most deeply rooted in the people and is completely untouched by any foreign influences." A great storyteller will always be rooted in the people, primarily in a milieu of craftsmen. But just as this includes the rural, the maritime, and the urban elements in the many stages of their economic and technical development, there are many gradations in the concepts in which their store of experience comes down to us. (To say nothing of the by no means insignificant share which traders had in the art of storytelling; their task was less to increase its didactic content than to refine the tricks with which the attention of the listener was captured. They have left deep traces in the narrative cycle of The Arabian Nights.) In short, despite the primary role which storytelling plays in the household of humanity, the concepts through which the yield of the stories may be garnered are manifold. What may most readily be put in religious terms in Leskov seems almost automatically to fall into place in the pedagogical perspectives of the Enlightenment in Hebel, appears as hermetic tradition in Poe, finds a last refuge in Kipling in the life of British seamen and
colonial soldiers. All great storytellers have in common the freedom with which they move up and down the rungs of their experience as on a ladder. A ladder extending downward to the interior of the earth and disappearing into the clouds is the image for a collective experience to which even the deepest shock of every individual experience, death, constitutes no impediment or barrier.
"And they lived happily ever after," says the fairy tale. The fairy tale, which to this day is the first tutor of children because it was once the first tutor of mankind, secretly lives on in the story. The first true storyteller is, and will continue to be, the teller of fairy tales. Whenever good counsel was at a premium, the fairy tale had it, and where the need was greatest, its aid was nearest. This need was the need created by the myth. The fairy tale tells us of the earliest arrangements that mankind made to shake off the nightmare which the myth had placed upon its chest. In the figure of the fool it shows us how mankind "acts dumb" toward the myth; in the figure of the youngest brother it shows us how one's chances increase as the mythical primitive times are left behind; in the figure of the man who sets out to learn what fear is it shows us that the things we are afraid of can be seen through; in the figure of the wiseacre it shows us that the questions posed by the myth are simple-minded, like the riddle of the Sphinx; in the shape of the animals which come to the aid of the child in the fairy tale it shows that nature not only is subservient to the myth, but much prefers to be aligned with man. The wisest thing—so the fairy tale taught mankind in olden times, and teaches children to this day—is to meet the forces of the mythical world with cunning and with high spirits. (This is how the fairy tale polarizes Mut, courage, dividing it dialectically into Untermut, that is, cunning, and Übermut, high spirits.) The liberating magic which the fairy tale has at its disposal does not bring nature into play in a mythical way, but points to its complicity with liberated man. A mature man feels this complicity only occasionally, that is, when he is happy; but the child first meets it in fairy tales, and it makes him happy.
Few storytellers have displayed so profound a kinship with the spirit of the fairy tale as did Leskov. This involves tendencies that were promoted by the dogmas of the Greek Orthodox Church. As is well known, Origen's speculation about *apokatastasis*—the entry of all souls into Paradise—which was rejected by the Roman Church plays a significant part in these dogmas. Leskov was very much influenced by Origen and planned to translate his work *On First Principles*. In keeping with Russian folk belief he interpreted the Resurrection less as a transfiguration than as a disenchantment, in a sense akin to the fairy tale. Such an interpretation of Origen is at the bottom of "The Enchanted Pilgrim." In this, as in many other tales by Leskov, a hybrid between fairy tale and legend is involved, not unlike that hybrid which Ernst Bloch mentions in a connection in which he utilizes our distinction between myth and fairy tale in his fashion.
"A hybrid between fairy tale and legend," he says, "contains figuratively mythical elements, mythical elements whose effect is certainly captivating and static, and yet not outside man. In the legend there are Taoist figures, especially very old ones, which are 'mythical' in this sense. For instance, the couple Philemon and Baucis: magically escaped though in natural repose. And surely there is a similar relationship between fairy tale and legend in the Taoist climate of Gotthelf, which, to be sure, is on a much lower level. At certain points it divorces the legend from the locality of the spell, rescues the flame of life, the specifically human flame of life, calmly burning, within as without."
"Magically escaped" are the beings that lead the procession of Leskov's creations: the righteous ones, Pavlin, Figura, the toupee artiste, the bear keeper, the helpful sentry—all of them embodiments of wisdom, kindness, comfort the world, crowd about the storyteller. They are unmistakably suffused with the *imago* of his mother.
This is how Leskov describes her: "She was so thoroughly good that she was not capable of harming any man, nor even an animal. She ate neither meat nor fish, because she had such pity
for living creatures. Sometimes my father used to reproach her with this. But she answered: 'I have raised the little animals myself, they are like my children to me. I can't eat my own children, can I?' She would not eat meat at a neighbor's house either. 'I have seen them alive,' she would say; 'they are my acquaintances. I can't eat my acquaintances, can I?'"
The righteous man is the advocate for created things and at the same time he is their highest embodiment. In Leskov he has a maternal touch which is occasionally intensified into the mythical (and thus, to be sure, endangers the purity of the fairy tale). Typical of this is the protagonist of his story "Kotin the Provider and Platonida." This figure, a peasant named Pisonski, is a hermaphrodite. For twelve years his mother raised him as a girl. His male and female organs mature simultaneously, and his bisexuality "becomes the symbol of God incarnate."
In Leskov's view, the pinnacle of creation has been attained with this, and at the same time he presumably sees it as a bridge established between this world and the other. For these earthily powerful, maternal male figures which again and again claim Leskov's skill as a storyteller have been removed from obedience to the sexual drive in the bloom of their strength. They do not, however, really embody an ascetic ideal; rather, the continence of these righteous men has so little privative character that it becomes the elemental counterpoise to uncontrolled lust which the storyteller has personified in *Lady Macbeth of Mzensk*. If the range between a Pavlin and this merchant's wife covers the breadth of the world of created beings, in the hierarchy of his characters Leskov has no less plumbed its depth.
The hierarchy of the world of created things, which has its apex in the righteous man, reaches down into the abyss of the inanimate by many gradations. In this connection one particular has to be noted. This whole created world speaks not so much with the human voice as with what could be called "the voice of Nature" in the title of one of Leskov's most significant stories.
The Storyteller
This story deals with the petty official Philip Philipovich who leaves no stone unturned to get the chance to have as his house guest a field marshal passing through his little town. He manages to do so. The guest, who is at first surprised at the clerk’s urgent invitation, gradually comes to believe that he recognizes in him someone he must have met previously. But who is he? He cannot remember. The strange thing is that the host, for his part, is not willing to reveal his identity. Instead, he puts off the high personage from day to day, saying that the “voice of Nature” will not fail to speak distinctly to him one day. This goes on until finally the guest, shortly before continuing on his journey, must grant the host’s public request to let the “voice of Nature” resound. Thereupon the host’s wife withdraws. She “returned with a big, brightly polished, copper hunting horn which she gave to her husband. He took the horn, put it to his lips, and was at the same instant as though transformed. Hardly had he inflated his cheeks and produced a tone as powerful as the rolling of thunder when the field marshal cried: ‘Stop, I’ve got it now, brother. This makes me recognize you at once! You are the bugler from the regiment of jaegers, and because you were so honest I sent you to keep an eye on a crooked supplies supervisor.’ ‘That’s it, Your Excellency,’ answered the host. ‘I didn’t want to remind you of this myself, but wanted to let the voice of Nature speak.’”
The way the profundity of this story is hidden beneath its silliness conveys an idea of Leskov’s magnificent humor. This humor is confirmed in the same story in an even more cryptic way. We have heard that because of his honesty the official was assigned to watch a crooked supplies supervisor. This is what we are told at the end, in the recognition scene. At the very beginning of the story, however, we learn the following about the host: “All the inhabitants of the town were acquainted with the man, and they knew that he did not hold a high office, for he was neither a state official nor a military man, but a little supervisor at the tiny supply depot, where together with the rats he chewed on the state rusks and boot soles, and in the course of time had chewed himself together a nice little frame house.” It
is evident that this story reflects the traditional sympathy which storytellers have for rascals and crooks. All the literature of farce bears witness to it. Nor is it denied on the heights of art; of all Hebel’s characters, the Brassenheim Miller, Tinder Frieder, and Red Dieter have been his most faithful companions. And yet for Hebel, too, the righteous man has the main role in the *theatrum mundi*. But because no one is actually up to this role, it keeps changing hands. Now it is the tramp, now the haggling Jewish peddler, now the man of limited intelligence who steps in to play this part. In every single case it is a guest performance, a moral improvisation. Hebel is a casuist. He will not for anything take a stand with any principle, but he does not reject it either, for any principle can at some time become the instrument of the righteous man. Compare this with Leskov’s attitude. “I realize,” he writes in his story “A Propos of the Kreutzer Sonata,” “that my thinking is based much more on a practical view of life than on abstract philosophy or lofty morality; but I am nevertheless used to thinking the way I do.” To be sure, the moral catastrophes that appear in Leskov’s world are to the moral incidents in Hebel’s world as the great, silent flowing of the Volga is to the babbling, rushing little millstream. Among Leskov’s historical tales there are several in which passions are at work as destructively as the wrath of Achilles or the hatred of Hagen. It is astonishing how fearfully the world can darken for this author and with what majesty evil can raise its scepter. Leskov has evidently known moods—and this is probably one of the few characteristics he shares with Dostoevsky—in which he was close to antinomian ethics. The elemental natures in his *Tales from Olden Times* go to the limit in their ruthless passion. But it is precisely the mystics who have been inclined to see this limit as the point at which utter depravity turns into saintliness.
The lower Leskov descends on the scale of created things the more obviously does his way of viewing things approach the mystical. Actually, as will be shown, there is much evidence that
in this, too, a characteristic is revealed which is inherent in the nature of the storyteller. To be sure, only a few have ventured into the depths of inanimate nature, and in modern narrative literature there is not much in which the voice of the anonymous storyteller, who was prior to all literature, resounds so clearly as it does in Leskov’s story “The Alexandrite.” It deals with a semi-precious stone, the chrysoberyl. The mineral is the lowest stratum of created things. For the storyteller, however, it is directly joined to the highest. To him it is granted to see in this chrysoberyl a natural prophecy of petrified, lifeless nature concerning the historical world in which he himself lives. This world is the world of Alexander II. The storyteller—or rather, the man to whom he attributes his own knowledge—is a gem engraver named Wenzel who has achieved the greatest conceivable skill in his art. One can juxtapose him with the silversmiths of Tula and say that—in the spirit of Leskov—the perfect artisan has access to the innermost chamber of the realm of created things. He is an incarnation of the devout. We are told of this gem cutter: “He suddenly squeezed my hand on which was the ring with the alexandrite, which is known to sparkle red in artificial light, and cried: ‘Look, here it is, the prophetic Russian stone! O crafty Siberian. It was always green as hope and only toward evening was it suffused with blood. It was that way from the beginning of the world, but it concealed itself for a long time, lay hidden in the earth, and permitted itself to be found only on the day when Czar Alexander was declared of age, when a great sorcerer had come to Siberia to find the stone, a magician...’ ‘What nonsense are you talking,’ I interrupted him; ‘this stone wasn’t found by a magician at all, it was a scholar named Norden-skjöld!’ ‘A magician! I tell you, a magician!’ screamed Wenzel in a loud voice. ‘Just look; what a stone! A green morning is in it and a bloody evening... This is fate, the fate of noble Czar Alexander!’ With these words old Wenzel turned to the wall, propped his head on his elbows, and... began to sob.”
One can hardly come any closer to the meaning of this significant story than by some words which Paul Valéry wrote in a very remote context. “Artistic observation,” he says in reflections on a woman artist whose work consisted in the silk embroidery of figures, "can attain an almost mystical depth. The objects on which it falls lose their names. Light and shade form very particular systems, present very individual questions which depend upon no knowledge and are derived from no practice, but get their existence and value exclusively from a certain accord of the soul, the eye, and the hand of someone who was born to perceive them and evoke them in his own inner self."
With these words, soul, eye, and hand are brought into connection. Interacting with one another, they determine a practice. We are no longer familiar with this practice. The role of the hand in production has become more modest, and the place it filled in storytelling lies waste. (After all, storytelling, in its sensory aspect, is by no means a job for the voice alone. Rather, in genuine storytelling the hand plays a part which supports what is expressed in a hundred ways with its gestures trained by work.) That old co-ordination of the soul, the eye, and the hand which emerges in Valéry's words is that of the artisan which we encounter wherever the art of storytelling is at home. In fact, one can go on and ask oneself whether the relationship of the storyteller to his material, human life, is not in itself a craftsman's relationship, whether it is not his very task to fashion the raw material of experience, his own and that of others, in a solid, useful, and unique way. It is a kind of procedure which may perhaps most adequately be exemplified by the proverb if one thinks of it as an ideogram of a story. A proverb, one might say, is a ruin which stands on the site of an old story and in which a moral twines about a happening like ivy around a wall.
Seen in this way, the storyteller joins the ranks of the teachers and sages. He has counsel—not for a few situations, as the proverb does, but for many, like the sage. For it is granted to him to reach back to a whole lifetime (a life, incidentally, that comprises not only his own experience but no little of the experience of others; what the storyteller knows from hearsay is added to his own). His gift is the ability to relate his life; his distinction, to be able to tell his entire life. The storyteller: he is the man who could let the wick of his life be consumed comThe Storyteller
pletely by the gentle flame of his story. This is the basis of the incomparable aura about the storyteller, in Leskov as in Hauff, in Poe as in Stevenson. The storyteller is the figure in which the righteous man encounters himself.
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups.
- **Behavioral Data**: Information about the behaviors and actions of individuals or groups, such as their online activities, purchasing habits, and social interactions.
- **Geospatial Data**: Information about the location and movement of individuals or groups, such as their travel patterns, residential addresses, and work locations.
- **Health Data**: Information about the health and well-being of individuals or groups, such as their medical records, health outcomes, and disease prevalence.
- **Financial Data**: Information about the financial transactions and assets of individuals or groups, such as their bank accounts, investments, and credit scores.
- **Environmental Data**: Information about the natural environment and its impact on individuals or groups, such as air quality, water quality, and climate change.
- **Educational Data**: Information about the educational experiences and achievements of individuals or groups, such as their academic records, test scores, and graduation rates.
- **Legal Data**: Information about the legal status and history of individuals or groups, such as their criminal records, court cases, and legal proceedings.
- **Political Data**: Information about the political affiliations and activities of individuals or groups, such as their voting records, campaign contributions, and political activism.
- **Social Media Data**: Information about the online activities and interactions of individuals or groups, such as their social media profiles, posts, and comments.
- **Sports Data**: Information about the performance and achievements of individuals or groups in sports, such as their game statistics, team rankings, and tournament results.
- **Technology Data**: Information about the use and development of technology by individuals or groups, such as their smartphone usage, app downloads, and software development.
- **Transportation Data**: Information about the transportation systems and infrastructure used by individuals or groups, such as their commute times, travel routes, and public transit usage.
- **Weather Data**: Information about the weather conditions and forecasts for individuals or groups, such as their temperature, humidity, precipitation, and wind speed.
- **Workplace Data**: Information about the workplace environments and practices of individuals or groups, such as their job satisfaction, productivity, and safety measures.
These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. The specific types of data that are relevant to a particular research question will depend on the context and goals of the study.
POTEMKIN
It is related that Potemkin suffered from states of depression which recurred more or less regularly. At such times no one was allowed to go near him, and access to his room was strictly forbidden. This malady was never mentioned at court, and in particular it was known that any allusion to it incurred the disfavor of Empress Catherine. One of the Chancellor's depressions lasted for an extraordinary length of time and brought about serious difficulties; in the offices documents piled up that required Potemkin's signature, and the Empress pressed for their completion. The high officials were at their wits' end. One day an unimportant little clerk named Shuvalkin happened to enter the anteroom of the Chancellor's palace and found the councillors of state assembled there, moaning and groaning as usual. "What is the matter, Your Excellencies?" asked the obliging Shuvalkin. They explained things to him and regretted that they could not use his services. "If that's all it is," said Shuvalkin, "I beg you to let me have those papers." Having nothing to lose, the councillors of state let themselves be persuaded to do so, and with the sheaf of documents under his arm, Shuvalkin set out,
through galleries and corridors, for Potemkin’s bedroom. Without stopping or bothering to knock, he turned the door-handle; the room was not locked. In semidarkness Potemkin was sitting on his bed in a threadbare nightshirt, biting his nails. Shuvalkin stepped up to the writing desk, dipped a pen in ink, and without saying a word pressed it into Potemkin’s hand while putting one of the documents on his knees. Potemkin gave the intruder a vacant stare; then, as though in his sleep, he started to sign—first one paper, then a second, finally all of them. When the last signature had been affixed, Shuvalkin took the papers under his arm and left the room without further ado, just as he had entered it. Waving the papers triumphantly, he stepped into the anteroom. The councillors of state rushed toward him and tore the documents out of his hands. Breathlessly they bent over them. No one spoke a word; the whole group seemed paralyzed. Again Shuvalkin came closer and solicitously asked why the gentlemen seemed so upset. At that point he noticed the signatures. One document after another was signed Shuvalkin . . . Shuvalkin . . . Shuvalkin.
This story is like a herald racing two hundred years ahead of Kafka’s work. The enigma which beclouds it is Kafka’s enigma. The world of offices and registries, of musty, shabby, dark rooms, is Kafka’s world. The obliging Shuvalkin, who makes light of everything and is finally left empty-handed, is Kafka’s K. Potemkin, who vegetates, somnolent and unkempt, in a remote, inaccessible room, is an ancestor of those holders of power in Kafka’s works who live in the attics as judges or in the castle as secretaries; no matter how highly placed they may be, they are always fallen or falling men, although even the lowest and seediest of them, the doorkeepers and the decrepit officials, may abruptly and strikingly appear in the fullness of their power. Why do they vegetate? Could they be the descendants of the figures of Atlas that support globes with their shoulders? Perhaps that is why each has his head “so deep on his chest that one can hardly see his eyes,” like the Castellan in his portrait, or Klamm when he is alone. But it is not the globe they are carrying; it is just that even the most commonplace things have
their weight. "His fatigue is that of the gladiator after the fight; his job was the whitewashing of a corner in the office!" Georg Lukács once said that in order to make a decent table nowadays, a man must have the architectural genius of a Michelangelo. If Lukács thinks in terms of ages, Kafka thinks in terms of cosmic epochs. The man who whitewashes has epochs to move, even in his most insignificant movement. On many occasions and often for strange reasons Kafka's figures clap their hands. Once the casual remark is made that these hands are "really steam hammers."
We encounter these holders of power in constant, slow movement, rising or falling. But they are at their most terrible when they rise from the deepest decay—from the fathers. The son calms his spiritless, senile father whom he has just gently put to bed: "‘Don’t worry, you are well covered up.’ ‘No,’ cried his father, cutting short the answer, threw the blanket off with such strength that it unfolded fully as it flew, and stood up in bed. Only one hand lightly touched the ceiling to steady him. ‘You wanted to cover me up, I know, my little scamp, but I’m not all covered up yet. And even if this is all the strength I have left, it’s enough for you, too much for you. . . . But thank goodness a father does not need to be taught how to see through his son.’ . . . And he stood up quite unsupported and kicked his legs out. He beamed with insight. . . . ‘So now you know what else there was in the world besides yourself; until now you have known only about yourself! It is true, you were an innocent child, but it is even more true that you have been a devilish person!’" As the father throws off the burden of the blanket, he also throws off a cosmic burden. He has to set cosmic ages in motion in order to turn the age-old father-son relationship into a living and consequential thing. But what consequences! He sentences his son to death by drowning. The father is the one who punishes; guilt attracts him as it does the court officials. There is much to indicate that the world of the officials and the world of the fathers are the same to Kafka. The similarity does not redound to this world's credit; it consists of dullness, decay, and dirt. The father's uniform is stained all over; his underwear
is dirty. Filth is the element of the officials. "She could not understand why there were office hours for the public in the first place. 'To get some dirt on the front staircase'—this is how her question was once answered by an official, who was probably annoyed, but it made a lot of sense to her." Uncleanliness is so much the attribute of officials that one could almost regard them as enormous parasites. This, of course, does not refer to the economic context, but to the forces of reason and humanity from which this clan makes a living. In the same way the fathers in Kafka's strange families batter on their sons, lying on top of them like giant parasites. They not only prey upon their strength, but gnaw away at the sons' right to exist. The fathers punish, but they are at the same time the accusers. The sin of which they accuse their sons seems to be a kind of original sin. The definition of it which Kafka has given applies to the sons more than to anyone else: "Original sin, the old injustice committed by man, consists in the complaint unceasingly made by man that he has been the victim of an injustice, the victim of original sin." But who is accused of this inherited sin—the sin of having produced an heir—if not the father by the son? Accordingly the son would be the sinner. But one must not conclude from Kafka's definition that the accusation is sinful because it is false. Nowhere does Kafka say that it is made wrongfully. A never-ending process is at work here, and no cause can appear in a worse light than the one for which the father enlists the aid of these officials and court offices. A boundless corruptibility is not their worst feature, for their essence is such that their venality is the only hope held out to the human spirit facing them. The courts, to be sure, have lawbooks at their disposal, but people are not allowed to see them. "It is characteristic of this legal system," conjectures K., "that one is sentenced not only in innocence but also in ignorance." Laws and definite norms remain unwritten in the prehistoric world. A man can transgress them without suspecting it and thus become subject to atonement. But no matter how hard it may hit the unsuspecting, the transgression in the sense of the law is not accidental but fated, a destiny which appears here in all its ambiguity. In a cursory investigation
of the idea of fate in antiquity Hermann Cohen came to a "conclusion that becomes inescapable": "the very rules of fate seem to be what causes and brings about the breaking away from them, the defection." It is the same way with the legal authorities whose proceedings are directed against K. It takes us back far beyond the time of the giving of the Law on twelve tablets to a prehistoric world, written law being one of the first victories scored over this world. In Kafka the written law is contained in books, but these are secret; by basing itself on them the prehistoric world exerts its rule all the more ruthlessly.
In Kafka's works, the conditions in offices and in families have multifarious points of contact. In the village at the foot of Castle Hill people use an illuminating saying. "'We have a saying here that you may be familiar with: Official decisions are as shy as young girls.' 'That's a sound observation,' said K., 'a sound observation. Decisions may have even other characteristics in common with girls.'" The most remarkable of these qualities is the willingness to lend oneself to anything, like the shy girls whom K. meets in *The Castle* and *The Trial*, girls who indulge in unchastity in the bosom of their family as they would in a bed. He encounters them at every turn; the rest give him as little trouble as the conquest of the barmaid. "They embraced each other; her little body burned in K.'s hands; in a state of unconsciousness which K. tried to master constantly but fruitlessly, they rolled a little way, hit Klamm's door with a thud, and then lay in the little puddles of beer and the other refuse that littered the floor. Hours passed . . . in which K. constantly had the feeling that he was losing his way or that he had wandered farther than anyone had ever wandered before, to a place where even the air had nothing in common with his native air, where all this strangeness might choke one, yet a place so insanely enchanting that one could not help but go on and lose oneself even further." We shall have more to say about this strange place. The remarkable thing is that these whorelike women never seem to be beautiful. Rather, beauty appears in Kafka's world only in the most obscure places—among the accused persons, for example. "This, to be sure, is a strange phenomenon, a natural law, as it were. . . .
It cannot be guilt that makes them attractive... nor can it be the just punishment which makes them attractive in anticipation... so it must be the mere charges brought against them that somehow show on them."
From *The Trial* it may be seen that these proceedings usually are hopeless for those accused—hopeless even when they have hopes of being acquitted. It may be this hopelessness that brings out the beauty in them—the only creatures in Kafka thus favored. At least this would be very much in keeping with a conversation which Max Brod has related. "I remember," Brod writes, "a conversation with Kafka which began with present-day Europe and the decline of the human race. 'We are nihilistic thoughts, suicidal thoughts that come into God's head,' Kafka said. This reminded me at first of the Gnostic view of life: God as the evil demiurge, the world as his Fall. 'Oh no,' said Kafka, 'our world is only a bad mood of God, a bad day of his.' 'Then there is hope outside this manifestation of the world that we know.' He smiled. 'Oh, plenty of hope, an infinite amount of hope—but not for us.'" These words provide a bridge to those extremely strange figures in Kafka, the only ones who have escaped from the family circle and for whom there may be hope. These are not the animals, not even those hybrids or imaginary creatures like the Cat Lamb or Odradek; they all still live under the spell of the family. It is no accident that Gregor Samsa wakes up as a bug in his parental home and not somewhere else, and that the peculiar animal which is half kitten, half lamb, is inherited from the father; Odradek likewise is the concern of the father of the family. The "assistants," however, are outside this circle.
These assistants belong to a group of figures which recurs through Kafka's entire work. Their tribe includes the confidence man who is unmasked in "Meditation"; the student who appears on the balcony at night as Karl Rossmann's neighbor; and the fools who live in that town in the south and never get tired. The twilight in which they exist is reminiscent of the uncertain light in which the figures in the short prose pieces of Robert Walser appear [the author of *Der Gebiüfe*, The Assistant, a novel Kafka was very fond of]. In Indian mythology there are the
gandharvas, celestial creatures, beings in an unfinished state. Kafka’s assistants are of that kind: neither members of, nor strangers to, any of the other groups of figures, but, rather, messengers from one to the other. Kafka tells us that they resemble Barnabas, who is a messenger. They have not yet been completely released from the womb of nature, and that is why they have “settled down on two old women’s skirts on the floor in a corner. It was... their ambition... to use up as little space as possible. To that end they kept making various experiments, folding their arms and legs, huddling close together; in the darkness all one could see in their corner was one big ball.” It is for them and their kind, the unfinished and the bunglers, that there is hope.
What may be discerned, subtly and informally, in the activities of these messengers is law in an oppressive and gloomy way for this whole group of beings. None has a firm place in the world, firm, inalienable outlines. There is not one that is not either rising or falling, none that is not trading qualities with its enemy or neighbor, none that has not completed its period of time and yet is unripe, none that is not deeply exhausted and yet is only at the beginning of a long existence. To speak of any order or hierarchy is impossible here. Even the world of myth of which we think in this context is incomparably younger than Kafka’s world, which has been promised redemption by the myth. But if we can be sure of one thing, it is this: Kafka did not succumb to its temptation. A latter-day Ulysses, he let the Sirens go by “his gaze which was fixed on the distance, the Sirens disappeared as it were before his determination, and at the very moment when he was closest to them he was no longer aware of them.” Among Kafka’s ancestors in the ancient world, the Jews and the Chinese, whom we shall encounter later, this Greek one should not be forgotten. Ulysses, after all, stands at the dividing line between myth and fairy tale. Reason and cunning have inserted tricks into myths; their forces cease to be invincible. Fairy tales are the traditional stories about victory over these forces, and fairy tales for dialecticians are what Kafka wrote when he went to work on legends. He inserted little tricks into them; then he used them as proof “that inadequate, even
childish measures may also serve to rescue one." With these words he begins his story about the "Silence of the Sirens." For Kafka's Sirens are silent; they have "an even more terrible weapon than their song...their silence." This they used on Ulysses. But he, so Kafka tells us, "was so full of guile, was such a fox that not even the goddess of fate could pierce his armor. Perhaps he had really noticed, although here the human understanding is beyond its depths, that the Sirens were silent, and opposed the afore-mentioned pretense to them and the gods merely as a sort of shield."
Kafka's Sirens are silent. Perhaps because for Kafka music and singing are an expression or at least a token of escape, a token of hope which comes to us from that intermediate world--at once unfinished and commonplace, comforting and silly--in which the assistants are at home. Kafka is like the lad who set out to learn what fear was. He has got into Potemkin's palace and finally, in the depths of its cellar, has encountered Josephine, the singing mouse, whose tune he describes: "Something of our poor, brief childhood is in it, something of lost happiness which can never be found again, but also something of active present-day life, of its small gaieties, unaccountable and yet real and unquenchable."
A CHILDHOOD PHOTOGRAPH
There is a childhood photograph of Kafka, a rarely touching portrayal of the "poor, brief childhood." It was probably made in one of those nineteenth-century studios whose draperies and palm trees, tapestries and easels placed them somewhere between a torture chamber and a throne room. At the age of approximately six the boy is presented in a sort of greenhouse setting, wearing a tight, heavily lace-trimmed, almost embarrassing child's suit. Palm branches loom in the background. And as if to make these upholstered tropics still more sultry and sticky, the model holds in his left hand an oversized, wide-brimmed hat of the type worn by Spaniards. Immensely sad eyes dominate the landscape prearranged for them, and the auricle of a big ear seems to be listening for its sounds.
The ardent "wish to become a Red Indian" may have consumed this great sadness at some point. "If one were only an Indian, instantly alert, and on a racing horse, leaning against the wind, kept on quivering briefly over the quivering ground, until one shed one's spurs, for there were no spurs, threw away the reins, for there were no reins, and barely saw the land before one as a smoothly mown heath, with the horse's neck and head already gone." A great deal is contained in this wish. Its fulfillment, which he finds in America, yields up its secret. That Amerika is a very special case is indicated by the name of its hero. While in the earlier novels the author never addressed himself otherwise than with a mumbled initial, here he experiences a rebirth on a new continent with a full name. He has this experience in the Nature Theater of Oklahoma. "At a street corner Karl saw a poster with the following announcement: The Oklahoma Theater will engage members for its company today at Clayton Racetrack from 6 a.m. until midnight. The great Theater of Oklahoma calls you! The one and only call is today! If you miss your chance now, you miss it forever! If you think of your future, you should be one of us! Everyone is welcome! If you want to be an artist, come forward! Our Theater can use everyone and find the right place for everyone! If you decide to join us, we congratulate you here and now! But hurry, so that you get in before midnight! At twelve o'clock the doors will be shut and never opened again! A curse on those who do not believe in us! Set out for Clayton!" The reader of this announcement is Karl Rossmann, the third and happier incarnation of K., the hero of Kafka's novels. Happiness awaits him at the Nature Theater of Oklahoma, which is really a racetrack, just as "unhappiness" had once beset him on the narrow rug in his room on which he ran about "as on a racetrack." Ever since Kafka wrote his "reflections for gentleman jockeys," ever since he made the "new attorney" mount the courthouse steps, lifting his legs high, with a tread that made the marble ring, ever since he made his "children on a country road" amble through the
countryside with large steps and folded arms, this figure had been familiar to him; and even Karl Rossmann, “distracted by his sleepiness,” may often make “too high, time-consuming, and useless leaps.” Thus it can only be a racetrack on which he attains the object of his desire.
This racetrack is at the same time a theater, and this poses a puzzle. The mysterious place and the entirely unmysterious, transparent, pure figure of Karl Rossmann are congruous, however. For Karl Rossmann is transparent, pure, without character as it were in the same sense in which Franz Rosenzweig says in his *Star of Redemption* that in China people, in their spiritual aspects, are “as it were devoid of individual character; the idea of the wise man, of which Confucius is the classic incarnation, blurs any individuality of character; he is the truly characterless man, namely, the average man. . . . What distinguishes a Chinese is something quite different from character: a very elemental purity of feeling.” No matter how one may convey it intellectually, this purity of feeling may be a particularly sensitive measurement of gestic behavior; the Nature Theater of Oklahoma in any case harks back to the Chinese theater, which is a gestic theater. One of the most significant functions of this theater is to dissolve happenings into their gestic components. One can go even further and say that a good number of Kafka’s shorter studies and stories are seen in their full light only when they are, so to speak, put on as acts in the “Nature Theater of Oklahoma.” Only then will one recognize with certainty that Kafka’s entire work constitutes a code of gestures which surely had no definite symbolic meaning for the author from the outset; rather, the author tried to derive such a meaning from them in ever-changing contexts and experimental groupings. The theater is the logical place for such groupings. In an unpublished commentary on “A Fratricide,” Werner Kraft perceptively identified the events in this little story as scenic events. “The play is ready to begin, and it is actually announced by a bell. This comes about in a very natural way. Wese leaves the building in which his office is located. But this doorbell, so we are expressly told, is ‘too loud for a doorbell; it rings out over the town and up to
heaven.’” Just as this bell, which is too loud for a doorbell, rings out toward heaven, the gestures of Kafka’s figures are too powerful for our accustomed surroundings and break out into wider areas. The greater Kafka’s mastery became, the more frequently did he eschew adapting these gestures to common situations or explaining them. “It is strange behavior,” we read in “The Metamorphosis,” “to sit on the desk and talk down at the employee, who, furthermore, must come quite close because his boss is hard of hearing.” *The Trial* has already left such motivations far behind. In the penultimate chapter, K. stops at the first rows in the Cathedral, “but the priest seemed to consider the distance still too great; he stretched out an arm and pointed with his sharply bent forefinger to a spot right in front of the pulpit. K. followed this direction too; at that place he had to bend his head far back to see the priest at all.”
Max Brod has said: “The world of those realities that were important for him was invisible.” What Kafka could see least of all was the *gestus*. Each gesture is an event—one might even say, a drama—in itself. The stage on which this drama takes place is the World Theater which opens up toward heaven. On the other hand, this heaven is only background; to explore it according to its own laws would be like framing the painted backdrop of the stage and hanging it in a picture gallery. Like El Greco, Kafka tears open the sky behind every gesture; but as with El Greco—who was the patron saint of the Expressionists—the gesture remains the decisive thing, the center of the event. The people who have assumed responsibility for the knock at the manor gate walk doubled up with fright. This is how a Chinese actor would portray terror, but no one would give a start. Elsewhere K. himself does a bit of acting. Without being fully conscious of it, “slowly . . . with his eyes not looking down but cautiously raised upwards he took one of the papers from the desk, put it on the palm of his hand and gradually raised it up to the gentlemen while getting up himself. He had nothing definite in mind, but acted only with the feeling that this was what he would have to do once he had completed the big petition which was to exonerate him completely.” This animal gesture combines the utmost
mysteriousness with the utmost simplicity. It is possible to read Kafka’s animal stories for quite a while without realizing that they are not about human beings at all. When one encounters the name of the creature—monkey, dog, mole—one looks up in fright and realizes that one is already far away from the continent of man. But it is always Kafka; he divests the human gesture of its traditional supports and then has a subject for reflection without end.
Strangely enough, these reflections are endless even when their point of departure is one of Kafka’s philosophical tales. Take, for example, the parable “Before the Law.” The reader who read it in *A Country Doctor* may have been struck by the cloudy spot in it. But would it have led him to the never-ending series of reflections traceable to this parable at the place where Kafka undertakes to interpret it? This is done by the priest in *The Trial*, and at such a significant moment that it looks as if the novel were nothing but the unfolding of the parable. The word “unfolding” has a double meaning. A bud unfolds into a blossom, but the boat which one teaches children to make by folding paper unfolds into a flat sheet of paper. This second kind of “unfolding” is really appropriate to the parable; it is the reader’s pleasure to smooth it out so that he has the meaning on the palm of his hand. Kafka’s parables, however, unfold in the first sense, the way a bud turns into a blossom. That is why their effect resembles poetry. This does not mean that his prose pieces belong entirely in the tradition of Western prose forms; they have, rather, a similar relationship to doctrine as the Haggadah does to the Halakah. They are not parables, and yet they do not want to be taken at their face value; they lend themselves to quotation and can be told for purposes of clarification. But do we have the doctrine which Kafka’s parables interpret and which K.’s postures and the gestures of his animals clarify? It does not exist; all we can say is that here and there we have an allusion to it. Kafka might have said that these are relics transmitting the doctrine, although we could regard them just as well as precursors preparing the doctrine. In every case it is a question of how life and work are organized in human society. This question increasingly occupied Kafka as it became impenetrable to him. If Napoleon, in his famous conversation with Goethe at Erfurt, substituted politics for fate, Kafka, in a variation of this statement, could have defined organization as destiny. He faces it not only in the extensive hierarchy of officialdom in *The Trial* and *The Castle*, but even more concretely in the difficult and incalculable construction plans whose venerable model he dealt with in *The Great Wall of China*.
"The wall was to be a protection for centuries; accordingly, the most scrupulous care in the construction, the application of the architectural wisdom of all known ages and peoples, a constant sense of personal responsibility on the part of the builders were indispensable prerequisites for the work. To be sure, for the menial tasks ignorant day laborers from the populace, men, women, and children, whoever offered his services for good money, could be used; but for the supervision even of every four day laborers a man trained in the building trade was required. . . . We—and here I speak in the name of many people—did not really know ourselves until we had carefully scrutinized the decrees of the high command; then we discovered that without this leadership neither our book learning nor our common sense would have sufficed for the humble tasks which we performed in the great whole." This organization resembles fate. Metchnikoff, who has outlined this in his famous book *La Civilisation et les grands fleuves historiques* [Civilization and the Great Historical Rivers], uses language that could be Kafka's. "The canals of the Yangtze and the dams of the Yellow River," he writes, "are in all likelihood the result of the skillfully organized joint labor of . . . generations. The slightest carelessness in the digging of a ditch or the buttressing of a dam, the least bit of negligence or selfish behavior on the part of an individual or a group of men in the maintenance of the common hydraulic wealth becomes, under such unusual circumstances, the source of social evils and far-reaching social calamity. Consequently, a life-giving river requires on pain of death a close and permanent solidarity between groups of people that frequently are alien or even hostile to one another; it sentences everyone to labors whose common usefulness is revealed only by time and whose design quite often remains utterly incomprehensible to an ordinary man."
Kafka wished to be numbered among ordinary men. He was pushed to the limits of understanding at every turn, and he liked to push others to them as well. At times he seems to come close to saying with Dostoevsky's Grand Inquisitor: "So we have before us a mystery which we cannot comprehend. And precisely because it is a mystery we have had the right to preach it, to teach the people that what matters is neither freedom nor love, but the riddle, the secret, the mystery to which they have to bow—without reflection and even against their conscience." Kafka did not always evade the temptations of mysticism. There is a diary entry concerning his encounter with Rudolf Steiner; in its published form at least it does not reflect Kafka's attitude toward him. Did he avoid taking a stand? His way with his own writings certainly does not exclude this possibility. Kafka had a rare capacity for creating parables for himself. Yet his parables are never exhausted by what is explainable; on the contrary, he took all conceivable precautions against the interpretation of his writings. One has to find one's way in them circumspectly, cautiously, and warily. One must keep in mind Kafka's way of reading as exemplified in his interpretation of the above-mentioned parable. His testament is another case in point. Given its background, the directive in which Kafka ordered the destruction of his literary remains is just as unfathomable, to be weighed just as carefully as the answers of the doorkeeper before the law. Perhaps Kafka, whose every day on earth brought him up against insoluble behavior problems and undecipherable communications, in death wished to give his contemporaries a taste of their own medicine.
Kafka's world is a world theater. For him, man is on the stage from the very beginning. The proof of the pudding is the fact that everyone is accepted by the Nature Theater of Oklahoma. What the standards for admission are cannot be determined. Dramatic talent, the most obvious criterion, seems to be of no importance. But this can be expressed in another way: all that is expected of the applicants is the ability to play themselves. It is
no longer within the realm of possibility that they could, if necessary, be what they claim to be. With their roles these people look for a position in the Nature Theater just as Pirandello's six characters sought an author. For all of them this place is the last refuge, which does not preclude it from being their salvation. Salvation is not a premium on existence, but the last way out for a man whose path, as Kafka puts it, is "blocked... by his own frontal bone." The law of this theater is contained in a sentence tucked away in "A Report to an Academy": "I imitated people because I was looking for a way out, and for no other reason." Before the end of his trial, K. seems to have an intimation of these things. He suddenly turns to the two gentlemen wearing top hats who have come for him and asks them: "'What theater are you playing at?' 'Theater?' asked one, the corners of his mouth twitching as he looked for advice to the other, who acted as if he were a mute struggling to overcome a stubborn disability." The men do not answer this question, but there is much to indicate that it has hit home.
At a long bench which has been covered with a white cloth all those who will henceforth be with the Nature Theater are fed. "They were all happy and excited." By way of celebration, extras act as angels. They stand on high pedestals that are covered with flowing raiments and have stairs inside—the makings of a country church fair, or maybe a children's festival, which may have eliminated the sadness from the eyes of the tightly laced, dressed-up boy we discussed above. But for the fact that their wings are tied on, these angels might be real. They have forerunners in Kafka's works. One of them is the impresario who climbs up on the luggage rack next to the trapeze artist beset by his "first sorrow," caresses him and presses his face against the artist's, "so that he was bathed by the trapeze artist's tears." Another, a guardian angel or guardian of the law, takes care of Schmar the murderer following the "fratricide" and leads him away, stepping lightly, with Schmar's "mouth pressed against the policeman's shoulder." Kafka's Amerika ends with the rustic ceremonies of Oklahoma. "In Kafka," said Soma Morgenstern, "there is the air of a village, as with all great founders of
religions.” Lao-tse’s presentation of piousness is all the more pertinent here because Kafka has supplied its most perfect description in “The Next Village.” “Neighboring countries may be within sight, so that the sounds of roosters and dogs may be heard in the distance. And yet people are said to die at a ripe old age without having traveled far.” Thus Lao-tse. Kafka was a writer of parables, but he did not found a religion.
Let us consider the village at the foot of Castle Hill whence K.’s alleged employment as a land surveyor is so mysteriously and unexpectedly confirmed. In his Postscript to *The Castle* Brod mentioned that in depicting this village at the foot of Castle Hill Kafka had in mind a specific place, Zürau in the Erz Gebirge. We may, however, also recognize another village in it. It is the village in a Talmudic legend told by a rabbi in answer to the question why Jews prepare a festive evening meal on Fridays. The legend is about a princess languishing in exile, in a village whose language she does not understand, far from her compatriots. One day this princess receives a letter saying that her fiancé has not forgotten her and is on his way to her. The fiancé, so says the rabbi, is the Messiah; the princess is the soul; the village in which she lives in exile is the body. She prepares a meal for him because this is the only way in which she can express her joy in a village whose language she does not know. This village of the Talmud is right in Kafka’s world. For just as K. lives in the village on Castle Hill, modern man lives in his body; the body slips away from him, is hostile toward him. It may happen that a man wakes up one day and finds himself transformed into vermin. Exile—his exile—has gained control over him. The air of this village blows about Kafka, and that is why he was not tempted to found a religion. The pigsty which houses the country doctor’s horses; the stuffy back room in which Klamm, a cigar in his mouth, sits over a glass of beer; the manor gate, to knock against which brings ruin—all these are part of this village. The air in this village is not free of all the abortive and overripe elements that form such a putrid mixture. This is the air that Kafka had to breathe all his life. He was neither mantic nor the founder of a religion. How was he able to survive in this air?
THE LITTLE HUNCHBACK
Some time ago it became known that Knut Hamsun was in the habit of expressing his views in an occasional letter to the editor of the local paper in the small town near which he lived. Years ago that town was the scene of the jury trial of a maid who had killed her infant child. She was sentenced to a prison term. Soon thereafter the local paper printed a letter from Hamsun in which he announced his intention of leaving a town which did not visit the supreme punishment on a mother who killed her newborn child—the gallows, or at least a life term of hard labor. A few years passed. *Growth of the Soil* appeared, and it contained the story of a maid who committed the same crime, suffered the same punishment, and, as is made clear to the reader, surely deserved no more severe one.
Kafka’s posthumous reflections, which are contained in *The Great Wall of China*, recall this to mind. Hardly had this volume appeared when the reflections served as the basis for a Kafka criticism which concentrated on an interpretation of these reflections to the neglect of his real works. There are two ways to miss the point of Kafka’s works. One is to interpret them naturally, the other is the supernatural interpretation. Both the psychoanalytic and the theological interpretations equally miss the essential points. The first kind is represented by Hellmuth Kaiser; the second, by numerous writers, such as H. J. Schoeps, Bernhard Rang, and Bernhard Groethuysen. To these last also belongs Willy Haas, although he has made revealing comments on Kafka in other contexts which we shall discuss later; such insights did not prevent him from interpreting Kafka’s work after a theological pattern. “The powers above, the realm of grace,” so Haas writes, “Kafka has depicted in his great novel *The Castle*; the powers below, the realm of the courts and of damnation, he has dealt with in his equally great novel *The Trial*. The earth between the two, earthly fate and its arduous demands, he attempted to present in strictly stylized form in a third novel, *Amerika*.” The first third of this interpretation has, since Brod, become the common property of Kafka criticism. Bernhard Rang
writes in a similar vein: "To the extent that one may regard the Castle as the seat of grace, precisely these vain efforts and attempts mean, theologically speaking, that God's grace cannot be attained or forced by man at will and deliberately. Unrest and impatience only impede and confound the exalted stillness of the divine." This interpretation is a convenient one; but the further it is carried, the clearer it becomes that it is untenable. This is perhaps seen most clearly in a statement by Willy Haas. "Kafka goes back... to Kierkegaard as well as to Pascal; one may call him the only legitimate heir of these two. In all three there is an excruciatingly harsh basic religious theme: man is always in the wrong before God... Kafka's upper world, his so-called Castle, with its immense, complex staff of petty and rather lecherous officials, his strange heaven plays a horrible game with people... and yet man is very much in the wrong even before this god." This theology falls far behind the doctrine of justification of St. Anselm of Canterbury into barbaric speculations which do not even seem consistent with the text of Kafka's works. "Can an individual official forgive?" we read in *The Castle*. "This could only be a matter for the over-all authorities, but even they can probably not forgive but only judge." This road has soon led into a blind alley. "All this," says Denis de Rougemont, "is not the wretched situation of man without a god, but the wretched state of a man who is bound to a god he does not know, because he does not know Christ."
It is easier to draw speculative conclusions from Kafka's posthumous collection of notes than to explore even one of the motifs that appear in his stories and novels. Yet only these give some clue to the prehistoric forces that dominated Kafka's creativeness, forces which, to be sure, may justifiably be regarded as belonging to our world as well. Who can say under what names they appeared to Kafka himself? Only this much is certain: he did not know them and failed to get his bearings among them. In the mirror which the prehistoric world held before him in the form of guilt he merely saw the future emerging in the form of judgment. Kafka, however, did not say what it was like. Was it not the Last Judgment? Does it not turn the judge into the
defendant? Is the trial not the punishment? Kafka gave no answer. Did he expect anything of this punishment? Or was he not rather concerned to postpone it? In the stories which Kafka left us, narrative art regains the significance it had in the mouth of Scheherazade: to postpone the future. In *The Trial* postponement is the hope of the accused man only if the proceedings do not gradually turn into the judgment. The patriarch himself is to benefit by postponement, even though he may have to trade his place in tradition for it. "I could conceive of another Abraham—to be sure, he would never get to be a patriarch or even an old-clothes dealer—, an Abraham who would be prepared to satisfy the demand for a sacrifice immediately, with the promptness of a waiter, but would be unable to bring it off because he cannot get away, being indispensable; the household needs him, there is always something or other to take care of, the house is never ready; but without having his house ready, without having something to fall back on, he cannot leave—this the Bible also realized, for it says: 'He set his house in order.'"
This Abraham appears "with the promptness of a waiter." Kafka could understand things only in the form of a *gestus*, and this *gestus* which he did not understand constitutes the cloudy part of the parables. Kafka's writings emanate from it. The way he withheld them is well known. His testament orders their destruction. This document, which no one interested in Kafka can disregard, says that the writings did not satisfy their author, that he regarded his efforts as failures, that he counted himself among those who were bound to fail. He did fail in his grandiose attempt to convert poetry into doctrine, to turn it into a parable and restore to it that stability and unpretentiousness which, in the face of reason, seemed to him to be the only appropriate thing for it. No other writer has obeyed the commandment "Thou shalt not make unto thee a graven image" so faithfully.
"It was as if the shame of it was to outlive him." With these words *The Trial* ends. Corresponding as it does to his "elemental purity of feeling," shame is Kafka's strongest gesture. It has a dual aspect, however. Shame is an intimate human reaction, but at the same time it has social pretensions. Shame is not only shame
in the presence of others, but can also be shame one feels for them. Kafka’s shame, then, is no more personal than the life and thought which govern it and which he has described thus: “He does not live for the sake of his own life, he does not think for the sake of his own thought. He feels as though he were living and thinking under the constraint of a family... Because of this unknown family... he cannot be released.” We do not know the make-up of this unknown family, which is composed of human beings and animals. But this much is clear: it is this family that forces Kafka to move cosmic ages in his writings. Doing this family’s bidding, he moves the mass of historical happenings as Sisyphus rolled the stone. As he does so, its nether side comes to light; it is not a pleasant sight, but Kafka is capable of bearing it. “To believe in progress is not to believe that progress has already taken place. That would be no belief.” Kafka did not consider the age in which he lived as an advance over the beginnings of time. His novels are set in a swamp world. In his works, created things appear at the stage which Bachofen has termed the hetaeric stage. The fact that it is now forgotten does not mean that it does not extend into the present. On the contrary: it is actual by virtue of this very oblivion. An experience deeper than that of an average person can make contact with it. “I have experience,” we read in one of Kafka’s earliest notes, “and I am not joking when I say that it is a seasickness on dry land.” It is no accident that the first “Meditation” was made on a swing. And Kafka does not tire of expressing himself on the fluctuating nature of experiences. Each gives way and mingles with its opposite. “It was summer, a hot day,” so begins “The Knock at the Manor Gate.” “With my sister I was passing the gate of a great house on our way home. I don’t remember whether she knocked on the gate out of mischief or in a fit of absent-mindedness, or merely shook her fist at it and did not knock at all.” The very possibility of the third alternative puts the other two, which at first seemed harmless, in a different light. It is from the swampy soil of such experiences that Kafka’s female characters rise. They are swamp creatures like Leni, “who stretches out the middle and ring fingers of her right hand between which the connecting
web of skin reached almost to the top joint, short as the fingers were." "Fine times," so the ambivalent Frieda reminisces about her earlier life; "you never asked me about my past." This past takes us back to the dark, deep womb, the scene of the mating "whose untrammelled voluptuousness," to quote Bachofen, "is hateful to the pure forces of heavenly light and which justifies the term used by Arnobius, luteae voluptates [dirty voluptuousness]."
Only from this vantage point can the technique of Kafka the storyteller be comprehended. Whenever figures in the novels have anything to say to K., no matter how important or surprising it may be, they do so casually and with the implication that he must really have known it all along. It is as though nothing new was being imparted, as though the hero was just being subtly invited to recall to mind something that he had forgotten. This is how Willy Haas has interpreted the course of events in *The Trial*, and justifiably so. "The object of the trial," he writes, "indeed, the real hero of this incredible book is forgetting, whose main characteristic is the forgetting of itself. . . . Here it has actually become a mute figure in the shape of the accused man, a figure of the most striking intensity." It probably cannot be denied that "this mysterious center . . . derives from the Jewish religion." "Memory plays a very mysterious role as piousness. It is not an ordinary, but . . . the most profound quality of Jehovah that he remembers, that he retains an infallible memory 'to the third and fourth, even to the hundredth generation.' The most sacred . . . act of the . . . ritual is the erasing of sins from the book of memory."
What has been forgotten—and this insight affords us yet another avenue of access to Kafka's work—is never something purely individual. Everything forgotten mingles with what has been forgotten of the prehistoric world, forms countless, uncertain, changing compounds, yielding a constant flow of new, strange products. Oblivion is the container from which the inexhaustible intermediate world in Kafka's stories presses toward the light. "Here the very fullness of the world is considered as the only reality. All spirit must be concrete, particularized in order
to have its place and raison d'être. The spiritual, if it plays a role at all, turns into spirits. These spirits become definite individuals, with names and a very special connection with the name of the worshiper. . . . Without any scruples their fullness is crammed into the fullness of the world. . . . The crowd of spirits is swelled without any concern . . . new ones are constantly added to the old ones, and all are distinguished from the others by their own names." All this does not refer to Kafka, but to—China. This is how Franz Rosenzweig describes the Chinese ancestor cult in his Star of Redemption. To Kafka, the world of his ancestors was as unfathomable as the world of realities was important for him, and we may be sure that, like the totem poles of primitive peoples, the world of ancestors took him down to the animals. Incidentally, Kafka is not the only writer for whom animals are the receptacles of the forgotten. In Tieck's profound story "Fair Eckbert," the forgotten name of a little dog, Strohmi, stands for a mysterious guilt. One can understand, then, that Kafka did not tire of picking up the forgotten from animals. They are not the goal, to be sure, but one cannot do without them. A case in point is the "hunger artist" who, "strictly speaking, was only an impediment on the way to the menagerie." Can one not see the animals in "The Burrow" or "The Giant Mole" ponder as they dig in? And yet this thinking is extremely flighty. Irresolutely it flits from one worry to the next, it nibbles at every anxiety with the fickleness of despair. Thus there are butterflies in Kafka, too. The guilt-ridden "Hunter Gracchus," who refuses to acknowledge his guilt, "has turned into a butterfly." "Don't laugh," says the hunter Gracchus. This much is certain: of all of Kafka's creatures, the animals have the greatest opportunity for reflection. What corruption is in the law, anxiety is in their thinking. It messes a situation up, yet it is the only hopeful thing about it. However, because the most forgotten alien land is one's own body, one can understand why Kafka called the cough that erupted from within him "the animal." It was the most advanced outpost of the great herd.
The strangest bastard which the prehistoric world has begotten with guilt in Kafka is Odradek [in "The Cares of a Family
Man”]. “At first sight it looks like a flat, star-shaped spool for thread, and it really seems to have thread wound around it; to be sure, they probably are only old, broken-off bits of thread that are knotted and tangled together, of all sorts and colors. But it is not just a spool, for a small wooden cross-bar sticks out of the middle of the star, and another small rod is joined to it at a right angle. With the aid of this latter rod on one side and one of the extensions of the star on the other, the whole thing can stand upright as if on two legs.” Odradek “stays alternately in the attic, on the staircase, in the corridors, and in the hall.” So it prefers the same places as the court of law which investigates guilt. Attics are the places of discarded, forgotten objects. Perhaps the necessity to appear before a court of justice gives rise to a feeling similar to that with which one approaches trunks in the attic which have been locked up for years. One would like to put off this chore till the end of time, just as K. regards his written defense as suitable “for occupying one’s senile mind some day during retirement.”
Odradek is the form which things assume in oblivion. They are distorted. The “cares of a family man,” which no one can identify, are distorted; the bug, of which we know all too well that it represents Gregor Samsa, is distorted; the big animal, half lamb, half kitten, for which “the butcher’s knife” might be “a release,” is distorted. These Kafka figures are connected by a long series of figures with the prototype of distortion, the hunchback. Among the images in Kafka’s stories, none is more frequent than that of the man who bows his head far down on his chest: the fatigue of the court officials, the noise affecting the doormen in the hotel, the low ceiling facing the visitors in the gallery. In the Penal Colony those in power use an archaic apparatus which engraves letters with curlicues on the backs of guilty men, multiplying the stabs and piling up the ornaments to the point where the back of the guilty man becomes clairvoyant and is able to decipher the writing from which he must derive the nature of his unknown guilt. It is the back on which this is incumbent. It was always this way with Kafka. Compare this early diary entry: “In order to be as heavy as possible, which I believe to be an aid
to falling asleep, I had crossed my arms and put my hands on my shoulders, so that I lay there like a soldier with his pack." Quite palpably, being loaded down is here equated with forgetting, the forgetting of a sleeping man. The same symbol occurs in the folksong "The Little Hunchback." This little man is at home in distorted life; he will disappear with the coming of the Messiah, of whom a great rabbi once said that he did not wish to change the world by force, but would only make a slight adjustment in it.
When I come into my room,
My little bed to make,
A little hunchback is in there,
With laughter does he shake.
This is the laughter of Odradek, which is described as sounding "something like the rustling in falling leaves."
When I kneel upon my stool
And I want to pray,
A hunchbacked man is in the room
And he starts to say:
My dear child, I beg of you,
Pray for the little hunchback too.
So ends the folksong. In his depth Kafka touches the ground which neither "mythical divination" nor "existential theology" supplied him with. It is the core of folk tradition, the German as well as the Jewish. Even if Kafka did not pray—and this we do not know—he still possessed in the highest degree what Malebranche called "the natural prayer of the soul": attentiveness. And in this attentiveness he included all living creatures, as saints include them in their prayers.
SANCHO PANZA
In a Hasidic village, so the story goes, Jews were sitting together in a shabby inn one Sabbath evening. They were all local people, with the exception of one person no one knew, a very poor, ragged man who was squatting in a dark corner at the back
of the room. All sorts of things were discussed, and then it was suggested that everyone should tell what wish he would make if one were granted him. One man wanted money; another wished for a son-in-law; a third dreamed of a new carpenter's bench; and so everyone spoke in turn. After they had finished, only the beggar in his dark corner was left. Reluctantly and hesitantly he answered the question. "I wish I were a powerful king reigning over a big country. Then, some night while I was asleep in my palace, an enemy would invade my country, and by dawn his horsemen would penetrate to my castle and meet with no resistance. Roused from my sleep, I wouldn't have time even to dress and I would have to flee in my shirt. Rushing over hill and dale and through forests day and night, I would finally arrive safely right here at the bench in this corner. This is my wish." The others exchanged uncomprehending glances. "And what good would this wish have done you?" someone asked. "I'd have a shirt," was the answer.
This story takes us right into the milieu of Kafka's world. No one says that the distortions which it will be the Messiah's mission to set right someday affect only our space; surely they are distortions of our time as well. Kafka must have had this in mind, and in this certainty he made the grandfather in "The Next Village" say: "Life is astonishingly short. As I look back over it, life seems so foreshortened to me that I can hardly understand, for instance, how a young man can decide to ride over to the next village without being afraid that, quite apart from accidents, even the span of a normal life that passes happily may be totally insufficient for such a ride." This old man's brother is the beggar whose "normal" life that "passes happily" does not even leave him time for a wish, but who is exempted from this wish in the abnormal, unhappy life, that is, the flight which he attempts in his story, and exchanges the wish for its fulfillment.
Among Kafka's creatures there is a clan which reckons with the brevity of life in a peculiar way. It comes from the "city in the south . . . of which it was said: 'People live there who—imagine!—don't sleep!'—'And why not?'—'Because they don't get tired.'—'Why don't they?'—'Because they are fools.'—'Don't fools
get tired?'—'How could fools get tired?'" One can see that the fools are akin to the indefatigable assistants. But there is more to this clan. It is casually remarked of the faces of the assistants that they seem to be those of "grown-ups, perhaps even students." Actually, the students who appear in the strangest places in Kafka's works are the spokesmen for and leaders of this clan. "But when do you sleep?" asked Karl, looking at the student in surprise. 'Oh, sleep!' said the student. 'I'll get some sleep when I'm finished with my studies.'" This reminds one of the reluctance with which children go to bed; after all, while they are asleep, something might happen that concerns them. "Don't forget the best!" We are familiar with this remark from a nebulous bunch of old stories, although it may not occur in any of them. But forgetting always involves the best, for it involves the possibility of redemption. "The idea of helping me is an illness and requires bed rest for a cure," ironically says the restlessly wandering ghost of the hunter Gracchus. While they study, the students are awake, and perhaps their being kept awake is the best thing about these studies. The hunger artist fasts, the doorkeeper is silent, and the students are awake. This is the veiled way in which the great rules of asceticism operate in Kafka.
Their crowning achievement is studying. Reverently Kafka unearths it from long-lost boyhood. "Not very unlike this—a long time ago—Karl had sat at home at his parents' table writing his homework, while his father read the newspaper or did bookkeeping and correspondence for some organization and his mother was busy sewing, drawing the thread high out of the material in her hand. To avoid disturbing his father, Karl used to put only his exercise book and his writing materials on the table, while he arranged the books he needed on chairs to the right and left of him. How quiet it had been there! How seldom strangers had entered that room!" Perhaps these studies had amounted to nothing. But they are very close to that nothing which alone makes it possible for something to be useful—that is, to the Tao. This is what Kafka was after with his desire "to hammer a table together with painstaking craftsmanship and, at the same time, to do nothing—not in such a way that someone could say 'Hammering is nothing to him,' but 'To him, hammering is real hammering and at the same time nothing,' which would have made the hammering even bolder, more determined, more real, and, if you like, more insane." This is the resolute, fanatical mien which students have when they study; it is the strangest mien imaginable. The scribes, the students, are out of breath; they fairly race along. "Often the official dictates in such a low voice that the scribe cannot even hear it sitting down; then he has to jump up, catch the dictation, quickly sit down again and write it down, then jump up again and so forth. How strange that is! It is almost incomprehensible!" It may be easier to understand this if one thinks of the actors in the Nature Theater. Actors have to catch their cues in a flash, and they resemble those assiduous people in other ways as well. Truly, for them "hammering is real hammering and at the same time nothing"—provided that this is part of their role. They study this role, and only a bad actor would forget a word or a movement. For the members of the Oklahoma troupe, however, the role is their earlier life; hence the "nature" in this Nature Theater. Its actors have been redeemed, but not so the student whom Karl watches silently on the balcony as he reads his book, "turning the pages, occasionally looking something up in another book which he always snatched up quick as a flash, and frequently making notes in a notebook, which he always did with his face surprisingly close to the paper."
Kafka does not grow tired of representing the gestus in this fashion, but he invariably does so with astonishment. K. has rightly been compared with the Good Soldier Schweik; the one is astonished at everything, the other at nothing. The invention of the film and the phonograph came in an age of maximum alienation of men from one another, of unpredictably intervening relationships which have become their only ones. Experiments have proved that a man does not recognize his own walk on the screen or his own voice on the phonograph. The situation of the subject in such experiments is Kafka's situation; this is what directs him to learning, where he may encounter fragments of his own existence, fragments that are still within the context of the role. He might catch hold of the lost gestus the way Peter
Schlemihl caught hold of the shadow he had sold. He might understand himself, but what an enormous effort would be required! It is a tempest that blows from the land of oblivion, and learning is a cavalry attack against it. Thus the beggar on the corner bench rides toward his past in order to catch hold of himself in the figure of the fleeing king. This ride, which is long enough for a life, corresponds to life, which is too short for a ride—"... until one shed one's spurs, for there were no spurs, threw away the reins, for there were no reins, and barely saw the land before one as a smoothly mown heath, with the horse's neck and head already gone." This is the fulfillment of the fantasy about the blessed horseman who rushes toward the past on an untrammelled, happy journey, no longer a burden on his race horse. But accursed is the rider who is chained to his nag because he has set himself a goal for the future, even though it is as close as the coal cellar—accursed his animal, accursed both of them. "Seated on the bucket, my hands up on the handle, with the simplest kind of bridle, I propel myself with difficulty down the stairs; but once down below, my bucket ascends, superbly, superbly; camels lying flat on the ground do not rise any more handsomely as they shake themselves under the sticks of their drivers." There is no more hopeless vista than that of "the regions of the ice mountains" in which the bucket rider drops out of sight forever. From the "nethermost regions of death" blows the wind that is favorable to him, the same wind which so often blows from the prehistoric world in Kafka's works, and which also propels the boat of the hunter Gracchus. "At mysteries and sacrifices, among Greeks as well as barbarians," writes Plutarch, "it is taught that there must be two primary essences and two opposing forces, one of which points to the right and straight ahead, whereas the other turns around and drives back." Reversal is the direction of learning which transforms existence into writing. Its teacher is Bucephalus, "the new attorney," who takes the road back without the powerful Alexander—which means, rid of the onrushing conqueror. "His flanks free and unhampered by the thighs of a rider, under a quiet lamp far from the din of
Alexander's battles, he reads and turns the pages of our old books."
Werner Kraft once wrote an interpretation of this story. After giving careful attention to every detail of the text, Kraft notes: "Nowhere else in literature is there such a powerful and penetrating criticism of the myth in its full scope." According to Kraft, Kafka does not use the word "justice," yet it is justice which serves as the point of departure for his critique of the myth. But once we have reached this point, we are in danger of missing Kafka by stopping here. Is it really the law which could thus be invoked against the myth in the name of justice? No, as a legal scholar Bucephalus remains true to his origins, except that he does not seem to be practicing law—and this is probably something new, in Kafka's sense, for both Bucephalus and the bar. The law which is studied and not practiced any longer is the gate to justice.
The gate to justice is learning. And yet Kafka does not dare attach to this learning the promises which tradition has attached to the study of the Torah. His assistants are sextons who have lost their house of prayer, his students are pupils who have lost the Holy Writ. Now there is nothing to support them on their "untrammelled, happy journey." Kafka, however, has found the law of his journey—at least on one occasion he succeeded in bringing its breath-taking speed in line with the slow narrative pace that he presumably sought all his life. He expressed this in a little prose piece which is his most perfect creation not only because it is an interpretation.
"Without ever boasting of it, Sancho Panza succeeded in the course of years, by supplying a lot of romances of chivalry and adventure for the evening and night hours, in so diverting from him his demon, whom he later called Don Quixote, that his demon thereupon freely performed the maddest exploits, which, however, lacking a preordained object, which Sancho Panza himself was supposed to have been, did no one any harm. A free man, Sancho Panza philosophically followed Don Quixote on his crusades, perhaps out of a sense of responsibility, and thus enjoyed a great and profitable entertainment to the end of his days."
Sancho Panza, a sedate fool and clumsy assistant, sent his rider on ahead; Bucephalus outlived his. Whether it is a man or a horse is no longer so important, if only the burden is removed from the back.
Some Reflections on Kafka*
Kafka's work is an ellipse with foci that are far apart and are determined, on the one hand, by mystical experience (in particular, the experience of tradition) and, on the other, by the experience of the modern big-city dweller. In speaking of the experience of the big-city dweller, I have a variety of things in mind. On the one hand, I think of the modern citizen who knows that he is at the mercy of a vast machinery of officialdom whose functioning is directed by authorities that remain nebulous to the executive organs, let alone to the people they deal with. (It is known that one level of meaning in the novels, particularly in *The Trial*, is encompassed by this.) When I refer to the modern big-city dweller, I am speaking also of the contemporary of today's physicists. If one reads the following passage from Eddington's *The Nature of the Physical World*, one can virtually hear Kafka speak.
I am standing on the threshold about to enter a room. It is a com-
* This text is contained in a letter to Gerhard Scholem, dated June 12, 1938.
licated business. In the first place I must shove against an atmosphere pressing with a force of fourteen pounds on every square inch of my body. I must make sure of landing on a plank travelling at twenty miles a second round the sun—a fraction of a second too early or too late, the plank would be miles away. I must do this whilst hanging from a round planet head outward into space, and with a wind of aether blowing at no one knows how many miles a second through every interstice of my body. The plank has no solidity of substance. To step on it is like stepping on a swarm of flies. Shall I not slip through? No, if I make the venture one of the flies hits me and gives a boost up again; I fall again and am knocked upwards by another fly; and so on. I may hope that the net result will be that I remain about steady; but if unfortunately I should slip through the floor or be boosted too violently up to the ceiling, the occurrence would be, not a violation of the laws of Nature, but a rare coincidence...
Verily, it is easier for a camel to pass through the eye of a needle than for a scientific man to pass through a door. And whether the door be barn door or church door it might be wiser that he should consent to be an ordinary man and walk in rather than wait till all the difficulties involved in a really scientific ingress are resolved.*
In all of literature I know no passage which has the Kafka stamp to the same extent. Without any effort one could match almost every passage of this physical perplexity with sentences from Kafka’s prose pieces, and there is much to indicate that in so doing many of the most “incomprehensible” passages would be accommodated. Therefore, if one says—as I have just said—that there was a tremendous tension between those of Kafka’s experiences that correspond to present-day physics and his mystical ones, only a half-truth is stated. What is actually and in a very literal sense wildly incredible in Kafka is that this most recent world of experience was conveyed to him precisely by this mystical tradition. This, of course, could not have happened without devastating processes (to be discussed presently) within this tradition. The long and the short of it is that apparently an appeal had to be made to the forces of this tradition if an individual (by the name of Franz Kafka) was to be confronted with that reality of ours which realizes itself theoretically, for example, in modern
* Arthur Stanley Eddington, *The Nature of the Physical World*, New York—Cambridge, 1929, p. 342. Quoted by Benjamin in German translation.
physics, and practically in the technology of modern warfare. What I mean to say is that this reality can virtually no longer be experienced by an individual, and that Kafka's world, frequently of such playfulness and interlaced with angels, is the exact complement of his era which is preparing to do away with the inhabitants of this planet on a considerable scale. The experience which corresponds to that of Kafka, the private individual, will probably not become accessible to the masses until such time as they are being done away with.
Kafka lives in a complementary world. (In this he is closely related to Klee, whose work in painting is just as essentially solitary as Kafka's work is in literature.) Kafka offered the complement without being aware of what surrounded him. If one says that he perceived what was to come without perceiving what exists in the present, one should add that he perceived it essentially as an individual affected by it. His gestures of terror are given scope by the marvelous margin which the catastrophe will not grant us. But his experience was based solely on the tradition to which Kafka surrendered; there was no far-sightedness or "prophetic vision." Kafka listened to tradition, and he who listens hard does not see.
The main reason why this listening demands such effort is that only the most indistinct sounds reach the listener. There is no doctrine that one could absorb, no knowledge that one could preserve. The things that want to be caught as they rush by are not meant for anyone's ears. This implies a state of affairs which negatively characterizes Kafka's works with great precision. (Here a negative characterization probably is altogether more fruitful than a positive one.) Kafka's work presents a sickness of tradition. Wisdom has sometimes been defined as the epic side of truth. Such a definition stamps wisdom as inherent in tradition; it is truth in its haggadic consistency.
It is this consistency of truth that has been lost. Kafka was far from being the first to face this situation. Many had accommodated themselves to it, clinging to truth or whatever they happened to regard as truth and, with a more or less heavy heart, forgoing its transmissibility. Kafka's real genius was that he tried
something entirely new: he sacrificed truth for the sake of clinging to its transmissibility, its haggadic element. Kafka’s writings are by their nature parables. But it is their misery and their beauty that they had to become more than parables. They do not modestly lie at the feet of the doctrine, as the Haggadah lies at the feet of the Halakah. Though apparently reduced to submission, they unexpectedly raise a mighty paw against it.
This is why, in regard to Kafka, we can no longer speak of wisdom. Only the products of its decay remain. There are two: one is the rumor about the true things (a sort of theological whispered intelligence dealing with matters discredited and obsolete); the other product of this diathesis is folly—which, to be sure, has utterly squandered the substance of wisdom, but preserves its attractiveness and assurance, which rumor invariably lacks. Folly lies at the heart of Kafka’s favorites—from Don Quixote via the assistants to the animals. (Being an animal presumably meant to him only to have given up human form and human wisdom from a kind of shame—as shame may keep a gentleman who finds himself in a disreputable tavern from wiping his glass clean.) This much Kafka was absolutely sure of: first, that someone must be a fool if he is to help; second, that only a fool’s help is real help. The only uncertain thing is whether such help can still do a human being any good. It is more likely to help the angels (compare the passage about the angels who get something to do) who could do without help. Thus, as Kafka puts it, there is an infinite amount of hope, but not for us. This statement really contains Kafka’s hope; it is the source of his radiant serenity.
I transmit to you this somewhat dangerously compressed image—in the manner of perspective reduction—with all the more ease as you may sharpen it by means of the views I have developed from different aspects in my Kafka essay in the *Jüdische Rundschau.* My main criticism of that study today is its apologetic character. To do justice to the figure of Kafka in its purity and its peculiar beauty one must never lose sight of one thing:
* See the preceding essay.
it is the purity and beauty of a failure. The circumstances of this failure are manifold. One is tempted to say: once he was certain of eventual failure, everything worked out for him *en route* as in a dream. There is nothing more memorable than the fervor with which Kafka emphasized his failure.
What Is Epic Theater?
THE RELAXED AUDIENCE
"There is nothing more pleasant than to lie on a sofa and read a novel," wrote a nineteenth-century narrator, indicating the great extent to which a work of fiction can relax the reader who is enjoying it. The common image of a man attending a theatrical performance is the opposite: one pictures a man who follows the action with every fiber of his being at rapt attention. The concept of the epic theater, originated by Brecht as the theoretician of his poetic practice, indicates above all that this theater desires an audience that is relaxed and follows the action without strain. This audience, to be sure, always appears as a collective, and this differentiates it from the reader, who is alone with his text. Also, this audience, being a collective, will usually feel impelled to react promptly. This reaction, according to Brecht, ought to be a well-considered and therefore a relaxed one—in short, the reaction of people who have an interest in the matter. Two objects are provided for this interest. The first is the action; it has to be such that the audience can keep a check on it at crucial places on the basis of its own experience. The second is the performance; it should be mounted artistically in a pellucid manner. (This manner of presentation is anything but artless; actually, it presupposes artistic sophistication and acumen on the part of the director.) Epic theater appeals to an interest group who "do not think without reason." Brecht does not lose sight of the masses, whose limited practice of thinking is probably described by this phrase. In the endeavor to interest the audience in the theater expertly, but definitely not by way of mere cultural involvement, a political will has prevailed.
THE PLOT
The epic theater purposes to "deprive the stage of its sensation derived from subject matter." Thus an old story will often do more for it than a new one. Brecht has considered the question of whether the incidents that are presented by the epic theater should not already be familiar. The theater would have the same relationship to the plot as a ballet teacher has to his pupil: his first task would be to loosen her joints to the greatest possible extent. This is how the Chinese theater actually proceeds. In his essay "The Fourth Wall of China" (Life and Letters Today, Vol. XV, No. 6, 1936), Brecht states what he owes to this theater. If the theater is to cast about for familiar events, "historical incidents would be the most suitable." Their epic extension through the style of acting, the placards and captions, is intended to purge them of the sensational.
In this vein Brecht takes the life of Galileo as the subject of his latest play. Brecht presents Galileo primarily as a great teacher who not only teaches a new physics, but does so in a new way. In his hands, experiments are not only an achievement of science, but a tool of pedagogy as well. The main emphasis of this play is not on Galileo's recantation; rather, the truly epic process must be sought in what is evident from the labeling of the penultimate scene: "1633 to 1642. As a prisoner of the Inquisition, Galileo continues his scientific work until his death. He succeeds in smuggling his main works out of Italy."
Epic theater is in league with the course of time in an entirely different way from that of the tragic theater. Because suspense
What Is Epic Theater?
belongs less to the outcome than to the individual events, this theater can cover the greatest spans of time. (The same is true of the earlier mystery plays. The dramaturgy of *Oedipus* or *The Wild Duck* constitutes the counterpole of epic dramaturgy.)
THE UNTRAGIC HERO
The French classical theater made room in the midst of the players for persons of rank, who had their armchairs on the open stage. To us this seems inappropriate. According to the concept of the "dramatic element" with which we are familiar, it seemed inappropriate to attach to the action on the stage a nonparticipating third party as a dispassionate observer or "thinker." Yet Brecht often had something like that in mind. One can go even further and say that Brecht made an attempt to make the thinker, or even the wise man, the hero of the drama. From this very point of view one can define his theater as epic theater. This attempt is taken furthest in the character of Galy Gay, the packer. Galy Gay, the protagonist of the play *A Man's a Man*, is nothing but an exhibit of the contradictions which make up our society. It may not be too bold to regard the wise man in the Brechtian sense as the perfect showcase of its dialectics. In any case, Galy Gay is a wise man. Plato already recognized the undramatic quality of that most excellent man, the sage. In his Dialogues he took him to the threshold of the drama; in his *Phaidon*, to the threshold of the passion play. The medieval Christ, who also represented the wise man (we find this in the Early Fathers), is the untragic hero *par excellence*. But in the secular drama of the West, too, the search for the untragic hero has never ceased. In always new ways, and frequently in conflict with its theoreticians, this drama has differed from the authentic—that is, the Greek—form of tragedy. This important but poorly marked road, which may here serve as the image of a tradition, went via Roswitha and the mystery plays in the Middle Ages, via Gryphius and Calderón in the Baroque age; later we may trace it in Lenz and Grabbe, and finally in Strindberg. Scenes in Shakespeare are its roadside monuments, and Goethe crosses it in the second part.
of *Faust*. It is a European road, but a German one as well—provided that we may speak of a road and not of a secret smugglers' path by which the legacy of the medieval and the Baroque drama has reached us. It is this mule track, neglected and overgrown, which comes to light today in the dramas of Brecht.
**THE INTERRUPTION**
Brecht differentiates his epic theater from the dramatic theater in the narrower sense, whose theory was formulated by Aristotle. Appropriately, Brecht introduces his art of the drama as non-Aristotelian, just as Riemann introduced a non-Euclidian geometry. This analogy may bring out the fact that it is not a matter of competition between the theatrical forms in question. Riemann eliminated the parallel postulate; Brecht's drama eliminated the Aristotelian catharsis, the purging of the emotions through empathy with the stirring fate of the hero.
The special character of the relaxed interest of the audience for which the performances of the epic theater are intended is the fact that hardly any appeal is made to the empathy of the spectators. Instead, the art of the epic theater consists in producing astonishment rather than empathy. To put it succinctly: instead of identifying with the characters, the audience should be educated to be astonished at the circumstances under which they function.
The task of the epic theater, according to Brecht, is not so much the development of actions as the representation of conditions. This presentation does not mean reproduction as the theoreticians of Naturalism understood it. Rather, the truly important thing is to discover the conditions of life. (One might say just as well: to alienate [*verfremden*] them.) This discovery (alienation) of conditions takes place through the interruption of happenings. The most primitive example would be a family scene. Suddenly a stranger enters. The mother was just about to seize a bronze bust and hurl it at her daughter; the father was in the act of opening the window in order to call a policeman. At that moment the stranger appears in the doorway. This means
What Is Epic Theater?
that the stranger is confronted with the situation as with a startling picture: troubled faces, an open window, the furniture in disarray. But there are eyes to which even more ordinary scenes of middle-class life look almost equally startling.
THE QUOTABLE GESTURE
In one of his didactic poems on dramatic art Brecht says: "The effect of every sentence was waited for and laid bare. And the waiting lasted until the crowd had carefully weighed our sentence." In short, the play was interrupted. One can go even further and remember that interruption is one of the fundamental devices of all structuring. It goes far beyond the sphere of art. To give only one example, it is the basis of quotation. To quote a text involves the interruption of its context. It is therefore understandable that the epic theater, being based on interruption, is, in a specific sense, a quotable one. There is nothing special about the quotability of its texts. It is different with the gestures which fit into the course of the play.
"Making gestures quotable" is one of the substantial achievements of the epic theater. An actor must be able to space his gestures the way a typesetter produces spaced type. This effect may be achieved, for instance, by an actor's quoting his own gesture on the stage. Thus we saw in Happy End how Carola Neher, acting a sergeant in the Salvation Army, sang, by way of proselytizing, a song in a sailors' tavern that was more appropriate there than it would have been in a church, and then had to quote this song and act out the gestures before a council of the Salvation Army. Similarly, in The Measure Taken the party tribunal is given not only the report of the comrades, but also the acting out of some of the gestures of the comrade they are accusing. What is a device of the subtlest kind in the epic theater generally becomes an immediate purpose in the specific case of the didactic play. Epic theater is by definition a gestic theater. For the more frequently we interrupt someone in the act of acting, the more gestures result.
THE DIDACTIC PLAY
In every instance, the epic theater is meant for the actors as much as for the spectators. The didactic play is a special case largely because it facilitates and suggests the interchange between audience and actors and vice versa through the extreme paucity of the mechanical equipment. Every spectator is enabled to become a participant. And it is indeed easier to play the "teacher" than the "hero."
In the first version of *Lindberghflug* (Lindbergh's Flight), which appeared in a periodical, the flier was still presented as a hero. That version was intended as his glorification. The second version—and this is revealing—owes its origin to the fact that Brecht revised himself. What enthusiasm there was on both continents on the days following this flight! But this enthusiasm petered out as a mere sensation. In *The Flight of the Lindberghs* Brecht endeavors to refract the spectrum of the "thrill" (*Erlebnis*) in order to derive from it the hues of "experience" (*Erfahrung*)—the experience that could be obtained only from Lindbergh's effort, not from the excitement of the public, and which was to be conveyed to "the Lindberghs."
T. E. Lawrence, the author of *The Seven Pillars of Wisdom*, wrote to Robert Graves when he joined the air force that such a step was for modern man what entering a monastery was for medieval man. In this remark we perceive the same tension that we find in *The Flight of the Lindberghs* and the later didactic plays. A clerical sternness is applied to instruction in a modern technique—here, that of aviation; later, that of the class struggle. This second application may be seen most fully in *Mother*. It was a particularly daring undertaking to keep a social drama free of the effects which empathy produces and which the audience was accustomed to. Brecht knew this and expressed it in an epistolary poem that he sent to a New York workingmen's theater when *Mother* was produced there. "We have been asked: Will a worker understand this? Will he be able to do without his accustomed opiate, his mental participation in someone else's uprising, the rise of others; the illusion which whips him up for a
What Is Epic Theater?
few hours and leaves him all the more exhausted, filled with vague memories and even vaguer hopes?"
THE ACTOR
Like the pictures in a film, epic theater moves in spurts. Its basic form is that of the shock with which the single, well-defined situations of the play collide. The songs, the captions, the lifeless conventions set off one situation from another. This brings about intervals which, if anything, impair the illusion of the audience and paralyze its readiness for empathy. These intervals are reserved for the spectators' critical reaction—to the actions of the players and to the way in which they are presented. As to the manner of presentation, the actor's task in the epic theater is to demonstrate through his acting that he is cool and relaxed. He too has hardly any use for empathy. For this kind of acting the "player" of the dramatic theater is not always fully prepared. Perhaps the most open-minded approach to epic theater is to think of it in terms of "putting on a show."
Brecht wrote: "The actor must show his subject, and he must show himself. Of course, he shows his subject by showing himself, and he shows himself by showing his subject. Although the two coincide, they must not coincide in such a way that the difference between the two tasks disappears." In other words: an actor should reserve for himself the possibility of stepping out of character artistically. At the proper moment he should insist on portraying a man who reflects about his part. It would be erroneous to think at such a moment of Romantic Irony, as employed by Tieck in his Puss in Boots. This irony has no didactic aim. Basically, it demonstrates only the philosophic sophistication of the author who, in writing his plays, always remembers that in the end the world may turn out to be a theater.
To what extent artistic and political interests coincide on the scene of epic theater will become manifest in the style of acting appropriate to this genre. A case in point is Brecht's cycle The Private Life of the Master Race. It is easy to see that if a German actor in exile were assigned the part of an SS man or a member
of the People's Court, his feelings about it would be quite different from those of a devoted father and husband asked to portray Molière's Don Juan. For the former, empathy can hardly be regarded as an appropriate method, since he presumably cannot identify with the murderers of his fellow fighters. Another mode of performance, which calls for detachment, would in such cases be right and fitting and particularly successful. This is the epic stagecraft.
THEATER ON A DAIS
The aims of the epic theater can be defined more easily in terms of the stage than of a new drama. Epic theater allows for a circumstance which has been too little noticed. It may be called the filling in of the orchestra pit. The abyss which separates the players from the audience as it does the dead from the living; the abyss whose silence in a play heightens the sublimity, whose resonance in an opera heightens the intoxication—this abyss, of all elements of the theater the one that bears the most indelible traces of its ritual origin, has steadily decreased in significance. The stage is still raised, but it no longer rises from an unfathomable depth; it has become a dais. The didactic play and the epic theater are attempts to sit down on a dais.
Baudelaire envisaged readers to whom the reading of lyric poetry would present difficulties. The introductory poem of the *Fleurs du mal* is addressed to these readers. Will power and the ability to concentrate are not their strong points; what they prefer is sensual pleasures; they are familiar with the "spleen" which kills interest and receptiveness. It is strange to come across a lyric poet who addresses himself to this, the least rewarding type of audience. There is of course a ready explanation for it. Baudelaire was anxious to be understood; he dedicates his book to kindred spirits. The poem addressed to the reader ends with the salutation: "Hypocrite lecteur,—mon semblable,—mon frère!" It might be more fruitful to put it another way and say: Baudelaire wrote a book which from the very beginning had little prospect of becoming an immediate popular success. The kind of reader he envisaged is described in the introductory poem, and this turned out to have been a far-sighted judgment. He was eventually to find the reader at whom his work was aimed. This situation, the fact, in other words, that the climate for lyric poetry has become increasingly inhospitable, is attested to, among other
things, by three factors. In the first place, the lyric poet has ceased to represent the poet *per se*. He no longer is a “minstrel,” as Lamartine still was; he has become a representative of a genre. (Verlaine is a concrete example of this specialization; Rimbaud must already be regarded as an esoteric figure, a poet who maintained an *ex officio* distance between his public and his work.) Secondly, there has been no success on a mass scale in lyric poetry since Baudelaire. (The lyric poetry of Victor Hugo was still able to set off powerful reverberations when it first appeared. In Germany, Heine’s *Buch der Lieder* marks a watershed.) As a result, a third factor was the greater coolness of the public even toward the lyric poetry that had been handed down as part of its own cultural heritage. The period in question dates back roughly to the middle of the last century. Throughout it the fame of the *Fleurs du mal* has constantly spread. This book, which was expected to be read by the least indulgent of readers and which was at first read by few indulgent ones, has, over the decades, acquired the stature of a classic and become one of the most widely printed ones as well.
If conditions for a positive reception of lyric poetry have become less favorable, it is reasonable to assume that only in rare instances is lyric poetry in rapport with the experience of its readers. This may be due to a change in the structure of their experience. Even though one may approve of this development, one may be all the more hard put to it to say precisely in what respect there may have been a change. Thus one turns to philosophy for an answer, which brings one up against a strange situation. Since the end of the last century, philosophy has made a series of attempts to lay hold of the “true” experience as opposed to the kind that manifests itself in the standardized, denatured life of the civilized masses. It is customary to classify these efforts under the heading of a philosophy of life. Their point of departure, understandably enough, was not man’s life in society. What they invoked was poetry, preferably nature, and, most recently, the age of myths. Dilthey’s book *Das Erlebnis und die Dichtung* represents one of the earliest of these efforts which end with Klages and Jung; both made common cause with Fascism.
On Some Motifs in Baudelaire
Towering above this literature is Bergson's early monumental work, *Matière et mémoire*. More than the others, it preserves links with empirical research. It is oriented toward biology. The title suggests that it regards the structure of memory as decisive for the philosophical pattern of experience. Experience is indeed a matter of tradition, in collective existence as well as private life. It is less the product of facts firmly anchored in memory than of a convergence in memory of accumulated and frequently unconscious data. It is, however, not at all Bergson's intention to attach any specific historical label to memory. On the contrary, he rejects any historical determination of memory. He thus manages above all to stay clear of that experience from which his own philosophy evolved or, rather, in reaction to which it arose. It was the inhospitable, blinding age of big-scale industrialism. In shutting out this experience the eye perceives an experience of a complementary nature in the form of its spontaneous after-image, as it were. Bergson's philosophy represents an attempt to give the details of this afterimage and to fix it as a permanent record. His philosophy thus indirectly furnishes a clue to the experience which presented itself to Baudelaire's eyes in its undistorted version in the figure of his reader.
11
*Matière et mémoire* defines the nature of experience in the durée in such a way that the reader is bound to conclude that only a poet can be the adequate subject of such an experience. And it was indeed a poet who put Bergson's theory of experience to the test. Proust's work *À la Recherche du temps perdu* may be regarded as an attempt to produce experience synthetically, as Bergson imagines it, under today's conditions, for there is less and less hope that it will come into being naturally. Proust, incidentally, does not evade the question in his work. He even introduces a new factor, one that involves an immanent critique of Bergson. Bergson emphasized the antagonism between the *vita activa* and the specific *vita contemplativa* which arises from memory. But he leads us to believe that turning to the contemplative actualization of the stream of life is a matter of free choice. From the start Proust indicates his divergent view terminologically. To him, the mémoire pure of Bergson’s theory becomes a mémoire involontaire. Proust immediately confronts this involuntary memory with a voluntary memory, one that is in the service of the intellect. The first pages of his great work are charged with making this relationship clear. In the reflection which introduces the term Proust tells us how poorly, for many years, he remembered the town of Combray in which, after all, he spent part of his childhood. One afternoon the taste of a kind of pastry called madeleine (which he later mentions often) transported him back to the past, whereas before then he had been limited to the promptings of a memory which obeyed the call of attentiveness. This he calls the mémoire volontaire, and it is its characteristic that the information which it gives about the past retains no trace of it. “It is the same with our own past. In vain we try to conjure it up again; the efforts of our intellect are futile.” Therefore Proust, summing up, says that the past is “somewhere beyond the reach of the intellect, and unmistakably present in some material object (or in the sensation which such an object arouses in us), though we have no idea which one it is. As for that object, it depends entirely on chance whether we come upon it before we die or whether we never encounter it.”
According to Proust, it is a matter of chance whether an individual forms an image of himself, whether he can take hold of his experience. It is by no means inevitable to be dependent on chance in this matter. Man’s inner concerns do not have their issueless private character by nature. They do so only when he is increasingly unable to assimilate the data of the world around him by way of experience. Newspapers constitute one of many evidences of such an inability. If it were the intention of the press to have the reader assimilate the information it supplies as part of his own experience, it would not achieve its purpose. But its intention is just the opposite, and it is achieved: to isolate what happens from the realm in which it could affect the experience of the reader. The principles of journalistic information (freshness of the news, brevity, comprehensibility, and, above
all, lack of connection between the individual news items) contribute as much to this as does the make-up of the pages and the paper’s style. (Karl Kraus never tired of demonstrating the great extent to which the linguistic usage of newspapers paralyzed the imagination of their readers.) Another reason for the isolation of information from experience is that the former does not enter “tradition.” Newspapers appear in large editions. Few readers can boast of any information which another reader may require of him.
Historically, the various modes of communication have competed with one another. The replacement of the older narration by information, of information by sensation, reflects the increasing atrophy of experience. In turn, there is a contrast between all these forms and the story, which is one of the oldest forms of communication. It is not the object of the story to convey a happening *per se*, which is the purpose of information; rather, it embeds it in the life of the storyteller in order to pass it on as experience to those listening. It thus bears the marks of the storyteller much as the earthen vessel bears the marks of the potter’s hand.
Proust’s eight-volume work conveys an idea of the efforts it took to restore the figure of the storyteller to the present generation. Proust undertook this assignment with magnificent consistency. From the outset this involved him in the primary task of resurrecting his own childhood. In saying that it was a matter of chance whether the problem could be solved at all, he gave the full measure of its difficulty. In connection with these reflections he coined the phrase *mémoire involontaire*. This concept bears the marks of the situation which gave rise to it; it is part of the inventory of the individual who is isolated in many ways. Where there is experience in the strict sense of the word, certain contents of the individual past combine with material of the collective past. The rituals with their ceremonies, their festivals (quite probably nowhere recalled in Proust’s work) kept producing the amalgamation of these two elements of memory over and over again. They triggered recollection at certain times and remained handles of memory for a lifetime. In this way,
voluntary and involuntary recollection lose their mutual exclusiveness.
In seeking a more substantial definition of what appears in Proust's mémoire de l'intelligence as a by-product of Bergson's theory, it is well to go back to Freud. In 1921 Freud published his essay Beyond the Pleasure Principle, which presents a correlation between memory (in the sense of the mémoire involontaire) and consciousness in the form of a hypothesis. The following remarks based on it are not intended to confirm it; we shall have to content ourselves with investigating the fruitfulness of this hypothesis in situations far removed from those which Freud had in mind when he wrote. Freud's pupils are more likely to have encountered such situations. Some of Reik's writings on his own theory of memory are in line with Proust's distinction between involuntary and voluntary recollection. "The function of remembrance [Gedächtnis]," Reik writes, "is the protection of impressions; memory [Erinnerung] aims at their disintegration. Remembrance is essentially conservative, memory is destructive." Freud's fundamental thought, on which these remarks are based, is formulated by the assumption that "consciousness comes into being at the site of a memory trace." (For our purposes, there is no substantial difference between the concepts Erinnerung and Gedächtnis, as used in Freud's essay.) Therefore, "it would be the special characteristic of consciousness that, unlike what happens in all other psychical systems, the excitatory process does not leave behind a permanent change in its elements, but expires, as it were, in the phenomenon of becoming conscious." The basic formula of this hypothesis is that "becoming conscious and leaving behind a memory trace are processes incompatible with each other within one and the same system." Rather, memory fragments are "often most powerful and most enduring when the incident which left them behind was one that never entered consciousness." Put in Proustian terms, this means that only what has not been experienced explicitly and consciously, what has
not happened to the subject as an experience, can become a component of the mémoire involontaire. According to Freud, the attribution of "permanent traces as the basis of memory" to processes of stimulation is reserved for "other systems," which must be thought of as different from consciousness. In Freud's view, consciousness as such receives no memory traces whatever, but has another important function: protection against stimuli. "For a living organism, protection against stimuli is an almost more important function than the reception of stimuli; the protective shield is equipped with its own store of energy and must above all strive to preserve the special forms of conversion of energy operating in it against the effects of the excessive energies at work in the external world, effects which tend toward an equalization of potential and hence toward destruction." The threat from these energies is one of shocks. The more readily consciousness registers these shocks, the less likely are they to have a traumatic effect. Psychoanalytic theory strives to understand the nature of these traumatic shocks "on the basis of their breaking through the protective shield against stimuli." According to this theory, fright has "significance" in the "absence of any preparedness for anxiety."
Freud's investigation was occasioned by a dream characteristic of accident neuroses which reproduce the catastrophe in which the patient was involved. Dreams of this kind, according to Freud, "endeavor to master the stimulus retroactively, by developing the anxiety whose omission was the cause of the traumatic neurosis." Valéry seems to have had something similar in mind. The coincidence is worth noting, for Valéry was among those interested in the special functioning of psychic mechanisms under present-day conditions. (Moreover, Valéry was able to reconcile this interest with his poetic production, which remained exclusively lyric. He thus emerges as the only author who goes back directly to Baudelaire.) "The impressions and sense perceptions of man," Valéry writes, "actually belong in the category of surprises; they are evidence of an insufficiency in man. . . . Recollection is . . . an elemental phenomenon which aims at giving us the time for organizing the reception of stimuli which
we initially lacked.” The acceptance of shocks is facilitated by training in coping with stimuli, and, if need be, dreams as well as recollection may be enlisted. As a rule, however—so Freud assumes—this training devolves upon the wakeful consciousness, located in a part of the cortex which is “so blown out by the effect of the stimulus” that it offers the most favorable situation for the reception of stimuli. That the shock is thus cushioned, parried by consciousness, would lend the incident that occasions it the character of having been lived in the strict sense. If it were incorporated directly in the registry of conscious memory, it would sterilize this incident for poetic experience.
The question suggests itself how lyric poetry can have as its basis an experience for which the shock experience has become the norm. One would expect such poetry to have a large measure of consciousness; it would suggest that a plan was at work in its composition. This is indeed true of Baudelaire’s poetry; it establishes a connection between him and Poe, among his predecessors, and with Valéry, among his successors. Proust’s and Valéry’s reflections concerning Baudelaire complement each other providentially. Proust wrote an essay about Baudelaire the significance of which is even exceeded by certain reflections in his novels. In his “Situation de Baudelaire” Valéry supplies the classical introduction to the Fleurs du mal. There he says: “The problem for Baudelaire was bound to be this: to become a great poet, yet neither Lamartine nor Hugo nor Musset. I do not claim that this ambition was a conscious one in Baudelaire; but it was bound to be present in him, it was his reason of state.” There is something odd about speaking of a reason of state in the case of a poet; there is something remarkable about it: the emancipation from experiences. Baudelaire’s poetic output is assigned a mission. He envisioned blank spaces which he filled in with his poems. His work cannot merely be categorized as historical, like anyone else’s, but it intended to be so and understood itself as such.
The greater the share of the shock factor in particular impressions, the more constantly consciousness has to be alert as a screen against stimuli; the more efficiently it does so, the less do these impressions enter experience (Erfahrung), tending to remain in the sphere of a certain hour in one's life (Erlebnis). Perhaps the special achievement of shock defense may be seen in its function of assigning to an incident a precise point in time in consciousness at the cost of the integrity of its contents. This would be a peak achievement of the intellect; it would turn the incident into a moment that has been lived (Erlebnis). Without reflection there would be nothing but the sudden start, usually the sensation of fright which, according to Freud, confirms the failure of the shock defense. Baudelaire has portrayed this condition in a harsh image. He speaks of a duel in which the artist, just before being beaten, screams in fright. This duel is the creative process itself. Thus Baudelaire placed the shock experience at the very center of his artistic work. This self-portrait, which is corroborated by evidence from several contemporaries, is of great significance. Since he is himself exposed to fright, it is not unusual for Baudelaire to occasion fright. Vallès tells us about his eccentric grimaces; on the basis of a portrait by Nargeot, Pontmartin establishes Baudelaire's alarming appearance; Claudel stresses the cutting quality he could give to his speech; Gautier speaks of the italicizing Baudelaire indulged in when reciting poetry; Nadar describes his jerky gait.
Psychiatry knows traumatophile types. Baudelaire made it his business to parry the shocks, no matter where they might come from, with his spiritual and his physical self. This shock defense is depicted graphically in an attitude of combat. Baudelaire describes his friend Constantin Guys, whom he visits when Paris is asleep: "... how he stands there, bent over his table, scrutinizing the sheet of paper just as intently as he does the objects around him by day; how he stabs away with his pencil, his pen, his brush; how he spurts water from his glass to the ceiling and tries his pen on his shirt; how he pursues his work swiftly and
intensely, as though he were afraid that his images might escape him; thus he is combative, even when alone, and parries his own blows." In the opening stanza of his poem "Le Soleil" Baudelaire has pictured himself engaged in such a fantastic combat; this is probably the only place in *Les Fleurs du mal* that shows the poet at work.
Le long du vieux faubourg, où pendent aux masures
Les persiennes, abri des secrètes luxures,
Quand le soleil cruel frappe à traits redoublés
Sur la ville et les champs, sur les toits et les blés,
Je vais m'exercer seul à ma fantasque escrime,
Flairant dans tous les coins les hasards de la rime,
Trébuchant sur les mots comme sur les pavés,
Heurtant parfois des vers depuis longtemps rêvés.*
Shock is among those experiences that have assumed decisive importance for Baudelaire's personality. Gide has dealt with the interstices between image and idea, word and thing, which are the real site of Baudelaire's poetic excitation. Rivière has pointed to the subterranean shocks by which Baudelaire's poetry is shaken; it is as though they caused words to collapse. Rivière has indicated such collapsing words.
Et qui sait si les fleurs nouvelles que je rêve
Trouveront dans ce sol lavé comme une grève
Le mystique aliment qui *ferait* leur vigueur.†
Or:
Cybèle, qui les aime, *augmente ses verdures*.‡
* Along the old faubourg where the masonry is tented by Shutters, sheltering secret pleasures,
When the cruel sun's redoubled beams Are lashing city and field, roofs and grain,
I go, alone, to practice my curious fencing,
In every corner smelling out the dodges of rhyme,
Stumbling over words as over cobblestones,
Colliding now and then with long-dreamed-of verses.
† And who knows whether my dreams' new flowers Will find within this soil, washed like a shore, The mystic nourishment that would give them strength?
‡ Cybele, who loves them, augments her verdure.
On Some Motifs in Baudelaire
Another example is this famous first line:
La servante au grand coeur dont vous étiez jalouse.*
To give these covert laws their due outside his verses as well was Baudelaire’s intention in his Spleen de Paris, his prose poems. In the dedication of his collection to the editor-in-chief of La Presse, Arsène Houssaye, Baudelaire wrote: “Who among us has not dreamt, in his ambitious days, of the miracle of a poetic prose? It would have to be musical without rhythm and rhyme, supple and resistant enough to adapt itself to the lyrical stirrings of the soul, the wave motions of dreaming, the shocks of consciousness. This ideal, which can turn into an idée fixe, will grip especially those who are at home in the giant cities and the web of their numberless interconnecting relationships.”
This passage suggests two insights. For one thing, it tells us about the close connection in Baudelaire between the figure of shock and contact with the metropolitan masses. For another, it tells us what is really meant by these masses. They do not stand for classes or any sort of collective; rather, they are nothing but the amorphous crowd of passers-by, the people in the street.¹ This crowd, of whose existence Baudelaire is always aware, has not served as the model for any of his works, but it is imprinted on his creativity as a hidden figure, just as it constitutes the figure concealed in the fragment quoted before. We may discern the image of the fencer in it; the blows he deals are designed to open a path through the crowd for him. To be sure, the faubourgs through which the poet of “Le Soleil” makes his way are deserted. But the meaning of the hidden configuration (which reveals the beauty of that stanza to its very depth) probably is this: it is the phantom crowd of the words, the fragments, the beginnings of lines from which the poet, in the deserted streets, wrests the poetic booty.
* That magnanimous servant of whom you were jealous.
The crowd—no subject was more entitled to the attention of nineteenth-century writers. It was getting ready to take shape as a public in broad strata who had acquired facility in reading. It became a customer; it wished to find itself portrayed in the contemporary novel, as the patrons did in the paintings of the Middle Ages. The most successful author of the century met this demand out of inner necessity. To him, crowd meant—almost in the ancient sense—the crowd of the clients, the public. Victor Hugo was the first to address the crowd in his titles: *Les Misérables*, *Les Travailleurs de la mer*. In France, Hugo was the only writer able to compete with the serial novel. As is generally known, Eugène Sue was the master of this genre, which began to be the source of revelation for the man in the street. In 1850 an overwhelming majority elected him to Parliament as representative of the city of Paris. It is no accident that the young Marx chose Sue’s *Les Mystères de Paris* for an attack. He early recognized it as his task to forge the amorphous mass, which was then being wooed by an aesthetic socialism, into the iron of the proletariat. Engels’ description of these masses in his early writings may be regarded as a prelude, however modest, to one of Marx’s themes. In his book *The Condition of the Working Class in England*, Engels writes: “A city like London, where one can roam about for hours without reaching the beginning of an end, without seeing the slightest indication that open country is nearby, is really something very special. This colossal centralization, this agglomeration of three and a half million people on a single spot has multiplied the strength of these three and a half million inhabitants a hundredfold. . . . But the price that has been paid is not discovered until later. Only when one has tramped the pavements of the main streets for a few days does one notice that these Londoners have had to sacrifice what is best in human nature in order to create all the wonders of civilization with which their city teems, that a hundred creative faculties that lay dormant in them remained inactive and were suppressed. . . . There is something distasteful about the very bustle
of the streets, something that is abhorrent to human nature itself. Hundreds of thousands of people of all classes and ranks of society jostle past one another; are they not all human beings with the same characteristics and potentialities, equally interested in the pursuit of happiness? . . . And yet they rush past one another as if they had nothing in common or were in no way associated with one another. Their only agreement is a tacit one: that everyone should keep to the right of the pavement, so as not to impede the stream of people moving in the opposite direction. No one even bothers to spare a glance for the others. The greater the number of people that are packed into a tiny space, the more repulsive and offensive becomes the brutal indifference, the unfeeling concentration of each person on his private affairs."
This description differs markedly from those to be found in minor French masters, such as Gozlan, Delvau, or Lurine. It lacks the skill and ease with which the flâneur moves among the crowd and which the journalist eagerly learns from him. Engels is dismayed by the crowd; he responds with a moral reaction, and an aesthetic one as well; the speed with which people rush past one another unsettles him. The charm of his description lies in the intersecting of unshakable critical integrity with an old-fashioned attitude. The writer came from a Germany that was still provincial; he may never have faced the temptation to lose himself in a stream of people. When Hegel went to Paris for the first time not long before his death, he wrote to his wife: "When I walk through the streets, people look just as they do in Berlin; they wear the same clothes and the faces are about the same—the same aspect, but in a large crowd." To move in this crowd was natural for a Parisian. No matter how great the distance which an individual cared to keep from it, he still was colored by it and, unlike Engels, was not able to view it from without. As regards Baudelaire, the masses were anything but external to him; indeed, it is easy to trace in his works his defensive reaction to their attraction and allure.
The masses had become so much a part of Baudelaire that it is rare to find a description of them in his works. His most important subjects are hardly ever encountered in descriptive form.
As Dujardin so aptly put it, he was "more concerned with implanting the image in the memory than with adorning and elaborating it." It is futile to search in *Les Fleurs du mal* or in *Spleen de Paris* for any counterpart to the portrayals of the city which Victor Hugo did with such mastery. Baudelaire describes neither the Parisians nor their city. Forgoing such descriptions enables him to invoke the ones in the form of the other. His crowd is always the crowd of a big city, his Paris is invariably overpopulated. It is this that makes him so superior to Barbier, whose descriptive method caused a rift between the masses and the city.\(^2\) In *Tableaux parisiens* the secret presence of a crowd is demonstrable almost everywhere. When Baudelaire takes the dawn as his theme, the deserted streets emanate something of that "silence of a throng" which Hugo senses in nocturnal Paris. As Baudelaire looks at the plates in the anatomical works for sale on the dusty banks of the Seine, the mass of the departed takes the place of the singular skeletons on these pages. In the figures of the *danse macabre*, he sees a compact mass on the move. The heroism of the wizened old women whom the cycle "Les petites vieilles" follows on their rounds, consists in their standing apart from the crowd, unable to keep its pace, no longer participating with their thoughts in the present. The mass was the agitated veil; through it Baudelaire saw Paris. The presence of the mass determines one of the most famous components of *Les Fleurs du mal*.
In the sonnet "À une passante" the crowd is nowhere named in either word or phrase. And yet the whole happening hinges on it, just as the progress of a sailboat depends on the wind.
La rue assourdissante autour de moi hurlait,
Longue, mince, en grand deuil, douleur majestueuse,
Une femme passa, d'une main fastueuse
Soulevant, balançant le feston et l'ourlet;
Agile et noble, avec sa jambe de statue.
Moi, je buvais, crispé comme un extravagant,
Dans son oeil, ciel livide où germe l'ouragan,
La douceur qui fascine et le plaisir qui tue.
On Some Motifs in Baudelaire
Un éclair... puis la nuit!—Fugitive beauté
Dont le regard m'a fait soudainement renaitre,
Ne te verrai-je plus que dans l'éternité?
Ailleurs, bien loin d'ici! Trop tard! Jamais peut-être!
Car j'ignore où tu fuis, tu ne sais où je vais,
O toi que j'eusse aimée, ô toi qui le savais!
In a widow's veil, mysteriously and mutely borne along by
the crowd, an unknown woman comes into the poet's field of
vision. What this sonnet communicates is simply this: Far from
experiencing the crowd as an opposed, antagonistic element, this
very crowd brings to the city dweller the figure that fascinates.
The delight of the urban poet is love—not at first sight, but at
last sight. It is a farewell forever which coincides in the poem
with the moment of enchantment. Thus the sonnet supplies the
figure of shock, indeed of catastrophe. But the nature of the
poet's emotions has been affected as well. What makes his body
contract in a tremor—crispé comme un extravagant, Baudelaire
says—is not the rapture of a man whose every fiber is suffused
with eros; it is, rather, like the kind of sexual shock that can
beset a lonely man. The fact that "these verses could only have
been written in a big city," as Thibaudet put it, is not very mean-
ingful. They reveal the stigmata which life in a metropolis in-
flicts upon love. Proust read the sonnet in this light, and that is
why he gave his later echo of the woman in mourning, which
* The deafening street was screaming all around me.
Tall, slender, in deep mourning—majestic grief—
A woman made her way, with fastidious hand
Raising and swaying festoon and hem;
Agile and noble, with her statue's limbs,
And there was I, who drank, contorted like a madman,
Within her eyes—that livid sky where hurricane is born—
Gentleness that fascinates, pleasure that kills.
A lightning-flash... then night!—O fleeting beauty
Whose glance all of a sudden gave me new birth,
Shall I see you again only in eternity?
Far, far from here! Too late! or maybe, never?
For I know not where you flee, you know not where I go,
O you I would have loved (o you who knew it too!)
appeared to him one day in the form of Albertine, the evocative caption "La Parisienne." "When Albertine came into my room again, she wore a black satin dress. It made her pale, and she resembled the type of the fiery and yet pale Parisian woman, the woman who is not used to fresh air and has been affected by living among masses and possibly in an atmosphere of vice, the kind that can be recognized by a certain glance which seems unsteady if there is no rouge on her cheeks." This is the look—even as late as Proust—of the object of a love which only a city dweller experiences, which Baudelaire captured for poetry, and of which one might not infrequently say that it was spared, rather than denied, fulfillment.
A story by Poe which Baudelaire translated may be regarded as the classic example among the older versions of the motif of the crowd. It is marked by certain peculiarities which, upon closer inspection, reveal aspects of social forces of such power and hidden depth that we may count them among those which alone are capable of exerting both a subtle and a profound effect upon artistic production. The story is entitled "The Man of the Crowd." Set in London, its narrator is a man who, after a long illness, ventures out again for the first time into the hustle and bustle of the city. In the late afternoon hours of an autumn day he installs himself behind a window in a big London coffee-house. He looks over the other guests, pores over advertisements in the paper, but his main focus of interest is the throng of people surging past his window in the street. "The latter is one of the principal thoroughfares of the city, and had been very much crowded during the whole day. But, as the darkness came on, the throng momently increased; and by the time the lamps were well lighted, two dense and continuous tides of population were rushing past the door. At this particular period of the evening I had never before been in a similar situation, and the tumultuous sea of human heads filled me, therefore, with a delicious novelty of emotion. I gave up, at length, all care of things within the
hotel, and became absorbed in contemplation of the scene without." Important as it is, let us disregard the narrative to which this is the prelude and examine the setting.
The appearance of the London crowd as Poe describes it is as gloomy and fitful as the light of the gas lamps overhead. This applies not only to the riffraff that is "brought forth from its den" as night falls. The employees of higher rank, "the upper clerks of staunch firms," Poe describes as follows: "They had all slightly bald heads, from which the right ears, long used to pen-holding, had an odd habit of standing off on end. I observed that they always removed or settled their hats with both hands, and wore watches, with short gold chains of a substantial and ancient pattern." Even more striking is his description of the crowd's movements. "By far the greater number of those who went by had a satisfied business-like demeanour, and seemed to be thinking only of making their way through the press. Their brows were knit, and their eyes rolled quickly; when pushed against by fellow-wayfarers they evinced no symptom of impatience, but adjusted their clothes and hurried on. Others, still a numerous class, were restless in their movements, had flushed faces, and talked and gesticulated to themselves, as if feeling in solitude on account of the very denseness of the company around. When impeded in their progress, these people suddenly ceased muttering, but redoubled their gesticulations, and awaited, with an absent and overdone smile upon the lips, the course of the persons impeding them. If jostled, they bowed profusely to the jostlers, and appeared overwhelmed with confusion." 4 One might think he was speaking of half-drunken wretches. Actually, they were "noblemen, merchants, attorneys, tradesmen, stock-jobbers." 6
Poe's manner of presentation cannot be called realism. It shows a purposely distorting imagination at work, one that removes the text far from what is commonly advocated as the model of social realism. Barbier, perhaps one of the best examples of this type of realism that come to mind, describes things in a less eccentric way. Moreover, he chose a more transparent subject: the oppressed masses. Poe is not concerned with these; he deals with "people," pure and simple. For him, as for Engels,
there was something menacing in the spectacle they presented. It is precisely this image of big-city crowds that became decisive for Baudelaire. If he succumbed to the force by which he was drawn to them and, as a flâneur, was made one of them, he was nevertheless unable to rid himself of a sense of their essentially inhuman make-up. He becomes their accomplice even as he dissociates himself from them. He becomes deeply involved with them, only to relegate them to oblivion with a single glance of contempt. There is something compelling about this ambivalence where he cautiously admits to it. Perhaps the charm of his "Crépuscule du soir," so difficult to account for, is bound up with this.
Baudelaire saw fit to equate the man of the crowd, whom Poe's narrator follows throughout the length and breadth of nocturnal London, with the flâneur. It is hard to accept this view. The man of the crowd is no flâneur. In him, composure has given way to manic behavior. Hence he exemplifies, rather, what had to become of the flâneur once he was deprived of the milieu to which he belonged. If London ever provided it for him, it was certainly not the setting described by Poe. In comparison, Baudelaire's Paris preserved some features that dated back to the happy old days. Ferries were still crossing the Seine at points that would later be spanned by the arch of a bridge. In the year of Baudelaire's death it was still possible for some entrepreneur to cater to the comfort of the well-to-do with a fleet of five hundred sedan chairs circulating about the city. Arcades where the flâneur would not be exposed to the sight of carriages that did not recognize pedestrians as rivals were enjoying undiminished popularity. There was the pedestrian who would let himself be jostled by the crowd, but there was also the flâneur who demanded elbow room and was unwilling to forgo the life of a gentleman of leisure. Let the many attend to their daily affairs; the man of leisure can indulge in the perambulations of the flâneur only if as such he is already out of place. He is as much
out of place in an atmosphere of complete leisure as in the feverish turmoil of the city. London has its man of the crowd. His counterpart, as it were, is the boy Nante [Ferdinand], of the street corner, a popular figure in Berlin before the March Revolution of 1848; the Parisian flâneur might be said to stand midway between them.\textsuperscript{7}
How the man of leisure looks upon the crowd is revealed in a short piece by E. T. A. Hoffmann, the last that he wrote, entitled “The Cousin’s Corner Window.” It antedates Poe’s story by fifteen years and probably is one of the earliest attempts to capture the street scene of a large city. The differences between the two pieces are worth noting. Poe’s narrator observes from behind the window of a public coffeehouse, whereas the cousin is installed at home. Poe’s observer succumbs to the fascination of the scene, which finally lures him outside into the whirl of the crowd. Hoffmann’s cousin, looking out from his corner window, is immobilized as a paralytic; he would not be able to follow the crowd even if he were in the midst of it. His attitude toward the crowd is, rather, one of superiority, inspired as it is by his observation post at the window of an apartment building. From this vantage point he scrutinizes the throng; it is market day, and they all feel in their element. His opera glasses enable him to pick out individual genre scenes. The employment of this instrument is thoroughly in keeping with the inner disposition of its user. He would like, as he admits, to initiate his visitor into the “principles of the art of seeing.”\textsuperscript{8} This consists of an ability to enjoy tableaux vivants—a favorite pursuit of the Biedermeier period. Edifying sayings provide the interpretation.\textsuperscript{9} One can look upon the narrative as an attempt which was then due to be made. But it is obvious that the conditions under which it was made in Berlin prevented it from being a complete success. If Hoffmann had ever set foot in Paris or London, or if he had been intent upon depicting the masses as such, he would not have focused on a market place; he would not have portrayed the scene as being dominated by women; he would perhaps have seized on the motifs that Poe derives from the swarming crowds under the gas lamps. Actually, there would have been no need
for these motifs in order to bring out the uncanny elements that other students of the physiognomy of the big city have felt. A thoughtful observation by Heine is relevant here: "Heine's eyesight," wrote a correspondent in a letter to Varnhagen in 1838, "caused him acute trouble in the spring. On the last such occasion I was walking down one of the boulevards with him. The magnificence, the life of this in its way unique thoroughfare roused me to boundless admiration, something that prompted Heine this time to make a significant point in stressing the horror with which this center of the world was tinged."
VIII
Fear, revulsion, and horror were the emotions which the big-city crowd aroused in those who first observed it. For Poe it has something barbaric; discipline just barely manages to tame it. Later, James Ensor tirelessly confronted its discipline with its wildness; he liked to put military groups in his carnival mobs, and both got along splendidly—as the prototype of totalitarian states, in which the police make common cause with the looters. Valéry, who had a fine eye for the cluster of symptoms called "civilization," has characterized one of the pertinent facts. "The inhabitant of the great urban centers," he writes, "reverts to a state of savagery—that is, of isolation. The feeling of being dependent on others, which used to be kept alive by need, is gradually blunted in the smooth functioning of the social mechanism. Any improvement of this mechanism eliminates certain modes of behavior and emotions." Comfort isolates; on the other hand, it brings those enjoying it closer to mechanization. The invention of the match around the middle of the nineteenth century brought forth a number of innovations which have one thing in common: one abrupt movement of the hand triggers a process of many steps. This development is taking place in many areas. One case in point is the telephone, where the lifting of a receiver has taken the place of the steady movement that used to be required to crank the older models. Of the countless movements of switching, inserting, pressing, and the like, the "snapping" of the photographer has had the greatest consequences. A touch of the finger now sufficed to fix an event for an unlimited period of time. The camera gave the moment a posthumous shock, as it were. Haptic experiences of this kind were joined by optic ones, such as are supplied by the advertising pages of a newspaper or the traffic of a big city. Moving through this traffic involves the individual in a series of shocks and collisions. At dangerous intersections, nervous impulses flow through him in rapid succession, like the energy from a battery. Baudelaire speaks of a man who plunges into the crowd as into a reservoir of electric energy. Circumscribing the experience of the shock, he calls this man "a kaleidoscope equipped with consciousness." Whereas Poe's passers-by cast glances in all directions which still appeared to be aimless, today's pedestrians are obliged to do so in order to keep abreast of traffic signals. Thus technology has subjected the human sensorium to a complex kind of training. There came a day when a new and urgent need for stimuli was met by the film. In a film, perception in the form of shocks was established as a formal principle. That which determines the rhythm of production on a conveyor belt is the basis of the rhythm of reception in the film.
Marx had good reason to stress the great fluidity of the connection between segments in manual labor. This connection appears to the factory worker on an assembly line in an independent, objectified form. Independently of the worker's volition, the article being worked on comes within his range of action and moves away from him just as arbitrarily. "It is a common characteristic of all capitalist production . . . ," wrote Marx, "that the worker does not make use of the working conditions. The working conditions make use of the worker; but it takes machinery to give this reversal a technically concrete form." In working with machines, workers learn to co-ordinate "their own movements with the uniformly constant movements of an automaton." These words shed a peculiar light on the absurd kind of uniformity with which Poe wants to saddle the crowd—uniformities of attire and behavior, but also a uniformity of facial expression. Those smiles provide food for thought. They are probably the
familiar kind, as expressed in the phrase "keep smiling"; in that context they function as a mimetic shock absorber. "All machine work," it is said in the above context, "requires early drilling of the worker." This drill must be differentiated from practice. Practice, which was the sole determinant in craftsmanship, still had a function in manufacturing. With it as the basis, "each particular area of production finds its appropriate technical form in experience and slowly perfects it." To be sure, it quickly crystallizes it, "as soon as a certain degree of maturity has been attained." On the other hand, this same manufacturing produces "in every handicraft it seizes a class of so-called unskilled laborers which the handicraft system strictly excluded. In developing the greatly simplified specialty to the point of virtuosity at the cost of the work capacity as a whole, it starts turning the lack of any development into a specialty. In addition to ranks we get the simple division of workers into the skilled and the unskilled." The unskilled worker is the one most deeply degraded by the drill of the machines. His work has been sealed off from experience; practice counts for nothing there.\textsuperscript{10} What the Fun Fair achieves with its Dodgem cars and other similar amusements is nothing but a taste of the drill to which the unskilled laborer is subjected in the factory—a sample which at times was for him the entire menu; for the art of being off center, in which the little man could acquire training in places like the Fun Fair, flourished concomitantly with unemployment. Poe's text makes us understand the true connection between wildness and discipline. His pedestrians act as if they had adapted themselves to the machines and could express themselves only automatically. Their behavior is a reaction to shocks. "If jostled, they bowed profusely to the jostlers."
\textbf{ix}
The shock experience which the passer-by has in the crowd corresponds to what the worker "experiences" at his machine. This does not entitle us to the assumption that Poe knew anything about industrial work processes. Baudelaire, at any rate,
did not have the faintest notion of them. He was, however, captivated by a process whereby the reflecting mechanism which the machine sets off in the workman can be studied closely, as in a mirror, in the idler. If we say that this process is the game of chance, the statement may appear to be paradoxical. Where would one find a more evident contrast than the one between work and gambling? Alain puts it convincingly when he writes: "It is inherent in the concept of gambling . . . that no game is dependent on the preceding one. Gambling cares about no assured position. . . . Winnings secured earlier are not taken into account, and in this it differs from work. Gambling gives short shrift to the weighty past on which work bases itself." The work which Alain has in mind here is the highly specialized kind (which, like intellectual effort, probably retains certain features of handicraft); it is not that of most factory workers, least of all the work of the unskilled. The latter, to be sure, lacks any touch of adventure, of the mirage that lures the gambler. But it certainly does not lack the futility, the emptiness, the inability to complete something which is inherent in the activity of a wage slave in a factory. Gambling even contains the workman's gesture that is produced by the automatic operation, for there can be no game without the quick movement of the hand by which the stake is put down or a card is picked up. The jolt in the movement of a machine is like the so-called coup in a game of chance. The manipulation of the worker at the machine has no connection with the preceding operation for the very reason that it is its exact repetition. Since each operation at the machine is just as screened off from the preceding operation as a coup in a game of chance is from the one that preceded it, the drudgery of the laborer is, in its own way, a counterpart to the drudgery of the gambler. The work of both is equally devoid of substance.
There is a lithograph by Senefelder which represents a gambling club. Not one of those depicted is pursuing the game in the customary fashion. Each man is dominated by an emotion: one shows unrestrained joy; another, distrust of his partner; a third, dull despair; a fourth evinces belligerence; another is getting ready to depart from the world. All these modes of conduct
share a concealed characteristic: the figures presented show us how the mechanism to which the participants in a game of chance entrust themselves seizes them body and soul, so that even in their private sphere, and no matter how agitated they may be, they are capable only of a reflex action. They behave like the pedestrians in Poe’s story. They live their lives as automatons and resemble Bergson’s fictitious characters who have completely liquidated their memories.
Baudelaire does not appear to have been a devotee of gambling, although he had words of friendly understanding, even homage, for those addicted to it. The motif which he treated in his night piece “Le Jeu” was part of his view of modern times, and he considered it as part of his mission to write this poem. The image of the gambler became in Baudelaire the characteristically modern complement to the archaic image of the fencer; both are heroic figures to him. Ludwig Börne looked at things through Baudelaire’s eyes when he wrote: “If all the energy and passion . . . that are expended every year at Europe’s gambling tables . . . were saved, they would suffice to fashion a Roman people and a Roman history from them. But that is just it. Because every man is born a Roman, bourgeois society seeks to Romanize him, and that is why there are games of chance and parlor games, novels, Italian operas, and fashionable newspapers.” Gambling became a stock diversion of the bourgeoisie only in the nineteenth century; in the eighteenth, only the aristocracy gambled. Games of chance were disseminated by the Napoleonic armies, and they now became part of “fashionable living and the thousands of unsettled lives that are lived in the basements of a large city,” part of the spectacle in which Baudelaire claimed he saw the heroic—“as it is characteristic of our epoch.”
If one wants to examine gambling from the psychological as well as the technical point of view, Baudelaire’s conception of it appears even more significant. It is obvious that the gambler is out to win. Yet one will not want to call his desire to win and make money a wish in the strict sense of the word. He may be inwardly motivated by greed or by some sinister determination. At any rate, his frame of mind is such that he cannot make much
use of experience.\textsuperscript{11} A wish, however, is a kind of experience. "What one wishes for in one's youth, one has in abundance in old age," said Goethe. The earlier in life one makes a wish, the greater one's chances that it will be fulfilled. The further a wish reaches out in time, the greater the hopes for its fulfillment. But it is experience that accompanies one to the far reaches of time, that fills and divides time. Thus a wish fulfilled is the crowning of experience. In folk symbolism, distance in space can take the place of distance in time; that is why the shooting star, which plunges into the infinite distance of space, has become the symbol of a fulfilled wish. The ivory ball which rolls into the next compartment, the next card which lies on top are the very antithesis of a falling star. The period of time encompassed by the instant in which the light of a shooting star flashes for a man is of the kind that Joubert has described with his customary assurance. "Time," he says, "is found even in eternity; but it is not earthly, worldly time. . . . That time does not destroy; it merely completes." It is the antithesis of time in hell, the province of those who are not allowed to complete anything they have started. The disrepute of games of chance is actually based on the fact that the player himself has a hand in it. (An incorrigible patron of a lottery will not be proscribed in the same way as the gambler in a stricter sense.)
This starting all over again is the regulative idea of the game, as it is of work for wages. Thus it is highly meaningful if in Baudelaire the second-hand—"la Seconde"—appears as partner of the gambler:
\begin{quote}
Souviens-toi que le Temps est un joueur avide
Qui gagne sans tricher, à tout coup! c'est la loi!
\end{quote}
In another place, Satan himself takes the place of this second. The taciturn corner of the cave to which the poem "Le Jeu" relegates those who are addicted to gambling undoubtedly is part of his realm.
\textsuperscript{*} Keep in mind that Time's a rabid gambler
Who wins always without cheating—it's the law!
Illuminations
Voilà le noir tableau qu'en un rêve nocturne
Je vis se dérouler sous mon oeil clairvoyant,
Moi-même, dans un coin de l'antre taciturne,
Je me vis accoudé, froid, muet, enviant,
Envyant de ces gens la passion tenace.*
The poet does not participate in the game. He stands in his corner, no happier than those who are playing. He too has been cheated out of his experience—a modern man. The only difference is that he rejects the narcotics with which the gamblers seek to submerge the consciousness that has delivered them to the march of the second-hand.†
Et mon coeur s'effraya d'envier maint pauvre homme
Courant avec ferveur à l'abîme béant,
Et qui, soûl de son sang, préférait en somme
La douleur à la mort et l'enfer au néant! †
In this last stanza Baudelaire presents impatience as the substratum of the passion for gambling. He found it in himself in its purest form. His violent temper had the expressiveness of Giotto's *Iraqundia* at Padua.
x
It is—if one follows Bergson—the actualization of the *durée* which rids man's soul of obsession with time. Proust shared this belief, and from it he developed the lifelong exercises in which he strove to bring to light past things saturated with all the reminiscences that had worked their way into his pores during his sojourn in the unconscious. Proust was an incomparable reader of the *Fleurs du mal*, for he sensed that it contained kin-
* Here you see the hellish picture that one night in a dream
I saw unfolding before my clairvoyant eyes;
And, over in a corner of this silent cave,
Myself I saw, hunched up, cold, mute, and envying,
Envying these people their tenacious passion.
† And my heart took fright—to envy some poor man
Who ran in frenzy to the sheer abyss,
Who, drunk with the pulsing of his blood, preferred
Grief to death, and hell to nothingness.
dred elements. Familiarity with Baudelaire must include Proust’s experience with him. Proust writes: “Time is peculiarly chopped up in Baudelaire; only a very few days open up, they are significant ones. Thus it is understandable why turns of phrases like ‘one evening’ occur frequently in his works.” These significant days are days of completing time, to paraphrase Joubert. They are days of recollection, not marked by any experience. They are not connected with the other days, but stand out from time. As for their substance, Baudelaire has defined it in the notion of the correspondances, a concept that in Baudelaire stands side by side and unconnected with the notion of “modern beauty.”
Disregarding the scholarly literature on the correspondances (the common property of the mystics; Baudelaire encountered them in Fourier’s writings), Proust no longer fusses about the artistic variations on the situation which are supplied by synaesthesia. The important thing is that the correspondances record a concept of experience which includes ritual elements. Only by appropriating these elements was Baudelaire able to fathom the full meaning of the breakdown which he, a modern man, was witnessing. Only in this way was he able to recognize in it the challenge meant for him alone, a challenge which he incorporated in the Fleurs du mal. If there really is a secret architecture in this book—and many speculations have been devoted to it—the cycle of poems that opens the volume probably is devoted to something irretrievably lost. This cycle includes two sonnets whose motif is the same. The first, entitled “Correspondances,” begins with these lines:
La Nature est un temple où de vivants piliers
Laissent parfois sortir de confuses paroles;
L’homme y passe à travers des forêts de symboles
Qui l’observent avec des regards familiers.
Comme de longs échos qui de loin se confondent
Dans une ténèbreuse et profonde unité,
Vaste comme la nuit et comme la clarté,
Les parfums, les couleurs et les sons se répondent.*
*Nature is a temple whose living pillars
Sometimes give forth a babel of words;
What Baudelaire meant by correspondances may be described as an experience which seeks to establish itself in crisis-proof form. This is possible only within the realm of the ritual. If it transcends this realm, it presents itself as the beautiful. In the beautiful the ritual value of art appears.\textsuperscript{13}
The correspondances are the data of remembrance—not historical data, but data of prehistory. What makes festive days great and significant is the encounter with an earlier life. Baudelaire recorded this in a sonnet entitled “La Vie antérieure.” The images of caves and vegetation, of clouds and waves which are evoked at the beginning of this second sonnet rise from the warm vapor of tears, tears of homesickness. “The wanderer looks into the tear-veiled distance, and hysterical tears [sic] well up in his eyes,” writes Baudelaire in his review of the poems of Marceline Desbordes-Valmore. There are no simultaneous correspondences, such as were cultivated by the symbolists later. The murmur of the past may be heard in the correspondences, and the canonical experience of them has its place in a previous life:
Les houles, en roulant les images des cieux,
Mêlaient d'une façon solennelle et mystique
Les tout-puissants accords de leur riche musique
Aux couleurs du couchant reflété par mes yeux.
C'est là que j'ai vécu. . . .
The fact that Proust’s restorative will remains within the limits of earthly existence, whereas Baudelaire’s transcends it, may be regarded as symptomatic of the incomparably more elemental and powerful counterforces that Baudelaire faced. And prob-
\begin{quote}
Man wends his way through forests of symbols
Which look at him with their familiar glances.
As long-resounding echoes from afar
Are mingling in a deep, dark unity,
Vast as the night or as the orb of day,
Perfumes, colors, and sounds commingle.
* The breakers, rolling the images of the sky,
Mixed, in a mystical and solemn way,
The powerful chords of their rich music
With the colors of the sunset reflected in my eyes.
There did I live. . . .
\end{quote}
On Some Motifs in Baudelaire
ably he nowhere achieved greater perfection than when he seems resigned to being overcome by them, "Recueillement" traces the allegories of the old years against the deep sky:
... Vois se pencher les défuntas Années
Sur les balcons du ciel, en robes surannées.*
In these verses Baudelaire resigns himself to paying homage to times out of mind that escaped him in the guise of the outdated. When Proust in the last volume of his work reverts to the sensation that suffused him at the taste of a madeleine, he imagines the years which appear on the balcony as being loving sisters of the years of Combray. "In Baudelaire . . . these reminiscences are even more numerous. It is apparent that they are not occasioned by chance, and this, to my mind, is what gives them crucial importance. There is no one else who pursues the interconnected correspondances with such leisurely care, fastidiously and yet nonchalantly—in a woman's smell, for instance, in the fragrance of her hair or her breasts—correspondances which then yield him lines like 'the azure of the vast, vaulted sky' or 'a harbor full of flames and masts.'" These words are a confessional motto for Proust's work. It bears a relationship to Baudelaire's work, which has assembled the days of remembrance into a spiritual year.
But the Fleurs du mal would not be what it is if all it contained were this success. It is unique because it was able to wrest from the inefficacy of the same consolation, the breakdown of the same fervor, the failure of the same effort poems that are in no way inferior to those in which the correspondances celebrate their triumphs. "Spleen et idéal" is the first of the cycles in Les Fleurs du mal. The idéal supplies the power of remembrance; the spleen musters the multitude of the seconds against it. It is their commander, just as the devil is the lord of the flies. One of the Spleen poems, "Le Goût du néant," says: "Le Printemps adorable a perdu son odeur!" † In this line Baudelaire expresses
* . . . See the dead departed Years in antiquated
Dress leaning over heaven's balconies.
† Spring, the Beloved, has lost its scent.
something extreme with extreme discretion; this makes it unmistakably his. The word "perdu" acknowledges the present state of collapse of that experience which he once shared. The scent is the inaccessible refuge of the mémoire involontaire. It is unlikely that it will associate itself with a visual image; of all sensual impressions it will ally itself only with the same scent. If the recognition of a scent is more privileged to provide consolation than any other recollection, this may be so because it deeply drugs the sense of time. A scent may drown years in the odor it recalls. This gives a sense of measureless desolation to Baudelaire's verse. For someone who is past experiencing, there is no consolation. Yet it is this very inability to experience that lies at the heart of rage. An angry man "won't listen"; his prototype Timon rages against people indiscriminately; he is no longer capable of telling his proven friend from his mortal enemy. D'Aurevilly very perceptively recognized this condition in Baudelaire, calling him "a Timon with the genius of Archilochus." The outbreaks of rage are timed to the ticking of the seconds to which the melancholy man is slave.
Et le Temps m'engloutit minute par minute,
Comme la neige immense un corps pris de roideur.*
These verses follow immediately after those quoted above. In the spleen, time becomes palpable; the minutes cover a man like snowflakes. This time is outside history, as is that of the mémoire involontaire. But in the spleen the perception of time is supernaturally keen; every second finds consciousness ready to intercept its shock.¹⁴
Even though chronology places regularity above permanence, it cannot prevent heterogeneous, conspicuous fragments from remaining within it. To have combined recognition of a quality with the measurement of the quantity was the work of the calendars in which the places of recollection are left blank, as it were, in the form of holidays. The man who loses his capacity for experiencing feels as though he is dropped from the calendar. The
* And, minute by minute, Time engulfs me,
As the snow's measureless fall covers a motionless body.
big-city dweller knows this feeling on Sundays; Baudelaire has it avant la lettre in one of the Spleen poems.
Des cloches tout à coup sautent avec furie
Et lancent vers le ciel un affreux hurlement,
Ainsi que des esprits errants et sans patrie
Qui se mettent à geindre opiniâtrement.*
The bells, which once were part of holidays, have been dropped from the calendar, like the human beings. They are like the poor souls that wander restlessly, but outside of history. If Baudelaire in “Spleen” and “Vie antérieure” holds in his hands the scattered fragments of genuine historical experience, Bergson in his conception of the durée has become far more estranged from history. “Bergson the metaphysician suppresses death.” The fact that death is eliminated from Bergson’s durée isolates it effectively from a historical (as well as prehistorical) order. Bergson’s concept of action is in keeping with this. The “sound common sense” which distinguishes the “practical man” has been its godfather. The durée from which death has been eliminated has the miserable endlessness of a scroll. Tradition is excluded from it. It is the quintessence of a passing moment [Erlebnis] that struts about in the borrowed garb of experience. The spleen, on the other hand, exposes the passing moment in all its nakedness. To his horror, the melancholy man sees the earth revert to a mere state of nature. No breath of prehistory surrounds it: there is no aura. This is how the earth emerges in the verses of “Le Goût du néant” which follow the ones we have quoted.
Je contemple d’en haut le globe en sa rondeur,
Et je n’y cherche plus l’abri d’une cahute.†
* Suddenly bells leap forth with fury,
Hurling a hideous howling to the sky
Like wandering homeless spirits
Who break into stubborn wailing.
† And from on high I contemplate the globe in its roundness;
No longer do I look there for the shelter of a hut.
If we designate as aura the associations which, at home in the mémoire involontaire, tend to cluster around the object of a perception, then its analogue in the case of a utilitarian object is the experience which has left traces of the practiced hand. The techniques based on the use of the camera and of subsequent analogous mechanical devices extend the range of the mémoire volontaire; by means of these devices they make it possible for an event at any time to be permanently recorded in terms of sound and sight. Thus they represent important achievements of a society in which practice is in decline. To Baudelaire there was something profoundly unnerving and terrifying about daguerreotypy; he speaks of the fascination it exerted as "startling and cruel." Thus he must have sensed, though he certainly did not see through them, the connections of which we have spoken. His willingness always to grant the modern its place and, especially in art, to assign it its specific function also determined his attitude toward photography. Whenever he felt it as a threat, he tried to put it down to its "mistaken developments"; yet he admitted that these were promoted by "the stupidity of the broad masses." "These masses demanded an ideal that would conform to their aspirations and the nature of their temperament. . . . Their prayers were granted by a vengeful god, and Daguerre became his prophet." Nevertheless, Baudelaire tried to take a more conciliatory view. Photography should be free to stake out a claim for ephemeral things, those that have a right "to a place in the archives of our memory," as long as it stops short of the "region of the intangible, imaginative": that of art in which only that is allotted a place "on which man has bestowed the imprint of his soul." This is scarcely a Solomonian judgment. The perpetual readiness of volitional, discursive memory, encouraged by the technique of mechanical reproduction, reduces the scope for the play of the imagination. The latter may perhaps be defined as an ability to give expression to desires of a special kind, with "something beautiful" thought of as their fulfillment. Valéry has set forth the conditions for this fulfillment: "We recognize a work
of art by the fact that no idea it inspires in us, no mode of behavior that it suggests we adopt could exhaust it or dispose of it. We may inhale the smell of a flower whose fragrance is agreeable to us for as long as we like; it is impossible for us to rid ourselves of the fragrance by which our senses have been aroused, and no recollection, no thought, no mode of behavior can obliterate its effect or release us from the hold it has on us. He who has set himself the task of creating a work of art aims at the same effect." According to this view, the painting we look at reflects back at us that of which our eyes will never have their fill. What it contains that fulfills the original desire would be the very same stuff on which the desire continuously feeds. What distinguishes photography from painting is therefore clear, and why there can be no encompassing principle of "creation" applicable to both: to the eyes that will never have their fill of a painting, photography is rather like food for the hungry or drink for the thirsty.
The crisis of artistic reproduction which manifests itself in this way can be seen as an integral part of a crisis in perception itself. What prevents our delight in the beautiful from ever being satisfied is the image of the past, which Baudelaire regards as veiled by the tears of nostalgia. "Ach, du warst in abgelebten Zeiten meine Schwester oder meine Frau!" *—this declaration of love is the tribute which the beautiful as such is entitled to claim. Insofar as art aims at the beautiful and, on however modest a scale, "reproduces" it, it conjures it up (as Faust does Helen) out of the womb of time. This no longer happens in the case of technical reproduction. (The beautiful has no place in it.) Proust, complaining of the barrenness and lack of depth in the images of Venice that his mémoire volontaire presented to him, notes that the very word "Venice" made that wealth of images seem to him as vapid as an exhibition of photographs. If the distinctive feature of the images that rise from the mémoire involontaire is seen in their aura, then photography is decisively implicated in the phenomenon of the "decline of the aura." What was inevi-
* "Oh, you were in time gone by my sister or my wife." (Goethe.)
tably felt to be inhuman, one might even say deadly, in daguerreotypy was the (prolonged) looking into the camera, since the camera records our likeness without returning our gaze. But looking at someone carries the implicit expectation that our look will be returned by the object of our gaze. Where this expectation is met (which, in the case of thought processes, can apply equally to the look of the eye of the mind and to a glance pure and simple), there is an experience of the aura to the fullest extent. "Perceptibility," as Novalis puts it, "is a kind of attentiveness." The perceptibility he has in mind is none other than that of the aura. Experience of the aura thus rests on the transposition of a response common in human relationships to the relationship between the inanimate or natural object and man. The person we look at, or who feels he is being looked at, looks at us in turn. To perceive the aura of an object we look at means to invest it with the ability to look at us in return.\textsuperscript{17} This experience corresponds to the data of the mémoire involontaire. (These data, incidentally, are unique: they are lost to the memory that seeks to retain them. Thus they lend support to a concept of the aura that comprises the "unique manifestation of a distance." This designation has the advantage of clarifying the ceremonial character of the phenomenon. The essentially distant is the inapproachable: inapproachability is in fact a primary quality of the ceremonial image.) Proust's great familiarity with the problem of the aura requires no emphasis. Nevertheless, it is notable that he alludes to it at times in terms which comprehend its theory: "Some people who are fond of secrets flatter themselves that objects retain something of the gaze that has rested on them." (The ability, it would seem, of returning the gaze.) "They believe that monuments and pictures present themselves only beneath the delicate veil which centuries of love and reverence on the part of so many admirers have woven about them. This chimera," Proust concludes evasively, "would change into truth if they related it to the only reality that is valid for the individual, namely, the world of his emotions." Valéry's characterization of perception in dreams as aural is akin to this and, by virtue of its objective orientation, reaches further. "To say, 'Here I see such
and such an object’ does not establish an equation between me and the object. . . . In dreams, however, there is an equation. The things I see, see me just as much as I see them.” On a level with perception in dreams is the nature of temples, of which Baudelaire said:
L’homme y passe à travers des forêts de symboles
Qui l’observent avec des regards familiers.*
The greater Baudelaire’s insight into this phenomenon, the more unmistakably did the disintegration of the aura make itself felt in his lyrical poetry. This occurs in the form of a symbol which we encounter in the Fleurs du mal almost invariably whenever the look of the human eye is invoked. (That Baudelaire did not follow some preconceived scheme goes without saying.) What is involved here is that the expectation roused by the look of the human eye is not fulfilled. Baudelaire describes eyes of which one is inclined to say that they have lost their ability to look. Yet this lends them a charm which to a large, perhaps predominant, extent serves as a means of defraying the cost of his instinctual desires. It was under the spell of these eyes that sexus in Baudelaire detached itself from eros. If in “Selige Sehnsucht” the lines
Keine Ferne macht dich schwierig,
Kommst geflogen und gebannt †
must be regarded as the classic description of that love which is sated with the experience of the aura, then lyric poetry could hardly offer a greater challenge to those lines than Baudelaire’s
Je t’adore à l’égal de la voûte nocturne,
O vase de tristesse, o grande taciturne,
Et t’aime d’autant plus, belle, que tu me fuis,
Et que tu me parais, ornement de mes nuits,
* Man wends his way through forests of symbols
Which look at him with their familiar glances.
† No distance makes you difficult; you come flying, and stay under a spell. (Goethe.)
Illuminations
Plus ironiquement accumuler les lieues
Qui séparent mes bras des immensités bleues.*
The deeper the remoteness which a glance has to overcome, the stronger will be the spell that is apt to emanate from the gaze. In eyes that look at us with a mirrorlike blankness the remoteness remains complete. It is precisely for this reason that such eyes know nothing of distance. Baudelaire incorporated the smoothness of their stare in a subtle couplet:
Plonge tes yeux dans des yeux fixes
Des Satyresses ou des Nixes.†
Female satyrs and nymphs are no longer members of the family of man. Theirs is a world apart. Significantly, Baudelaire injected into his poem the look of the eye encumbered by distance as regard familier. The poet who failed to found a family endowed the word familier with overtones pervaded by promise and renunciation. He has lost himself to the spell of eyes which do not return his glance and submits to their sway without illusions.
Tes yeux, illuminés ainsi que des boutiques
Et des ifs flamboyants dans les fêtes publiques,
Usent insolemment d'un pouvoir emprunté.‡
"Dullness," says Baudelaire in one of his earliest publications, "is frequently an ornament of beauty. It is to this that we owe it if eyes are sad and translucent like blackish swamps or if their gaze has the oily inertness of tropical seas." When such eyes come alive, it is with the self-protective wariness of a wild ani-
* No less than the night's vault do I adore you,
Vessel of sorrow, O deeply silent one,
And even more I love you, my lovely one,
Because you flee from me and, ornament of my nights,
Ironically you seem to multiply the miles
That separate my arms from blue immensities.
† Let your eyes look deeply into the fixed stare
Of Satyresses or of Nymphs.
‡ Your eyes, lit up like shop windows
And trees illuminated for public celebrations,
With insolence make use of borrowed power.
mal hunting for prey. (Thus the eye of the prostitute scrutinizing the passers-by is at the same time on its guard against the police. Baudelaire found the physiognomic type bred by this kind of life delineated in Constantin Guys's numerous drawings of prostitutes. "Her eyes, like those of a wild animal, are fixed on the distant horizon; they have the restlessness of a wild animal . . . , but sometimes also the animal's sudden tense vigilance.") That the eye of the city dweller is overburdened with protective functions is obvious. Georg Simmel refers to some less obvious tasks with which it is charged. "The person who is able to see but unable to hear is much more . . . troubled than the person who is able to hear but unable to see. Here is something . . . characteristic of the big city. The interpersonal relationships of people in big cities are characterized by a markedly greater emphasis on the use of the eyes than on that of the ears. This can be attributed chiefly to the institution of public conveyances. Before buses, railroads, and streetcars became fully established during the nineteenth century, people were never put in a position of having to stare at one another for minutes or even hours on end without exchanging a word."
There is no daydreaming surrender to faraway things in the protective eye. It may even cause one to feel something like pleasure in the degradation of such abandonment. This is probably the sense in which the following curious sentences should be read. In his "Salon of 1859" Baudelaire lets the landscapes pass in review, concluding with this admission: "I long for the return of the dioramas whose enormous, crude magic subjects me to the spell of a useful illusion. I prefer looking at the backdrop paintings of the stage where I find my favorite dreams treated with consummate skill and tragic concision. Those things, so completely false, are for that very reason much closer to the truth, whereas the majority of our landscape painters are liars, precisely because they fail to lie." One is inclined to attach less importance to the "useful illusion" than to the "tragic concision." Baudelaire insists on the magic of distance; he goes so far as to judge landscapes by the standard of paintings in the booths at fairs. Does he mean the magic of distance to be pierced, as must needs
happen when the spectator steps too close to the depicted scene? This is embodied in one of the great verses of the *Fleurs du mal*:
Le Plaisir vaporeux fuira vers l'horizon
Ainsi qu'une sylphide au fond de la coulisse.*
Les *Fleurs du mal* was the last lyric work that had a European repercussion; no later work penetrated beyond a more or less limited linguistic area. Added to this is the fact that Baudelaire expended his productive capacity almost entirely on this one work. And, finally, it cannot be denied that some of his motifs—and the present study has dealt with them—render the possibility of lyric poetry questionable. These three facts define Baudelaire historically. They show that he imperturbably stuck to his cause and single-mindedly concentrated on his mission. He went so far as to proclaim as his goal "the creation of a cliché." In this he saw the condition of every future poet; he had a low opinion of those who were not up to it. "Do you drink beef tea made of ambrosia? Do you eat cutlets from Paros? How much do they give in the pawnshop for a lyre?" To Baudelaire, the lyric poet with a halo is antiquated. In a prose piece which came to light at a late date, "A Lost Halo," Baudelaire has such a poet appear as a supernumerary. When Baudelaire's literary remains were first examined, this piece was rejected as "unsuitable for publication"; to this day it has been neglected by Baudelaire scholarship.
"What do I see, my dear fellow? You—here? I find you in a place of ill repute—a man who sips quintessences, who consumes ambrosia? Really! I couldn't be more surprised."
"You know, my dear fellow, how afraid I am of horses and carriages. A short while ago I was hurrying across the boulevard, and amidst this moving chaos in which death comes galloping at you from all sides at once I must have made an awkward movement, for the halo slipped off my head and fell onto the muddy asphalt pavement. I didn't have the courage to pick it up, and
* Nebulous Pleasure horizonward will flee,
Just like a sylph behind the wings.
decided that it hurts less to lose one’s insignia than to have one’s bones broken. And furthermore, I said to myself, every cloud has a silver lining. Now I can go about incognito, do bad things, and indulge in vulgar behavior like ordinary mortals. So here I am, just like you!
“But you ought to report the loss of your halo or inquire at the lost-and-found office.”
“I wouldn’t dream of it. I like it here. You are the only person who has recognized me. Besides, dignity bores me. And I enjoy the thought that some bad poet will pick up the halo and won’t think twice about adorning himself with it. There is nothing I like better than to make someone happy—especially if the happy man is one I can laugh at. Just picture X. wearing it, or Y.! Won’t that be funny?”
The same motif may be found in the diaries; only the ending is different. The poet quickly picks the halo up; but now he is bothered by the feeling that the incident may be a bad omen.\(^{18}\)
The man who wrote these pieces was no flâneur. They embody, in ironic form, the same experiences which Baudelaire put into this sentence, without any trimmings and in passing: “Perdu dans ce vilain monde, coudoyé par les foules, je suis comme un homme lassé dont l’oeil ne voit en arrière, dans les années profondes, que désabusement et amertume, et, devant lui, qu’un orage où rien de neuf n’est contenu, ni enseignement ni douleur.” * Of all the experiences which made his life what it was, Baudelaire singled out his having been jostled by the crowd as the decisive, unique experience. The luster of a crowd with a motion and a soul of its own, the glitter that had bedazzled the flâneur, had dimmed for him. To impress the crowd’s meanness upon himself, he envisaged the day on which even the lost women, the outcasts, would be ready to advocate a well-ordered life, condemn libertinism, and reject everything except money. Having been betrayed by these last allies of his, Baudelaire battled the
* “Lost in this mean world, jostled by the crowd, I am like a weary man whose eye, looking backwards, into the depth of the years, sees nothing but disillusion and bitterness, and before him nothing but a tempest which contains nothing new, neither instruction nor pain.”
crowd—with the impotent rage of someone fighting the rain or the wind. This is the nature of something lived through (Erlebnis) to which Baudelaire has given the weight of an experience (Erfahrung). He indicated the price for which the sensation of the modern age may be had: the disintegration of the aura in the experience of shock. He paid dearly for consenting to this disintegration—but it is the law of his poetry, which shines in the sky of the Second Empire as “a star without atmosphere.”
1. To endow this crowd with a soul is the very special purpose of the flâneur. His encounters with it are the experience that he does not tire of telling about. Certain reflexes of this illusion are an integral part of Baudelaire's work. It has continued to be an active force to this day. Jules Romains's unanimisme is an admired late flowering of it.
2. Characteristic of Barbier's method is his poem "Londres" which in 24 lines describes the city, awkwardly closing with the following verses:
Enfin, dans un amas de choses, sombre, immense,
Un peuple noir, vivant et mourant en silence.
Des êtres par milliers, suivant l'instinct fatal,
Et courant après l'or par le bien et le mal.*
(Auguste Barbier, Iambes et poèmes. Paris, 1841.) Barbier's tendentious poems, particularly the London cycle, Lazare, influenced Baudelaire more profoundly than people have been willing to admit. Baudelaire's "Crépuscule du soir" concludes as follows:
... ils finissent
Leur destinée et vont vers le gouffre commun;
L'hôpital se remplit de leurs soupirs.—Plus d'un
Ne viendra plus chercher la soupe parfumée,
Au coin du feu, le soir, auprès d'une âme aimée.†
Compare this with the end of the eighth stanza of Barbier's "Mineurs de Newcastle":
* Finally, within a huge and somber mass of things,
A blackened people, who live and die in silence.
Thousands of beings, who follow a fatal instinct,
Pursuing gold with good and evil means.
† ... their fate
Accomplished, they approach the common pit;
Their sighings fill the ward.—More than one
Will come no more to get his fragrant soup,
At night, by the fireside, next to a beloved one.
Illuminations
Et plus d'un qui rêvait dans le fond de son âme
Aux douceurs du logis, à l'oeil bleu de sa femme,
Trouve au ventre du gouffre un éternel tombeau.*
With a little masterful retouching Baudelaire turns a "miner's fate" into the commonplace end of big-city dwellers.
3. The motif of love for a woman passing by occurs in an early poem by Stefan George. The poet has missed the important thing: the stream in which the woman moves past, borne along by the crowd. The result is a self-conscious elegy. The poet's glances—so he must confess to his lady—have "moved away, moist with longing/before they dared mingle with yours" ("... feucht vor sehnen fortgezogen/eb sie in deine sich zu tauchen trauten." Stefan George, Hymnen. Pilgerfahrten. Algabal. Berlin, 1922). Baudelaire leaves no doubt that he looked deep into the eyes of the passer-by.
4. This passage has a parallel in "Un Jour de pluie." Even though it bears another name, this poem must be ascribed to Baudelaire. The last verse, which gives the poem its extraordinarily somber quality, has an exact counterpart in "The Man of the Crowd." Poe writes: "The rays of the gas lamps, feeble at first in their struggle with the dying day, had now at length gained ascendancy, and threw over everything a fitful and garish luster. All was dark yet splendid—as that ebony to which has been likened the style of Tertullian." This coincidence is all the more astonishing here as the following verses were written in 1843 at the latest, a period when Baudelaire did not know Poe.
Chacun, nous coudoyant sur le trottoir glissant,
Egoïste et brutal, passe et nous éclabousse,
Ou, pour courir plus vite, en s'éloignant nous pousse.
Partout fange, déluge, obscurité du ciel.
Noir tableau qu'eût rêvé le noir Ezéchiel.†
5. There is something demonic about Poe's businessmen. One is reminded of Marx, who blamed the "feverishly youthful pace of ma-
* And more than one who in his heart of hearts had dreams
Of home, sweet home, and of his wife's blue eyes,
Finds, within the belly of the pit, an everlasting tomb.
† Each one, elbowing us upon the slippery sidewalk,
Selfish and savage goes by and splashes us,
Or, to run the faster, gives us a push as he makes off.
Mud everywhere, deluge, darkness in the sky.
A somber scene that Ezekiel the somber might have dreamed.
On Some Motifs in Baudelaire
terial production" in the United States for the lack of "either time or opportunity... to abolish the old world of the spirit." As darkness descends, Baudelaire has "the harmful demons" awaken in the air "sluggish as a bunch of businessmen." This passage in "Crépuscule du soir" may have been inspired by Poe's text.
6. A pedestrian knew how to display his nonchalance provocatively on certain occasions. Around 1840 it was briefly fashionable to take turtles for a walk in the arcades. The flâneurs liked to have the turtles set the pace for them. If they had had their way, progress would have been obliged to accommodate itself to this pace. But this attitude did not prevail; Taylor, who popularized the watchword "Down with dawdling!," carried the day.
7. In Glassbrenner's character the man of leisure appears as a paltry scion of the citoyen. Nante, Berlin's street-corner boy, has no reason to bestir himself. He makes himself at home on the street, which naturally does not lead him anywhere, and is as comfortable as the philistine is in his four walls.
8. What leads up to this confession is remarkable. The visitor says that the cousin watches the bustle down below only because he enjoys the changing play of the colors; in the long run, he says, this must be tiring. In a similar vein, and probably not much later, Gogol wrote of a fair in the Ukraine: "So many people were on their way there that it made one's eyes swim." The daily sight of a lively crowd may once have constituted a spectacle to which one's eyes had to adapt first. On the basis of this supposition, one may assume that once the eyes had mastered this task they welcomed opportunities to test their newly acquired faculties. This would mean that the technique of Impressionist painting, whereby the picture is garnered in a riot of dabs of color, would be a reflection of experiences with which the eyes of a big-city dweller have become familiar. A picture like Monet's "Cathedral of Chartres," which is like an ant-heap of stone, would be an illustration of this hypothesis.
9. In his story E. T. A. Hoffmann devotes edifying reflections, for instance, to the blind man who lifts his head toward the sky. In the last line of "Les Aveugles," Baudelaire, who knew this story, modifies Hoffmann's reflections in such a way as to disprove their edifying quality: "Que cherchent-ils au Ciel, tous ces aveugles?" [What are all those blind people looking for in the sky?]
10. The shorter the training period of an industrial worker is, the
longer that of a military man becomes. It may be part of society's preparation for total war that training is shifting from the practice of production to the practice of destruction.
11. Gambling invalidates the standards of experience. It may be due to an obscure sense of this that the "vulgar appeal to experience" (Kant) has particular currency among gamblers. A gambler says "my number" in the same way as a man about town says "my type." Toward the end of the Second Empire this attitude prevailed. "On the boulevards it was customary to attribute everything to chance." This disposition is promoted by betting, which is a device for giving events the character of a shock, detaching them from the context of experience. For the bourgeoisie, even political events were apt to assume the form of occurrences at the gambling table.
12. The narcotic effect that is involved here is specified as to time, like the malady that it is supposed to alleviate. Time is the material into which the phantasmagoria of gambling has been woven. In his *Faucheurs de nuits* Gourdon de Genouillac writes: "I claim that the mania for gambling is the noblest of all passions, for it includes all the others. A series of lucky coups gives me more pleasure than a non-gambler can have in years. . . . If you think that I see only profit in the gold that falls to my share, you are mistaken. I see in it the pleasures that it gets me, and I enjoy them fully. They come too quickly to make me weary, and there are too many of them for me to get bored. I live a hundred lives in one. When I travel, it is the way that an electric spark travels. . . . If I am stingy and reserve my bank notes for gambling, it is because I know the value of time too well to invest them as other people do. A certain enjoyment that I might permit myself would cost me a thousand other enjoyments. . . . I have intellectual pleasures and want no others." In the fine notes on gambling in his *Jardin d'Épicure*, Anatole France presents a similar view.
13. Beauty can be defined in two ways: in its relationship to history and to nature. In both relationships the semblance, the problematic element in the beautiful, manifests itself. (Let us indicate the first relationship briefly. On the basis of its historical existence, beauty is an appeal to join those who admired it at an earlier time. Being moved by beauty is an *ad plures ire*, as the Romans called dying. According to this definition, the semblance of beauty means that the identical object which admiration is courting cannot be found in the work. This admiration harvests what earlier generations have admired
On Some Motifs in Baudelaire
in it. Words of Goethe express here the final conclusion of wisdom: "Everything that has had a great effect can really no longer be evaluated.") Beauty in its relationship to nature can be defined as that which "remains true to its essential nature only when veiled." The correspondances tell us what is meant by such a veil. We may call it, in a somewhat daring abbreviation, the "reproducing aspect" of the work of art. The correspondances constitute the court of judgment before which the object of art is found to be a faithful reproduction—which, to be sure, makes it entirely problematic. If one attempted to reproduce this aporia through language, one would define beauty as the object of experience in the state of resemblance. This definition would probably coincide with Valéry's formulation: "Beauty may require the servile imitation of what is indefinable in objects." If Proust so readily returns to this subject (which in his work appears as time recovered), one cannot say that he is telling any secrets. It is, rather, one of the disconcerting features of his technique that he repeatedly and loquaciously builds his reflections around the concept of beauty—in short, the hermetic aspect of art. He writes about the origin and the intentions of his work with a fluency and an urbanity that would befit a refined amateur. This, to be sure, has its counterpart in Bergson. The following passage in which the philosopher indicates all the things that may be expected from a visual actualization of the uninterrupted stream of becoming has a flavor reminiscent of Proust. "We can let our day-to-day existence be permeated with such a visualization and thus, thanks to philosophy, enjoy a satisfaction similar to that of art; but this satisfaction would be more frequent, more regular, and more easily accessible to ordinary mortals." Bergson sees within reach what Valéry's better, Goethean understanding visualizes as the "here" in which the inadequate becomes an actuality.*
14. In the mystical "Colloquy of Monos and Una," Poe has, so to speak, inserted the empty time sequence, to which the man in the mood of "spleen" is abandoned, into the durée, and he seems to regard it as bliss that he is now rid of its horrors. It is a "sixth sense" acquired by the departed which takes the form of an ability to derive harmony even from the empty passage of time. To be sure, it is quite easily disrupted by the rhythm of the second-hand. "There seemed to have sprung up in the brain that of which no words could
* "... in dem das Unzulängliche Ereignis wird." An allusion to the Chorus Mysticus that ends Goethe's Faust, Part Two.—Trans.
convey to the merely human intelligence even an indistinct conception. Let me term it a mental pendulous pulsation. It was the moral embodiment of man's abstract idea of *Time*. By the absolute equalization of this movement—or of such as this—had the cycles of the firmamental orbs themselves been adjusted. By its aid I measured the irregularities of the clock upon the mantel, and of the watches of the attendants. Their tickings came sonorously to my ears. The slightest deviation from the true proportion... affected me just as violations of abstract truth are wont, on earth, to affect the moral sense."
15. The deterioration of experience manifests itself in Proust in the complete realization of his ultimate intention. There is nothing more ingenious or more loyal than the way in which he nonchalantly and constantly strives to tell the reader: Redemption is my private show.
16. The moment of such a success is itself marked as something unique. It is the basis of the structural design of Proust's works. Each situation in which the chronicler is touched by the breath of lost time is thereby rendered incomparable and removed from the sequence of the days.
17. This endowment is a wellspring of poetry. Wherever a human being, an animal, or an inanimate object thus endowed by the poet lifts up its eyes, it draws him into the distance. The gaze of nature thus awakened dreams and pulls the poet after its dream. Words, too, can have an aura of their own. This is how Karl Kraus described it: "The closer the look one takes at a word, the greater the distance from which it looks back."
18. It is not impossible that this entry was occasioned by a pathogenic shock. The form which relates it to Baudelaire's work is all the more revealing.
The thirteen volumes of Marcel Proust's *À la Recherche du temps perdu* are the result of an unconstruable synthesis in which the absorption of a mystic, the art of a prose writer, the verve of a satirist, the erudition of a scholar, and the self-consciousness of a monomaniac have combined in an autobiographical work. It has rightly been said that all great works of literature found a genre or dissolve one—that they are, in other words, special cases. Among these cases this is one of the most unfathomable. From its structure, which is fiction, autobiography, and commentary in one, to the syntax of endless sentences (the Nile of language, which here overflows and fructifies the regions of truth), everything transcends the norm. The first revealing observation that strikes one is that this great special case of literature at the same time constitutes its greatest achievement of recent decades. The conditions under which it was created were extremely unhealthy: an unusual malady, extraordinary wealth, and an abnormal disposition. This is not a model life in every respect, but everything about it is exemplary. The outstanding literary achievement of our time is assigned a place in the heart of the impossible, at the
center—and also at the point of indifference—of all dangers, and it marks this great realization of a "lifework" as the last for a long time. The image of Proust is the highest physiognomic expression which the irresistibly growing discrepancy between literature and life was able to assume. This is the lesson which justifies the attempt to evoke this image.
We know that in his work Proust did not describe a life as it actually was, but a life as it was remembered by the one who had lived it. And yet even this statement is imprecise and far too crude. For the important thing for the remembering author is not what he experienced, but the weaving of his memory, the Penelope work of recollection. Or should one call it, rather, a Penelope work of forgetting? Is not the involuntary recollection, Proust's mémoire involontaire, much closer to forgetting than what is usually called memory? And is not this work of spontaneous recollection, in which remembrance is the woof and forgetting the warp, a counterpart to Penelope's work rather than its likeness? For here the day unravels what the night was woven. When we awake each morning, we hold in our hands, usually weakly and loosely, but a few fringes of the tapestry of lived life, as loomed for us by forgetting. However, with our purposeful activity and, even more, our purposive remembering each day unravels the web and the ornaments of forgetting. This is why Proust finally turned his days into nights, devoting all his hours to undisturbed work in his darkened room with artificial illumination, so that none of those intricate arabesques might escape him.
The Latin word textum means "web." No one's text is more tightly woven than Marcel Proust's; to him nothing was tight or durable enough. From his publisher Gallimard we know that Proust's proofreading habits were the despair of the typesetters. The galleys always went back covered with marginal notes, but not a single misprint had been corrected; all available space had been used for fresh text. Thus the laws of remembrance were operative even within the confines of the work. For an experienced event is finite—at any rate, confined to one sphere of experience; a remembered event is infinite, because it is only a key to everything that happened before it and after it. There is yet
another sense in which memory issues strict weaving regulations. Only the *actus purus* of recollection itself, not the author or the plot, constitutes the unity of the text. One may even say that the intermittence of author and plot is only the reverse of the continuum of memory, the pattern on the back side of the tapestry. This is what Proust meant, and this is how he must be understood, when he said that he would prefer to see his entire work printed in one volume in two columns and without any paragraphs.
What was it that Proust sought so frenetically? What was at the bottom of these infinite efforts? Can we say that all lives, works, and deeds that matter were never anything but the undisturbed unfolding of the most banal, most fleeting, most sentimental, weakest hour in the life of the one to whom they pertain? When Proust in a well-known passage described the hour that was most his own, he did it in such a way that everyone can find it in his own existence. We might almost call it an everyday hour; it comes with the night, a lost twittering of birds, or a breath drawn at the sill of an open window. And there is no telling what encounters would be in store for us if we were less inclined to give in to sleep. Proust did not give in to sleep. And yet—or, rather, precisely for this reason—Jean Cocteau was able to say in a beautiful essay that the intonation of Proust’s voice obeyed the laws of night and honey. By submitting to these laws he conquered the hopeless sadness within him (what he once called “l’imperfection incurable dans l’essence même du présent” *), and from the honeycombs of memory he built a house for the swarm of his thoughts. Cocteau recognized what really should have been the major concern of all readers of Proust and yet has served no one as the pivotal point of his reflections or his affection. He recognized Proust’s blind, senseless, frenzied quest for happiness. It shone from his eyes; they were not happy, but in them there lay fortune as it lies in gambling or in love. Nor is it hard to say why this paralyzing, explosive will to happiness which pervades Proust’s writings is so seldom compre-
*“...the incurable imperfection in the very essence of the present moment.”*
hended by his readers. In many places Proust himself made it easy for them to view this oeuvre, too, from the time-tested, comfortable perspective of resignation, heroism, asceticism. After all, nothing makes more sense to the model pupils of life than the notion that a great achievement is the fruit of toil, misery, and disappointment. The idea that happiness could have a share in beauty would be too much of a good thing, something that their ressentiment would never get over.
There is a dual will to happiness, a dialectics of happiness: a hymnic and an elegiac form. The one is the unheard-of, the unprecedented, the height of bliss; the other, the eternal repetition, the eternal restoration of the original, the first happiness. It is this elegiac idea of happiness—it could also be called Eleatic—which for Proust transforms existence into a preserve of memory. To it he sacrificed in his life friends and companionship, in his works plot, unity of characters, the flow of the narration, the play of the imagination. Max Unold, one of Proust’s more discerning readers, fastened on the “boredom” thus created in Proust’s writings and likened it to “pointless stories.” “Proust managed to make the pointless story interesting. He says: ‘Imagine, dear reader, yesterday I was dunking a cookie in my tea when it occurred to me that as a child I spent some time in the country.’ For this he uses eighty pages, and it is so fascinating that you think you are no longer the listener but the daydreamer himself.” In such stories—“all ordinary dreams turn into pointless stories as soon as one tells them to someone”—Unold has discovered the bridge to the dream. No synthetic interpretation of Proust can disregard it. Enough inconspicuous gates lead into it—Proust’s frenetically studying resemblances, his impassioned cult of similarity. The true signs of its hegemony do not become obvious where he suddenly and startlingly uncovers similarities in actions, physiognomies, or speech mannerisms. The similarity of one thing to another which we are used to, which occupies us in a wakeful state, reflects only vaguely the deeper resemblance of the dream world in which everything that happens appears not in identical but in similar guise, opaquely similar one to another. Children know a symbol of this world: the stocking which
has the structure of this dream world when, rolled up in the laundry hamper, it is a "bag" and a "present" at the same time. And just as children do not tire of quickly changing the bag and its contents into a third thing—namely, a stocking—Proust could not get his fill of emptying the dummy, his self, at one stroke in order to keep garnering that third thing, the image which satisfied his curiosity—indeed, assuaged his homesickness. He lay on his bed racked with homesickness, homesick for the world distorted in the state of resemblance, a world in which the true surrealist face of existence breaks through. To this world belongs what happens in Proust, and the deliberate and fastidious way in which it appears. It is never isolated, rhetorical, or visionary; carefully heralded and securely supported, it bears a fragile, precious reality: the image. It detaches itself from the structure of Proust's sentences as that summer day at Balbec—old, immemorial, mummified—emerged from the lace curtains under Françoise's hands.
II
We do not always proclaim loudly the most important thing we have to say. Nor do we always privately share it with those closest to us, our intimate friends, those who have been most devotedly ready to receive our confession. If it is true that not only people but also ages have such a chaste—that is, such a devious and frivolous—way of communicating what is most their own to a passing acquaintance, then the nineteenth century did not reveal itself to Zola or Anatole France, but to the young Proust, the insignificant snob, the playboy and socialite who snatched in passing the most astounding confidences from a declining age as from another, bone-weary Swann. It took Proust to make the nineteenth century ripe for memoirs. What before him had been a period devoid of tension now became a field of force in which later writers aroused multifarious currents. Nor is it accidental that the two most significant works of this kind were written by authors who were personally close to Proust as admirers and friends: the memoirs of Princess Clermont-Tonnerre and the
autobiographical work of Léon Daudet; the first volumes of both works were published recently. An eminently Proustian inspiration led Léon Daudet, whose political folly is too gross and too obtuse to do much harm to his admirable talent, to turn his life into a city. *Paris vécu*, the projection of a biography onto the city map, in more than one place is touched by the shadows of Proustian characters. And the very title of Princess Clermont-Tonnerre's book, *Au Temps des équipages*, would have been unthinkable prior to Proust. This book is the echo which softly answers Proust's ambiguous, loving, challenging call from the Faubourg Saint-Germain. In addition, this melodious performance is shot through with direct and indirect references to Proust in its tenor and its characters, which include him and some of his favorite objects of study from the Ritz. There is no denying, of course, that this puts us in a very aristocratic milieu, and, with figures like Robert de Montesquiou, whom Princess Clermont-Tonnerre depicts masterfully, in a very special one at that. But this is true of Proust as well, and in his writings Montesquiou has a counterpart. All this would not be worth discussing, especially since the question of models would be secondary and unimportant for Germany, if German criticism were not so fond of taking the easy way out. Above all, it could not resist the opportunity to descend to the level of the lending-library crowd. Hack critics were tempted to draw conclusions about the author from the snobbish milieu of his writings, to characterize Proust's works as an internal affair of the French, a literary supplement to the *Almanach de Gotha*. It is obvious that the problems of Proust's characters are those of a satiated society. But there is not one which would be identical with those of the author, which are subversive. To reduce this to a formula, it was to be Proust's aim to design the entire inner structure of society as a physiology of chatter. In the treasury of its prejudices and maxims there is not one that is not annihilated by a dangerous comic element. Pierre-Quint was the first to draw attention to it. "When humorous works are mentioned," he wrote, "one usually thinks of short, amusing books in illustrated jackets. One forgets about *Don Quixote*, *Pantagruel*, and *Gil Blas*—fat, ungainly tomes in small
print." These comparisons, of course, do not do full justice to the explosive power of Proust's critique of society. His style is comedy, not humor; his laughter does not toss the world up but flings it down—at the risk that it will be smashed to pieces, which will then make him burst into tears. And unity of family and personality, of sexual morality and professional honor, are indeed smashed to bits. The pretensions of the bourgeoisie are shattered by laughter. Their return and reassimilation by the aristocracy is the sociological theme of the work.
Proust did not tire of the training which moving in aristocratic circles required. Assiduously and without much constraint, he conditioned his personality, making it as impenetrable and resourceful, as submissive and difficult, as it had to be for the sake of his mission. Later on this mystification and ceremoniousness became so much part of him that his letters sometimes constitute whole systems of parentheses, and not just in the grammatical sense—letters which despite their infinitely ingenious, flexible composition occasionally call to mind the specimen of a letter writer's handbook: "My dear Madam, I just noticed that I forgot my cane at your house yesterday; please be good enough to give it to the bearer of this letter. P.S. Kindly pardon me for disturbing you; I just found my cane." Proust was most resourceful in creating complications. Once, late at night, he dropped in on Princess Clermont-Tonnerre and made his staying dependent on someone bringing him his medicine from his house. He sent a valet for it, giving him a lengthy description of the neighborhood and of the house. Finally he said: "You cannot miss it. It is the only window on the Boulevard Haussmann in which there still is a light burning!" Everything but the house number! Anyone who has tried to get the address of a brothel in a strange city and has received the most long-winded directions, everything but the name of the street and the house number, will understand what is meant here and what the connection is with Proust's love of ceremony, his admiration of the Duc de Saint-Simon, and, last but not least, his intransigent French spirit. Is it not the quintessence of experience to find out how very difficult it is to learn many things which apparently could be told in very few words? It is
simply that such words are part of a language established along lines of caste and class and unintelligible to outsiders. No wonder that the secret language of the salons excited Proust. When he later embarked on his merciless depiction of the *petit clan*, the Courvoisiers, the “esprit d’Oriane,” he had through his association with the Bibescos become conversant with the improvisations of a code language to which we too have recently been introduced.
In his years of life in the salons Proust developed not only the vice of flattery to an eminent—one is tempted to say, to a theological—degree, but the vice of curiosity as well. We detect in him the reflection of the laughter which like a flash fire curls the lips of the Foolish Virgins represented on the intrados of many of the cathedrals which Proust loved. It is the smile of curiosity. Was it curiosity that made him such a great parodist? If so, we would know how to evaluate the term “parodist” in this context. Not very highly. For though it does justice to his abysmal malice, it skirts the bitterness, savagery, and grimness of the magnificent pieces which he wrote in the style of Balzac, Flaubert, Sainte-Beuve, Henri de Régnier, the Goncourts, Michelet, Renan, and his favorite Saint-Simon, and which are collected in the volume *Pastiches et mélanges*. The mimicry of a man of curiosity is the brilliant device of this series, as it is also a feature of his entire creativity in which his passion for vegetative life cannot be taken seriously enough. Ortega y Gasset was the first to draw attention to the vegetative existence of Proust’s characters, which are planted so firmly in their social habitat, influenced by the position of the sun of aristocratic favor, stirred by the wind that blows from Guermantes or Méségliise, and inextricably intertwined in the thicket of their fate. This is the environment that gave rise to the poet’s mimicry. Proust’s most accurate, most convincing insights fasten on their objects as insects fasten on leaves, blossoms, branches, betraying nothing of their existence until a leap, a beating of wings, a vault, show the startled observer that some incalculable individual life has imperceptibly crept into an alien world. The true reader of Proust is constantly jarred by small shocks. In the parodies he finds again, in the guise of a play with “styles,” what affected him in an altogether different way.
as this spirit's struggle for survival under the leafy canopy of society. At this point we must say something about the close and fructifying interpenetration of these two vices, curiosity and flattery. There is a revealing passage in the writings of Princess Clermont-Tonnerre. "And finally we cannot suppress the fact that Proust became enraptured with the study of domestic servants—whether it be that an element which he encountered nowhere else intrigued his investigative faculties or that he envied servants their greater opportunities for observing the intimate details of things that aroused his interest. In any case, domestic servants in their various embodiments and types were his passion." In the exotic shadings of a Jupien, a Monsieur Aimé, a Célestine Albalat, their ranks extend from Françoise, a figure with the coarse, angular features of St. Martha that seems to be straight out of a Book of Hours, to those grooms and chasseurs who are paid for loafing rather than working. And perhaps the greatest concentration of this connoisseur of ceremonies was reserved for the depiction of these lower ranks. Who can tell how much servant curiosity became part of Proust's flattery, how much servant flattery became mixed with his curiosity, and where this artful copy of the role of the servant on the heights of the social scale had its limits? Proust presented such a copy, and he could not help doing so, for, as he once admitted, "voir" and "désirer imiter" were one and the same thing to him. This attitude, which was both sovereign and obsequious, has been preserved by Maurice Barrès in the most apposite words that have ever been written about Proust: "Un poète persan dans une loge de portière."
There was something of the detective in Proust's curiosity. The upper ten thousand were to him a clan of criminals, a band of conspirators beyond compare: the Camorra of consumers. It excludes from its world everything that has a part in production, or at least demands that this part be gracefully and bashfully concealed behind the kind of manner that is sported by the polished professionals of consumption. Proust's analysis of snobbery,
* "A Persian poet in a porter's lodge."
which is far more important than his apotheosis of art, constitutes the apogee of his criticism of society. For the attitude of the snob is nothing but the consistent, organized, steely view of life from the chemically pure standpoint of the consumer. And because even the remotest as well as the most primitive memory of nature’s productive forces was to be banished from this satanic magic world, Proust found a perverted relationship more serviceable than a normal one even in love. But the pure consumer is the pure exploiter—logically and theoretically—and in Proust he is that in the full concreteness of his actual historical existence. He is concrete because he is impenetrable and elusive. Proust describes a class which is everywhere pledged to camouflage its material basis and for this very reason is attached to a feudalism which has no intrinsic economic significance but is all the more serviceable as a mask of the upper middle class. This disillusioned, merciless deglamorizer of the ego, of love, of morals—for this is how Proust liked to view himself—turns his whole limitless art into a veil for this one most vital mystery of his class: the economic aspect. He did not mean to do it a service. Here speaks Marcel Proust, the hardness of his work, the intransigence of a man who is ahead of his class. What he accomplishes he accomplishes as its master. And much of the greatness of this work will remain inaccessible or undiscovered until this class has revealed its most pronounced features in the final struggle.
III
In the last century there was an inn by the name of “Au Temps Perdu” at Grenoble; I do not know whether it still exists. In Proust, too, we are guests who enter through a door underneath a suspended sign that sways in the breeze, a door behind which eternity and rapture await us. Fernandez rightly distinguished between a thème de l’éternité and a thème du temps in Proust. But his eternity is by no means a platonic or a utopian one; it is rapturous. Therefore, if “time reveals a new and hitherto unknown kind of eternity to anyone who becomes engrossed in its passing,” this certainly does not enable an individual to approach "the higher regions which a Plato or Spinoza reached with one beat of the wings." It is true that in Proust we find rudiments of an enduring idealism, but it would be a mistake to make these the basis of an interpretation, as Benoist-Méchin has done most glaringly. The eternity which Proust opens to view is convoluted time, not boundless time. His true interest is in the passage of time in its most real—that is, space-bound—form, and this passage nowhere holds sway more openly than in remembrance within and aging without. To observe the interaction of aging and remembering means to penetrate to the heart of Proust's world, to the universe of convolution. It is the world in a state of resemblances, the domain of the correspondances; the Romanticists were the first to comprehend them and Baudelaire embraced them most fervently, but Proust was the only one who managed to reveal them in our lived life. This is the work of the mémoire involontaire, the rejuvenating force which is a match for the inexorable process of aging. When the past is reflected in the dewy fresh "instant," a painful shock of rejuvenation pulls it together once more as irresistibly as the Guermantes way and Swann's way become intertwined for Proust when, in the thirteenth volume, he roams about the Combray area for the last time and discovers the intertwining of the roads. In a trice the landscape jumps about like a child. "Ah! que le monde est grand à la clarté des lampes! Aux yeux du souvenir que le monde est petit!" * Proust has brought off the tremendous feat of letting the whole world age by a lifetime in an instant. But this very concentration in which things that normally just fade and slumber consume themselves in a flash is called rejuvenation. À la Recherche du temps perdu is the constant attempt to charge an entire lifetime with the utmost awareness. Proust's method is actualization, not reflection. He is filled with the insight that none of us has time to live the true dramas of the life that we are destined for. This is what ages us—this and nothing else. The wrinkles and creases on our faces are the registration of the great
* "Oh, how large the world is in the brightness of the lamps. How small the world is in the eyes of recollection."
passions, vices, insights that called on us; but we, the masters, were not home.
Since the spiritual exercises of Loyola there has hardly been a more radical attempt at self-absorption. Proust's, too, has as its center a loneliness which pulls the world down into its vortex with the force of a maelstrom. And the overloud and inconceivably hollow chatter which comes roaring out of Proust's novels is the sound of society plunging down into the abyss of this loneliness. This is the location of Proust's invectives against friendship. It was a matter of perceiving the silence at the bottom of this crater, whose eyes are the quietest and most absorbing. Something that is manifested irritatingly and capriciously in so many anecdotes is the combination of an unparalleled intensity of conversation with an unsurpassable aloofness from his partner. There has never been anyone else with Proust's ability to show us things; Proust's pointing finger is unequaled. But there is another gesture in amicable togetherness, in conversation: physical contact. To no one is this gesture more alien than to Proust. He cannot touch his reader either; he could not do so for anything in the world. If one wanted to group literature around these poles, dividing it into the directive and the touching kind, the core of the former would be the work of Proust, the core of the latter, the work of Péguy. This is basically what Fernandez has formulated so well: "Depth, or, rather, intensity, is always on his side, never on that of his partner." This is demonstrated brilliantly and with a touch of cynicism in Proust's literary criticism, the most significant document of which is an essay that came into being on the high level of his fame and the low level of his deathbed: "À Propos de Baudelaire." The essay is Jesuitic in its acquiescence in his own maladies, immoderate in the garrulousness of a man who is resting, frightening in the indifference of a man marked by death who wants to speak out once more, no matter on what subject. What inspired Proust here in the face of death also shaped him in his intercourse with his contemporaries: so spasmodic and harsh an alternation of sarcasm and tenderness that its recipients threatened to break down in exhaustion.
The provocative, unsteady quality of the man affects even
the reader of his works. Suffice it to recall the endless succession of "soit que . . . ," by means of which an action is shown in an exhaustive, depressing way in the light of the countless motives upon which it may have been based. And yet these paratactic sequences reveal the point at which weakness and genius coincide in Proust: the intellectual renunciation, the tested skepticism with which he approached things. After the self-satisfied inwardness of Romanticism Proust came along, determined, as Jacques Rivière puts it, not to give the least credence to the "Sirènes intérieures." "Proust approaches experience without the slightest metaphysical interest, without the slightest penchant for construction, without the slightest tendency to console." Nothing is truer than that. And thus the basic feature of this work, too, which Proust kept proclaiming as being planned, is anything but the result of construction. But it is as planned as the lines on the palm of our hand or the arrangement of the stamen in a calyx. Completely worn out, Proust, that aged child, fell back on the bosom of nature—not to drink from it, but to dream to its heartbeat. One must picture him in this state of weakness to understand how felicitously Jacques Rivière interpreted the weakness when he wrote: "Marcel Proust died of the same inexperience which permitted him to write his works. He died of ignorance of the world and because he did not know how to change the conditions of his life which had begun to crush him. He died because he did not know how to make a fire or open a window." And, to be sure, of his psychogenic asthma.
The doctors were powerless in the face of this malady; not so the writer, who very systematically placed it in his service. To begin with the most external aspect, he was a perfect stage director of his sickness. For months he connected, with devastating irony, the image of an admirer who had sent him flowers with their odor, which he found unbearable. Depending on the ups and downs of his malady he alarmed his friends, who dreaded and longed for the moment when the writer would suddenly appear in their drawing rooms long after midnight—brisé de fatigue and for just five minutes, as he said—only to stay till the gray of dawn, too tired to get out of his chair or interrupt his conversation. Even as a writer of letters he extracted the most singular effects from his malady. "The wheezing of my breath is drowning out the sounds of my pen and of a bath which is being drawn on the floor below." But that is not all, nor is it the fact that his sickness removed him from fashionable living. This asthma became part of his art—if indeed his art did not create it. Proust's syntax rhythmically and step by step reproduces his fear of suffocating. And his ironic, philosophical, didactic reflections invariably are the deep breath with which he shakes off the weight of memories. On a larger scale, however, the threatening, suffocating crisis was death, which he was constantly aware of, most of all while he was writing. This is how death confronted Proust, and long before his malady assumed critical dimensions—not as a hypochondriacal whim, but as a "réalité nouvelle," that new reality whose reflections on things and people are the marks of aging. A physiology of style would take us into the innermost core of this creativeness. No one who knows with what great tenacity memories are preserved by the sense of smell, and smells not at all in the memory, will be able to call Proust's sensitivity to smells accidental. To be sure, most memories that we search for come to us as visual images. Even the free-floating forms of the mémoire involontaire are still in large part isolated, though enigmatically present, visual images. For this very reason, anyone who wishes to surrender knowingly to the innermost overtones in this work must place himself in a special stratum—the bottommost—of this involuntary memory, one in which the materials of memory no longer appear singly, as images, but tell us about a whole, amorphously and formlessly, indefinitely and weightily, in the same way as the weight of his net tells a fisherman about his catch. Smell—that is the sense of weight of someone who casts his nets into the sea of the temps perdu. And his sentences are the entire muscular activity of the intelligible body; they contain the whole enormous effort to raise this catch.
For the rest, the closeness of the symbiosis between this particular creativity and this particular malady is demonstrated most clearly by the fact that in Proust there never was a breakthrough of that heroic defiance with which other creative people have
The Image of Proust
risen up against their infirmities. And therefore one can say, from another point of view, that so close a complicity with life and the course of the world as Proust's would inevitably have led to ordinary, indolent contentment on any basis but that of such great and constant suffering. As it was, however, this malady was destined to have its place in the great work process assigned to it by a furor devoid of desires or regrets. For the second time there rose a scaffold like Michelangelo's on which the artist, his head thrown back, painted the Creation on the ceiling of the Sistine Chapel: the sickbed on which Marcel Proust consecrates the countless pages which he covered with his handwriting, holding them up in the air, to the creation of his microcosm.
The Work of Art in the Age of Mechanical Reproduction
"Our fine arts were developed, their types and uses were established, in times very different from the present, by men whose power of action upon things was insignificant in comparison with ours. But the amazing growth of our techniques, the adaptability and precision they have attained, the ideas and habits they are creating, make it a certainty that profound changes are impending in the ancient craft of the Beautiful. In all the arts there is a physical component which can no longer be considered or treated as it used to be, which cannot remain unaffected by our modern knowledge and power. For the last twenty years neither matter nor space nor time has been what it was from time immemorial. We must expect great innovations to transform the entire technique of the arts, thereby affecting artistic invention itself and perhaps even bringing about an amazing change in our very notion of art."
—Paul Valéry, Pièces sur l'Art, "La Conquête de l'ubiquité," Paris.
PREFACE
When Marx undertook his critique of the capitalistic mode of production, this mode was in its infancy. Marx directed his efforts in such a way as to give them prognostic value. He went back to the basic conditions underlying capitalistic production and through his presentation showed what could be expected of capitalism in the future. The result was that one could expect it not only to exploit the proletariat with increasing intensity, but ultimately to create conditions which would make it possible to abolish capitalism itself.
The transformation of the superstructure, which takes place
* Quoted from Paul Valéry, Aesthetics, "The Conquest of Ubiquity," translated by Ralph Manheim, p. 225. Pantheon Books, Bollingen Series, New York, 1964.
far more slowly than that of the substructure, has taken more than half a century to manifest in all areas of culture the change in the conditions of production. Only today can it be indicated what form this has taken. Certain prognostic requirements should be met by these statements. However, theses about the art of the proletariat after its assumption of power or about the art of a classless society would have less bearing on these demands than theses about the developmental tendencies of art under present conditions of production. Their dialectic is no less noticeable in the superstructure than in the economy. It would therefore be wrong to underestimate the value of such theses as a weapon. They brush aside a number of outmoded concepts, such as creativity and genius, eternal value and mystery—concepts whose uncontrolled (and at present almost uncontrollable) application would lead to a processing of data in the Fascist sense. The concepts which are introduced into the theory of art in what follows differ from the more familiar terms in that they are completely useless for the purposes of Fascism. They are, on the other hand, useful for the formulation of revolutionary demands in the politics of art.
In principle a work of art has always been reproducible. Man-made artifacts could always be imitated by men. Replicas were made by pupils in practice of their craft, by masters for diffusing their works, and, finally, by third parties in the pursuit of gain. Mechanical reproduction of a work of art, however, represents something new. Historically, it advanced intermittently and in leaps at long intervals, but with accelerated intensity. The Greeks knew only two procedures of technically reproducing works of art: founding and stamping. Bronzes, terra cottas, and coins were the only art works which they could produce in quantity. All others were unique and could not be mechanically reproduced. With the woodcut graphic art became mechanically reproducible for the first time, long before script became reproducible by print. The enormous changes which printing, the mechanical
reproduction of writing, has brought about in literature are a familiar story. However, within the phenomenon which we are here examining from the perspective of world history, print is merely a special, though particularly important, case. During the Middle Ages engraving and etching were added to the woodcut; at the beginning of the nineteenth century lithography made its appearance.
With lithography the technique of reproduction reached an essentially new stage. This much more direct process was distinguished by the tracing of the design on a stone rather than its incision on a block of wood or its etching on a copperplate and permitted graphic art for the first time to put its products on the market, not only in large numbers as hitherto, but also in daily changing forms. Lithography enabled graphic art to illustrate everyday life, and it began to keep pace with printing. But only a few decades after its invention, lithography was surpassed by photography. For the first time in the process of pictorial reproduction, photography freed the hand of the most important artistic functions which henceforth devolved only upon the eye looking into a lens. Since the eye perceives more swiftly than the hand can draw, the process of pictorial reproduction was accelerated so enormously that it could keep pace with speech. A film operator shooting a scene in the studio captures the images at the speed of an actor's speech. Just as lithography virtually implied the illustrated newspaper, so did photography foreshadow the sound film. The technical reproduction of sound was tackled at the end of the last century. These convergent endeavors made predictable a situation which Paul Valéry pointed up in this sentence: "Just as water, gas, and electricity are brought into our houses from far off to satisfy our needs in response to a minimal effort, so we shall be supplied with visual or auditory images, which will appear and disappear at a simple movement of the hand, hardly more than a sign" (op. cit., p. 226). Around 1900 technical reproduction had reached a standard that not only permitted it to reproduce all transmitted works of art and thus to cause the most profound change in their impact upon the public; it also had captured a place of its own among the artistic procFor the study of this standard nothing is more revealing than the nature of the repercussions that these two different manifestations—the reproduction of works of art and the art of the film—have had on art in its traditional form.
Even the most perfect reproduction of a work of art is lacking in one element: its presence in time and space, its unique existence at the place where it happens to be. This unique existence of the work of art determined the history to which it was subject throughout the time of its existence. This includes the changes which it may have suffered in physical condition over the years as well as the various changes in its ownership.\(^1\) The traces of the first can be revealed only by chemical or physical analyses which it is impossible to perform on a reproduction; changes of ownership are subject to a tradition which must be traced from the situation of the original.
The presence of the original is the prerequisite to the concept of authenticity. Chemical analyses of the patina of a bronze can help to establish this, as does the proof that a given manuscript of the Middle Ages stems from an archive of the fifteenth century. The whole sphere of authenticity is outside technical—and, of course, not only technical—reproducibility.\(^2\) Confronted with its manual reproduction, which was usually branded as a forgery, the original preserved all its authority; not so vis à vis technical reproduction. The reason is twofold. First, process reproduction is more independent of the original than manual reproduction. For example, in photography, process reproduction can bring out those aspects of the original that are unattainable to the naked eye yet accessible to the lens, which is adjustable and chooses its angle at will. And photographic reproduction, with the aid of certain processes, such as enlargement or slow motion, can capture images which escape natural vision. Secondly, technical reproduction can put the copy of the original into situations which would be out of reach for the original itself. Above all, it enables the original to meet the beholder halfway,
be it in the form of a photograph or a phonograph record. The cathedral leaves its locale to be received in the studio of a lover of art; the choral production, performed in an auditorium or in the open air, resounds in the drawing room.
The situations into which the product of mechanical reproduction can be brought may not touch the actual work of art, yet the quality of its presence is always depreciated. This holds not only for the art work but also, for instance, for a landscape which passes in review before the spectator in a movie. In the case of the art object, a most sensitive nucleus—namely, its authenticity—is interfered with whereas no natural object is vulnerable on that score. The authenticity of a thing is the essence of all that is transmissible from its beginning, ranging from its substantive duration to its testimony to the history which it has experienced. Since the historical testimony rests on the authenticity, the former, too, is jeopardized by reproduction when substantive duration ceases to matter. And what is really jeopardized when the historical testimony is affected is the authority of the object.\(^3\)
One might subsume the eliminated element in the term “aura” and go on to say: that which withers in the age of mechanical reproduction is the aura of the work of art. This is a symptomatic process whose significance points beyond the realm of art. One might generalize by saying: the technique of reproduction detaches the reproduced object from the domain of tradition. By making many reproductions it substitutes a plurality of copies for a unique existence. And in permitting the reproduction to meet the beholder or listener in his own particular situation, it reactivates the object reproduced. These two processes lead to a tremendous shattering of tradition which is the obverse of the contemporary crisis and renewal of mankind. Both processes are intimately connected with the contemporary mass movements. Their most powerful agent is the film. Its social significance, particularly in its most positive form, is inconceivable without its destructive, cathartic aspect, that is, the liquidation of the traditional value of the cultural heritage. This phenomenon is most palpable in the great historical films. It extends to ever new positions. In 1927 Abel Gance exclaimed enthusiastically: “Shakespeare, Rembrandt, Beethoven will make films... all legends, all mythologies and all myths, all founders of religion, and the very religions... await their exposed resurrection, and the heroes crowd each other at the gate." * Presumably without intending it, he issued an invitation to a far-reaching liquidation.
During long periods of history, the mode of human sense perception changes with humanity's entire mode of existence. The manner in which human sense perception is organized, the medium in which it is accomplished, is determined not only by nature but by historical circumstances as well. The fifth century, with its great shifts of population, saw the birth of the late Roman art industry and the Vienna Genesis, and there developed not only an art different from that of antiquity but also a new kind of perception. The scholars of the Viennese school, Riegl and Wickhoff, who resisted the weight of classical tradition under which these later art forms had been buried, were the first to draw conclusions from them concerning the organization of perception at the time. However far-reaching their insight, these scholars limited themselves to showing the significant, formal hallmark which characterized perception in late Roman times. They did not attempt—and, perhaps, saw no way—to show the social transformations expressed by these changes of perception. The conditions for an analogous insight are more favorable in the present. And if changes in the medium of contemporary perception can be comprehended as decay of the aura, it is possible to show its social causes.
The concept of aura which was proposed above with reference to historical objects may usefully be illustrated with reference to the aura of natural ones. We define the aura of the latter as the unique phenomenon of a distance, however close it may be. If, while resting on a summer afternoon, you follow with
* Abel Gance, "Le Temps de l'image est venu," L'Art cinématographique, Vol. 2, pp. 94 f, Paris, 1927.
your eyes a mountain range on the horizon or a branch which casts its shadow over you, you experience the aura of those mountains, of that branch. This image makes it easy to comprehend the social bases of the contemporary decay of the aura. It rests on two circumstances, both of which are related to the increasing significance of the masses in contemporary life. Namely, the desire of contemporary masses to bring things "closer" spatially and humanly, which is just as ardent as their bent toward overcoming the uniqueness of every reality by accepting its reproduction. Every day the urge grows stronger to get hold of an object at very close range by way of its likeness, its reproduction. Unmistakably, reproduction as offered by picture magazines and newsreels differs from the image seen by the unarmed eye. Uniqueness and permanence are as closely linked in the latter as are transitoriness and reproducibility in the former. To pry an object from its shell, to destroy its aura, is the mark of a perception whose "sense of the universal equality of things" has increased to such a degree that it extracts it even from a unique object by means of reproduction. Thus is manifested in the field of perception what in the theoretical sphere is noticeable in the increasing importance of statistics. The adjustment of reality to the masses and of the masses to reality is a process of unlimited scope, as much for thinking as for perception.
The uniqueness of a work of art is inseparable from its being imbedded in the fabric of tradition. This tradition itself is thoroughly alive and extremely changeable. An ancient statue of Venus, for example, stood in a different traditional context with the Greeks, who made it an object of veneration, than with the clerics of the Middle Ages, who viewed it as an ominous idol. Both of them, however, were equally confronted with its uniqueness, that is, its aura. Originally the contextual integration of art in tradition found its expression in the cult. We know that the earliest art works originated in the service of a ritual—first the magical, then the religious kind. It is significant that the existence
of the work of art with reference to its aura is never entirely separated from its ritual function.\textsuperscript{5} In other words, the unique value of the “authentic” work of art has its basis in ritual, the location of its original use value. This ritualistic basis, however remote, is still recognizable as secularized ritual even in the most profane forms of the cult of beauty.\textsuperscript{6} The secular cult of beauty, developed during the Renaissance and prevailing for three centuries, clearly showed that ritualistic basis in its decline and the first deep crisis which befell it. With the advent of the first truly revolutionary means of reproduction, photography, simultaneously with the rise of socialism, art sensed the approaching crisis which has become evident a century later. At the time, art reacted with the doctrine of \textit{l’art pour l’art}, that is, with a theology of art. This gave rise to what might be called a negative theology in the form of the idea of “pure” art, which not only denied any social function of art but also any categorizing by subject matter. (In poetry, Mallarmé was the first to take this position.)
An analysis of art in the age of mechanical reproduction must do justice to these relationships, for they lead us to an all-important insight: for the first time in world history, mechanical reproduction emancipates the work of art from its parasitical dependence on ritual. To an ever greater degree the work of art reproduced becomes the work of art designed for reproducibility.\textsuperscript{7} From a photographic negative, for example, one can make any number of prints; to ask for the “authentic” print makes no sense. But the instant the criterion of authenticity ceases to be applicable to artistic production, the total function of art is reversed. Instead of being based on ritual, it begins to be based on another practice—politics.
Works of art are received and valued on different planes. Two polar types stand out: with one, the accent is on the cult value; with the other, on the exhibition value of the work.\textsuperscript{8} Artistic production begins with ceremonial objects destined to serve in a cult. One may assume that what mattered was their
existence, not their being on view. The elk portrayed by the man of the Stone Age on the walls of his cave was an instrument of magic. He did expose it to his fellow men, but in the main it was meant for the spirits. Today the cult value would seem to demand that the work of art remain hidden. Certain statues of gods are accessible only to the priest in the cella; certain Madonnas remain covered nearly all year round; certain sculptures on medieval cathedrals are invisible to the spectator on ground level. With the emancipation of the various art practices from ritual go increasing opportunities for the exhibition of their products. It is easier to exhibit a portrait bust that can be sent here and there than to exhibit the statue of a divinity that has its fixed place in the interior of a temple. The same holds for the painting as against the mosaic or fresco that preceded it. And even though the public presentability of a mass originally may have been just as great as that of a symphony, the latter originated at the moment when its public presentability promised to surpass that of the mass.
With the different methods of technical reproduction of a work of art, its fitness for exhibition increased to such an extent that the quantitative shift between its two poles turned into a qualitative transformation of its nature. This is comparable to the situation of the work of art in prehistoric times when, by the absolute emphasis on its cult value, it was, first and foremost, an instrument of magic. Only later did it come to be recognized as a work of art. In the same way today, by the absolute emphasis on its exhibition value the work of art becomes a creation with entirely new functions, among which the one we are conscious of, the artistic function, later may be recognized as incidental.⁹ This much is certain: today photography and the film are the most serviceable exemplifications of this new function.
In photography, exhibition value begins to displace cult value all along the line. But cult value does not give way without resistance. It retires into an ultimate retrenchment: the human
countenance. It is no accident that the portrait was the focal point of early photography. The cult of remembrance of loved ones, absent or dead, offers a last refuge for the cult value of the picture. For the last time the aura emanates from the early photographs in the fleeting expression of a human face. This is what constitutes their melancholy, incomparable beauty. But as man withdraws from the photographic image, the exhibition value for the first time shows its superiority to the ritual value. To have pinpointed this new stage constitutes the incomparable significance of Atget, who, around 1900, took photographs of deserted Paris streets. It has quite justly been said of him that he photographed them like scenes of crime. The scene of a crime, too, is deserted; it is photographed for the purpose of establishing evidence. With Atget, photographs become standard evidence for historical occurrences, and acquire a hidden political significance. They demand a specific kind of approach; free-floating contemplation is not appropriate to them. They stir the viewer; he feels challenged by them in a new way. At the same time picture magazines begin to put up signposts for him, right ones or wrong ones, no matter. For the first time, captions have become obligatory. And it is clear that they have an altogether different character than the title of a painting. The directives which the captions give to those looking at pictures in illustrated magazines soon become even more explicit and more imperative in the film where the meaning of each single picture appears to be prescribed by the sequence of all preceding ones.
The nineteenth-century dispute as to the artistic value of painting versus photography today seems devious and confused. This does not diminish its importance, however; if anything, it underlines it. The dispute was in fact the symptom of a historical transformation the universal impact of which was not realized by either of the rivals. When the age of mechanical reproduction separated art from its basis in cult, the semblance of its autonomy disappeared forever. The resulting change in the function of art transcended the perspective of the century; for a long time it even escaped that of the twentieth century, which experienced the development of the film.
Earlier much futile thought had been devoted to the question of whether photography is an art. The primary question—whether the very invention of photography had not transformed the entire nature of art—was not raised. Soon the film theoreticians asked the same ill-considered question with regard to the film. But the difficulties which photography caused traditional aesthetics were mere child’s play as compared to those raised by the film. Whence the insensitive and forced character of early theories of the film. Abel Gance, for instance, compares the film with hieroglyphs: “Here, by a remarkable regression, we have come back to the level of expression of the Egyptians... Pictorial language has not yet matured because our eyes have not yet adjusted to it. There is as yet insufficient respect for, insufficient cult of, what it expresses.” * Or, in the words of Séverin-Mars: “What art has been granted a dream more poetical and more real at the same time! Approached in this fashion the film might represent an incomparable means of expression. Only the most high-minded persons, in the most perfect and mysterious moments of their lives, should be allowed to enter its ambience.” † Alexandre Arnoux concludes his fantasy about the silent film with the question: “Do not all the bold descriptions we have given amount to the definition of prayer?” ‡ It is instructive to note how their desire to class the film among the “arts” forces these theoreticians to read ritual elements into it—with a striking lack of discretion. Yet when these speculations were published, films like L’Opinion publique and The Gold Rush had already appeared. This, however, did not keep Abel Gance from aducing hieroglyphs for purposes of comparison, nor Séverin-Mars from speaking of the film as one might speak of paintings by Fra Angelico. Characteristically, even today ultrareactionary authors give the film a similar contextual significance—if not an
* Abel Gance, op. cit., pp. 100-1.
† Séverin-Mars, quoted by Abel Gance, op. cit., p. 100.
‡ Alexandre Arnoux, Cinéma pris, 1929, p. 28.
Illuminations
outright sacred one, then at least a supernatural one. Commenting on Max Reinhardt’s film version of *A Midsummer Night’s Dream*, Werfel states that undoubtedly it was the sterile copying of the exterior world with its streets, interiors, railroad stations, restaurants, motorcars, and beaches which until now had obstructed the elevation of the film to the realm of art. “The film has not yet realized its true meaning, its real possibilities . . . these consist in its unique faculty to express by natural means and with incomparable persuasiveness all that is fairylike, marvelous, supernatural.”
* Franz Werfel, “Ein Sommernachtstraum, Ein Film von Shakespeare und Reinhardt,” *Neues Wiener Journal*, cited in *Lu 15*, November, 1935.
The artistic performance of a stage actor is definitely presented to the public by the actor in person; that of the screen actor, however, is presented by a camera, with a twofold consequence. The camera that presents the performance of the film actor to the public need not respect the performance as an integral whole. Guided by the cameraman, the camera continually changes its position with respect to the performance. The sequence of positional views which the editor composes from the material supplied him constitutes the completed film. It comprises certain factors of movement which are in reality those of the camera, not to mention special camera angles, close-ups, etc. Hence, the performance of the actor is subjected to a series of optical tests. This is the first consequence of the fact that the actor’s performance is presented by means of a camera. Also, the film actor lacks the opportunity of the stage actor to adjust to the audience during his performance, since he does not present his performance to the audience in person. This permits the audience to take the position of a critic, without experiencing any personal contact with the actor. The audience’s identification with the actor is really an identification with the camera. Consequently the audience takes the position of the camera; its apThe Work of Art in the Age of Mechanical Reproduction
proach is that of testing.\textsuperscript{10} This is not the approach to which cult values may be exposed.
IX
For the film, what matters primarily is that the actor represents himself to the public before the camera, rather than representing someone else. One of the first to sense the actor's metamorphosis by this form of testing was Pirandello. Though his remarks on the subject in his novel \textit{Si Gira} were limited to the negative aspects of the question and to the silent film only, this hardly impairs their validity. For in this respect, the sound film did not change anything essential. What matters is that the part is acted not for an audience but for a mechanical contrivance—in the case of the sound film, for two of them. "The film actor," wrote Pirandello, "feels as if in exile—exiled not only from the stage but also from himself. With a vague sense of discomfort he feels inexplicable emptiness: his body loses its corporeality, it evaporates, it is deprived of reality, life, voice, and the noises caused by his moving about, in order to be changed into a mute image, flickering an instant on the screen, then vanishing into silence. . . . The projector will play with his shadow before the public, and he himself must be content to play before the camera." * This situation might also be characterized as follows: for the first time—and this is the effect of the film—man has to operate with his whole living person, yet forgoing its aura. For aura is tied to his presence; there can be no replica of it. The aura which, on the stage, emanates from Macbeth, cannot be separated for the spectators from that of the actor. However, the singularity of the shot in the studio is that the camera is substituted for the public. Consequently, the aura that envelops the actor vanishes, and with it the aura of the figure he portrays.
It is not surprising that it should be a dramatist such as Pirandello who, in characterizing the film, inadvertently touches on the very crisis in which we see the theater. Any thorough study
* Luigi Pirandello, \textit{Si Gira}, quoted by Léon Pierre-Quint, "Signification du cinéma," \textit{L'Art cinématographique, op. cit.}, pp. 14-15.
proves that there is indeed no greater contrast than that of the stage play to a work of art that is completely subject to or, like the film, founded in, mechanical reproduction. Experts have long recognized that in the film "the greatest effects are almost always obtained by 'acting' as little as possible. . . ." In 1932 Rudolf Arnheim saw "the latest trend... in treating the actor as a stage prop chosen for its characteristics and... inserted at the proper place." With this idea something else is closely connected. The stage actor identifies himself with the character of his role. The film actor very often is denied this opportunity. His creation is by no means all of a piece; it is composed of many separate performances. Besides certain fortuitous considerations, such as cost of studio, availability of fellow players, décor, etc., there are elementary necessities of equipment that split the actor's work into a series of mountable episodes. In particular, lighting and its installation require the presentation of an event that, on the screen, unfolds as a rapid and unified scene, in a sequence of separate shootings which may take hours at the studio; not to mention more obvious montage. Thus a jump from the window can be shot in the studio as a jump from a scaffold, and the ensuing flight, if need be, can be shot weeks later when outdoor scenes are taken. Far more paradoxical cases can easily be construed. Let us assume that an actor is supposed to be startled by a knock at the door. If his reaction is not satisfactory, the director can resort to an expedient: when the actor happens to be at the studio again he has a shot fired behind him without his being forewarned of it. The frightened reaction can be shot now and be cut into the screen version. Nothing more strikingly shows that art has left the realm of the "beautiful semblance" which, so far, had been taken to be the only sphere where art could thrive.
The feeling of strangeness that overcomes the actor before the camera, as Pirandello describes it, is basically of the same kind as the estrangement felt before one's own image in the mirror.
But now the reflected image has become separable, transportable. And where is it transported? Before the public.\textsuperscript{12} Never for a moment does the screen actor cease to be conscious of this fact. While facing the camera he knows that ultimately he will face the public, the consumers who constitute the market. This market, where he offers not only his labor but also his whole self, his heart and soul, is beyond his reach. During the shooting he has as little contact with it as any article made in a factory. This may contribute to that oppression, that new anxiety which, according to Pirandello, grips the actor before the camera. The film responds to the shriveling of the aura with an artificial build-up of the “personality” outside the studio. The cult of the movie star, fostered by the money of the film industry, preserves not the unique aura of the person but the “spell of the personality,” the phony spell of a commodity. So long as the movie-makers’ capital sets the fashion, as a rule no other revolutionary merit can be accredited to today’s film than the promotion of a revolutionary criticism of traditional concepts of art. We do not deny that in some cases today’s films can also promote revolutionary criticism of social conditions, even of the distribution of property. However, our present study is no more specifically concerned with this than is the film production of Western Europe.
It is inherent in the technique of the film as well as that of sports that everybody who witnesses its accomplishments is somewhat of an expert. This is obvious to anyone listening to a group of newspaper boys leaning on their bicycles and discussing the outcome of a bicycle race. It is not for nothing that newspaper publishers arrange races for their delivery boys. These arouse great interest among the participants, for the victor has an opportunity to rise from delivery boy to professional racer. Similarly, the newsreel offers everyone the opportunity to rise from passer-by to movie extra. In this way any man might even find himself part of a work of art, as witness Vertoff’s \textit{Three Songs About Lenin} or Ivens’ \textit{Borinage}. Any man today can lay claim to being filmed. This claim can best be elucidated by a comparative look at the historical situation of contemporary literature.
For centuries a small number of writers were confronted by
many thousands of readers. This changed toward the end of the last century. With the increasing extension of the press, which kept placing new political, religious, scientific, professional, and local organs before the readers, an increasing number of readers became writers—at first, occasional ones. It began with the daily press opening to its readers space for "letters to the editor." And today there is hardly a gainfully employed European who could not, in principle, find an opportunity to publish somewhere or other comments on his work, grievances, documentary reports, or that sort of thing. Thus, the distinction between author and public is about to lose its basic character. The difference becomes merely functional; it may vary from case to case. At any moment the reader is ready to turn into a writer. As expert, which he had to become willy-nilly in an extremely specialized work process, even if only in some minor respect, the reader gains access to authorship. In the Soviet Union work itself is given a voice. To present it verbally is part of a man's ability to perform the work. Literary license is now founded on polytechnic rather than specialized training and thus becomes common property.\(^{18}\)
All this can easily be applied to the film, where transitions that in literature took centuries have come about in a decade. In cinematic practice, particularly in Russia, this change-over has partially become established reality. Some of the players whom we meet in Russian films are not actors in our sense but people who portray themselves—and primarily in their own work process. In Western Europe the capitalistic exploitation of the film denies consideration to modern man's legitimate claim to being reproduced. Under these circumstances the film industry is trying hard to spur the interest of the masses through illusion-promoting spectacles and dubious speculations.
The shooting of a film, especially of a sound film, affords a spectacle unimaginable anywhere at any time before this. It presents a process in which it is impossible to assign to a spectator a viewpoint which would exclude from the actual scene such
extraneous accessories as camera equipment, lighting machinery, staff assistants, etc.—unless his eye were on a line parallel with the lens. This circumstance, more than any other, renders superficial and insignificant any possible similarity between a scene in the studio and one on the stage. In the theater one is well aware of the place from which the play cannot immediately be detected as illusionary. There is no such place for the movie scene that is being shot. Its illusionary nature is that of the second degree, the result of cutting. That is to say, in the studio the mechanical equipment has penetrated so deeply into reality that its pure aspect freed from the foreign substance of equipment is the result of a special procedure, namely, the shooting by the specially adjusted camera and the mounting of the shot together with other similar ones. The equipment-free aspect of reality here has become the height of artifice; the sight of immediate reality has become an orchid in the land of technology.
Even more revealing is the comparison of these circumstances, which differ so much from those of the theater, with the situation in painting. Here the question is: How does the cameraman compare with the painter? To answer this we take recourse to an analogy with a surgical operation. The surgeon represents the polar opposite of the magician. The magician heals a sick person by the laying on of hands; the surgeon cuts into the patient's body. The magician maintains the natural distance between the patient and himself; though he reduces it very slightly by the laying on of hands, he greatly increases it by virtue of his authority. The surgeon does exactly the reverse; he greatly diminishes the distance between himself and the patient by penetrating into the patient's body, and increases it but little by the caution with which his hand moves among the organs. In short, in contrast to the magician—who is still hidden in the medical practitioner—the surgeon at the decisive moment abstains from facing the patient man to man; rather, it is through the operation that he penetrates into him.
Magician and surgeon compare to painter and cameraman. The painter maintains in his work a natural distance from reality, the cameraman penetrates deeply into its web.\(^{14}\) There is a tremendous difference between the pictures they obtain. That of the painter is a total one, that of the cameraman consists of multiple fragments which are assembled under a new law. Thus, for contemporary man the representation of reality by the film is incomparably more significant than that of the painter, since it offers, precisely because of the thoroughgoing permeation of reality with mechanical equipment, an aspect of reality which is free of all equipment. And that is what one is entitled to ask from a work of art.
Mechanical reproduction of art changes the reaction of the masses toward art. The reactionary attitude toward a Picasso painting changes into the progressive reaction toward a Chaplin movie. The progressive reaction is characterized by the direct, intimate fusion of visual and emotional enjoyment with the orientation of the expert. Such fusion is of great social significance. The greater the decrease in the social significance of an art form, the sharper the distinction between criticism and enjoyment by the public. The conventional is uncritically enjoyed, and the truly new is criticized with aversion. With regard to the screen, the critical and the receptive attitudes of the public coincide. The decisive reason for this is that individual reactions are predetermined by the mass audience response they are about to produce, and this is nowhere more pronounced than in the film. The moment these responses become manifest they control each other. Again, the comparison with painting is fruitful. A painting has always had an excellent chance to be viewed by one person or by a few. The simultaneous contemplation of paintings by a large public, such as developed in the nineteenth century, is an early symptom of the crisis of painting, a crisis which was by no means occasioned exclusively by photography but rather in a relatively independent manner by the appeal of art works to the masses.
Painting simply is in no position to present an object for simultaneous collective experience, as it was possible for architecture at all times, for the epic poem in the past, and for the movie today. Although this circumstance in itself should not lead one to conclusions about the social role of painting, it does constitute a serious threat as soon as painting, under special conditions and, as it were, against its nature, is confronted directly by the masses. In the churches and monasteries of the Middle Ages and at the princely courts up to the end of the eighteenth century, a collective reception of paintings did not occur simultaneously, but by graduated and hierarchized mediation. The change that has come about is an expression of the particular conflict in which painting was implicated by the mechanical reproducibility of paintings. Although paintings began to be publicly exhibited in galleries and salons, there was no way for the masses to organize and control themselves in their reception.\textsuperscript{16} Thus the same public which responds in a progressive manner toward a grotesque film is bound to respond in a reactionary manner to surrealism.
XIII
The characteristics of the film lie not only in the way in which man presents himself to mechanical equipment but also in the manner in which, by means of this apparatus, man can represent his environment. A glance at occupational psychology illustrates the testing capacity of the equipment. Psychoanalysis illustrates it in a different perspective. The film has enriched our field of perception with methods which can be illustrated by those of Freudian theory. Fifty years ago, a slip of the tongue passed more or less unnoticed. Only exceptionally may such a slip have revealed dimensions of depth in a conversation which had seemed to be taking its course on the surface. Since the \textit{Psychopathology of Everyday Life} things have changed. This book isolated and made analyzable things which had heretofore floated along unnoticed in the broad stream of perception. For the entire spectrum of optical, and now also acoustical, perception the film has brought about a similar deepening of apperception. It is only an obverse of this fact that behavior items shown in a movie can be analyzed much more precisely and from more
points of view than those presented on paintings or on the stage. As compared with painting, filmed behavior lends itself more readily to analysis because of its incomparably more precise statements of the situation. In comparison with the stage scene, the filmed behavior item lends itself more readily to analysis because it can be isolated more easily. This circumstance derives its chief importance from its tendency to promote the mutual penetration of art and science. Actually, of a screened behavior item which is neatly brought out in a certain situation, like a muscle of a body, it is difficult to say which is more fascinating, its artistic value or its value for science. To demonstrate the identity of the artistic and scientific uses of photography which heretofore usually were separated will be one of the revolutionary functions of the film.\(^{18}\)
By close-ups of the things around us, by focusing on hidden details of familiar objects, by exploring commonplace milieus under the ingenious guidance of the camera, the film, on the one hand, extends our comprehension of the necessities which rule our lives; on the other hand, it manages to assure us of an immense and unexpected field of action. Our taverns and our metropolitan streets, our offices and furnished rooms, our railroad stations and our factories appeared to have us locked up hopelessly. Then came the film and burst this prison-world asunder by the dynamite of the tenth of a second, so that now, in the midst of its far-flung ruins and debris, we calmly and adventurously go traveling. With the close-up, space expands; with slow motion, movement is extended. The enlargement of a snapshot does not simply render more precise what in any case was visible, though unclear: it reveals entirely new structural formations of the subject. So, too, slow motion not only presents familiar qualities of movement but reveals in them entirely unknown ones “which, far from looking like retarded rapid movements, give the effect of singularly gliding, floating, supernatural motions.” * Evidently a different nature opens itself to the camera than opens to the naked eye—if only because an unconsciously penetrated space is substituted for a space consciously explored
* Rudolf Arnheim, loc. cit., p. 138.
by man. Even if one has a general knowledge of the way people walk, one knows nothing of a person's posture during the fractional second of a stride. The act of reaching for a lighter or a spoon is familiar routine, yet we hardly know what really goes on between hand and metal, not to mention how this fluctuates with our moods. Here the camera intervenes with the resources of its lowerings and liftings, its interruptions and isolations, its extensions and accelerations, its enlargements and reductions. The camera introduces us to unconscious optics as does psychoanalysis to unconscious impulses.
One of the foremost tasks of art has always been the creation of a demand which could be fully satisfied only later.\textsuperscript{17} The history of every art form shows critical epochs in which a certain art form aspires to effects which could be fully obtained only with a changed technical standard, that is to say, in a new art form. The extravagances and crudities of art which thus appear, particularly in the so-called decadent and barbaric, arise from the nucleus of its richest historic energies. In recent years, such barbarisms were abundant in Surrealism. It is only now that its impulse becomes discernible. Dadaism attempted to create by pictorial—and literary—means the effects which the public today seeks in the film.
Every fundamentally new, pioneering creation of demands will carry beyond its goal. Dadaism did so to the extent that it sacrificed the market values which are so characteristic of the film in favor of higher ambitions—though of course it was not conscious of such intentions as here described. The Dadaists attached much less importance to the sales value of their work than to its uselessness for contemplative immersion. The studied degradation of their material was not the least of their means to achieve this uselessness. Their poems are "word salad" containing obscenities and every imaginable waste product of language. The same is true of their paintings, on which they mounted buttons and tickets. What they intended and achieved was a relentless
destruction of the aura of their creations, which they branded as reproductions with the very means of production. Before a painting of Arp’s or a poem by August Stramm it is impossible to take time for contemplation and evaluation as one would before a canvas of Derain’s or a poem by Rilke. In the decline of middle-class society, contemplation became a school for asocial behavior; it was countered by distraction as a variant of social conduct.\textsuperscript{18} Dadaistic activities actually assured a rather vehement distraction by making works of art the center of scandal. One requirement was foremost: to outrage the public.
From an alluring appearance or persuasive structure of sound the work of art of the Dadaists became an instrument of ballistics. It hit the spectator like a bullet, it happened to him, thus acquiring a tactile quality. It promoted a demand for the film, the distracting element of which is also primarily tactile, being based on changes of place and focus which periodically assail the spectator. Let us compare the screen on which a film unfolds with the canvas of a painting. The painting invites the spectator to contemplation; before it the spectator can abandon himself to his associations. Before the movie frame he cannot do so. No sooner has his eye grasped a scene than it is already changed. It cannot be arrested. Duhamel, who detests the film and knows nothing of its significance, though something of its structure, notes this circumstance as follows: “I can no longer think what I want to think. My thoughts have been replaced by moving images.” * The spectator’s process of association in view of these images is indeed interrupted by their constant, sudden change. This constitutes the shock effect of the film, which, like all shocks, should be cushioned by heightened presence of mind.\textsuperscript{19} By means of its technical structure, the film has taken the physical shock effect out of the wrappers in which Dadaism had, as it were, kept it inside the moral shock effect.\textsuperscript{20}
* Georges Duhamel, \textit{Scènes de la vie future}, Paris, 1930, p. 52.
The mass is a matrix from which all traditional behavior toward works of art issues today in a new form. Quantity has been transmuted into quality. The greatly increased mass of participants has produced a change in the mode of participation. The fact that the new mode of participation first appeared in a disreputable form must not confuse the spectator. Yet some people have launched spirited attacks against precisely this superficial aspect. Among these, Duhamel has expressed himself in the most radical manner. What he objects to most is the kind of participation which the movie elicits from the masses. Duhamel calls the movie "a pastime for helots, a diversion for uneducated, wretched, worn-out creatures who are consumed by their worries . . . , a spectacle which requires no concentration and presupposes no intelligence . . . , which kindles no light in the heart and awakens no hope other than the ridiculous one of someday becoming a 'star' in Los Angeles." * Clearly, this is at bottom the same ancient lament that the masses seek distraction whereas art demands concentration from the spectator. That is a commonplace. The question remains whether it provides a platform for the analysis of the film. A closer look is needed here. Distraction and concentration form polar opposites which may be stated as follows: A man who concentrates before a work of art is absorbed by it. He enters into this work of art the way legend tells of the Chinese painter when he viewed his finished painting. In contrast, the distracted mass absorbs the work of art. This is most obvious with regard to buildings. Architecture has always represented the prototype of a work of art the reception of which is consummated by a collectivity in a state of distraction. The laws of its reception are most instructive.
Buildings have been man's companions since primeval times. Many art forms have developed and perished. Tragedy begins with the Greeks, is extinguished with them, and after centuries its "rules" only are revived. The epic poem, which had its origin
* Duhamel, op. cit., p. 58.
in the youth of nations, expires in Europe at the end of the Renaissance. Panel painting is a creation of the Middle Ages, and nothing guarantees its uninterrupted existence. But the human need for shelter is lasting. Architecture has never been idle. Its history is more ancient than that of any other art, and its claim to being a living force has significance in every attempt to comprehend the relationship of the masses to art. Buildings are appropriated in a twofold manner: by use and by perception—or rather, by touch and sight. Such appropriation cannot be understood in terms of the attentive concentration of a tourist before a famous building. On the tactile side there is no counterpart to contemplation on the optical side. Tactile appropriation is accomplished not so much by attention as by habit. As regards architecture, habit determines to a large extent even optical reception. The latter, too, occurs much less through rapt attention than by noticing the object in incidental fashion. This mode of appropriation, developed with reference to architecture, in certain circumstances acquires canonical value. For the tasks which face the human apparatus of perception at the turning points of history cannot be solved by optical means, that is, by contemplation, alone. They are mastered gradually by habit, under the guidance of tactile appropriation.
The distracted person, too, can form habits. More, the ability to master certain tasks in a state of distraction proves that their solution has become a matter of habit. Distraction as provided by art presents a covert control of the extent to which new tasks have become soluble by apperception. Since, moreover, individuals are tempted to avoid such tasks, art will tackle the most difficult and most important ones where it is able to mobilize the masses. Today it does so in the film. Reception in a state of distraction, which is increasing noticeably in all fields of art and is symptomatic of profound changes in apperception, finds in the film its true means of exercise. The film with its shock effect meets this mode of reception halfway. The film makes the cult value recede into the background not only by putting the public in the position of the critic, but also by the fact that at the movies
this position requires no attention. The public is an examiner, but an absent-minded one.
**EPILOGUE**
The growing proletarianization of modern man and the increasing formation of masses are two aspects of the same process. Fascism attempts to organize the newly created proletarian masses without affecting the property structure which the masses strive to eliminate. Fascism sees its salvation in giving these masses not their right, but instead a chance to express themselves.\(^{21}\) The masses have a right to change property relations; Fascism seeks to give them an expression while preserving property. The logical result of Fascism is the introduction of aesthetics into political life. The violation of the masses, whom Fascism, with its *Führer* cult, forces to their knees, has its counterpart in the violation of an apparatus which is pressed into the production of ritual values.
All efforts to render politics aesthetic culminate in one thing: war. War and war only can set a goal for mass movements on the largest scale while respecting the traditional property system. This is the political formula for the situation. The technological formula may be stated as follows: Only war makes it possible to mobilize all of today's technical resources while maintaining the property system. It goes without saying that the Fascist apotheosis of war does not employ such arguments. Still, Marinetti says in his manifesto on the Ethiopian colonial war: "For twenty-seven years we Futurists have rebelled against the branding of war as antiaesthetic. . . . Accordingly we state: . . . War is beautiful because it establishes man's dominion over the subjugated machinery by means of gas masks, terrifying megaphones, flame throwers, and small tanks. War is beautiful because it initiates the dreamt-of metalization of the human body. War is beautiful because it enriches a flowering meadow with the fiery orchids of machine guns. War is beautiful because it combines the gunfire, the cannonades, the cease-fire, the scents, and the stench of putrefaction into a symphony. War is beautiful because it creates
new architecture, like that of the big tanks, the geometrical formation flights, the smoke spirals from burning villages, and many others. . . . Poets and artists of Futurism! . . . remember these principles of an aesthetics of war so that your struggle for a new literature and a new graphic art . . . may be illumined by them!"
This manifesto has the virtue of clarity. Its formulations deserve to be accepted by dialecticians. To the latter, the aesthetics of today's war appears as follows: If the natural utilization of productive forces is impeded by the property system, the increase in technical devices, in speed, and in the sources of energy will press for an unnatural utilization, and this is found in war. The destructiveness of war furnishes proof that society has not been mature enough to incorporate technology as its organ, that technology has not been sufficiently developed to cope with the elemental forces of society. The horrible features of imperialistic warfare are attributable to the discrepancy between the tremendous means of production and their inadequate utilization in the process of production—in other words, to unemployment and the lack of markets. Imperialistic war is a rebellion of technology which collects, in the form of "human material," the claims to which society has denied its natural material. Instead of draining rivers, society directs a human stream into a bed of trenches; instead of dropping seeds from airplanes, it drops incendiary bombs over cities; and through gas warfare the aura is abolished in a new way.
"Fiat ars—pereat mundus," says Fascism, and, as Marinetti admits, expects war to supply the artistic gratification of a sense perception that has been changed by technology. This is evidently the consummation of "l'art pour l'art." Mankind, which in Homer's time was an object of contemplation for the Olympian gods, now is one for itself. Its self-alienation has reached such a degree that it can experience its own destruction as an aesthetic pleasure of the first order. This is the situation of politics which Fascism is rendering aesthetic. Communism responds by politicizing art.
Notes
1. Of course, the history of a work of art encompasses more than this. The history of the "Mona Lisa," for instance, encompasses the kind and number of its copies made in the 17th, 18th, and 19th centuries.
2. Precisely because authenticity is not reproducible, the intensive penetration of certain (mechanical) processes of reproduction was instrumental in differentiating and grading authenticity. To develop such differentiations was an important function of the trade in works of art. The invention of the woodcut may be said to have struck at the root of the quality of authenticity even before its late flowering. To be sure, at the time of its origin a medieval picture of the Madonna could not yet be said to be "authentic." It became "authentic" only during the succeeding centuries and perhaps most strikingly so during the last one.
3. The poorest provincial staging of *Faust* is superior to a Faust film in that, ideally, it competes with the first performance at Weimar. Before the screen it is unprofitable to remember traditional contents which might come to mind before the stage—for instance, that Goethe's friend Johann Heinrich Merck is hidden in Mephisto, and the like.
4. To satisfy the human interest of the masses may mean to have one's social function removed from the field of vision. Nothing guarantees that a portraitist of today, when painting a famous surgeon at the breakfast table in the midst of his family, depicts his social function more precisely than a painter of the 17th century who portrayed his medical doctors as representing this profession, like Rembrandt in his "Anatomy Lesson."
5. The definition of the aura as a "unique phenomenon of a distance however close it may be" represents nothing but the formulation of the cult value of the work of art in categories of space and time perception. Distance is the opposite of closeness. The essentially distant object is the unapproachable one. Unapproachability is indeed a major quality of the cult image. True to its nature, it remains "distant, however close it may be." The closeness which one may gain from its subject matter does not impair the distance which it retains in its appearance.
6. To the extent to which the cult value of the painting is secularized the ideas of its fundamental uniqueness lose distinctness. In the imagination of the beholder the uniqueness of the phenomena which hold sway in the cult image is more and more displaced by the empirical uniqueness of the creator or of his creative achievement. To be sure, never completely so; the concept of authenticity always transcends mere genuineness. (This is particularly apparent in the collector who always retains some traces of the fetishist and who, by owning the work of art, shares in its ritual power.) Nevertheless, the function of the concept of authenticity remains determinate in the evaluation of art; with the secularization of art, authenticity displaces the cult value of the work.
7. In the case of films, mechanical reproduction is not, as with literature and painting, an external condition for mass distribution. Mechanical reproduction is inherent in the very technique of film production. This technique not only permits in the most direct way but virtually causes mass distribution. It enforces distribution because the production of a film is so expensive that an individual who, for instance, might afford to buy a painting no longer can afford to buy a film. In 1917 it was calculated that a major film, in order to pay its way, had to reach an audience of nine million. With the sound film, to be sure, a setback in its international distribution occurred at first: audiences became limited by language barriers. This coincided with the Fascist emphasis on national interests. It is more important to focus on this connection with Fascism than on this setback, which was soon minimized by synchronization. The simultaneity of both phenomena is attributable to the depression. The same disturbances which, on a larger scale, led to an attempt to maintain the existing property structure by sheer force led the endangered film capital to speed up the development of the sound film. The introduction of the sound film brought about a temporary relief, not only because it again brought the masses into the theaters but also because it merged new capital from the electrical industry with that of the film industry. Thus, viewed from the outside, the sound film promoted national interests, but seen from the inside it helped to internationalize film production even more than previously.
8. This polarity cannot come into its own in the aesthetics of Idealism. Its idea of beauty comprises these polar opposites without differentiating between them and consequently excludes their polarity. Yet in Hegel this polarity announces itself as clearly as possible.
The Work of Art in the Age of Mechanical Reproduction
within the limits of Idealism. We quote from his Philosophy of History:
"Images were known of old. Piety at an early time required them for worship, but it could do without beautiful images. These might even be disturbing. In every beautiful painting there is also something nonspiritual, merely external, but its spirit speaks to man through its beauty. Worshipping, conversely, is concerned with the work as an object, for it is but a spiritless stupor of the soul... Fine art has arisen... in the church..., although it has already gone beyond its principle as art."
Likewise, the following passage from The Philosophy of Fine Art indicates that Hegel sensed a problem here.
"We are beyond the stage of reverence for works of art as divine and objects deserving our worship. The impression they produce is one of a more reflective kind, and the emotions they arouse require a higher test..."—G. W. F. Hegel, The Philosophy of Fine Art, trans., with notes, by F. P. B. Osmaston, Vol. 1, p. 12, London, 1920.
The transition from the first kind of artistic reception to the second characterizes the history of artistic reception in general. Apart from that, a certain oscillation between these two polar modes of reception can be demonstrated for each work of art. Take the Sistine Madonna. Since Hubert Grimme's research it has been known that the Madonna originally was painted for the purpose of exhibition. Grimme's research was inspired by the question: What is the purpose of the molding in the foreground of the painting which the two cupids lean upon? How, Grimme asked further, did Raphael come to furnish the sky with two draperies? Research proved that the Madonna had been commissioned for the public lying-in-state of Pope Sixtus. The Popes lay in state in a certain side chapel of St. Peter's. On that occasion Raphael's picture had been fastened in a nichelike background of the chapel, supported by the coffin. In this picture Raphael portrays the Madonna approaching the papal coffin in clouds from the background of the niche, which was demarcated by green drapes. At the obsequies of Sixtus a pre-eminent exhibition value of Raphael's picture was taken advantage of. Some time later it was placed on the high altar in the church of the Black Friars at Piacenza. The reason for this exile is to be found in the Roman rites which forbid the use of paintings exhibited at obsequies as cult objects on the high altar. This regulation devalued Raphael's picture to
some degree. In order to obtain an adequate price nevertheless, the Papal See resolved to add to the bargain the tacit toleration of the picture above the high altar. To avoid attention the picture was given to the monks of the far-off provincial town.
9. Bertolt Brecht, on a different level, engaged in analogous reflections: "If the concept of 'work of art' can no longer be applied to the thing that emerges once the work is transformed into a commodity, we have to eliminate this concept with cautious care but without fear, lest we liquidate the function of the very thing as well. For it has to go through this phase without mental reservation, and not as noncommittal deviation from the straight path; rather, what happens here with the work of art will change it fundamentally and erase its past to such an extent that should the old concept be taken up again—and it will, why not?—it will no longer stir any memory of the thing it once designated."
10. "The film . . . provides—or could provide—useful insight into the details of human actions. . . . Character is never used as a source of motivation; the inner life of the persons never supplies the principal cause of the plot and seldom is its main result." (Bertolt Brecht, Versuche, "Der Dreigroschenprozess," p. 268.) The expansion of the field of the testable which mechanical equipment brings about for the actor corresponds to the extraordinary expansion of the field of the testable brought about for the individual through economic conditions. Thus, vocational aptitude tests become constantly more important. What matters in these tests are segmental performances of the individual. The film shot and the vocational aptitude test are taken before a committee of experts. The camera director in the studio occupies a place identical with that of the examiner during aptitude tests.
11. Rudolf Arnheim, Film als Kunst, Berlin, 1932, pp. 176 f. In this context certain seemingly unimportant details in which the film director deviates from stage practices gain in interest. Such is the attempt to let the actor play without make-up, as made among others by Dreyer in his Jeanne d'Arc. Dreyer spent months seeking the forty actors who constitute the Inquisitors' tribunal. The search for these actors resembled that for stage properties that are hard to come by. Dreyer made every effort to avoid resemblances of age, build, and physiognomy. If the actor thus becomes a stage property, this latter, on the other hand, frequently functions as actor. At least it is not unusual for the film to assign a role to the stage property.
Instead of choosing at random from a great wealth of examples, let us concentrate on a particularly convincing one. A clock that is working will always be a disturbance on the stage. There it cannot be permitted its function of measuring time. Even in a naturalistic play, astronomical time would clash with theatrical time. Under these circumstances it is highly revealing that the film can, whenever appropriate, use time as measured by a clock. From this more than from many other touches it may clearly be recognized that under certain circumstances each and every prop in a film may assume important functions. From here it is but one step to Pudovkin's statement that "the playing of an actor which is connected with an object and is built around it . . . is always one of the strongest methods of cinematic construction." (W. Pudovkin, *Filmregie und Filmmanuskript*, Berlin, 1928, p. 126.) The film is the first art form capable of demonstrating how matter plays tricks on man. Hence, films can be an excellent means of materialistic representation.
12. The change noted here in the method of exhibition caused by mechanical reproduction applies to politics as well. The present crisis of the bourgeois democracies comprises a crisis of the conditions which determine the public presentation of the rulers. Democracies exhibit a member of government directly and personally before the nation's representatives. Parliament is his public. Since the innovations of camera and recording equipment make it possible for the orator to become audible and visible to an unlimited number of persons, the presentation of the man of politics before camera and recording equipment becomes paramount. Parliaments, as much as theaters, are deserted. Radio and film not only affect the function of the professional actor but likewise the function of those who also exhibit themselves before this mechanical equipment, those who govern. Though their tasks may be different, the change affects equally the actor and the ruler. The trend is toward establishing controllable and transferrable skills under certain social conditions. This results in a new selection, a selection before the equipment from which the star and the dictator emerge victorious.
13. The privileged character of the respective techniques is lost. Aldous Huxley writes:
"Advances in technology have led . . . to vulgarity. . . . Process reproduction and the rotary press have made possible the indefinite multiplication of writing and pictures. Universal education and relatively high wages have created an enormous public who
know how to read and can afford to buy reading and pictorial matter. A great industry has been called into existence in order to supply these commodities. Now, artistic talent is a very rare phenomenon; whence it follows . . . that, at every epoch and in all countries, most art has been bad. But the proportion of trash in the total artistic output is greater now than at any other period. That it must be so is a matter of simple arithmetic. The population of Western Europe has a little more than doubled during the last century. But the amount of reading—and seeing—matter has increased, I should imagine, at least twenty and possibly fifty or even a hundred times. If there were n men of talent in a population of x millions, there will presumably be 2n men of talent among 2x millions. The situation may be summed up thus. For every page of print and pictures published a century ago, twenty or perhaps even a hundred pages are published today. But for every man of talent then living, there are now only two men of talent. It may be of course that, thanks to universal education, many potential talents which in the past would have been still-born are now enabled to realize themselves. Let us assume, then, that there are now three or even four men of talent to every one of earlier times. It still remains true to say that the consumption of reading—and seeing—matter has far outstripped the natural production of gifted writers and draughtsmen. It is the same with hearing-matter. Prosperity, the gramophone and the radio have created an audience of hearers who consume an amount of hearing-matter that has increased out of all proportion to the increase of population and the consequent natural increase of talented musicians. It follows from all this that in all the arts the output of trash is both absolutely and relatively greater than it was in the past; and that it must remain greater for just so long as the world continues to consume the present inordinate quantities of reading-matter, seeing-matter, and hearing-matter.”—Aldous Huxley, *Beyond the Mexique Bay. A Traveller’s Journal*, London, 1949, pp. 274 ff. First published in 1934.
This mode of observation is obviously not progressive.
14. The boldness of the cameraman is indeed comparable to that of the surgeon. Luc Durtain lists among specific technical sleights of hand those “which are required in surgery in the case of certain difficult operations. I choose as an example a case from oto-rhinolaryngology; . . . the so-called endonasal perspective procedure; or
The Work of Art in the Age of Mechanical Reproduction
I refer to the acrobatic tricks of larynx surgery which have to be performed following the reversed picture in the laryngoscope. I might also speak of ear surgery which suggests the precision work of watchmakers. What range of the most subtle muscular acrobatics is required from the man who wants to repair or save the human body! We have only to think of the couching of a cataract where there is virtually a debate of steel with nearly fluid tissue, or of the major abdominal operations (laparotomy).—Luc Durtain, op. cit.
15. This mode of observation may seem crude, but as the great theoretician Leonardo has shown, crude modes of observation may at times be usefully adduced. Leonardo compares painting and music as follows: “Painting is superior to music because, unlike unfortunate music, it does not have to die as soon as it is born... Music which is consumed in the very act of its birth is inferior to painting which the use of varnish has rendered eternal.” (Trattato I, 29.)
16. Renaissance painting offers a revealing analogy to this situation. The incomparable development of this art and its significance rested not least on the integration of a number of new sciences, or at least of new scientific data. Renaissance painting made use of anatomy and perspective, of mathematics, meteorology, and chromatology. Valéry writes: “What could be further from us than the strange claim of a Leonardo to whom painting was a supreme goal and the ultimate demonstration of knowledge? Leonardo was convinced that painting demanded universal knowledge, and he did not even shrink from a theoretical analysis which to us is stunning because of its very depth and precision...”—Paul Valéry, Pièces sur l’art, “Autour de Corot,” Paris, p. 191.
17. “The work of art,” says André Breton, “is valuable only in so far as it is vibrated by the reflexes of the future.” Indeed, every developed art form intersects three lines of development. Technology works toward a certain form of art. Before the advent of the film there were photo booklets with pictures which flitted by the onlooker upon pressure of the thumb, thus portraying a boxing bout or a tennis match. Then there were the slot machines in bazaars; their picture sequences were produced by the turning of a crank.
Secondly, the traditional art forms in certain phases of their development strenuously work toward effects which later are effortlessly attained by the new ones. Before the rise of the movie the
Illuminations
Dadaists' performances tried to create an audience reaction which Chaplin later evoked in a more natural way.
Thirdly, unspectacular social changes often promote a change in receptivity which will benefit the new art form. Before the movie had begun to create its public, pictures that were no longer immobile captivated an assembled audience in the so-called Kaiserpanorama. Here the public assembled before a screen into which stereoscopes were mounted, one to each beholder. By a mechanical process individual pictures appeared briefly before the stereoscopes, then made way for others. Edison still had to use similar devices in presenting the first movie strip before the film screen and projection were known. This strip was presented to a small public which stared into the apparatus in which the succession of pictures was reeling off. Incidentally, the institution of the Kaiserpanorama shows very clearly a dialectic of the development. Shortly before the movie turned the reception of pictures into a collective one, the individual viewing of pictures in these swiftly outmoded establishments came into play once more with an intensity comparable to that of the ancient priest beholding the statue of a divinity in the cella.
18. The theological archetype of this contemplation is the awareness of being alone with one's God. Such awareness, in the heyday of the bourgeoisie, went to strengthen the freedom to shake off clerical tutelage. During the decline of the bourgeoisie this awareness had to take into account the hidden tendency to withdraw from public affairs those forces which the individual draws upon in his communion with God.
19. The film is the art form that is in keeping with the increased threat to his life which modern man has to face. Man's need to expose himself to shock effects is his adjustment to the dangers threatening him. The film corresponds to profound changes in the apperceptive apparatus—changes that are experienced on an individual scale by the man in the street in big-city traffic, on a historical scale by every present-day citizen.
20. As for Dadaism, insights important for Cubism and Futurism are to be gained from the movie. Both appear as deficient attempts of art to accommodate the pervasion of reality by the apparatus. In contrast to the film, these schools did not try to use the apparatus as such for the artistic presentation of reality, but aimed at some sort of alloy in the joint presentation of reality and apparatus. In Cubism,
the premonition that this apparatus will be structurally based on optics plays a dominant part; in Futurism, it is the premonition of the effects of this apparatus which are brought out by the rapid sequence of the film strip.
21. One technical feature is significant here, especially with regard to newsreels, the propagandist importance of which can hardly be overestimated. Mass reproduction is aided especially by the reproduction of masses. In big parades and monster rallies, in sports events, and in war, all of which nowadays are captured by camera and sound recording, the masses are brought face to face with themselves. This process, whose significance need not be stressed, is intimately connected with the development of the techniques of reproduction and photography. Mass movements are usually discerned more clearly by a camera than by the naked eye. A bird's-eye view best captures gatherings of hundreds of thousands. And even though such a view may be as accessible to the human eye as it is to the camera, the image received by the eye cannot be enlarged the way a negative is enlarged. This means that mass movements, including war, constitute a form of human behavior which particularly favors mechanical equipment.
The story is told of an automaton constructed in such a way that it could play a winning game of chess, answering each move of an opponent with a countermove. A puppet in Turkish attire and with a hookah in its mouth sat before a chessboard placed on a large table. A system of mirrors created the illusion that this table was transparent from all sides. Actually, a little hunchback who was an expert chess player sat inside and guided the puppet's hand by means of strings. One can imagine a philosophical counterpart to this device. The puppet called "historical materialism" is to win all the time. It can easily be a match for anyone if it enlists the services of theology, which today, as we know, is wizened and has to keep out of sight.
"One of the most remarkable characteristics of human nature," writes Lotze, "is, alongside so much selfishness in specific instances, the freedom from envy which the present displays toward the future." Reflection shows us that our image of happiness is thoroughly colored by the time to which the course of our own existence has assigned us. The kind of happiness that could arouse envy in us exists only in the air we have breathed, among people we could have talked to, women who could have given themselves to us. In other words, our image of happiness is indissolubly bound up with the image of redemption. The same applies to our view of the past, which is the concern of history. The past carries with it a temporal index by which it is referred to redemption. There is a secret agreement between past generations and the present one. Our coming was expected on earth. Like every generation that preceded us, we have been endowed with a weak Messianic power, a power to which the past has a claim. That claim cannot be settled cheaply. Historical materialists are aware of that.
III
A chronicler who recites events without distinguishing between major and minor ones acts in accordance with the following truth: nothing that has ever happened should be regarded as lost for history. To be sure, only a redeemed mankind receives the fullness of its past—which is to say, only for a redeemed mankind has its past become citable in all its moments. Each moment it has lived becomes a citation à l'ordre du jour—and that day is Judgment Day.
IV
Seek for food and clothing first, then
the Kingdom of God shall be added unto you.
—Hegel, 1807
The class struggle, which is always present to a historian influenced by Marx, is a fight for the crude and material things without which no refined and spiritual things could exist. Nevertheless, it is not in the form of the spoils which fall to the victor that the latter make their presence felt in the class struggle. They
Theses on the Philosophy of History
manifest themselves in this struggle as courage, humor, cunning, and fortitude. They have retroactive force and will constantly call in question every victory, past and present, of the rulers. As flowers turn toward the sun, by dint of a secret heliotropism the past strives to turn toward that sun which is rising in the sky of history. A historical materialist must be aware of this most inconspicuous of all transformations.
v
The true picture of the past flits by. The past can be seized only as an image which flashes up at the instant when it can be recognized and is never seen again. "The truth will not run away from us": in the historical outlook of historicism these words of Gottfried Keller mark the exact point where historical materialism cuts through historicism. For every image of the past that is not recognized by the present as one of its own concerns threatens to disappear irretrievably. (The good tidings which the historian of the past brings with throbbing heart may be lost in a void the very moment he opens his mouth.)
vi
To articulate the past historically does not mean to recognize it "the way it really was" (Ranke). It means to seize hold of a memory as it flashes up at a moment of danger. Historical materialism wishes to retain that image of the past which unexpectedly appears to man singled out by history at a moment of danger. The danger affects both the content of the tradition and its receivers. The same threat hangs over both: that of becoming a tool of the ruling classes. In every era the attempt must be made anew to wrest tradition away from a conformism that is about to overpower it. The Messiah comes not only as the redeemer, he comes as the subduer of Antichrist. Only that historian will have the gift of fanning the spark of hope in the past who is firmly convinced that even the dead will not be safe from the enemy if he wins. And this enemy has not ceased to be victorious.
To historians who wish to relive an era, Fustel de Coulanges recommends that they blot out everything they know about the later course of history. There is no better way of characterizing the method with which historical materialism has broken. It is a process of empathy whose origin is the indolence of the heart, acedia, which despairs of grasping and holding the genuine historical image as it flares up briefly. Among medieval theologians it was regarded as the root cause of sadness. Flaubert, who was familiar with it, wrote: "Peu de gens devineront combien il a fallu être triste pour ressusciter Carthage."* The nature of this sadness stands out more clearly if one asks with whom the adherents of historicism actually empathize. The answer is inevitable: with the victor. And all rulers are the heirs of those who conquered before them. Hence, empathy with the victor invariably benefits the rulers. Historical materialists know what that means. Whoever has emerged victorious participates to this day in the triumphal procession in which the present rulers step over those who are lying prostrate. According to traditional practice, the spoils are carried along in the procession. They are called cultural treasures, and a historical materialist views them with cautious detachment. For without exception the cultural treasures he surveys have an origin which he cannot contemplate without horror. They owe their existence not only to the efforts of the great minds and talents who have created them, but also to the anonymous toil of their contemporaries. There is no document of civilization which is not at the same time a document of barbarism. And just as such a document is not free of barbarism, barbarism taints also the manner in which it was transmitted from one owner to another. A historical materialist therefore dissoci-
* "Few will be able to guess how sad one had to be in order to resuscitate Carthage."
ates himself from it as far as possible. He regards it as his task to brush history against the grain.
VIII
The tradition of the oppressed teaches us that the "state of emergency" in which we live is not the exception but the rule. We must attain to a conception of history that is in keeping with this insight. Then we shall clearly realize that it is our task to bring about a real state of emergency, and this will improve our position in the struggle against Fascism. One reason why Fascism has a chance is that in the name of progress its opponents treat it as a historical norm. The current amazement that the things we are experiencing are "still" possible in the twentieth century is not philosophical. This amazement is not the beginning of knowledge—unless it is the knowledge that the view of history which gives rise to it is untenable.
IX
Mein Flügel ist zum Schwung bereit,
ich kehrte gern zurück,
denn blieb ich auch lebendige Zeit,
ich hätte wenig Glück.
—Gerhard Scholem, "Gruss vom Angelus"
A Klee painting named "Angelus Novus" shows an angel looking as though he is about to move away from something he is fixedly contemplating. His eyes are staring, his mouth is open, his wings are spread. This is how one pictures the angel of history. His face is turned toward the past. Where we perceive a chain of events, he sees one single catastrophe which keeps piling wreckage upon wreckage and hurls it in front of his feet. The angel would like to stay, awaken the dead, and make whole what has been smashed. But a storm is blowing from Paradise; it has
* My wing is ready for flight,
I would like to turn back.
If I stayed timeless time,
I would have little luck.
got caught in his wings with such violence that the angel can no longer close them. This storm irresistibly propels him into the future to which his back is turned, while the pile of debris before him grows skyward. This storm is what we call progress.
x
The themes which monastic discipline assigned to friars for meditation were designed to turn them away from the world and its affairs. The thoughts which we are developing here originate from similar considerations. At a moment when the politicians in whom the opponents of Fascism had placed their hopes are prostrate and confirm their defeat by betraying their own cause, these observations are intended to disentangle the political worldlings from the snares in which the traitors have entrapped them. Our consideration proceeds from the insight that the politicians' stubborn faith in progress, their confidence in their "mass basis," and, finally, their servile integration in an uncontrollable apparatus have been three aspects of the same thing. It seeks to convey an idea of the high price our accustomed thinking will have to pay for a conception of history that avoids any complicity with the thinking to which these politicians continue to adhere.
xi
The conformism which has been part and parcel of Social Democracy from the beginning attaches not only to its political tactics but to its economic views as well. It is one reason for its later breakdown. Nothing has corrupted the German working class so much as the notion that it was moving with the current. It regarded technological developments as the fall of the stream with which it thought it was moving. From there it was but a step to the illusion that the factory work which was supposed to tend toward technological progress constituted a political achievement. The old Protestant ethics of work was resurrected among
German workers in secularized form. The Gotha Program * already bears traces of this confusion, defining labor as "the source of all wealth and all culture." Smelling a rat, Marx countered that "... the man who possesses no other property than his labor power" must of necessity become "the slave of other men who have made themselves the owners. . . ." However, the confusion spread, and soon thereafter Josef Dietzgen proclaimed: "The savior of modern times is called work. The... improvement... of labor constitutes the wealth which is now able to accomplish what no redeemer has ever been able to do." This vulgar-Marxist conception of the nature of labor bypasses the question of how its products might benefit the workers while still not being at their disposal. It recognizes only the progress in the mastery of nature, not the retrogression of society; it already displays the technocratic features later encountered in Fascism. Among these is a conception of nature which differs ominously from the one in the Socialist utopias before the 1848 revolution. The new conception of labor amounts to the exploitation of nature, which with naïve complacency is contrasted with the exploitation of the proletariat. Compared with this positivistic conception, Fourier's fantasies, which have so often been ridiculed, prove to be surprisingly sound. According to Fourier, as a result of efficient cooperative labor, four moons would illuminate the earthly night, the ice would recede from the poles, sea water would no longer taste salty, and beasts of prey would do man's bidding. All this illustrates a kind of labor which, far from exploiting nature, is capable of delivering her of the creations which lie dormant in her womb as potentials. Nature, which, as Dietzgen puts it, "exists gratis," is a complement to the corrupted conception of labor.
* The Gotha Congress of 1875 united the two German Socialist parties, one led by Ferdinand Lassalle, the other by Karl Marx and Wilhelm Liebknecht. The program, drafted by Liebknecht and Lassalle, was severely attacked by Marx in London. See his "Critique of the Gotha Program."
We need history, but not the way a spoiled loafer in the garden of knowledge needs it.
—Nietzsche, OF THE USE AND ABUSE OF HISTORY
Not man or men but the struggling, oppressed class itself is the depository of historical knowledge. In Marx it appears as the last enslaved class, as the avenger that completes the task of liberation in the name of generations of the downtrodden. This conviction, which had a brief resurgence in the Spartacist group,* has always been objectionable to Social Democrats. Within three decades they managed virtually to erase the name of Blanqui, though it had been the rallying sound that had reverberated through the preceding century. Social Democracy thought fit to assign to the working class the role of the redeemer of future generations, in this way cutting the sinews of its greatest strength. This training made the working class forget both its hatred and its spirit of sacrifice, for both are nourished by the image of enslaved ancestors rather than that of liberated grandchildren.
Every day our cause becomes clearer and people get smarter.
—Wilhelm Dietzgen, DIE RELIGION DER SOZIALDEMOKRATIE
Social Democratic theory, and even more its practice, have been formed by a conception of progress which did not adhere to reality but made dogmatic claims. Progress as pictured in the minds of Social Democrats was, first of all, the progress of mankind itself (and not just advances in men’s ability and knowledge). Secondly, it was something boundless, in keeping with the infinite perfectibility of mankind. Thirdly, progress was regarded as irresistible, something that automatically pursued a straight or spiral course. Each of these predicates is controversial and open.
* Leftist group, founded by Karl Liebknecht and Rosa Luxemburg at the beginning of World War I in opposition to the pro-war policies of the German Socialist party, later absorbed by the Communist party.
to criticism. However, when the chips are down, criticism must penetrate beyond these predicates and focus on something that they have in common. The concept of the historical progress of mankind cannot be sundered from the concept of its progression through a homogeneous, empty time. A critique of the concept of such a progression must be the basis of any criticism of the concept of progress itself.
**Origin is the goal.**
—Karl Kraus, *Worte in Versen*, Vol. I
History is the subject of a structure whose site is not homogeneous, empty time, but time filled by the presence of the now [Jetztzeit].* Thus, to Robespierre ancient Rome was a past charged with the time of the now which he blasted out of the continuum of history. The French Revolution viewed itself as Rome reincarnate. It evoked ancient Rome the way fashion evokes costumes of the past. Fashion has a flair for the topical, no matter where it stirs in the thickets of long ago; it is a tiger’s leap into the past. This jump, however, takes place in an arena where the ruling class gives the commands. The same leap in the open air of history is the dialectical one, which is how Marx understood the revolution.
The awareness that they are about to make the continuum of history explode is characteristic of the revolutionary classes at the moment of their action. The great revolution introduced a new calendar. The initial day of a calendar serves as a historical time-lapse camera. And, basically, it is the same day that keeps recurring in the guise of holidays, which are days of remembrance. Thus the calendars do not measure time as clocks do; they are
* Benjamin says “Jeztzeit” and indicates by the quotation marks that he does not simply mean an equivalent to *Gegenwart*, that is, present. He clearly is thinking of the mystical *nunc stans*.
monuments of a historical consciousness of which not the slightest trace has been apparent in Europe in the past hundred years. In the July revolution an incident occurred which showed this consciousness still alive. On the first evening of fighting it turned out that the clocks in towers were being fired on simultaneously and independently from several places in Paris. An eye-witness, who may have owed his insight to the rhyme, wrote as follows:
Qui le croirait! on dit, qu’irrités contre l’heure
De nouveaux Josués au pied de chaque tour,
Tiraient sur les cadrans pour arrêter le jour.*
xvi
A historical materialist cannot do without the notion of a present which is not a transition, but in which time stands still and has come to a stop. For this notion defines the present in which he himself is writing history. Historicism gives the “eternal” image of the past; historical materialism supplies a unique experience with the past. The historical materialist leaves it to others to be drained by the whore called “Once upon a time” in historicism’s bordello. He remains in control of his powers, man enough to blast open the continuum of history.
xvii
Historicism rightly culminates in universal history. Materialistic historiography differs from it as to method more clearly than from any other kind. Universal history has no theoretical armature. Its method is additive; it musters a mass of data to fill the homogeneous, empty time. Materialistic historiography, on the other hand, is based on a constructive principle. Thinking involves not only the flow of thoughts, but their arrest as well. Where thinking suddenly stops in a configuration pregnant with tensions, it gives that configuration a shock, by which it crystal-
*Who would have believed it! we are told that new Joshuas at the foot of every tower, as though irritated with time itself, fired at the dials in order to stop the day.
lizes into a monad. A historical materialist approaches a historical subject only where he encounters it as a monad. In this structure he recognizes the sign of a Messianic cessation of happening, or, put differently, a revolutionary chance in the fight for the oppressed past. He takes cognizance of it in order to blast a specific era out of the homogeneous course of history—blasting a specific life out of the era or a specific work out of the lifework. As a result of this method the lifework is preserved in this work and at the same time canceled *; in the lifework, the era; and in the era, the entire course of history. The nourishing fruit of the historically understood contains time as a precious but tasteless seed.
xviii
"In relation to the history of organic life on earth," writes a modern biologist, "the paltry fifty millennia of homo sapiens constitute something like two seconds at the close of a twenty-four-hour day. On this scale, the history of civilized mankind would fill one-fifth of the last second of the last hour." The present, which, as a model of Messianic time, comprises the entire history of mankind in an enormous abridgment, coincides exactly with the stature which the history of mankind has in the universe.
A
Historicism contents itself with establishing a causal connection between various moments in history. But no fact that is a cause is for that very reason historical. It became historical posthumously, as it were, through events that may be separated from it by thousands of years. A historian who takes this as his point of departure stops telling the sequence of events like the beads of a rosary. Instead, he grasps the constellation which his own era has formed with a definite earlier one. Thus he establishes a conception of the present as the "time of the now" which is shot through with chips of Messianic time.
* The Hegelian term aufheben in its threefold meaning: to preserve, to elevate, to cancel.
The soothsayers who found out from time what it had in store certainly did not experience time as either homogeneous or empty. Anyone who keeps this in mind will perhaps get an idea of how past times were experienced in remembrance—namely, in just the same way. We know that the Jews were prohibited from investigating the future. The Torah and the prayers instruct them in remembrance, however. This stripped the future of its magic, to which all those succumb who turn to the soothsayers for enlightenment. This does not imply, however, that for the Jews the future turned into homogeneous, empty time. For every second of time was the strait gate through which the Messiah might enter.
Editor's Note
Benjamin's work consists of two books on German literature—his dissertation on "The Concept of Art Criticism in German Romanticism" (Der Begriff der Kunstkritik in der deutschen Romantik, Bern, 1920) and "The Origin of German Tragedy" (Der Ursprung des deutschen Trauerspiels, Berlin, 1928)—of two books of general reflections in the form of short essays or aphorisms—"One-Way Street" (Einbahnstrasse, Berlin, 1928) and "A Berlin Childhood around 1900" (Berliner Kindheit um Neunzehnhundert, written during the late thirties and published posthumously, Frankfurt, 1950)—and of a great number of literary and critical essays, book reviews, and commentaries.
The chief purpose of this collection is to convey the importance of Benjamin as a literary critic. It contains the full-length essays with two very regrettable exceptions—the study of "Goethe's Elective Affinities" (published in Hugo von Hofmannsthal's Neue Deutsche Beiträge in two instalments, 1924 and 1925) and the article on "Karl Kraus" (in the Frankfurter Zeitung, 1931). Since Karl Kraus is still practically unknown in English-speaking countries and since the Goethe essay consists to a large extent of a polemic against Friedrich Gundolf's Goethe, equally unknown, these two essays would have needed so many explanatory notes that the thrust of the text itself would have been ruined.
The translation of the text follows the two-volume German edition of Benjamin's writings which, under the title Schriften, was edited and introduced by Theodor W. Adorno and published by the Suhrkamp Verlag in 1955. The title of the present collection, but not its content, is identical with the title of a selection from the Schriften, published by Suhrkamp in 1961; Benjamin himself had approved this title for an earlier selection of some of his works. The German text is chiefly drawn from the published texts in various magazines and newspapers. Professor Adorno points out in his Introduction that it is not definitive: in the few instances where the original manuscripts could be consulted, it turned out that Benjamin's handwriting was difficult to read, and as for the typescripts and printed newspaper or magazine copies, they "unquestionably contain numerous errors." In the only case in which I was able to compare the original manuscript
with the printed text, "Theses on the Philosophy of History," which Benjamin gave me shortly before his death, I found many important variants.
As I mentioned in the Introduction (Note 7), manuscripts, typescripts, and reprints of Benjamin's work are scattered. Most manuscripts are in the possession of Professor Theodor W. Adorno in Frankfurt; a number of letters and manuscripts are in the East German Zentralarchiv in Potsdam. Professor Gershom Scholem in Jerusalem possesses a collection of reprints and carbon copies of typescripts.
The two-volume *Schriften* does not contain the collected works. Large portions of what Benjamin considered his main oeuvre, "Paris, the Capital of the Nineteenth Century," seem to have been finished in manuscript, and a number of his essays and reviews, published during his lifetime, have not been reprinted. Two volumes of letters, edited by T. W. Adorno and G. Scholem, were published in 1966; a collection of essays on Brecht, which includes several previously unpublished articles and notes on "Conversations with Brecht," also appeared in 1966 under the editorship of Rolf Tiedemann. Finally, a collection of German letters, written between 1783 and 1833, with commentaries and first published under the pseudonym Detlev Holz with the title *Deutsche Menschen* in Switzerland in 1936, has been reissued in Germany.
The original sources of the essays published in this collection are as follows:
"Unpacking My Library": *Literarische Welt*, 1931.
"The Task of the Translator": his introduction to his translation of Baudelaire's *Tableaux parisiens*, Heidelberg, 1923.
"The Storyteller": *Orient und Okzident*, 1936.
"Franz Kafka": *Jüdische Rundschau*, 1934.
"Some Reflections on Kafka": the text is based upon a letter to Scholem, dated Paris, June 12, 1938; now published in *Briefe*, II, 756-64.
"What Is Epic Theater?": *Mass und Wert*, 1939.
"On Some Motifs in Baudelaire": *Zeitschrift für Sozialforschung*, VIII, 1-2, 1939.
"The Image of Proust": *Literarische Welt*, 1929.
Editor's Note
"The Work of Art in the Age of Mechanical Reproduction": Zeitschrift für Sozialforschung, V, 1, 1936.
"Theses on the Philosophy of History": completed in spring 1940, first published in Neue Rundschau, 61, 3, 1950.
Index of Names
Adorno, Theodor Wiesengrund, 1903–, German professor of philosophy and sociology, 2, 10–13, 15, 17, 52, 53, 265 f.
Anselm of Canterbury, St., 1033–1109, Scholastic philosopher, 128
Arnheim, Rudolf, 1904–, German-born American educator, psychologist, and art historian, 230, 236 n., 246
Arnobius, ca. A.D. 300, early Christian apologist, 131
Arnoux, Alexandre, 1884–, French novelist, essayist, playwright, 227
Arp, Hans, 1887–1966, Alsatian sculptor, painter, poet, 238
Atget, Eugène, 1856–1927, French photographer, 226
Aurevilly, Jules Barbey d’, 1808–1889, French man of letters, 184
Bachofen, Johann Jakob, 1815–1887, Swiss philosopher and archaeologist, famous author of *Mutterrecht und Urreligion*, 62, 130 f.
Balzac, Honoré de, 1799–1850, 64, 208
Barbier, Henri Auguste, 1805–1882, French poet and satirist, 168, 171, 195
Barrès, Maurice, 1862–1923, French writer and publicist, 209
Baudelaire, Charles, 1821–1867, 4, 11, 52, 54, 155–200, 212
Beethoven, Ludwig van, 1770–1827, 222
Benoist-Méchin, Jacques, 1901–, French historian, diplomat, and man of letters, 211
Index of Names
Bergson, Henri, 1859–1941, French philosopher, 157 f., 160, 178, 180, 185, 199
Bertram, Ernst, 1884–, German philologist, literary historian, and essayist, member of the George circle, 9
Bibesco, Princess Marthe, 1887–, novelist and playwright, Proust’s friend, 208
Blanqui, Louis Auguste, 1805–1881, French revolutionary socialist and publicist, 260
Bloch, Ernst, 1885–, German philosopher and writer, 53
Borchardt, Rudolf, 1877–1945, German poet and essayist, 9, 34 f., 81
Börne, Ludwig, 1786–1837, German publicist and satirist, 178
Bos, Charles du, 1882–1939, French literary critic, essayist, translator, 20
Brecht, Bertolt, 1898–1956, German playwright and poet, 2, 10, 14 f., 45, 52 ff., 147–154, 246, 266
Breton, André, 1896–1966, French surrealist writer, 249
Brod, Max, 1884–1968, Prague-born German novelist, 53, 116, 121, 126
Calderón de la Barca, Pedro, 1600–1681, Spain’s greatest dramatic author, 149
Chaplin, Charles, 1889–, 250
Cicero, Marcus Tullius, 106–43 B.C., Roman orator, statesman, and philosopher, 2
Claudel, Paul, 1868–1955, French poet, dramatist, and diplomat, 163
Clermont-Tonnerre, Élisabeth (de Gramont), 1875–, French author, biographer of Proust, 205 ff., 209
Cocteau, Jean, 1889–1963, French poet and man of letters, 203
Daguerre, Louis, 1789–1851, French painter and inventor of the daguerreotype, 186
Daudet, Léon, 1867–1942, French journalist and writer, 206
Delvau, Alfred, 1825–1867, French writer, author of studies of Paris and a dictionary of French slang, 167
Derain, André, 1880–1954, French Postimpressionist painter, 238
Desbordes-Valmore, Marceline, 1785–1859, French poet, 182
Dietzgen, Josef, 19th-century socialist, 259
Dietzgen, Wilhelm, 19th-century socialist, 260
Index of Names
Dilthey, Wilhelm, 1833–1911, German philosopher and historian of ideas, 156
Dostoevsky, Fedor Mikhailovich, 1821–1881, 92, 106, 124
Dreyer, Carl Th., 1889–1968, Danish film director, 246
Duhamel, Georges, 1884–, French novelist, critic, playwright, 238 f.
Dujardin, Édouard, 1861–1949, French symbolist poet, essayist, literary critic, 168
Durtain, Luc, 1881–1959, French poet, essayist, novelist, 248 f.
Eddington, Arthur Stanley, 1882–1944, English astronomer and physicist, 142
Edison, Thomas, 1847–1931, 250
Engels, Friedrich, 1820–1895, German socialist and social historian, 166 f., 171
Ensor, James, 1860–1949, Belgian painter and etcher, 174
Fernandez Ardavin, Louis, 1891–, Spanish poet, dramatist, translator of French literature, 210, 212
Flaubert, Gustave, 1821–1880, French novelist, 208, 256
Fourier, François, 1772–1837, French sociologist and philosopher, 181, 259
France, Anatole, 1844–1924, French poet, novelist, satirist, 42, 60, 62, 198, 205
Freud, Sigmund, 1856–1939, 160–163, 235
Fustel de Coulanges, Numa Denis, 1830–1889, French historian, 256
Galileo, 1564–1642, 148
Gance, Abel, 1889–, French actor, film director, and author, 221 f., 227
Gautier, Théophile, 1811–1872, French art and drama critic, 163
George, Stefan, 1868–1933, German poet, translator of Baudelaire, Shakespeare, Dante, and contemporary poets, 9 f., 76, 80, 196
Gerstäcker, Friedrich, 1816–1872, German author of adventure stories, 85
Gide, André, 1869–1951, 20, 164
Glassbrenner, Adolf, 1810–1876, German satirist, 197
Goethe, Johann Wolfgang von, 1749–1832, 3, 7 ff., 12, 14, 17, 46 f., 80, 123, 149, 179, 187 n., 189 n., 199
Index of Names
Gogol, Nikolai, 1809–1852, Russian author of realistic stories and plays, 197
Goldstein, Moritz, 1880–, German-Jewish writer and journalist, 30 f., 34
Goncourt, Edmond (1822–1896) and Jules (1830–1870), French novelists and cultural historians, brothers, 208
Gorky, Maxim, 1868–1936, Russian writer of short stories, novels, plays, biographies, 101
Gotthelf, Jeremias, 1797–1854, Swiss prose writer, 85 f., 103
Gozlan, Léon, 1806–1866, French playwright, 167
Grabbe, Christian Dietrich, 1801–1836, German dramatist, 149
Graves, Robert Ranke, 1895–, English poet and novelist, 152
Greco, El, 1548?–1614, 121
Grimm, Albert Ludwig, 19th-century German editor of legends and fairy tales, 63
Grimme, Hubert, 1864–1942, German orientalist and art historian, 245
Groethuysen, Bernhard, 1879–1946, sociologist and cultural historian, 127
Gryphius, Andreas, 1616–1664, German baroque poet and playwright, 149
Gundolf, Friedrich, 1880–1931, German literary historian, member of the George circle, 9
Guys, Constantin, 1802–1892, Dutch-born painter and illustrator of the French scene, 52, 163, 191
Haas, Willy, 1891–, German drama and literary critic, editor of Literarische Welt, 127 f., 131
Hamann, Johann Georg, 1730–1788, German writer and theologian, 37, 54
Hamsun, Knut, 1859–1952, Norwegian writer, 127
Hauff, Wilhelm, 1802–1827, German poet and story writer, 109
Haussmann, Baron Georges Eugène, 1809–1891, French prefect and town planner, 19
Hebel, Johann Peter, 1760–1826, Swiss-born German poet, editor and author of almanac stories, 85 f., 94 f., 101, 106
Hegel, Georg Wilhelm Friedrich, 1770–1831, German philosopher, 67, 167, 244 f.
Heidegger, Martin, 1887–, German philosopher, 35, 41, 46, 55
Heimann, Moritz, 1868–1925, German editor and writer, 100
Index of Names
Heine, Heinrich, 1797–1856, German lyric poet and literary critic, 23, 156, 174
Herodotus, 5th century B.C., Greek historian, 89
Hessel, Franz, German translator and editor, 4
Hirsch, Emil, antiquarian book dealer and collector, 64 f.
Hoffmann, E. T. A., 1776–1822, German music critic, composer, and writer of fantastic tales, 173, 197
Hofmannsthal, Hugo von, 1874–1929, Austrian poet, playwright, and essayist, 2 f., 7 f., 9, 16, 22, 46, 265
Hölderlin, Friedrich, 1770–1843, German poet, translator of Pindar, Sophocles, and Latin poets, 76, 78, 80 f.
Holz, Detlev, pseudonym of Benjamin, 266
Homer, ancient Greek poet, 14, 242
Horkheimer, Max, 1895–, professor of philosophy and sociology, 10
Houssaye, Arsène, 1815–1896, French novelist, literary critic, journalist, 165
Hugo, Victor, 1802–1885, French poet and novelist, 156, 161, 166, 168
Humboldt, Baron Wilhelm von, 1767–1835, German philologist and diplomat, 37, 54
Huxley, Aldous, 1894–1963, English novelist and essayist, 247 f.
Ivens, Joris, 1898–, Dutch film director, 231
Joubert, Joseph, 1754–1824, French moralist, 179
Jung, C. G., 1875–1961, Swiss psychiatrist, 156
Kafka, Franz, 1883–1924, 2 f., 17, 19, 26, 29–34, 36, 39 f., 45, 49, 53 ff., 111–143
Kant, Immanuel, 1724–1804, 4, 42, 198
Keller, Gottfried, 1819–1890, Swiss lyric and epic poet and prose writer, 255
Kierkegaard, Søren, 1813–1855, Danish philosopher and writer on theology, 128
Kipling, Rudyard, 1865–1936, 101
Klages, Ludwig, 1872–1956, German philosopher, graphologist, and cultural historian, 156
Klee, Paul, 1879–1940, Swiss painter, 13, 143, 257
Index of Names
Kraft, Werner, 1896–, German-Jewish poet, essayist, literary historian, and biographer, 20, 120, 139
Kraus, Karl, 1874–1936, Austrian journalist, poet, and critic, 19, 32 ff., 37 f., 159, 200, 261, 265
Lamartine, Alphonse de, 1770–1869, French poet and statesman, 156, 162
Lao-tse, ca. 604–531 B.C., Chinese philosopher, 126
La Rochefoucauld, Duc François de, 1613–1680, French moralist, 28
Lassalle, Ferdinand, 1825–1864, German socialist and publicist, 259 n.
Lawrence, T. E., 1888–1935, English archaeologist and writer, 152
Léger, Alexis Saint-Léger, see St.-John Perse
Lenz, Jakob Michael Reinhold, 1751–1792, German lyric poet and dramatist, 149
Leonardo da Vinci, 1452–1519, 249
Leskov, Nikolai, 1831–1895, Russian novelist, 42, 83–109
Lessing, Gotthold Ephraim, 1729–1781, German dramatist and critic, 23
Lichtenberg, Georg Christoph, 1742–1799, German physicist and satirist, 23
Liebknecht, Karl, 1871–1919, German socialist leader, co-founder of the German Spartacus, 260 n.
Liebknecht, Wilhelm, 1826–1900, German socialist, journalist, and politician, 259 n.
Lindbergh, Charles Augustus, 1902–, 152
Lotze, Hermann, 1817–1881, German philosopher, 253
Lukács, Georg, 1885–, Hungarian Marxist literary historian, 99, 113
Lurine, Louis, 1816–1860, French writer, editor of Les Rues de Paris (1844), 167
Luther, Martin, 1483–1546, 76, 80
Luxemburg, Rosa, 1870–1919, German socialist associated with Karl Liebknecht, 260 n.
Lyser, Johann Peter, 1803–1870, German poet, painter, illustrator, and musician, 63
Malebranche, Nicolas de, 1638–1715, French metaphysician, 134
Mallarmé, Stéphane, 1842–1898, French symbolist poet, 50, 55, 77, 224
Mann, Klaus, 1906–1949, German playwright, journalist, and essayist, 10
Index of Names
Marinetti, Emilio, 1876–1944, Italian poet and writer, founder of Futurism, 241 f.
Marx, Karl, 1818–1883, 11, 166, 175, 196, 217, 254, 259 n.
Merck, Johann Heinrich, 1741–1791, German literary critic, writer, 243
Metchnikoff, Lev Ilyich, 1838–1888, Russian historian and anthropologist, author of *La Civilisation et les grands fleuves historiques* (1889), 123
Michelet, Jules, 1798–1874, French historian, 208
Missac, Pierre, French essayist, collaborator of *Critique*, 20, 53 f.
Molière (Jean Baptiste Poquelin), 1622–1673, French playwright, 154
Monet, Claude, 1840–1926, French Impressionist painter, 197
Montaigne, Michel de, 1533–1592, French essayist and moralist, 28, 90
Montesquieu, Baron de La Brède et de, 1689–1755, French moralist, 28
Montesquiou-Fezensac, Robert de, 1855–1921, French poet and essayist, model for Count Charlus in Proust’s *Remembrance of Things Past*, 206
Morgenstern, Soma, 1896–, German-Jewish journalist and novelist, 125
Musset, Alfred de, 1810–1857, French poet and playwright, 162
Nadar (Félix Tournachon), 1820–1910, French writer and caricaturist, 163
Napoleon Bonaparte, 1769–1821, 123
Nargeot, Clara, née Thénon, 1829–?, French portrait painter, 163
Neher, Carola, 1900–1936, German actress, 151
Nietzsche, Friedrich, 1844–1900, 23, 260
Nodier, Charles, 1780–1844, French Romantic man of letters, 86
Novalis (Baron Friedrich von Hardenberg), 1772–1801, German lyric poet of the early Romantic period, 188
Origen, A.D. 185?–? 254, Greek Father of the Church, 103
Ortega y Gasset, José, 1883–1955, Spanish essayist and philosopher, 208
Pannwitz, Rudolf, 1881–, German philosopher, 80
Pascal, Blaise, 1623–1662, French mathematician and philosopher, 28, 98, 128
Index of Names
Paul, Jean (Jean Paul Friedrich Richter), 1763–1825, German poet and prose writer, 43, 61
Péguy, Charles, 1873–1914, French poet and publicist, 212
Pierre-Quint, Léon, 1895–, French literary critic, Proust scholar, 206, 229
Pirandello, Luigi, 1867–1936, Italian novelist and dramatist, 125, 229, 231
Plato, 427?–347 B.C., 149, 211
Plutarch, A.D. 46?–?120, Greek biographer, 138
Poe, Edgar Allan, 1809–1849, 101, 109, 162, 170–176, 178, 196 f., 199
Pontmartin, Henri Comte de, 1844–1916, French man of letters, 163
Proust, Marcel, 1871–1922, 7, 16 f., 19, 157–160, 169 f., 180–183, 187 f., 199–215
Pudovkin, Vsevolod, 1893–1953, Soviet Russian film director (Storm Over Asia), 247
Ranke, Leopold von, 1795–1886, German historian, 255
Raphael, 1483–1520, 245 f.
Rathenau, Walther, 1867–1922, German-Jewish industrialist, economist, and politician, 33 ff.
Régnier, Henri de, 1864–1936, French poet, novelist, critic, 208
Reik, Theodor, 1888–, Austrian-born American psychologist and author, 160
Reinhardt, Max, 1873–1943, Austrian theatrical producer, 228
Rembrandt, 1606–1669, 222, 243
Renan, Joseph Ernest, 1823–1892, French historian and philologist, 208
Riegl, Alois, 1858–1905, Austrian art historian, 222
Riemann, Georg Friedrich Bernhard, 1826–1866, German mathematician, 150
Rilke, Rainer Maria, 1875–1926, German poet and prose writer, 238
Rimbaud, Arthur, 1854–1891, French symbolist poet, 156
Ritter, Johann Wilhelm, German 19th-century publisher, 65
Rivière, Jacques, 1886–1925, French novelist, journalist, and literary critic, 7, 164, 213
Robespierre, Maximilien, 1758–1794, French revolutionist, 261
Romains, Jules, 1885–, French poet, novelist, playwright, 195
Rosenthal, Jacques, antiquarian book dealer, 67
Rosenzweig, Franz, 1886–1929, Jewish philosopher and theologian, 120, 132
Index of Names
Roswitha of Gandersheim, 10th-century German nun, poet, chronicler, and author of Latin plays, 149
Rougemont, Denis de, 1906–, Swiss essayist and writer, 128
Rychner, Max, 1897–1965, Swiss journalist, essayist, literary historian, 21 ff., 53
Sainte-Beuve, Charles-August, 1804–1869, French literary critic, 208
St.-John Perse (Alexis Saint-Léger Léger), 1887–, French poet, Nobel Prize laureate 1960, 4, 16
Saint-Simon, Duc de, 1675–1755, author of the famed Memoirs, 107, 208
Schlegel, Friedrich von, 1772–1829, German poet, critic, literary historian, and translator of Shakespeare’s plays, 23, 76
Schoeps, Hans Joachim, 1909–, German professor of religious history, 127
Scholem, Gerhard (Gershom), 1897–, professor of Jewish mysticism in Jerusalem, 2, 4, 9, 11, 15, 17, 19, 27, 35, 37, 52, 53, 266
Sealsfield, Charles, 1793–1864, Austrian-born, later naturalized American author of adventure stories, 85
Seneca, Lucius Annaeus, 4 B.C.?–A.D. 65, Roman statesman and philosopher, 3
Senefelder, Aloys, 1771–1834, inventor of lithography, 177
Séverin-Mars (Armand Jean de Malasayade), 1873–1921, French actor, author, director of films, 227
Shakespeare, William, 1564–1616, 221 f.
Simmel, Georg, 1858–1918, German philosopher and sociologist, 191
Simolin, Baron, book collector, 65
Sophocles, 496?–406 B.C., 78, 81
Spinoza, Baruch, 1632–1677, 61, 211
Spitzweg, Carl, 1808–1885, German genre painter, 68
Steiner, Rudolf, 1861–1925, Austrian, founder of anthroposophy, 124
Stevenson, Robert Louis, 1850–1894, 109
Stramm, August, 1874–1915, German Expressionist poet and playwright, 238
Strindberg, August, 1849–1912, Swedish novelist and playwright, 149
Sue, Eugène, 1804–1857, French author of popular novels, 166
Taylor, Frederick Winslow, 1856–1915, American efficiency engineer, 197
Index of Names
Thibaudet, Albert, 1874–1936, French literary critic, 169
Tieck, Ludwig, 1773–1853, German poet and prose writer of the early Romantic period, 132, 153
Tocqueville, Alexis de, 1805–1859, author of Democracy in America, 39
Tolstoy, Leo, 1828–1910, 92
Unold, Max, 1885–, German painter, illustrator, graphic artist, writer, 204
Valéry, Paul, 1871–1945, French poet, critic, and essayist, 92 f., 107 f., 161 f., 174, 186, 188, 199; 217, 219, 249
Vallès, Jules, 1832–1885, French journalist and novelist, 163
Varnhagen von Ense, Karl August, 1785–1858, German diplomat, author of biographies and memoirs, 174
Verlaine, Paul, 1844–1896, French symbolist poet, 156
Vertoff, Dziga, early Russian film director, 231
Villemessant, Jean Hippolyte Auguste Cartier de, 1812–1879, 88
Voss, Johann Heinrich, 1751–1826, German poet, classical philologist, and translator of Homer, Virgil, Horace, etc., 76, 80
Walser, Robert, 1878–1965, Swiss prose writer, 116
Werfel, Franz, 1890–1945, Austrian poet and novelist, 228
Wickhoff, Franz, 1853–1909, Austrian art historian, 222
Wittgenstein, Ludwig, 1889–1951, philosopher, 49
Zola, Émile, 1840–1902, 205
Walter Benjamin was one of the most original cultural critics of the twentieth century. *Illuminations* includes his views on Kafka, with whom he felt a close personal affinity; his studies on Baudelaire and Proust; and his essays on Leskov and on Brecht’s Epic Theater. Also included are his penetrating study “The Work of Art in the Age of Mechanical Reproduction,” an enlightening discussion of translation as a literary mode, and Benjamin’s theses on the philosophy of history.
Hannah Arendt selected the essays for this volume and introduces them with a classic essay about Benjamin’s life in dark times. Also included is a new preface by Leon Wieseltier that explores Benjamin’s continued relevance for our times.
WALTER BENJAMIN is recognized as one of the most acute analysts of literary and sociological phenomena of the nineteenth and twentieth centuries. He died in 1940.
*Reflections*, the companion volume to *Illuminations*, is also available in Schocken paperback.
Schocken Books, New York
www.schocken.com
9/2007
Printed in the U.S.A. © 2007 Random House, Inc.
LITERARY ESSAYS, PHILOSOPHY
ISBN 978-0-8052-0241-0 5 15 0 0
Cover design by Peter Mendelsund |
APPROVE A NEGOTIATED SUBSURFACE GEOTHERMAL RESOURCE LEASE,
THE GEYSERS STEAM FIELD,
SONOMA COUNTY
APPLICANT:
Calpine Corporation
Attn: Kevin Rupp,
Corporate-Land & Property Tax
50 W. San Fernando, 5th Floor
San Jose, California 95113
AREA, TYPE LAND AND LOCATION:
Approximately 224 acres of State reserved mineral interest land in the northwest portion of The Geysers Geothermal Steam Field, in Sonoma County (see Exhibits "A" and "B" for land description and location map).
LAND USE:
The State has reserved mineral rights in excess of 15,000 acres at The Geysers, with 6,016 acres currently under lease. The reserved mineral interest lands (and in certain cases fee parcels) are a portion of the "school lands" which the State received as a grant from the federal government in 1853 to support public schools. Revenue received from the use of school lands is for the benefit of the State Teacher's Retirement System (STRS). Further leasing must occur if idle State parcels are to be brought into production and thereby eliminate the potential of drainage from wells on adjacent lands.
LEASE TERMS:
1. Primary term of ten years and for so long thereafter as geothermal resources are produced in paying quantities from the leased land, or so long as the Lessee is diligently conducting, producing, drilling, deepening, repairing, redrilling or other necessary lease or well maintenance operations in the leased land.
2. Initial drilling term of three years, subject to extension of one additional year upon approval by the State.
3. Rent of $10 per acre per year, payable in advance.
4. Royalty of twelve and one half percent (12.5%) of the value of steam produced from the leased land. The value of steam is the higher of (a) gross revenue received pursuant to an approved steam sales contract or (b) the ratio of the lease steam delivered to the Aidlin power plant to the total steam delivered to the plant times thirty percent (30%) of the gross revenue received pursuant to the Power Purchase Contract between Mission Energy Company and PG&E.
5. Performance bond or other security in the amount of $50,000.
6. The form of lease will provide for "Subsurface Only - No Surface Use".
BACKGROUND:
On December 17, 1992, the State Lands Commission (Commission) authorized the leasing of those lands within The Geysers area not currently under lease. On June 15, 1993, certain lands were offered for lease by competitive public bid. No bids were received.
Calpine Corporation (Calpine) has submitted an application for a negotiated subsurface geothermal resources lease on approximately 224 acres of reserved mineral interest land not currently leased. These lands are within the area previously authorized for lease by the Commission. All drilling and production operations would be conducted on privately-owned or leased lands by Calpine as operations would not be permitted on the surface of the State leased lands.
STATUTORY AND OTHER REFERENCES:
A. P.R.C.: Div. 6, Parts 1 and 2; Div. 13.
B. Cal. Code Regs.: Title 3, Div. 3; Title 14, Div. 6.
AB 884:
N/A
OTHER PERTINENT INFORMATION:
1. Pursuant to the Commission's delegation of authority and the State CEQA Guidelines (14 Cal. Code Regs. 15025), the staff has prepared an EIR identified as EIR No. 498, State Clearinghouse No. 90030208. Such EIR was prepared and circulated for public review pursuant to the provisions of CEQA and certified by the Commission on June 30, 1992.
The leasing action in and of itself will not result in any direct impact on the environment. Subsequent geothermal development will have an impact on the environment, and the EIR was an analysis of the potential impacts of the development. Because no specific development has been proposed, the impact analysis represents reasonable worst-case estimates of probable effects without being specific to a project site. Future site-specific projects will be subject to environmental impact analyses and reports. The Commission may not be the Lead Agency for the subsequent exploration and development projects.
2. A Mitigation Monitoring Plan has been prepared for the mitigation of impacts likely to occur subsequent to leasing. Although there will likely be modifications to the mitigation measures and required monitoring as a result of future site-specific environmental studies, the plan does provide an overview of the anticipated measures which will be implemented. Because future activities may be permitted by other state and local agencies, certain monitoring requirements may be delegated to those agencies. However, the Commission will be responsible for assuring full compliance with the plan.
3. Findings made in conformance with Section 15091 of the State CEQA Guidelines are contained in Exhibit "C" attached hereto.
4. A Statement of Overriding Considerations made in conformance with Section 15093 of the State CEQA Guidelines is contained in Exhibit "E" attached hereto.
EXHIBITS:
A. Land Description
B. Location Map
C. CEQA Findings
D. Mitigation Monitoring Plan
E. Statement of Overriding Considerations
IT IS RECOMMENDED THAT THE COMMISSION:
1. DETERMINE THAT A FINAL EIR SCH. NO. 90030208, FOR THE PROPOSED GEOTHERMAL RESOURCES LEASE OF CERTAIN STATE LAND WITHIN THE GEYSERS STEAM FIELD IN SONOMA COUNTY WAS PREPARED AND CERTIFIED BY THE COMMISSION ON JUNE 30, 1992.
2. ADOPT THE FINDINGS, MADE IN CONFORMANCE WITH SECTION 15091 OF THE STATE CEQA GUIDELINES, AS CONTAINED IN EXHIBIT "C", ATTACHED HERETO.
3. ADOPT THE MITIGATION MONITORING PLAN, AS CONTAINED IN EXHIBIT "D", ATTACHED HERETO.
4. ADOPT THE STATEMENT OF OVERRIDING CONSIDERATIONS MADE IN CONFORMATION WITH SECTION 15093 OF THE STATE CEQA GUIDELINES, AS CONTAINED IN EXHIBIT "E", ATTACHED HERETO.
5. DETERMINE THAT A NEGOTIATED GEOTHERMAL RESOURCES LEASE IS IN THE BEST INTEREST OF THE STATE AND AUTHORIZE ISSUANCE TO CALPINE CORPORATION, A GEOTHERMAL RESOURCES LEASE, COVERING THOSE LANDS DESCRIBED IN EXHIBIT "A", ON FILE IN THE OFFICE OF THE COMMISSION.
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EXHIBIT "A"
LAND DESCRIPTION
Lots 6, 7, 8 and 9, and SE1/4 of NE1/4, and N1/2 of NE1/4, all in Section 4, T11N, R9W, MDB&M, Sonoma County containing 224 acres more or less based upon the Mitchell & Heryford Record of Survey filed in the office of the County Recorder, County of Sonoma, on March 27, 1991 in Book 470 of Maps at Pages 37 & 38 and the Mitchell and Heryford acreage compilation map of May 13, 1994 on file at the State Lands Commission.
EXHIBIT "B"
W 40668
Location Map
STATE FEE LAND
FEDERAL LEASES
VACANT STATE LAND
STATE MINERAL RESERVATION
PROPRIETORY LANDS
1/10 % MINERAL RESERVATION TO STATE
MILE SCALE
GEYSERS GEOTHERMAL AREA
STATE LANDS COMMISSION LONG BEACH CALIFORNIA
TO KELSEYVILLE
TO MIDDLETOWN
FINDINGS AND STATEMENT OF OVERRIDING CONSIDERATIONS
REGARDING THE ENVIRONMENTAL EFFECTS OF THE
GEOThERMAL DEVELOPMENT OF CERTAIN STATE LANDS WITHIN THE
GEYSERS AREA, LAKE, MENDOCINO, AND SONOMA COUNTIES, CALIFORNIA
INTRODUCTION
Herewith are presented the findings made by the State Lands Commission, pursuant to Section 15901, Title 14, California Administrative Code, on the proposed Geothermal Development for certain State Lands within the Geysers Area, Lake, Mendocino, and Sonoma Counties, California. All significant impacts of the project identified in the Final EIR are included herein and organized according to the resource affected (air quality, geology, vegetation, etc.).
For each significant impact, a finding has been made as to one or more of the following as appropriate:
a) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR;
b) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency; and
c) Specific economic, social and or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
The appropriate findings are followed by a narrative of the facts supporting them. When possible, reference is made by number to the specific mitigation measure presented in Section 4 of the EIR. For many of the impacts, all three findings described above have been made. Finding b) appears because although the State Lands Commission is the CEQA Lead Agency, it has the jurisdiction over only a portion of the project thus has limited power to require or enforce mitigation. Whenever Finding b) occurs, agencies with jurisdiction have been specified. It is these agencies, within their respective spheres of influence, which would have the ultimate responsibilities to adopt, implement, and enforce the mitigation discussed within each type of potential impact which could result from project implementation. However, under recently adopted California statutory legislation (AB3180, CORTESE), the CEQA Lead Agency has the responsibility to ensure that mitigation measures contained in an EIR are effectively implemented.
Whenever finding c) was made, the State Lands Commission has determined there will be, even after mitigation, an unavoidable significant level of impact due to the project, and sufficient mitigation is not practicable to reduce the impact to a level of insignificance. This impact is
always specifically identified in the supporting discussions. The Statement of Overriding Considerations, applies to all such unavoidable impacts, as required by Sections 15902 and 15903, Title 14, California Administrative Code.
PROJECT BACKGROUND
The proposed leasing of state land for geothermal resource development is a discretionary act that may ultimately commit previous undeveloped areas to long-term industrial activity. The leasing action itself, which is under the jurisdiction of the State Lands Commission, results in no direct physical impact to the environment. The subsequent phases of activity (non-drilling exploration, exploratory drilling, lease development, operation and maintenance, and abandonment) do result in environmental impacts that will be concentrated within the three specific project areas. Impacts will occur in the form of areal disruption and loss or restriction of present land use functions. Areas will be transformed from undisturbed rural uses to industrial uses. Areas of incompatibility with sensitive land uses or nearby sensitive receptors such as biological habitats, residences, or recreational uses may result even with adherence to policies related to buffering and facility siting. The extent of potential conflict will vary and is dependent on the ultimate amount of development that may occur within the project boundary. No specific subsequent development projects have been proposed, thus the impact analyses represents reasonable worst-case forecasts of probable effects without being specific to a project site.
The exploratory drilling and geothermal field and plant development stages will involve additional discretionary action by local governmental agencies and may require additional or supplemental site-specific environmental analyses and/or more specific mitigation measures in addition to those provided herein. Any additional or supplemental CEQA documents would be prepared by local agencies with jurisdiction over development permitting. For leasing Project Area No. 1, the County of Sonoma is the local agency with jurisdiction. For leasing Project Area No. 2, the Counties of Sonoma, Lake and Mendocino have jurisdiction, depending upon where in the area geothermal development is proposed. For leasing Project Area No. 3, Lake County is the local agency with jurisdiction.
It is noted that the mitigation measures presented herein are derived from various sources and are considered a compendium of the available measures which have been included in previous projects and/or which have been adopted as standards by local agencies. These measures together represent model of development conditions, which when applied to future geothermal development, will achieve a large measure of protection for the unique environmental and human features of The Geysers area.
SYSTEMS SAFETY: Non-Drilling Exploration Activities
Impact: Offroad vehicle operation will increase the possibility of wildland fires.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
Facts Supporting the Finding:
Exploration activities will include off-road vehicle operations in brushy and/or forested wildland areas. During such operations, a vehicle could ignite a wildland fire as a result of tailpipe sparks, or if brush contacted a hot catalytic converter. A wildland fire could also result from exploration personnel carelessly disposing of a cigarette, or if a campfire was improperly extinguished or left unattended.
Mitigation measures to eliminate ignition sources have been proposed which shall be implemented to reduce these impacts to insignificant levels. These measures include:
o All vehicles and motorized equipment shall be equipped with a CDF-approved spark arrestor (FEIR Mitigation Measure #1).
o All personnel involved in exploratory activities will be prohibited from smoking at any time in wildland or forested areas. Further, all personnel will be prohibited from building campfires while in wildland or forested areas (FEIR Mitigation Measure #2).
SYSTEMS SAFETY: Exploratory Drilling
Impact: There is a potential for blowout of a well during exploratory drilling which could cause death or injury to site personnel.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
Facts Supporting the Finding:
By definition, exploratory drilling involves advancing the drill string into subsurface regions of uncertain lithologic and geothermal composition (i.e., liquid or vapor dominated) and unknown temperature and pressure. Thus, there is a potential for encountering unanticipated conditions, resulting in an upset, loss of well control and ultimately, a blowout. A blowout could release steam, water, and/or toxic gases such as hydrogen sulfide or ammonia. Both of these gases are toxic in relatively concentrations, and therefore might pose a significant threat of injury or death to on site personnel, if such an upset condition occurred.
Mitigation measures regulating operating procedures and requiring special safety equipment have been proposed which shall be implemented to reduce these impacts to insignificant levels. These measures include:
- During all drilling operations, down-hole conditions, (such as temperature, pressure, drilling fluid returns, and other system components) will be carefully monitored such that approach to high pressure zones, including geothermal zones is forewarned (FEIR Mitigation Measure #3).
- Casing anchored Blowout Prevention Equipment (BOPE) will be installed on all wells, and drilling fluid balance will maintained to ensure well control (FEIR Mitigation Measure #4).
**SYSTEMS SAFETY: Full Field Development**
**Impact:** There is a potential for construction activities to ignite a significant wildland brush or forest fire.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties).
**Facts Supporting the Finding:**
Development of the geothermal field will likely require the installation and construction of field facilities such as pipelines, heat exchangers, pumps, cooling towers, turbine generators and other ancillary equipment. During construction of these facilities, there will be potential for ignition of a significant brush or forest fire. This potential will be heightened because of the substantial amount of welding required during construction.
The potential for a wildland fire resulting from construction-related activity will be reduced to an insignificant level by implementing the following mitigation measures:
- All development and work areas including pipeline routes will be cleared of brush, weeds, and other combustible materials to a distance recommended by the CDF (FEIR Mitigation Measure #5).
- Reconstruct or consolidate existing transmission facilities and corridors to accommodate additional line capacity in an environmentally sound manner (FEIR Mitigation Measure #6).
SYSTEMS SAFETY: Operation and Maintenance
Impact: Accidents could occur during facilities maintenance operations, (particularly a welding ignited fire.)
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
At a national level, welding activities associated with maintenance and repair are one of the leading causes of industrial fires. In the geothermal field, maintenance welding may be conducted at virtually any location in the vicinity of well heads, pipelines, or power plant equipment. Maintenance welding could ignite a fire due to the sparks and hot material generated.
The potential for a welding initiated fire resulting from maintenance activities will be reduced to an insignificant level by implementing measures to inspect welding areas prior to initiation of work as follows:
o During field operation, all maintenance and repair welding locations will be inspected prior to the start of work, and all combustible materials will be removed to a distance well beyond which any sparks or flames could travel. In addition, a large ABC class fire extinguisher will be close at hand during all maintenance and repair work (FEIR Mitigation Measure #7).
SYSTEMS SAFETY: Operation and Maintenance
Impact: Handling hazardous materials and hazardous waste could result in a significant accident causing significant adverse environmental impact.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such
agencies (Lake, Sonoma and Mendocino Counties; California Regional Water Quality Control Board; and Caltrans).
Facts Supporting the Finding:
Gases surfacing with the geothermal steam can include hydrogen sulfide and ammonia, both extremely hazardous at relatively low concentrations. NIOSH/OSHA (1985) defines the concentration of hazardous chemicals that is "Immediately Dangerous to Life and Health" (IDLH) as that maximum level from which a person can escape within 30 minutes without experiencing any escape-impairing or irreversible health effects. For hydrogen sulfide the IDLH concentration is 300 parts per million, and for ammonia is 500 parts per million. Hydrogen sulfide may be lethal at concentrations of approximately 1,000 ppm. Therefore, even in the event of a low concentration of either of these gases in the geothermal well production, a release or leak could pose significant risk to persons in the area of the leak or release.
Designated hazardous materials are utilized in various portions of the drilling and operation of geothermal resource recovery operations. During well flow-testing, it is frequently necessary to inject two hazardous materials, sodium hydroxide and hydrogen peroxide, to scrub the H₂S from the produced steam. The nonhazardous by-products, Na₂SO₄ and NaHSO₄, are separated from the produced steam and deposited in the mud sump.
Hazardous and designated wastes generated during geothermal development have the potential for contaminating surface and ground waters if not handled properly in the following manner; on-site accidental waste spills, leaking on-site containment basins or vessels, accidents during transport of waste to off-site facilities, spills and leaking containment basins at off-site county disposal facilities, and illegal disposal of the waste.
The following measures requiring worker training, mutual aid for emergency response, and establishment of standards for worker exposure to hazards have been adopted by State Lands Commission to mitigate the impacts of geothermal development relative to systems safety. It is recommended that local agencies adopt these measures during the site development permit process.
o All personnel working on or near the gas abatement system equipment or components will be instructed in the hazards of the toxic gases and trained in the observation (by odor) of the gases and in the proper steps to be taken in the event of gas detection. The prime action to be taken in the event of gas odor is generally evacuation, with return only when equipped with proper respirator equipment. In addition, an H₂S monitor should be provided, capable of issuing an alarm H₂S at a concentration greater than 10 ppm is detected (FEIR Mitigation Measure #8).
o Developers of geothermal resources will be required to participate in an area of mutual benefit agreement for the purpose of development of a unified emergency notification and communication system linking the geothermal facilities, the California Department of Forestry, the Lake, Mendocino, and Sonoma County Sheriffs' Offices, and possibly other
agencies. This system may be integrated with the Lake County Sheriff Department central dispatch service (FEIR Mitigation Measure #9).
Hazardous wastes generated will be packaged, manifested, and transported according to applicable state and federal regulations, and disposed of at a Waste Management Unit properly permitted by the applicable Regional Water Quality Control Board for acceptance of the specific type and composition of waste (FEIR Mitigation Measure #10).
On-site minimization of hazardous wastes, such as dehydration or other physical phase separation, and the use of well-drilling and other process techniques which eliminate or reduce the volume of hazardous wastes produced will be employed to the maximum extent practicable (FEIR Mitigation Measure #11).
Personnel responsible for handling lubrication oils and diesel fuel will be schooled in proper care and handling (FEIR Mitigation Measure #12).
The operator of any leasehold will ensure that any hazardous waste hauler employed has a certificate of registration from the California Department of Health Services (CDHS), Hazardous Materials Management Section (FEIR Mitigation Measure #13).
Standards for occupational exposure, ambient air and water quality exist for certain geothermal contaminants. Threshold Limit Values (TLVs) for other contaminants have been adopted by the American Conference of Governmental Industrial Hygienists. EPA has developed "Multimedia Environmental Goals" (MEGs) for a large number of pollutants. Potential impacts from exposure to or accidental discharge of geothermal related chemicals can be mitigated by strict enforcement of applicable standards, compliance with emission limitations and discharge prohibitions, and compliance with federal, state, and local laws which regulate the safe handling, transport, and disposal to toxic/hazardous materials. A compliance monitoring program will be formulated for approval by SLC for each leasehold (FEIR Mitigation Measure #14).
Drilling activities shall occur in a manner that minimizes the generation of hazardous materials and waste, allows for their recycling whenever practical, and is in compliance with all waste management policies and regulations. The use of BAKER tanks and sumpless drilling shall be encouraged, particularly when located within 500 ft of blue line water features (FEIR Mitigation Measure #15).
Project operators shall ensure that the transport of hazardous material or waste is minimized whenever possible and is accomplished in a safe manner (FEIR Mitigation Measure #16).
Each operator shall prepare a viable contingency plan for emergencies due to breaks or unexpected deformation of pipelines or its supports. The plan shall show who is responsible and what equipment and manpower is available to respond to such an emergency (FEIR Mitigation Measure #17).
The transportation of hazardous and toxic material can be reduced through support of research and development of alternative methods for handling and minimizing wastes on-site (FEIR Mitigation Measure #18).
An inspection will be conducted on each truck hauling toxic or hazardous materials prior to leaving the leasehold. The inspection will include brakes, vehicle connection, wheels/tires, valves, tanks, etc. After loading, a material inspection for leaks in the system will be conducted. All inspections will be logged for later verification if necessary, by CHP, CDHS, or other appropriate agencies (FEIR Mitigation Measure #19).
Participation in driver safety programs for all drivers of waste transport vehicles will reduce the potential for accidents and spills (FEIR Mitigation Measure #20).
Hazardous and designated wastes generated from geothermal activities in the leaseholds will be collected, contained, transported, and disposed of in accordance with all regulations as specified and enforced by the California Regional Water Quality Control Board and the CDHS under RCRA (FEIR Mitigation Measure #21).
Emergency response procedures shall be developed to contain hazardous waste spills which occur during transport on and off of the proposed leaseholds (FEIR Mitigation Measure #22).
The mitigation measures described above will reduce the significant adverse impacts to levels considered acceptable and therefore insignificant, with the exceptions of the following two impacts:
- The potential for significant adverse impact associated with accidental release of hazardous materials during Exploratory drilling, Field Development, and Operation and Maintenance cannot be fully mitigated to insignificance.
- The potential for significant adverse impact associated with an accidental release or improper disposal of hazardous wastes during Exploratory Drilling, Field Development, and Operation and Maintenance cannot be fully mitigated.
Unlike other environmental resource areas, impacts related to system safety cannot be associated with a specific significance threshold in every sense. System safety impacts, significant or not, occur only in the event of abnormal system operation. If the system operates normally and as designed, there are no direct system safety impacts. However, the potential for an accident, upset, or release of hazardous or toxic material always exists, despite mitigation measures designed to minimize this potential. Here, the potential, however small, for adverse impacts due to the use of hazardous materials or the generation of hazardous wastes, occurring as a result of abnormal or improper system operation, is identified as an unavoidable and significant adverse impact. Such impact may, in fact, never occur.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts.
**No Project Alternative**
Implementation of the No Project Alternative would mean that the State Lands Commission would not offer any of the lands within the study area for leasing for geothermal resources. These resources would remain undeveloped for the foreseeable future. From the standpoint of the unavoidable adverse impacts listed above, adoption of this alternative would eliminate the impacts.
It is noted however, that the No Project Alternative would deny the State of California revenues from the leasing program. Also since the steam resource of The Geysers area is diminishing, the resources on the site may diminish over time so that development may not be cost feasible in the future. The energy lost by the No Project Alternative would need to be made up from some other source, most probably fossil fuels.
**Leasing Portions of the Project Areas**
This alternative involves leasing one or two of the three project areas identified for prospective leasing. The reasons for omitting any particular leasing area could be numerous; however, this analysis assumes that the reason would be to avoid emissions of hazardous gases and hazardous wastes. Emissions of hazardous substances has a potential for occurrence with aspects of geothermal activity involving exploratory drilling, and field development and operations. Since this alternative does eliminate such activity, the unavoidable adverse impacts could still occur.
**Prohibiting Construction of Power Plants**
This alternative would allow construction of steam fields in the area, but not development of new power plants. Emissions of hazardous substances has a potential for occurrence with aspects of geothermal activity involving exploratory drilling, and field development and operations. Since this alternative does eliminate such activity, the unavoidable adverse impacts could still occur.
**Alternative Land Uses**
This alternative is based on the assumption that the State Lands Commission could encourage alternative land uses, other than geothermal uses, to be established on the leasehold areas. The State Lands Commission is limited in its ability to establish or encourage land uses beyond its jurisdiction to lease lands for resource and mineral development. Local land use approvals for any use subsequent to leasing are under the purview of the local county governments with jurisdiction. The state does own the lands on Cobb Mountain within the designated lease area and would have some land use authority there. Uses other than geothermal development would not involve hazards from geothermal gases and fluids.
Alternative Technology
This alternative assumes that alternative technologies could be implemented to exploit the geothermal resources of the project areas. The need for implementation of alternative technologies has several purposes, including the reduction in the physical environmental impacts of more traditional geothermal development, and the extension of the life of The Geysers steam field through conservation and more efficient use of the resources. However, this alternative does not eliminate the need for drilling and extraction of geothermal resources nor the associated hazards involved with toxic materials.
In conclusion, only the No Project and Alternative Land Use Alternatives have been shown to reduce the unavoidable systems safety impacts. Neither of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible, notwithstanding efforts by State Lands Commission to minimize to the extent practicable, the significant adverse impacts relative to systems safety associated the proposed action.
SYSTEMS SAFETY: Abandonment
Impact: Demolition activities may ignite a wildland or forest fire.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; California Division of Oil and Gas; California Regional Water Quality Control Board; Caltrans; California Energy Commission; California Public Utilities Commission).
Facts Supporting the Finding:
The abandonment process will include activities similar to those described for the construction phase of the project. Thus, there is an analogous potential for demolition activities to ignite a wildland or forest fire. Sparks and hot material generated by cutting torches pose a particular fire threat during demolition.
Mitigation measures described for the construction and operational phases of the project will continue to be implemented during the abandonment process. Specifically, demolition areas will be inspected and cleared of all combustible material prior to the initiation of all work, and a large ABC class fire extinguisher will be close at hand at all times.
SYSTEMS SAFETY: Abandonment
Impact: Abandonment may result in the accumulation of hazardous waste as equipment, pumps, sumps, pipelines, etc. are dismantled.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting the Finding:
During the abandonment process, hazardous waste could accumulate as equipment, pumps, sumps, pipelines, etc. are dismantled. The potential for adverse impacts resulting from the accumulation of hazardous waste during the dismantling and abandonment phase of the project will be reduced to an insignificant level by implementing the following mitigation measures:
- Mitigation measures as imposed during construction and operations shall be imposed (FEIR Mitigation Measure # 23).
- A reclamation plan will be submitted to the applicable local planning agency prior to abandonment of the project. All wells will be abandoned in accordance with Division of Oil and Gas and SLC guidelines and regulations for leased lands (FEIR Mitigation Measure # 24).
- As part of any approved operating plan, testing of inactive or abandoned sumps shall be required and, if necessary, long-term monitoring for ground and surface water contamination shall be implemented. All sumps shall be fenced or otherwise protected to prevent access by persons or animals (FEIR Mitigation Measure #25).
The mitigation measures described above will reduce the significant adverse impacts to levels considered acceptable and therefore insignificant.
SYSTEMS SAFETY: Cumulative Impacts
Impact: Cumulatively, geothermal projects considered will lead to an increase in the incidence of wildland brush or forest fires.
Finding: A) Changes or alteration have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
Facts Supporting the Finding:
All phases of geothermal development involve some risk of igniting a wildland fire due to the incursion of humans and machinery into wildland areas. Particular hazards are associated with the operation of motor vehicles in brushy areas, as well as the use of welding equipment, generators, etc.
Fire suppression mitigation measures described for other construction and operational phases of the project will be implemented during the abandonment process.
SYSTEMS SAFETY: Cumulative Impacts
Impact: The cumulative geothermal projects will increase the amount of hazardous gases released to the atmosphere and will generate significant quantities of hazardous waste which must be contained, handled, and disposed of.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; and California Regional Water Quality Control Board.
C) Specific economic, social and or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting the Finding:
The cumulative geothermal developments will increase the amount of hazardous gases, such as hydrogen sulfide and ammonia, released to the atmosphere during drilling, testing, and operation phases. Such releases would have significant adverse impact on employees and could seriously affect nearby vegetation. Abatement measures as described for project-specific impacts could be applied to reduce the likelihood of a significant impact from such discharges.
Geothermal operations resulting from cumulative development levels will generate significant quantities of known hazardous wastes which must be contained, handled, and disposed of in accordance with state and federal law. Significant adverse impacts can occur from waste disposal due to accidental waste spills on-site, leaking on-site containment basins or vessels.
accidents during transport of waste to off-site disposal facilities, spills and leaking containment basins at off-site county disposal facilities, and illegal disposal of wastes. Presently, there are no hazardous waste disposal sites in Lake County, and the two sites that were accepting nonhazardous geothermal wastes have been closed since 1985 due to regulatory violations (County of Lake, 1989). Most hazardous waste must be transported to the Chemical Waste Management disposal facility near Kettleman Hills, California, with minor amounts going to other sites in Utah and Idaho.
The following measures supporting establishment of geothermal waste facilities in the area, advanced technology with respect to drilling and production, and development of Risk Management and Prevention Plans have been adopted by State Lands Commission to mitigate the cumulative impacts of geothermal development relative to systems safety. It is recommended that local agencies adopt these measures during the site development permit process and implement site-specific impact measures discussed above.
- State Lands Commission should support the establishment of geothermal waste facilities in The Geysers area. This will reduce waste vehicle miles travelled and correspondingly reduce accident potential (FEIR Mitigation Measure #26).
- State Lands Commission should support and implement to the extent possible technological changes in operations, such as incorporation of mechanical water/drilling mud separation technologies, and chemical processes, such as the conversion of hydrogen sulfide to a water soluble sulfur compound (by burning or other chemical reaction) allowing the compound to be injected back into the reservoir with steam condensate. These have great potential to reduce hazardous waste disposal requirements (FEIR Mitigation Measure #27).
- The proposed project will involve acutely hazardous materials (AHMs) such as ammonia and hydrogen sulfide. California law (Health and Safety Code Section 25531 et seq.) requires preparation of a Risk Management and Prevention Program (RMPP) for all facilities involving AHMs in amounts greater than the threshold planning quantities listed in Part 335, Appendix A, Title 40 of the Code of Federal Regulations. The requirements for a RMPP and the procedures for its certification are established by regulation. A RMPP includes a formalized hazardous operations study (HAZOPS). A HAZOPS is designed to identify system safety deficiencies which may result from equipment failure, improper operation, or outside influences, and to provide corrective actions (mitigation) as necessary. The proposed project must cause a RMPP to be prepared and submitted prior to start-up, as required by law (FEIR Mitigation Measure #28).
As was the case with hazardous materials impacts on a site-specific basis, the cumulative impacts from hazardous materials associated with geothermal development are also significant and unavoidable. Specifically, the following impacts are not mitigated to insignificance by the stated mitigation measures:
- The potential for significant adverse impact associated with accidental release of hazardous materials during Exploratory drilling, Field Development, and Operation and Maintenance cannot be fully mitigated to insignificance.
- The potential for significant adverse impact associated with an accidental release or improper disposal of hazardous wastes during Exploratory Drilling, Field Development, and Operation and Maintenance cannot be fully mitigated.
Findings regarding the potential for alternatives to be implemented lead to the same conclusions as stated previously for site-specific systems safety impacts. Only the No Project and Alternative Land Use Alternatives have been shown to reduce the unavoidable systems safety impacts. Neither of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible, not withstanding efforts by State Lands Commission to minimize to the extent practicable, the significant adverse impacts relative to systems safety associated the proposed action.
**LAND USE: Exploratory Drilling**
**Impact:** Land transformation will occur as a result of access roadway construction and pad development for exploratory drilling. This includes cut and fill activity which will alter existing topography and landform.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
**Facts Supporting Finding:**
In its undeveloped state, the project site sustains a variety of functions. It serves as protective watershed and habitat lands, allows for private landowner recreation and hunting, and results in a general open space ambience. The intrusion of geothermal development will significantly disrupt these values by removal of vegetative cover and increase in erosion potential.
Mendocino, Sonoma, and Lake Counties have policies which guide the development of project activities related to industrial development. Facility siting is subject to certain setback requirements under these policies. For example, buffer zones are to be established around sensitive biological/vegetation resource areas (such as near streams). There are various common restrictions such as those for construction on steep slopes due to landslide potential, restrictions on facility placement at set distances from residences and sensitive receptors for noise buffering, and avoidance to the extent possible of siting facilities on ridgelines or within sensitive viewsheds. These requirements are normally made a condition of approval at the permitting phase of a particular facility and are assessed on an individual project basis.
In addition to these typical policies and regulations, the following additional mitigation measures limiting land area disturbance will be implemented;
Exploratory drilling activities shall disturb the minimum amount of land area possible (FEIR Mitigation Measure #1). To ensure that land disturbance is minimized, the project development proceed will be conducted in accordance with all state and local permit requirements. Mitigation monitoring programs should provide the necessary control to assure compliance with the permit requirements. Measures to minimize land disturbance and amount of land surface will be implemented including limitations on cut and fill activity, sharing of roadways and certain facilities (possibly maintenance areas) where applicable, directional drilling, and locating well sites as close as possible to plants. All disturbed areas will be revegetated as soon as possible and all debris and excess material and equipment will be removed.
Upon implementation of the mitigation measures described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
**LAND USE: Lease Development, Operation and Maintenance**
**Impact:** Impact of development of geothermal resources on the leaseholds and geothermal operations and maintenance activities will result in significant land use compatibility impacts, including; disruption of vegetative cover and wildlife carrying capacity, increased erosion potential from grading and site development, and development of industrial facilities (roads, pipelines and transmission facilities) which could divide the areas into isolated parcels disturbing the natural habitat.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties).
**Facts Supporting Finding:**
If deemed commercially viable, lease development will occur including the construction and operation of the power plant. Construction activity will include additional access roads, transmission and pipeline corridors, and pads for plants, maintenance facilities, and other related structures. A land use transformation occurs in the form of a previously undisturbed rural area being transformed to an industrial use area. While generally maintaining the same basic landform, alterations from cut and fill work and construction of these structures will criss-cross the terrain.
Mendocino, Sonoma, and Lake Counties all have General Plans which guide the development of project activities related to industrial development. In addition, Lake County has an adopted
geothermal element which is designed to provide planning guidance for geothermal projects and is meant to work with the General Plan. Sonoma County has such an element in draft form. Because the various county policies regarding land use are designed to allow for geothermal leasing and development within the proposed project boundary, no impacts to land use from a regulatory standpoint are anticipated. The proposed leasing program is in compliance with these local goals and objectives to encourage geothermal energy development.
These planning elements define to varying degrees the policies that pertain to geothermal development for all resource areas. Facility siting is subject to certain setback requirements which are indirectly related to land use. For example, these requirements are directly related to establishing buffer zones around sensitive biological/vegetation resource areas (such as near streams), restrictions on construction on steep slopes due to landslide potential, restrictions on facility placement at set distances from residences and sensitive receptors for noise buffering, and avoidance to the extent possible of siting facilities on ridgelines or within sensitive viewsheds. These requirements are normally made a condition of the permit requirements for a particular facility and are assessed on an individual project basis.
In order to mitigate the impacts of geothermal development on land use, the measures involving viewpoint/interpretive displays, resident education, minimizing land area disturbed and consolidation of facilities have been adopted by State Lands Commission. It is recommended that local agencies adopt these measures during the site development permit process.
- Some local residents are not aware of the geothermal activity in the area, nor of the various potential uses of the geothermal resources. The respective counties should require the establishment of a viewpoint/interpretive display to help educate local residents and visitors regarding the proposed project and the beneficial uses of geothermal energy (FEIR Mitigation Measure #2).
- Mitigation measures to ensure that land disturbance is minimized include that project development proceed in accordance with all state and local permit requirements. Mitigation monitoring programs should provide the necessary control to assure compliance with the permit requirements (FEIR Mitigation Measure #3).
- Measures to minimize land disturbance and amount of land surface will be implemented including limitations on cut and fill activity, sharing of roadways and certain facilities (possibly maintenance areas) where applicable, directional drilling, and locating well sites as close as possible to plants. All disturbed areas will be revegetated as soon as possible and all debris and excess material and equipment will be removed. Transmission line construction will be in adherence with CEC criteria and will be consolidated when possible with the existing PG&E system (FEIR Mitigation Measure #4).
- Space-consuming towers and diagonal alignments of transmission lines and facilities through agricultural fields will be avoided. Where possible, transmission lines will follow property lines or routes with the least environmental and land use impacts (FEIR Mitigation Measure #5).
Long spans between transmission towers may be utilized at stream crossings to prevent disturbance to stream banks and riparian vegetation (FEIR Mitigation Measure #6).
Landscaping around periphery of well islands or power plant facilities will assist in shielding residences and casual observers from any undesirable or incompatible views of the facilities (FEIR Mitigation Measure #7).
Revegetation during construction requires careful plant species selection. Revegetation with many species is, in the long run, the most successful. Often immediate erosion problems can be checked by hydromulching of various grasses. Instead of using fast-growing non-native grasses, an alternative would be to cover bare soil with a coating straw. Straw would absorb raindrop impact and act as a mulch for viable seed buried in the soil (FEIR Mitigation Measure #8).
Measures to mitigate potential impacts to residential users include adherence to buffering requirements set forth through county guidelines for noise, visual affects, air quality, and other areas (FEIR Mitigation Measure #9).
Hunting activities and issues related to both hunter safety and plant personnel safety from stray shots may require the restriction of recreational or hunting with areas proximate to energy-generating facilities (FEIR Mitigation Measure #10).
Upon implementation of the mitigation measures described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
**LAND USE: Abandonment**
**Impact:** Abandonment of operations has the potential to create long-term degradation from site development grading.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
**Facts Supporting Finding:**
When properly conducted, abandonment activities including proper site restoration and revegetation, will over time allow areas to substantially recover from geothermal development. As with operational requirements, there are standard requirements in local agency plans and
regulations regarding abandonment that are normally made a condition of the permitting for abandonment activities on an individual project basis.
The proposed mitigation for abandonment includes a number of measures for specific resource impacts (for instance, grading, runoff, aesthetics, etc.) which are discussed under each resource topic in these findings and are not repeated here. However, the following measure has been adopted relative to impacts of abandonment on land use;
o Revegetation during construction requires careful plant species selection. Revegetation with many species is, in the long run, the most successful. Often immediate erosion problems can be checked by hydromulching of various grasses. Instead of using fast-growing non-native grasses, an alternative would be to cover bare soil with a coating straw. Straw would absorb raindrop impact and act as a mulch for viable seed buried in the soil (FEIR Mitigation Measure #11).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
PHYSIOGRAPHY AND GEOLOGY: Non-Drilling Exploration
Impact: Non-Drilling related exploratory activities have potentially significant impacts from use of seismic sounding vehicles, potential use of explosives and shallow drilling activities.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; and California Division of Oil and Gas).
Facts Supporting the Finding:
Gravity, magnetometer, resistivity, and geochemical surveys along with field mapping and surveying would have little impact on the study area. All of these operations require one or two field people and all of the vehicular traffic can be confined to existing roadways. The only potential impact that can be attributable to this type of field activity is the potential for an accidental forest fire due to the negligence of field personnel.
Seismic studies would involve the use of a vibrating energy source or small explosive charges. Under normal circumstances, the study points are located along existing roadways. While the instrumentation of seismic studies causes no environmental impacts, the energy source presents
potential environmental impacts. If a vibratory source is used, roads are required to move the truck carrying the source. If explosives are used, hand auger holes are used for small explosive charges. The larger charges required for deeper prospecting do require drilling 15- to 30-km (50- to 100-foot) blast holes drilled with a portable drill rig.
Thermal gradient wells require the drilling of small diameter shallow test holes. This drilling requires the use of small self-contained truck mounted drill rigs. Where existing roads do not serve the areas where exploration is needed, paths will need to be cut.
These impacts can be reduced to a level of insignificance through implementation of measures requiring truck mounted drill rigs for geophysical exploration and preparation of plans of exploration, as follows:
- The use of truck mounted and/or core type drill rigs for temperature gradient or deep geophysical investigations shall be encouraged (FEIR Mitigation Measure #1).
- A plan of exploration shall be prepared and submitted to SLC prior to commencement of any exploratory activities. Said plan shall delineate the proposed site access, exploratory methods, equipment used, and required land form on subsurface modification. Based upon the plan, SLC may place conditions and or other restrictions on exploratory activities (FEIR Mitigation Measure #2).
**PHYSIOGRAPHY AND GEOLOGY: Exploratory Drilling**
**Impact:** Exploratory drilling operations will have significant adverse impacts due to drill pad and road grading, devegetation, and potential erosion hazards.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; and California Regional Water Quality Control Board).
**Facts Supporting the Finding:**
The primary concern of exploration drilling operations that will impact the area are:
- Drill sites or pads
- Access roadways
- Drilling operations
- Well testing
The most acceptable locations for drill pads are on the ridges and moderately sloping hillsides. Placement of drill pads in these locations will almost eliminate the potential for landslide hazards by keeping the pads off of the steep slopes and valley floors.
The least desirable locations for drilling pads are the steep slopes of the area and the valley floors. Steep slopes all have a potential for developing into landslides or being damaged from landslides developed higher on the same slopes. Much more construction is needed for this type of pad with the resulting increase in damage and impact to the natural surroundings. Pads positioned in the valley floors have the potential of being damaged from landslide debris and flooding during times of heavy rainfall.
Measures to mitigate exploratory drilling impacts include a requirement for geotechnical investigations, hazard mapping, and grading performance standards as listed below:
- Geotechnical investigations for design of facilities should be done for the following purposes: 1) to explore and evaluate soil, groundwater, and subsurface geologic conditions; 2) to evaluate site stability under static and earthquake conditions; 3) to assess the potential for reserve pit leakage; and 4) to provide soil engineering criteria for proposed grading. The investigation would be based on adequate surface and subsurface exploration, laboratory testing, and engineering analyses (FEIR Mitigation Measure #3).
- Updated mapping of existing and potential landslide areas and other geological hazards in the project area should be encouraged and supported (FEIR Mitigation Measure #4).
- Site-specific topographic maps should be prepared of site facilities for project design purposes. The maps may be prepared by either photogrammetric methods and/or by ground survey. The maps should be of sufficient scale and detail to allow the preparation of accurate design drawings (FEIR Mitigation Measure #5).
- Copies of finalized design plans, construction specifications, and geotechnical reports should be submitted to the local Public Works and Planning Departments for review and approval prior to construction activity (FEIR Mitigation Measure #6).
- Civil engineering and geotechnical studies should be undertaken for the design of new road alignments and, as needed, for improving existing road (FEIR Mitigation Measure #7).
- The mitigation measures suggested for pad construction and design are (FEIR Mitigation Measure #8):
- Have each pad and/or fill designed by a licensed civil engineer with all design based on adequate exploration, testing, and analysis.
- Pads shall be compacted to a minimum of 90 percent relative compaction.
- Filled slope banks should not exceed a gradient of 1.5:1. Toes of fills should be stabilized with rock and gravel or keyed into stable soil.
- Pads should be designed on the basis of balanced cut and fill, whenever possible.
- Hillside storage of spoilage should be avoided whenever possible.
- Provisions must be made for adequate surface drainage from pad surfaces into the nearest stream course.
- Subdrains should be provided under fills where natural drainage courses and seepage are evident.
- Fill and cut slopes should be seeded, mulched, and fertilized as soon as possible.
- If the pad is for drilling, the actual location of the well(s) (if possible) should be in that portion of the pad where the cut was made.
The mitigation measures suggested for construction of road alignments are in general the same as those for pad construction (see above) plus the following (FEIR Mitigation Measure #9):
- To gain access to the project areas, use should be made of the existing road network in order to minimize the amount of new access roads that would have to be constructed.
- Keep road width to a minimum.
- On hillsides the road surface should slope into the hillside.
- Culverts and drainage ditches should be installed as necessary. They should be of adequate size, properly lined, and regularly inspected to be sure they are functioning.
Particular restriction should be placed on operating tractors and vehicles up and down hills, where hill and gully erosion can result. Construction zones should be shown on plans, flagged on the ground, and compliance made a part of all agreements (FEIR Mitigation Measure #10).
Energy dissipators should be installed at all outfalls in weathered rock (FEIR Mitigation Measure #11).
Roads should not be placed where slopes exceed 33.5 percent. Road base should be graded, compacted, and surfaced (FEIR Mitigation Measure #12).
All grading activity shall be completed and all drainage structure shall be in place and operational prior to October 1 of any year when possible (FEIR Mitigation Measure #13).
To be on the safe side, lost circulation problems should be anticipated during the thermal gradient phase by the lessee and a program to minimize such problems should be developed beforehand for implementation. Only non-toxic, biodegradable drilling fluids should be used (FEIR Mitigation Measure #14).
Prior to the filling of sumps, sump fluids (both mud and supernatant liquids) shall be chemically analyzed, upon request from the Planning Department, for type and quantity of biologically sensitive materials, especially hazardous materials, heavy metals, and acids (FEIR Mitigation Measure #15).
If analysis does not indicate quantities in excess of allowable limits for either human or other important biological elements, especially those of the aquatic ecosystem, then sump materials shall be solidified, dried, mixed with native soil and buried. Hazardous or biologically sensitive materials found will be disposed of properly. Sump pits shall be refilled to a stable grade and be revegetated as required (FEIR Mitigation Measure #16).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
PHYSIOGRAPHY AND GEOLOGY: Lease Development
Impact: The significant impacts that will result to the geology and physiography as a result of lease development as it pertains to well field development, steam conveyance, power generation facility construction, and transmission facility construction are:
- Considerable alteration of the topography in the development area. This alteration will include slopes and vegetation.
- Modification of the drainage in the area of the development areas and change in water runoff patterns.
- Construction activities will expose bare ground which will result in increased erosion in the development areas.
- Local sloughing, slumping, and sliding of steep hillside grades.
- Increased potential for landslide due to exposed cuts and porous fills.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties and California Division of Oil and Gas).
Facts Supporting the Finding:
The extent of geothermal development which will occur within the project areas cannot be predicted until results from the exploratory wells are known. The primary concerns of development drilling operations that will impact the area are the same as those listed above for exploratory drilling, including the impacts of development additional access roads, drill pads, and hazards during well drilling and testing.
Lease development also includes construction of a steam gathering system, and possible additional power generation and transmission facilities. This aspect of operations will have potentially significant impacts on the physiography of the area.
The significant impacts that will result to the geology and physiography as a result of lease development can be mitigated to insignificance by implementing many of the grading performance standards as described previously as well as additional measures as follows:
- All measures included under Exploratory Drilling would apply to the Lease Development phase (FEIR Mitigation Measure #17).
- If a well pad and reserve pit are to be reactivated following the drilling of the initial exploratory well, they should first be inspected by a geotechnical and civil engineer to assess threat condition and suitability for reuse. Particular care should be given to reserve pit inspection to identify possible damage or deterioration to the impermeable liner material (FEIR Mitigation Measure #18).
- It is the County of Sonoma’s policy to encourage power plant design that is appropriate for the resource. The design should provide for conservation of the resource and minimize plant emissions (FEIR Mitigation Measure #19).
- Viability of side casting of soil and rock spoilage depends upon volume, type of material, slope composition, slope stability, and riparian drainage. Where casting is to be prohibited, an acceptable debris disposed areas shall be identified (FEIR Mitigation Measure #20).
- Structures should not be sited on, across or adjacent to unstable landslides unless complete landslide repair is feasible (FEIR Mitigation Measure #21).
- In all areas, but especially those with high soil erodibility, minimum removal of vegetation is advisable (FEIR Mitigation Measure #22).
- Cut and fill slope ratios exceeding 33.5 percent should be avoided. Projects on steeper areas can proceed only after substantial evidence of safety prepared by a registered engineering geologist (FEIR Mitigation Measure #23).
- Large sliver fills shall be avoided (FEIR Mitigation Measure #24).
- Where engineered fills and culverts are to be placed across gullies and streams, it is preferable to use material with a high rock content in order to reduce siltation problems. Less desirable, but acceptable, would be the careful riprapping of compacted soil. Hydrologic studies should be done for culvert sizing purposes (FEIR Mitigation Measure #25).
Those segments of the road alignments where casing is to be so prohibited should be identified for the applicant's maintenance crews, and acceptable areas for the debris disposal located (FEIR Mitigation Measure #26).
A retaining levee of not less than 18 inches in height and three feet in base thickness shall be placed on the perimeter of all fill areas including access road fills, pad sites, and waste sumps, to prevent storm runoff accumulation from random discharge (FEIR Mitigation Measure #27).
Anchor points for stream crossings should be located as far from the active channel as feasible (i.e., on the order of 100 feet). This will reduce the potential for soil and rock generated from pipeline corridor to intercept runoff and reduce soil erosion (FEIR Mitigation Measure #28).
Cuttings from the bore hole and associated drilling fluids should be disposed of according to state and county requirements (FEIR Mitigation Measure #29).
The operator shall comply with all federal, state, and local standards with respect to the control of all forms of air, land, water and noise pollution, including, but not limited to, the control of erosion and disposal of liquid, solid, and gaseous wastes (FEIR Mitigation Measure #30).
In the event of development of a hot water resource, an inventory and analyses of fresh water wells within 1/2-mile of the project shall be made prior to the reinjection of any geothermal effluent from testing or production. At the property owner's option, the developer shall annually test such wells for compliance with state water quality control standards (FEIR Mitigation Measure #31).
**PHYSIOGRAPHY AND GEOLOGY: Operations and Maintenance**
**Impact:** The potential significant impacts that are associated with operation and maintenance include damaging settlements and/or failure of the earthwork, failure or leakage of surface pits constructed, surface rupture damage through the site, liquefaction of the site, damage due to settlement or subsidence as a result of steam withdrawal, damage from volcanic ash fall or lava flows, and collapse of facilities into natural or manmade caverns.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such
agencies (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting the Finding:
During the operations and maintenance phase, little additional surface disturbance will occur. Impacts are limited to possible occurrences ranging from failure of previous work to regional geotechnical or seismic events. The likelihood of these events occurring ranges from minor to remote.
The following measures incorporating specific site maintenance requirements are proposed to reduce the impacts to insignificance as follows:
- Culverts, ditches, trash racks, and other facilities of development sites shall be regularly cleaned and maintained, particularly just before and during the wet season. Such maintenance is necessary to reduce damage to these facilities and subsequent erosion/siltation problems (FEIR Mitigation Measure #32).
- A program of long-term site project maintenance should be developed and implemented by the applicant to ensure continued performance of project components (FEIR Mitigation Measure #33).
- If a drill pad is to be used following a period of deactivation, it should first be inspected by a civil engineer and engineering geologist to evaluate its conditions and to recommend repairs as necessary. Particular care should be given to the waste sump liner to ensure that it is repaired or replaced as necessary (FEIR Mitigation Measure #34).
PHYSIOGRAPHY AND GEOLOGY: Abandonment
Impact: During the abandonment and restoration process, the significant environmental impacts that can be expected are similar to those encountered during the development phase except that generally less effort is required to recontour sites than to initially clear and grade them.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; California Division of Oil and Gas; California Regional Water Quality Control Board).
Facts Supporting the Finding:
Once the resource has been depleted or the practicality of using the resource has passed, the project must be abandoned and the sites restored to a shape as near the original as possible. Abandonment will include dismantling and removal of equipment, plugging of the wells, removal of pipelines and regrading the sites and roads to their near original condition.
Impacts of abandonment will be mitigated to levels of insignificance by implementing measures requiring restoration, revegetation, and erosion control, as follows:
- In the event that steam in commercial quantities is not discovered or the field is completely utilized, the pads should be abandoned according to all existing federal, state, and local requirements and regulations, including scarifying the pad surface, placing stockpiled topsoil on the pad, fertilizing as required, and planting with suitable grasses and/or shrubs (FEIR Mitigation Measure #35).
- If, upon completion of drilling, an access road is to be abandoned, it should be done according to good engineering practice with permanent drainage facilities installed (FEIR Mitigation Measure #36).
PHYSIOGRAPHY AND GEOLOGY: Geothermal Resource Utilization-Resource Depletion
Impact: The primary significant adverse impact caused by utilization of the geothermal resource is the lack of future benefits caused by depletion.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; California Regional Water Quality Control Board; and California Energy Commission).
C) Specific economic, social and or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting the Finding:
As discussed in Section 22.214.171.124 of the FEIR, recent study has concluded that a properly planned injection project can extract additional heat from the formation and positively impact both the reservoir pressure and flowrate while minimizing thermal breakthrough to the offset wells. The estimated field life using volumetric analysis is 108 years and using heat recovery analysis is
60 years. In addition, installation of energy conserving features within the geothermal energy production process will have the benefit of improving power generation efficiency.
Without injection, Shook and Faulder (1991) have projected (at the current rate of production) the reservoir would be depleted within 15 years. In 12 years, over 95 percent of the mass initially present would be produced and only about 4 percent of the energy recovered. The model indicated that by injecting 30 percent of the mass produced, energy recovery would increase by 35 percent, to a total of 5.4 percent of the energy in place.
When Shook and Faulder (1991) modeled the reservoir using 60 percent injection, quenching had an appreciable immediate negative impact on energy production as indicated by the delay in heat extracted. However, this large amount of injection increased the life of the reservoir. When model was terminated at 40 year duration, approximately 40 percent of the recoverable mass still remained. This amount was on the order of the mass initially in place, thus they concluded that the energy extraction could nearly be doubled with a reservoir fluid injection program. Unfortunately, to attain an injected mass exceeding the amount of condensate water available from the energy generation will impact other very limited water sources in the region. It is noted that these data are estimates and that the actual benefits of injection are not precisely known.
Because reservoir injection is believed to improve energy recovery, the following measures to conserve the resource have been adopted to address resource depletion:
- The most effective mitigation measure is conservation of the resource during energy production. However, since The Geysers energy production is an alternate energy source for fossil fuels the premiss of using a substitute energy source is non-viable (FEIR Mitigation Measure #37).
- By using operational measures such as cycling, load following, and puffing (shut down and then reopening) increased conservation of the resource is achieved by delivering loads in a cyclic manner consistent with demand. In that each source is somewhat unique, each of these measures would need to be reviewed in depth prior to large scale implementation (FEIR Mitigation Measure #38).
- By installing binary recovery equipment the lower-pressure lower-temperature steam exhausted from the typical six stage turbines systems used can capture additional energy. This would increase overall plant efficiency and conserve the resource (FEIR Mitigation Measure #39).
- In order to mitigate fluid loss from the reservoir, current injection of process water from the plants could be supplemented with additional process water, impoundment water, municipal water, or sewage effluent. Extra process water could be derived if more efficient cooling towers are constructed. Water from impoundments would require the construction of such, as well as collection and distribution systems. This is undesirable for it would be land intensive. Municipal water, if used, would draw upon the domestic and agricultural water supply and would create other impacts: Using effluent from a
nearby public works facility would require construction of a delivery system. With any of these efforts there remains the unknown consequences of artificially recharging the reservoir in higher quantities (FEIR Mitigation Measure #40).
Though some effort to develop surface water resources for geothermal purposes has occurred in The Geysers, it is recognized that sources of water for reinjection are very limited. Groundwater is not abundant enough nor adequately recharged to supply a secondary source of injection water. For this reason the operators do not use it, except wells are maintained on some leases for fire fighting purposes and potable water.
The construction of impoundments on any of the local water course, of a size adequate enough to contribute a substantial amount of water for reinjection, would have significant negative impacts. There have been proposals to transport water from several locations south of the project area via pipeline to The Geysers area, including up to 4 million gallons of treated wastewater per day initially. Constraints to wastewater injection include costs and cooperation of geothermal companies for implementation. Complete analysis of short-term and long-term impacts of wastewater injection warrants further study.
Consequently, it is not known whether any reinjection program (as mitigation) is feasible. Also, before any injection program could be implemented, additional research on the steam reservoir and its mechanics must be completed. A study is presently underway. Based on the uncertainties of research results and water availability, any additional development of the steam resource at The Geysers is considered to exacerbate the resource depletion in locations where the steam production rates are declining.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts of resource depletion.
**No Project Alternative**
Implementation of the No Project Alternative would mean that the State Lands Commission would not offer any of the lands within the study area for leasing for geothermal resources. These resources would remain undeveloped for the foreseeable future. From the standpoint of the unavoidable adverse impact of depletion of the geothermal resource, adoption of this alternative would reduce but not eliminate the impact. Existing operations have had major impact on resource depletion and may or may not cooperate in conservation if it negatively affects existing resource production.
**Leasing Portions of the Project Areas**
This alternative involves leasing one or two of the three project areas identified for prospective leasing. The reasons for omitting any particular leasing area could be numerous; however, this analysis assumes that the reason would be lessened demand for reinjection fluids. While this alternative could perhaps accomplish that purpose, it would not have any effect of reversing resource decline relative to existing operations.
Prohibiting Construction of Power Plants
This alternative would allow construction of steam fields in the area, but not development of new power plants. Since this alternative does eliminate such activity, the unavoidable adverse impacts of resource depletion would still occur.
Alternative Land Uses
This alternative is based on the assumption that the State Lands Commission could encourage alternative land uses, other than geothermal uses, to be established on the leasehold areas. The State Lands Commission is limited in its ability to establish or encourage land uses beyond its jurisdiction to lease lands for resource and mineral development. Local land use approvals for any use subsequent to leasing are under the purview of the local county governments with jurisdiction. The state does own the lands on Cobb Mountain within the designated lease area and would have some land use authority there. Uses other than geothermal development do not affect the problem of resource depletion from existing operations.
Alternative Technology
This alternative assumes that alternative technologies could be implemented to exploit the geothermal resources of the project areas. The need for implementation of alternative technologies has several purposes, including the reduction in the physical environmental impacts of more traditional geothermal development, and the extension of the life of The Geysers steam field through conservation and more efficient use of the resources. However, this alternative does not eliminate the need for drilling and extraction of geothermal resources, but by better use of thermal conversion technology, it is possible to reinject a larger portion of the fluids originally extracted.
In conclusion, the No Project, Alternative Technology and Alternative Land Use Alternatives could lessen, but not eliminate the unavoidable impacts of resource depletion at The Geysers. None of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible. The issue of resource depletion must be addressed on an industry-wide basis at the Geysers and the State Lands Commission definitely encourages geothermal operators to implement resource conservation measures at The Geysers.
It is possible that potential new resource locations, however, may be separate pockets of steam resource which are not interrelated to adjacent formations and, as such, development would not contribute to overall resource depletion. An example of this is the Aidlin Field in the northwest area of The Geysers. If development of these individual pockets is postponed, the opportunity might be lost to connect these wells into existing plant delivery networks and/or plants. Since the existing networks and plants might become obsolete or need retirement, the remaining reservoir pockets would not be economically viable to pursue later. This is one major reason for pursuing the proposed leasing at this time rather than reserving options for leasing at some future date.
PHYSIOGRAPHY AND GEOLOGY: Geothermal Resource Utilization-Debilitation of Resource
Impact: Significant adverse impacts will potentially occur from injecting too much water back into the formation or in the wrong location or depth resulting in drowning or thermal breakthrough.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting the Finding:
Drowning causes a phase change reducing the steam to water or making it "wetter". This term would be associated with a pronounced effect on a large area. Thermal breakthrough is associated with injecting too close or shallow relative to a producing well and affecting its production rate. A remote or improbable form of debilitation can also occur from the injection of water that may contaminate (i.e., high in total dissolved solids) the reservoir with material which would adversely effect steam extraction, the generation process equipment, air quality emissions, or process waste water discharge quality.
The significant impacts of resource debilitation can be mitigated to insignificance by incorporating voluntary control measures as follows:
- Geothermal developments occurring on SLC leasing areas shall be conducted in a manner that is consistent with the Interim Coordinated Resource Management Plan for The Geysers, including compliance with future finalization or modifications of the plan that is necessary to conserve the steam resource (FEIR Mitigation Measure #41).
PHYSIOGRAPHY AND GEOLOGY: Geothermal Resource Utilization-Induced Ground Displacement
Impact: A secondary impact of drawing off the resource is surface displacement caused by relief of subsurface pressure. The settlement may then induce seismicity, or seismicity may occur alone. Observed effects of induced ground displacement have been relatively minor at The Geysers, however, the impact is considered potentially significant.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
C) Specific economic, social and/or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting the Finding:
Localized ground subsidence from reduction of fluid pressure in The Geysers has been addressed by Lofgren (1981). Reported was a maximum vertical compression of the reservoir rock of 14 cm (5-1/2 in.) over a 4-1/2 year period. This study was done from 1972-1977.
The data suggest that declines in deep reservoir pressure and rates of horizontal and vertical displacement are greatest soon after new sources of steam are put on line, and diminish as recharge gradients reach a steady state.
The adopted mitigation for induced ground displacement is recharging the reservoir as stated in the following measure:
o Subsidence and induced seismic activities are mitigable by recharging the reservoir by injection. However, for lack of better knowledge on the reservoir the effectiveness in quantifying control of displacement is hardly predictable. Localized displacement has little impact and requires little mitigation (FEIR Mitigation Measure #42).
This impact is considered unavoidable and not mitigated by measures that can be implemented by operators. Ground subsidence has been attributed to geothermal resource extraction and can be reduced by fluid injection. The degree of fluid injection required to offset subsidence is not presently known, therefore, no effective mitigation measure is available.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts of ground subsidence. Of the alternatives considered, and identified previously, the No Project, Alternative Technology and Alternative Land Use Alternatives could lessen, but not eliminate the unavoidable impacts of ground subsidence at The Geysers. The impacts would be reduced by minimizing or eliminating the need for extraction of additional quantities of steam from the area. None of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible.
PHYSIOGRAPHY AND GEOLOGY: Geothermal Resource Utilization-Induced Seismicity
Impact: Micro earthquake activity in The Geysers area has been directly attributed to the withdrawal of the steam resource and is considered a potential significant adverse impact.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
C) Specific economic, social and/or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting the Finding:
Eberhardt-Phillips and Oppenheimer (1984) have attributed seismic activity to steam withdrawal. Lipman, Strobel, and Gulati (1978) identified two main clusters of microearthquakes with two independent pressure sinks resulting from steam production. Micro earthquakes are defined as those up to a Richter scale magnitude of 3, due to movement in limited fault lengths of less than 1.6 km (1 mile). Contraction of the reservoir rock causes micro faulting when existing stresses in the formation are relieved.
Current seismicity is of low magnitude and has unmeasurable effects on the production facilities which are designed for significantly higher ground accelerations. However, tremors propagating through the neighboring communities are a concern to residents.
The adopted mitigation for induced seismicity involves implementation of a program to monitoring horizontal and vertical displacement as follows:
- Before controlled mitigation of seismic activity can be implemented, a sustained monitoring program is needed to measure vertical and horizontal displacements in order to assess the seismic risks in the region. Further research about the dynamics and makeup of the reservoir is needed from production data, geophysical data, and well logs. Without thorough information, the long range effects of steam withdrawal and injection on the geothermal resource cannot be weighed against the benefits of controlling subsidence and seismic activity (FEIR Mitigation Measure #43).
This impact is considered unavoidable and not mitigated by measures that can be implemented by operators. Induced seismicity will continue to occur in association with geothermal
production. Though seismic events and magnitudes associated with geothermal extraction have heretofore been insignificant, this trend cannot be reliably predicted into the future.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts of ground subsidence. Of the alternatives considered, and identified previously, the No Project, Alternative Technology and Alternative Land Use Alternatives could lessen, but not eliminate the unavoidable impacts of induced seismicity at The Geysers. The impacts would be reduced by minimizing or eliminating the need for extraction of additional quantities of steam from the area. None of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible.
PHYSIOGRAPHY AND GEOLOGY: Cumulative Impacts - Resource Depletion
Impact: Cumulative developments may diminish the long-term viability of the geothermal resource. As existing operations have seen a decline in the steam resource, additional development including makeup wells, generically, increases the rate at which the available quantity of heat is extracted from the reservoir. It is not known at this time whether this level of development is actually significant over the expected 60 year life of the field, however, the impact is assumed to be a significant adverse impact.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
C) Specific economic, social and or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting the Finding:
Of importance from a cumulative standpoint is the overall decline in geothermal resource potential in The Geysers which is presently theorized to be accelerated due to lack of reinjection of sufficient quantities of fluids to offset depletion. The only measure available to mitigate this occurrence is to implement area-wide injection to conserve the resource (similar to FEIR Mitigation Measure No. 40). However, because of the lack of sufficient sources of water to support such an injection program and the need for such a program to be adopted industry-wide at The Geysers, this measure is considered to have low feasibility.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified cumulative environmental impacts of resource depletion. Of the alternatives considered, and identified previously under site-specific impacts, the No Project, Alternative Technology and Alternative Land Use Alternatives could lessen, but not eliminate the unavoidable impacts of induced seismicity at The Geysers. The impacts would be reduced by minimizing or eliminating the need for extraction of additional quantities of steam from the area. None of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible.
PHYSIOGRAPHY AND GEOLOGY: Cumulative Impacts - Induced Seismicity
Impact: Induced subsidence is considered a significant adverse cumulative impact, even though substantial impacts from this phenomenon have not occurred previously.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; and California Division of Oil and Gas).
C) Specific economic, social and or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting the Finding:
Geotechnical and seismic hazards present a risk to cumulative geothermal development. Seismic hazards include principally groundshaking, but could also involve fault rupture, seismically-induced liquefaction, and surface subsidence. Any of these potential hazards could have significant short-term adverse impact on geothermal operations, structures, pipelines, and power plant facilities. Of these effects, subsidence can be considered a significant adverse cumulative impact. This phenomenon has thus far not caused accumulated damage to the region because of the low level of developed uses of the area. However, subsidence is believed to be affected (slowed) by injection, and this measure would beneficially apply to cumulative development. Injection is expected to be increased by the operators over time to mitigate the ever increasing decline in steam productivity.
The mitigation measure discussed under site-specific impact is the only one available to mitigate the occurrence of induced seismicity FEIR Mitigation Measure No. 43). However, induced seismicity will continue to occur in association with geothermal production. Though seismic events and magnitudes associated with geothermal extraction have heretofore been insignificant, this trend cannot be reliably predicted into the future.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts of ground subsidence. Of the alternatives considered, and identified previously under site-specific impacts, the No Project, Alternative Technology and Alternative Land Use Alternatives could lessen, but not eliminate the unavoidable impacts of induced seismicity at The Geysers. The impacts would be reduced by minimizing or eliminating the need for extraction of additional quantities of steam from the area. None of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible.
**SURFACE WATER HYDROLOGY: Non-Drilling Exploratory Activities**
**Impact:** Short-term impacts caused by non-drilling exploratory activities involve the potential for a significant increase in sedimentation and erosion, including the increase in potential sediment load in nearby streams as a result of erosion from newly constructed roadways, drill pads, and other construction.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties and California Regional Water Quality Control Board).
**Facts Supporting Finding:**
Non-Drilling Exploratory activities are, by their nature, very focused and localized activities, result in minimal ground disturbance and/or road building, and consequently pose only a minor threat to the surface water or groundwater. The effects of these activities can be mitigated to insignificance through the following mitigation measures:
- The impacts on the surface waters can be reduced or eliminated by proper planning and siting. All available mapping, aerial photography, and available geotechnical reports should be reviewed prior to any exploration, drilling, or construction (FEIR Mitigation Measure #1).
- Plans of exploration shall detail methods to prevent erosion into creeks and streams (FEIR Mitigation Measure #2).
SURFACE WATER HYDROLOGY: Exploratory Drilling
Impact: Exploratory drilling will have significant adverse impact on surface as a result of potential for increased sediment load in streams due to newly constructed roadways, drill pads, and other construction.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; and California Regional Water Quality Control Board).
Facts Supporting Finding:
Construction activities such as building pads, constructing road alignments, building sumps, and general drilling operations will all cause impacts that will be more short-term in nature rather than permanent. It should be pointed out that there are many site-specific impacts that cannot be included in this discussion due the lack of details as to specific locations for drill pads and operational facilities.
Mitigation measures requiring erosion and sedimentation control have been adopted to mitigate the impact as follows:
- The mitigation measures to reduce erosion and sedimentation for pad construction and design are as follows (FEIR Mitigation Measure #3):
- During construction, cut and fill areas should be dammed with hay bales to prevent transport of sediment from construction site.
- Pads shall be compacted to a minimum of 90 percent relative compaction.
- Filled slope banks should not exceed a gradient of 1.5:1. Toes of fills should be stabilized with rock and gravel or keyed into stable soil.
- Hill storage of spoilage should be avoided whenever possible.
- Fill and cut slopes should be seeded, mulched, and fertilized as soon as possible.
- The additional mitigation measures suggested for construction of road alignments are in general the same as those for pad construction plus the following (FEIR Mitigation Measure #4):
- Keep road width to a minimum.
- On hillsides the road surface should slope into the hillside.
- Culverts, drainage ditches and adequate energy dissipaters at transition to natural drainage channels should be installed as necessary.
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
SURFACE WATER HYDROLOGY: Exploratory Drilling
Impact: Exploratory drilling will have significant adverse impact on surface from as a result of potential for spillage of drilling fluids and/or fluids discharged from blowouts.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting Finding:
If oil, grease, or drilling fluid spills occur during the drilling and/or construction operations, these fluids can migrate down slope and into the water courses. The greatest concern is of course for the spillage of drilling fluids during drilling operations. Uncontrolled blowouts of drilling fluids or formation waters can result in overtopping the sumps and loss of fluids into the water courses. Additionally, ground compaction will result from the stripping of vegetation during the construction of drilling and operations pads. This compaction will cause a greater runoff than that normally encountered during rainfall on an area with vegetation and normal soil aeration.
Drilling wastes and test fluids could be produced in fairly large quantities during exploratory well drilling. The accidental deposition of drilling fluids into nearby waters could create significant adverse water quality conditions deleterious to most aquatic organisms. Increased turbidity would reduce visual feeding activity and increase biological and chemical oxygen demand.
The following mitigation measures requiring proper design of sumps, dikes, and berms, as well as preparation of contingency plans for emergency spills have been adopted as follows:
During drilling operations, in addition to the above listed measures, the following additional measures should be taken (FEIR Mitigation Measures #5):
- Sumps should always be maintained with at least 3 feet of freeboard to accommodate blowouts, excess formation fluids, or heavy rains.
Proper berms and dikes should be strategically placed to guard against the accidental release of oils, grease, and cleaning solvents during drilling operations.
Lessee/operator shall prepare a viable contingency plan for spills and emergency pumping of the sump in the event of a heavy, unexpected rainfall or if excessive geothermal fluids are encountered. The plan shall show who is responsible and what equipment and manpower is available to respond to such an emergency (FEIR Mitigation Measure #6).
The primary protection of the groundwater is accomplished by proper lining of all sumps and monitoring sumps on a monthly basis (FEIR Mitigation Measure #7).
Everyone on the drilling pad or facility pad must be constantly aware of any leaks, spills, or disposal of any liquid wastes directly onto the ground (FEIR Mitigation Measure #8).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
**SURFACE WATER HYDROLOGY: Lease Development**
**Impact:** The significant impacts to surface waters resulting from full scale development of the resources are the same as those resulting from exploratory drilling except that the magnitude of potential construction projects is much greater which increases the potential or frequency of impacts.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
**Facts Supporting Finding:**
The development of the lease into production status may involve one or more of the following: drilling additional wells, building a generation plant, constructing pipelines, feeder transmission lines, and providing required access. Measures to protect surface waters which require consideration of flood flows and proper setback from active streams have been adopted as follows:
- All measures listed for Exploratory Drilling above also apply to field development drilling (FEIR Mitigation Measure #9).
Roads and pipelines crossing riparian areas shall be minimum safe widths and constructed for maximum erosion control (FEIR Mitigation Measure #10).
Proposed development projects that involve riparian areas, wetlands, and wet meadows subject to possible local flooding or seasonal inundation shall include appropriate setbacks from such wet areas (FEIR Mitigation Measure #11).
Floodplain management practice shall be applied in all designated 100-year floodplains (FEIR Mitigation Measure #12).
The development of generating technologies that have the potential for using less water or increasing the use of recycled water and wastewater shall be encouraged (FEIR Mitigation Measure #13).
The foundation design for the power plant facilities should take into account the potential for high seasonal groundwater levels (FEIR Mitigation Measure #14).
It is advisable to monitor the spring(s) in proximity to a thermal gradient boring during and for some period following completion of the boring. Such monitoring shall be accomplished by a certified groundwater hydrologist (FEIR Mitigation Measure #15).
In order to preserve the hydrologic integrity of the project area, the applicant shall obtain by right or purchase all water used in the drilling process or dust control. The equipment service and fuel transfer area and the area occupied by the drilling rig shall drain into the sump (FEIR Mitigation Measure #16).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
**SURFACE WATER HYDROLOGY: Operation and Maintenance**
**Impact:** The potential of contamination of surface water via liquid wastes is a potential significant adverse impact.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; and California Regional Water Quality Control Board).
Facts Supporting Finding:
Deleterious liquid wastes occur as formation liquids produced during utilization of the steam and/or condensate from well heads and valve locations. Constituents found in geothermal condensate around valves and wellheads at other locations may show high concentrations of boron, arsenic, and mercury. While most liquids produced are expected to be re-injected into the formation, there is always the potential for the liquids to be released into the surface waters of the area.
The extent of degradation of natural waters resulting from accidental spills depends on the quantity and composition of the initial spill, pH of spilled materials, the intensity and duration any rainfall which may occur during the spill, the flow and quality of receiving waters which determine the dilution factor, and chemical reactions influencing the ultimate deposition of waste materials. An increase in salinity could result in toxic responses from organisms in the waterway. Trace metals and other minor components could accumulate in food chains, causing sublethal and/or lethal effects, depending upon concentrations and component.
The following measures requiring proper waste disposal are proposed to minimize this potential adverse impact:
- All waste, whether liquid, solid, or gaseous must be disposed of in compliance with existing federal, state and county regulations. No waste shall be allowed to enter any streams, creeks or other body of water. Disposal of well effluents must take into account effects on surface and subsurface waters, plants, fish, and wildlife and their habitats, atmosphere, or any other effects which may cause or contribute to pollution (FEIR Mitigation Measure # 17).
- In no event shall the contents of a pit, sump, or test pond be allowed to: a) contaminate streams, artificial canals or waterways, groundwaters, lakes or rivers; b) adversely affect the environment, persons, plants, fish and wildlife and their habitats; or c) damage the aesthetic values of the property or adjacent properties (FEIR Mitigation Measure # 18).
- During suspension of operation, sumps and test ponds are to be filled and covered and the premises restored to a near natural state as prescribed by the agencies of jurisdiction (FEIR Mitigation Measure # 19).
- Culverts and ditches shall be regularly cleaned and maintained to reduce the possibility of overflow and resultant erosion and siltation (FEIR Mitigation Measure # 20).
- Adequate energy dissipaters shall be installed at transitions from culverts and drainage ditches into natural water courses to prevent erosion of the natural water course (FEIR Mitigation Measure #20a).
- As an added precaution, a vacuum truck should be available at all times to remove spilled condensate, or to remove excessive waste water from the condensate pond and drill sump in case heavy rains cause overflow (FEIR Mitigation Measure #21a).
Drainage into natural waterways should not increase water head to the point of unnatural channel abrasion, nor carry excessive siltation which might adversely impact water quality (FEIR Mitigation Measure # 22).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
**SURFACE WATER HYDROLOGY: Operation and Maintenance**
**Impact:** A potentially significant adverse impact is the over-use of the surface waters in the geothermal operations. Additionally, the impact of development of water resources in area watersheds is seen as a significant adverse impact due to the extremely limited nature of the resource.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; and California Regional Water Quality Control Board).
**Facts Supporting Finding:**
While most operators indicate that they intend to use condensate waters for routine plant operations, some operators in the area are using large volumes of water from the surface streams for general operations and for additional injection to create a better return potential of steam. Since the area does not have a large watershed and high rainfall, water resources are very limited. The development of water resources on area streams represent a significant adverse impact.
Mitigation measures implementing surface water protection and monitoring programs have been adopted as follows:
- Encourage use of alternative sources of water for injection which are both technically feasible and environmentally acceptable (FEIR Mitigation Measure # 23).
- Water resources are to be protected for existing and future beneficial uses, including for residential, commercial, and agricultural needs. Water rights are to be protected to accommodate projected long-term water needs. Geothermal water use and reservoir management practices shall be conducted in a comprehensive manner which do not adversely affect existing beneficial uses (FEIR Mitigation Measure # 24).
The lessee/operator should compile a list of residents who obtain water from the creeks involved in each project. These residents should be promptly notified in the event of any spill or discharge which would impact water quality and which requires notification of the Regional Water Quality Control Board. Addresses and phone numbers of these residents should be part of a spill contingency plan (FEIR Mitigation Measure # 25).
Water quality monitoring programs shall begin at least 1 month prior to the onset of pad construction if the water course is subject to an ongoing sampling program (FEIR Mitigation Measure # 26).
If the lessee/operator elects to conduct or participate in a larger and more comprehensive water quality program, such a proposal must be submitted to and accepted by the County Planning Department and begun prior to the commencement of construction activities (FEIR Mitigation Measure # 27).
Information concerning chemical and isotopic makeup of geothermal fluids encountered in the course of development of any well on a pad located within 3,960 feet of a natural thermal spring developed and maintained for current use, shall be provided to the county for use in determining the relationship, if any, between the geothermal resource and the natural spring waters. Such information shall be considered confidential between parties with a "need to know" and shall not be public knowledge (FEIR Mitigation Measure # 28).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
SURFACE WATER HYDROLOGY: Abandonment
Impact: Impacts to surface waters are potentially significant for the short-term period and are similar in nature to the impacts for the exploratory wells, particularly soil erosion and sedimentation impacts.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; California Division of Oil and Gas; California Regional Water Quality Control Board).
Facts Supporting Finding:
When the project has reached its useful life, the facilities, the pipelines and the wells must be abandoned and removed, causing impacts very similar to that of construction of well pads and roads. The impacts will be transitory in nature and very short-lived. Measures to mitigate such impact, including proper abandonment according to agency regulations, are as follows:
- Upon completion of any phase of the project, the site shall be cleared of all unnecessary materials and restored insofar as practical, in accordance with the requirements of the California Division of Oil and Gas, California Regional Water Quality Control Board, SLC, and county use permit conditions (FEIR Mitigation Measure # 29).
- When no longer needed, sumps and test ponds are to be filled and covered and the premises restored to a near natural state as prescribed by the agencies of jurisdiction (FEIR Mitigation Measure # 30).
- Within 15 days of the removal of drilling equipment, sump fluids (both mud and supernatant liquids) shall be chemically analyzed for hazardous materials, biologically sensitive materials, heavy metals, and acids, unless waived in writing by the County Planning Director (FEIR Mitigation Measure # 31).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
GROUNDWATER HYDROLOGY: Exploratory and Operations Phases
Impact: There is potential for significant impact to the limited ground water resources during the drilling and operations phases as a result of, 1) accidental seepage of drilling fluids and other stored fluids through the liners of the sumps on the drilling pads, 2) accidental seepage into the ground of oils, grease, and/or cleaning solvents, and 3) migration of formation fluids up and into the groundwater zones as a result of faulty cement jobs and completion practices.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting Finding:
Groundwater occurrence and usage in the area is minimal. In general, the resource is very limited. The migration of drilling fluids into surrounding groundwater sources would have an effect quite similar to that caused by the drilling of regular domestic water wells in the area. Most of the wells are drilled using drilling muds and are developed into potable water sources. Should the drilling fluids of the geothermal test, or production wells be introduced accidentally into the groundwater, the principal problem created would be a short-term increase in finely disseminated sediment, assuming the drilling muds used were a biodegradable, non-toxic type mud. Mitigation in the form of sump lining and monitoring has been adopted as follows:
o The primary protection of the groundwater is to be accomplished by proper lining of all sumps and monitoring same on a monthly basis (FEIR Mitigation Measures # 32).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
SURFACE AND GROUNDWATER HYDROLOGY: Cumulative Impacts
Impact: The potential for significant, hydrologic impacts from increased sedimentation is high for a short duration during and shortly after construction of future geothermal development sites.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; County Air Pollution Control Districts; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting Finding:
Potential sources of surface water degradation include increased sedimentation from the clearing and grading of land for access roads, drill pads, and power facilities for the cumulative development projects. However, these significant cumulative impacts can be mitigated by designing and constructing settling basins for the localized man-made drainage courses which drain into the natural watercourses and by implementing the measures described above for site-specific impacts on a case-by-case basis. No additional mitigation measures are necessary to address cumulative surface water impacts from sedimentation.
SURFACE AND GROUNDWATER HYDROLOGY: Cumulative Impacts
Impact: With cumulative developments, the probability of accidental spills or discharge of toxins into the environment by release with steam will incrementally increase and is potentially significant. These impacts will add to the subtle long-term water quality impacts experienced in the area which are attributed to geothermal development.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
Facts Supporting Finding:
With cumulative projects, potential spills of hazardous waste materials, and the condensation of vented steam which contains toxic constituents such as H₂S and ammonia could increase. Mitigation to prevent such occurrences includes the development and implementation of operational plans for the collection, handling, and disposal of these materials within the established framework of the existing regulatory agencies. Such measures have been discussed under site specific impacts and are applicable to the cumulative impact. Additionally, monitoring of water quality has been done at times at the Geysers and presents a beneficial way to quantify the incremental water quality effects which may occur. It is proposed to expand the monitoring program to the proposed project areas as follows:
- Cumulative impacts relative to incremental water quality effects are monitored on an area-wide basis. Applicants in proposed project areas shall participate in the area-wide monitoring programs (FEIR Mitigation Measure #33).
Upon implementation of the mitigation measure described above, the significant adverse impacts will be reduced to levels considered acceptable and therefore insignificant.
SURFACE AND GROUNDWATER HYDROLOGY: Cumulative Impacts
Impact: Any significant diversion of surface water for reservoir injection will significantly diminish water quality and aquatic habitats, as well as significantly reduce the amount of water available for domestic, agricultural, and other needs.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by such other agency or can and should be adopted by such other agency (Lake, Sonoma and Mendocino Counties; California Division of Oil and Gas; and California Regional Water Quality Control Board).
C) Specific economic, social and/or other considerations make infeasible the mitigation measures or project alternatives identified in the Final EIR.
Facts Supporting Finding:
A potential long-term water quality and supply impact involves use of surface water sources for reservoir injection. The implementation of an area-wide reservoir injection program to conserve the geothermal resource has been discussed as a means of extending the life of The Geysers steam resource. One source of water for the reinjection program would be the development of local surface and/or groundwater sources.
A possible alternative to the use of surface water runoff and/or local groundwater to augment injection is the use of effluent from publically-owned treatment works (POTW). To provide effluent to The Geysers would require a piping and pumping system from the POTW to the power plants. The plants would then utilize the existing distribution system to the injection wells. Upon review of the amount of effluent that could conceivably be made available, there may be sufficient quantity optimize energy extraction. As the steam field ages, a secondary source of injectate will be essential to maintain a certain level of steam output. In order to mitigate an adverse cumulative impact on surface water supply, a reservoir injection program is proposed as follows:
- The implementation of an area-wide reservoir injection program to conserve the geothermal resource as discussed under cumulative geologic mitigation measures would require a corresponding program to develop local surface and/or groundwater sources to support reinjection. While such a program could provide some disposable water supplies, coupled with advances in technology which produce greater steam efficiency and greater condensate for reinjection, the amount of freshwater available for this use is limited. Rather than developing water resources on a case-by-case basis, an industry effort should be made to assess reinjection needs on reservoir basis, and to develop comprehensive measures to meet reinjection needs.
The mitigation measures described above will reduce the significant adverse impacts to levels considered acceptable and therefore insignificant. However, before any resource conservation/injection program could be implemented, a program for development of sufficient fluid injection sources needs to be implemented. The uncertainties of the availability of sufficient fluids is a major factor affecting conservation of the steam resource at The Geysers. Due to these
uncertainties, the potential demand for surface water sources with the increase in geothermal production remains a significant unmitigated impact.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts.
**No Project Alternative**
Implementation of the No Project Alternative would mean that the State Lands Commission would not offer any of the lands within the study area for leasing for geothermal resources. These resources would remain undeveloped for the foreseeable future. From the standpoint of the unavoidable adverse impact on surface and groundwater resources, adoption of this alternative would reduce but not eliminate the impact. Impetus to develop surface water sources for injection presently exists with current operations, and will occur with future operations.
**Leasing Portions of the Project Areas**
This alternative involves leasing one or two of the three project areas identified for prospective leasing. The reasons for omitting any particular leasing area could be numerous; however, this analysis assumes that the reason would be lessen demand for reinjection fluids. While this alternative could perhaps accomplish that purpose, it would not have any effect of reducing demand for reinjectate relative to existing operations.
**Prohibiting Construction of Power Plants**
This alternative would allow construction of steam fields in the area, but not development of new power plants. Since this alternative does eliminate such activity, the unavoidable adverse impacts of surface and groundwater resources could still occur.
**Alternative Land Uses**
This alternative is based on the assumption that the State Lands Commission could encourage alternative land uses, other than geothermal uses, to be established on the leasehold areas. The State Lands Commission is limited in its ability to establish or encourage land uses beyond its jurisdiction to lease lands for resource and mineral development. Local land use approvals for any use subsequent to leasing are under the purview of the local county governments with jurisdiction. The state does own the lands on Cobb Mountain within the designated lease area and would have some land use authority there. Uses other than geothermal development may or may not involve demand for surface water and groundwater resources.
**Alternative Technology**
This alternative assumes that alternative technologies could be implemented to exploit the geothermal resources of the project areas. The need for implementation of alternative technologies has several purposes, including the reduction in the physical environmental impacts of more traditional geothermal development, and the extension of the life of The Geysers steam.
field through conservation and more efficient use of the resources. However, this alternative does not eliminate the need for drilling and extraction of geothermal resources, but by better use of thermal conversion technology, it is possible to reinject a larger portion of the fluids originally extracted.
In conclusion, the No Project, Alternative Technology and Alternative Land Use Alternatives could lessen, but not eliminate the unavoidable impacts on demand for surface and groundwater supplies. None of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible, notwithstanding efforts by State Lands Commission to encourage geothermal operators to implement resource conservation measures at The Geysers.
BIOLOGICAL RESOURCES: Non-Drilling Exploration Activities - Vegetation
Impact: Trampling and removal of vegetation during exploration may be potentially significant if rare or sensitive plants are impacted.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
Facts Supporting the Finding:
Surface and shallow geochemical and geophysical testing will require the removal of vegetation to gain vehicular access to some test locations. Workers may also cause localized trampling of vegetation in the test areas. Though these impacts would not be significant in terms of a substantial vegetation disturbance, they could be potentially significant if suitable habitat for rare or sensitive plant species is affected.
The potential for significant adverse impacts to rare and sensitive plant species will be reduced to insignificant levels through implementation of measures requiring site-specific rare plant surveys as follows:
o A site-specific plant survey and rare plant survey shall be conducted by a qualified biologist in accordance with guidelines developed by the California Native Plant Society as recommended by the California Department of Fish and Game (FEIR Mitigation Measure #1).
BIOLOGICAL RESOURCES: Non-Drilling Exploration Activities - Wildlife
Impact: Access road construction could negatively impact active large mammal (such as coyote) den sites.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
Facts Supporting the Finding:
Due to the minor amount of habitat alteration and relatively short duration of exploration activities in any given area, overall wildlife impacts would be minimal during the exploration phase of the project. However, construction of new access roads could impact any active large mammal dens located along the routes.
Implementation of the following mitigation measure requiring survey for carnivore dens will reduce adverse impacts to insignificant levels:
A survey shall be conducted by a qualified wildlife biologist to assure no active carnivore dens are present. If an occupied den is found, appropriate procedures shall be taken to assure the safety of occupants. Such actions may include relocation of the occupants by a qualified wildlife biologist (FEIR Mitigation Measure #2).
**BIOLOGICAL RESOURCES: Exploratory Drilling - Vegetation**
**Impact:** Exploratory drilling activities could potentially remove or damage rare or sensitive plant populations.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties).
**Facts Supporting the Finding:**
Exploratory drilling will require brush clearing for road construction, road widening, clearing of drilling pad sites, and other exploration activities. These operations could inadvertently damage or remove rare or sensitive plant species.
Rare or sensitive plants could also be damaged in the event of an accidental spillage of hot liquids. (Mitigation measures to prevent such spills are discussed in all phases of the surface water and groundwater hydrology sections of these Findings.)
The potential for significant adverse impacts to sensitive plant life resulting from exploratory activities will be reduced to insignificant levels through implementation of measures to avoid sensitive plant populations as follows:
- The construction period should avoid seasons of the year in which erosion potential is high (generally November through May) (FEIR Mitigation Measure #3).
- Removal of or injury to sensitive plant species shall be avoided. To minimize the possibility of accidental damage to sensitive plant populations by machinery or human activity, locations of such populations should be flagged or fenced prior to exploration or construction. During construction, periodic monitoring by a qualified botanist shall be conducted in order to ensure the integrity of the population (FEIR Mitigation Measure #4).
- If removal or injury to a sensitive plant population cannot be avoided, partial mitigation is possible through the development and implementation of a management plan for each
species affected, prior to such removal or injury. Such a plan shall include, at minimum: 1) research into the reproductive ecology of the species, so as to evaluate the potential success of various management options (e.g., transplantation, seeding); 2) assessment of the surrounding habitat in terms of its potential to support the species; 3) research into the genetics of the species, sufficient to determine the minimum population size required for long-term existence of the population; 4) monitoring of the management area for three years or more, depending on the life span of the plant and the success of management efforts (FEIR Mitigation Measure #5).
Stepped benches shall be used where appropriate and as considered necessary by a revegetation specialist (FEIR Mitigation Measure #6).
Woody vegetation, stumps, and brush should not be buried on site but preferably chipped and spread as mulch over project cut and fill or incinerated in a safe manner (FEIR Mitigation Measure #7).
Mechanical stabilization without reseeding should be permitted on areas where construction is not complete or scheduled for continuation the following year. Mechanical stabilization is defined as measures to prevent or reduce to small amounts soil loss over the rainy season (FEIR Mitigation Measure #8).
Road construction, exploratory drilling, and power plant development in riparian areas shall be avoided (FEIR Mitigation Measure #9).
**BIOLOGICAL RESOURCES: Exploratory Drilling - Wildlife**
**Impact:** Modification of the existing wildlife habitat could result in the significant loss of den sites for larger carnivores (such as coyotes).
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties).
**Facts Supporting the Finding:**
Exploratory drilling will result in considerable local modification of wildlife habitat. Construction of the drilling pad and sump will result in 100 percent removal of native vegetation in areas encompassing approximately 2.5 acres per pad, that would otherwise serve as food, shelter, and nesting sites for wildlife. This impact will be greatest in Project Area No. 3, where drill pad construction will likely require the removal of portions of yellow pine forests.
Important den sites for larger carnivores including gray fox and coyote may be lost constituting a significant adverse impact.
Auditory and visual disturbance during exploration drilling will modify wildlife behavior in the vicinity. Negative impacts could include a reduction in foraging success, predator avoidance, and courtship. Wildlife response to ongoing disturbances is highly variable. Some species (such as deer and coyotes) habituate quickly, while more secretive species (such as gray fox and bobcat) do not, and may be displaced. These impacts are considered temporary.
Implementation of the following mitigation measures requiring survey for carnivore dens and erecting fences avoiding wildlife corridors will reduce adverse wildlife impacts to insignificant levels:
- As with non-drilling exploration, a survey shall be conducted by a qualified wildlife biologist to determine if active carnivore dens are present prior to exploration activity. Fence lines shall be positioned as to not block movement corridors of grazing animals or wildlife (FEIR Mitigation Measure #10).
**BIOLOGICAL RESOURCES: Exploratory Drilling - Aquatic Resources**
**Impact:** Exploratory drilling could increase sedimentation rates, and accidentally spilled toxic materials could wash into streams.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Regional Water Quality Control Board).
**Facts Supporting the Finding:**
Access road construction and/or widening, clearing of the drill pad sites, disposal of soils, and construction of the drilling pad sumps would have a similar but greater potential to cause erosion and increase sedimentation than the non-drilling exploratory phase of the project. As discussed in the previous section, excess sedimentation could have adverse impacts on fish and invertebrate populations.
There is also a chance for potentially toxic materials to be spilled and eventually flow or be washed into streams during exploratory drilling. A spill of drilling fluid could have acute adverse impacts on aquatic life. An uncontrolled blowout could also expel drilling fluids or formation waters could also result in these fluids entering into streams.
The potentially significant adverse impacts resulting from increased sedimentation into streams can be reduced to insignificant levels by implementing measures to prevent such runoff from reaching surface waters as follows:
- Cut and fill areas shall be dammed with sandbags during construction to prevent transport of sediment from the construction site (FEIR Mitigation Measure #11).
- Proper grading measures shall be taken to minimize the amount of soil runoff entering natural drainages. Sedimentation rates and turbidity levels should be monitored prior to and during all phases of drilling exploration and facility construction (FEIR Mitigation Measure #12).
**BIOLOGICAL RESOURCES: Full Field Development - Vegetation**
**Impact:** Removal of a significant amount of vegetation for field development and power plant construction and or impact from accidental spill is a potentially significant adverse impact.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Regional Water Quality Control Board).
**Facts Supporting the Finding:**
The removal of substantial acreage of natural vegetation communities for power plant construction and construction of new roadways is considered a significant impact, and highly significant if such removal occurred in a sensitive habitat such as serpentine grassland or chaparral, riparian community, or freshwater wetland. Removal of vegetation for power transmission facilities, and possible injury of adjacent vegetation due to erosion from unvegetated soils, would result in potentially significant impacts. The extent of these impacts would depend on the number of transmission towers and other facilities required by individual power plants, and on whether or not such facilities were located in a sensitive habitat. Mitigation measures requiring revegetation plans and avoidance of sensitive resources have been adopted to reduce field development impacts to insignificant levels as follows:
- All mitigation measures applicable to Exploratory Drilling - Vegetation shall also apply to Field Development (FEIR Mitigation Measure #13).
A revegetation and landscaping plan shall be developed which utilizes native plant species of the area. Source material for revegetation should be local in order to minimize disruption of the genetic structure of adjacent, undisturbed plant populations. The plan should include provisions for monitoring and care of the vegetation until the plants are established, so as to ensure that the revegetation is successful (FEIR Mitigation Measure #14).
Revegetation of the power plant site shall be accomplished in two phases. First, the site shall be hydroseeded following application of straw. Second, woody species will be planted one year following construction (FEIR Mitigation Measure #15).
Topsoil shall be stockpiled for later respraising over the disturbed areas prior to revegetating as recommended by a revegetation specialist (FEIR Mitigation Measure #16).
In areas requiring removal of vegetation but no grading, root crowns shall be left intact so as to retard soil erosion (FEIR Mitigation Measure #17).
Where technically possible, roadways shall be aligned with existing dirt roads and jeep trails to decrease habitat disturbance. Portions of old jeep trails and dirt roads that closely parallel newly constructed roads, and are to be abandoned, shall be scarified and seeded to reestablish vegetation cover (FEIR Mitigation Measure #18).
Tree removal shall be minimized, particularly larger oaks. When large oaks are cut down; they should be trimmed (leaving major side branches), nest holes should be bored (various diameters from 1 to 6 inches), and the trees mounted upright in chaparral area to function as hard snags. Selection of trees and precise placement of artificial snags should be determined by on-site consultation with a qualified wildlife specialist (FEIR Mitigation Measure #19).
Jute netting or hydromulch shall be installed on cut and fill slopes. Longer slopes shall be terraced. When disposing of drainage on a long fill, an apron or discharge pipe will be placed at the bottom of the fill to avoid gullying. Energy dissipators shall be installed at the point of discharge (FEIR Mitigation Measure #20).
To consolidate the soil and provide forage at chaparral and open woodland sites, such areas shall be seeded with forage grasses and other suitable native herbs (FEIR Mitigation Measure #21).
**BIOLOGICAL RESOURCES: Full Field Development - Wildlife**
**Impact:** Considerable local modification of wildlife habitat will result, particularly at power plant sites.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR (Lake, Sonoma and Mendocino Counties; California Department of Fish and Game).
Facts Supporting the Finding:
Wildlife impacts associated with full development of the lease properties are similar to those described for the non-drilling exploration, and drilling exploration phases of the project, but on a substantially greater scale, involving approximately 50 to 100 ha (110 to 220 ac) per power plant site. The extent of the impacts is dependent on the specific location of development relative to key wildlife resources such as perennial drainages. Fossorial mammals and reptiles will be displaced or killed with the full-scale construction of the plant facilities, and den sites for larger carnivores will be removed. Loss of occupied maternal dens will have the greatest impact on the carnivore populations.
Implementation of the following mitigation measures requiring avoidance of critical habitat and consideration of threatened and endangered species will reduce adverse wildlife impacts during the full field development phase to insignificant levels:
- All wildlife mitigation measures applicable to Exploratory Drilling shall also apply to Field Development (FEIR Mitigation Measure #22).
- New high voltage electrical transmission lines shall not be located in a manner that may potentially harm the critical habitat of any rare, endangered, threatened or protected animal or plant species. Species that are under consideration for the inclusion in either the state or federal rare and endangered species lists are included in this policy (FEIR Mitigation Measure #23).
- Large snags and old trees with cavities shall be preserved to provide wildlife habitat (FEIR Mitigation Measure #24).
BIOLOGICAL RESOURCES: Full Field Development - Aquatic Resources
Impact: Exploratory drilling could increase sedimentation rates, and accidentally spilled toxic materials could wash into streams.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR (Lake, Sonoma and Mendocino Counties; California Regional Water Quality Control Board).
Facts Supporting the Finding:
The impacts of development would be similar to those of exploratory drilling except that the much more extensive construction and drilling of a greater number of wells might increase the potential and the scale of impacts. Vegetation removal and road and facilities construction for geothermal development within the project areas, again, would have the potential to increase sedimentation in streams resulting in possible sedimentation impacts on aquatic communities. Spills or accidents involving drilling fluids, formation waters, oil and grease or other materials might introduce toxic chemicals to the streams and cause lethal or sublethal effects on aquatic organisms.
Implementation of the following mitigation measure establishing a streamside conservation area will reduce adverse aquatic resource impacts during the full field development phase to insignificant levels:
- A permanent streamside conservation area of 100 feet, from the top of the bank, shall be established along Squaw Creek and other designated steelhead resource streams. On discretionary permits subject to environmental review, the conservation area may be expanded to include all riparian vegetation and a buffer zone of 10 feet from the outside drip line of the riparian canopy. However, in no instance shall the corridor, inclusive of the buffer zone, exceed 200 feet from the top of the bank (FEIR Mitigation Measure #25).
BIOLOGICAL RESOURCES: Operation and Maintenance - Vegetation
Impact: As in earlier phases of the project, there is a potential for a significant adverse impacts to vegetation resulting from steam emissions, and from accidental spills.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies.(Lake, Sonoma and Mendocino Counties; California Regional Water Quality Control Board).
Facts Supporting the Finding:
Other than continued potential for impacts from toxic constituents of the steam emissions to impact nearby vegetation, and the potential for an accidental spill of material which is toxic to plant life, operation and maintenance of the steam field and associated facilities is not expected to result in impacts beyond those described for earlier phases of the project.
Previous mitigation for aquatic impacts are applicable. Implementation of the following mitigation measure will reduce adverse vegetation impacts during the operation and maintenance phase of the project to insignificant levels:
- Monitoring of the health of vegetation which is potentially impacted by steam emissions shall be conducted for proposed facilities. The results of this study shall be incorporated into future site-specific environmental assessments (FEIR Mitigation Measure #26).
- Appropriate substrate, (i.e. soil), should be present and properly prepared for a seed bed for revegetation. Application of seed should occur at optimum times of the year for rapid germination and vigorous growth. Applications of surface stabilizing mulches should be applied before or immediately after seeding to control sheet erosion. Long-term establishment of vegetation should have precedence over short-term expediency; however, the first objective should be paramount (FEIR Mitigation Measure #27).
- The entire revegetation program shall be assessed during the spring following initial planting and an evaluation statement prepared by the revegetation specialist. If the original effort is deemed unsuccessful by the County Planning Department or State Land Commission, additional revegetation will be required before the next fall (FEIR Mitigation Measure #28).
- If any well is bled to the atmosphere while awaiting connection to a power plant, H₂S emissions will be abated if potential for substantial damage to vegetation exists (FEIR Mitigation Measure #29).
- Vegetation beyond the construction perimeter should not be disturbed. The clearing limits for pads and roads should be specified in the plans and specifications to be submitted for approval to the County Planning Department of jurisdiction and may not be changed without Planning Director approval. (Depending upon permit requirements, other agencies such as California Department of Fish and Game may need to oppose such plans) (FEIR Mitigation Measure #30).
- Vegetation within fall-out range of bleeding wells should be assessed for damage or growth impedance by a qualified person annually and a report submitted to the County Planning Director of jurisdiction. If damage to the ecosystem is present, mitigation measures should be enacted according to direction from the Planning Department and ultimately State Lands Commission (FEIR Mitigation Measure #31).
- Wildlife habitat shall be periodically studied and evaluated to monitor potential impacts from geothermal development (FEIR Mitigation Measure #32).
- Some downed logs should be left around the perimeter of pads and roads to provide den sites, escape, and thermal cover, as well as perching and courtship sites for wildlife. As they decay, downed logs also return valuable nutrients to the soil (FEIR Mitigation Measure #33).
BIOLOGICAL RESOURCES: Operation and Maintenance - Wildlife
Impact: Additional impact on wildlife species is not expected during this phase of development. However, barriers to reestablishment of wildlife could result in lost opportunities for rehabilitation.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
The continued operation of the steam plant facilities will not impact additional habitat beyond that lost in the development. Some species, initially displaced by construction may return to the vicinity of power plants. In order to encourage this monitor and enhance this return, the following measures have been adopted:
- Wildlife habitat shall be periodically studied and evaluated to monitor potential impacts from geothermal development (FEIR Mitigation Measure #32).
- Some downed logs should be left around the perimeter of pads and roads to provide den sites, escape, and thermal cover, as well as perching and courtship sites for wildlife. As they decay, downed logs also return valuable nutrients to the soil (FEIR Mitigation Measure #33).
BIOLOGICAL RESOURCES: Abandonment
Impact: Improper well abandonment could result in contamination and mortality of surrounding vegetation due to the migration of toxic fluids and could continue to create erosion impacts.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties; Division of Oil and Gas; State Lands Commission).
Facts Supporting the Finding:
The potential for migration of contaminants affecting vegetation mortality as a result of improperly abandoned wells will not be significant providing well abandonment regulations of the State Division of Oil and Gas, and the State Lands Commission are complied with. Overall, impacts on vegetation, sensitive plant species, and wildlife following structure abandonment and site restoration are expected to be positive, providing that replanting of the site utilizes species native to the area.
All potentially significant adverse impacts to vegetation and wildlife resulting from the abandonment phase of the project can be mitigated to levels of insignificance by implementing measures to restore the project sites as follows:
- Prior to abandonment of any geothermal facilities a revegetation and landscaping plan shall be developed which utilizes native plant species of the area. Source material for revegetation shall be local in order to minimize disruption of the genetic structure of adjacent, undisturbed plant populations. The plan shall specify finished grades and shall include provisions for monitoring and care of the vegetation until the plants are established, so as to ensure that the revegetation is successful (FEIR Mitigation Measure #34).
- All project pipelines, wellheads, equipment, and structures shall be removed prior to project abandonment (FEIR Mitigation Measure #35).
BIOLOGICAL RESOURCES: Cumulative Impacts
Impact: Removal of additional acreages of habitat within The Geysers area would have a significant cumulative impact on plant communities and wildlife habitat.
Finding:
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties; Division of Oil and Gas; State Lands Commission; Regional Water Quality Control Board).
Facts Supporting the Finding:
The Geysers-Calistoga KGRA contains an extensive array of plant communities and wildlife habitat, most of which are well represented by sizeable acreages within the project areas. These include serpentine chaparral, mixed chaparral, mixed evergreen forest, yellow pine woodland and forest, oak woodland, and riparian habitat. Removal of additional acreages of these habitats
within The Geysers area, up to 283 ha (700 ac) according to the cumulative scenario, would have a significant cumulative impact on plant and wildlife communities. In addition, there would be significant cumulative impacts on sensitive habitats, particularly serpentine chaparral, old-growth yellow pine woodland, and riparian communities. This is due to representation in the leaseholds of sizeable portions of the Mayacmas Mountains and Cobb Mountain, which are notable within the KGRA in terms of their high frequency of rare plant occurrences and large extent of riparian (Mayacmas Mountains) and old-growth yellow pine woodland (Cobb Mountain).
Cumulative impacts on breeding habitat for sensitive wildlife species which are known to reside or nest in the KGRA, including peregrine falcon, southern bald eagle, golden eagle, osprey, and yellow-billed cuckoo, would not be significant because these species do not nest or reside in the project areas. However, development in the project areas would result in a potentially significant cumulative loss of foraging habitat for raptors, including red-tailed hawk and possibly golden eagle, that may reside outside of the leaseholds. Cumulative loss of wildlife habitat in general, including breeding and foraging habitat for passerine birds and mammals, would be significant. In that siting considerations for cumulative projects can take into account biological habitats, the actual impact is dependent upon the care in which individual projects are designed and undertaken.
No additional mitigation measures are proposed for cumulative vegetation and wildlife impacts. Implementation of the vegetation and wildlife mitigation measures described for the various phases of the project are feasible and will reduce the cumulative significant adverse impacts to insignificant levels.
**BIOLOGICAL RESOURCES: Cumulative Impacts**
**Impact:** Cumulative effects of siltation, introduction of spilled toxic substances, and lowering of the water levels in streams could significantly degrade aquatic resource habitat.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties; Division of Oil and Gas; State Lands Commission; Regional Water Quality Control Board).
**Facts Supporting the Finding:**
Major geothermal development siltation events and material spills have had at most short-term detectable impacts. However, measurements of increased siltation in the vicinity of geothermal operations and corresponding declines in trout have suggested that there may be some long-term
cumulative effects. The potential for cumulative impacts to aquatic resources from geothermal development in The Geysers-Calistoga KGRA was recognized by the staff of the CEC as well as by public planning and regulatory agencies. In response to this concern the KGRA Aquatic Resources Monitoring Program was established in 1981 to monitor water quality, sediments, benthic macroinvertebrates and fish populations (McMillan, 1985). Similarly, to address both short-term and long-term impacts of geothermal development in the Squaw Creek Watershed, the Squaw Creek Aquatic Monitoring Program was established in 1984 (Jordan et al., 1990). To date, it has been very difficult to separate long-term cumulative impacts of stream degradation due to geothermal operations from natural perturbations in The Geysers area.
Because the rate of future development will be less than in previous decades, it is unlikely that there will be significant cumulative impacts on aquatic resources. Because many of the roads and other infrastructure are already in place and because environmental regulations are more stringent than they were prior to the 1980s, each future project should have less impact in terms of siltation, potential for accident and inputs of toxic materials than previous projects, especially those prior to 1980.
Strict adherence to the mitigation measures proposed to control siltation, accidents, and inputs of toxic chemicals as stated previously will help to ensure that cumulative impacts in The Geysers area on aquatic resources are insignificant. As discussed previously, diversion of surface water sources has been considered as a source of reservoir reinjection fluid. Such activities could have significance impact on aquatic resources in downstream watersheds.
CULTURAL RESOURCES: Exploratory Drilling, Field Development, Operation and Maintenance Activities, and Abandonment Phases
Impact: Significant adverse impacts to cultural resources could occur during any phase of the project where ground disturbance will occur.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
Road widening and cutting/filling activities will further disturb known sites which have already been impacted by existing roads and trails. Drill pad and sump construction will involve fairly level areas where cultural sites are likely to be encountered and/or will require extensive clearing and cutting and filling which will disturb relatively large amounts of land, making significant cultural resources impacts highly probable.
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As development wells will largely utilize existing pads and access, anticipated impacts are similar but on a much smaller scale than for that of exploration. The installation of power plants will require a large amount of land. However, as 80 to 90 percent of the land required will remain relatively undisturbed, it may be possible to optimize the areas of heavy disturbance with regard to conflict with cultural resources. Since most prehistoric sites are small, flexibility in the placement of pipeline systems and power transmission towers should allow site avoidance.
Abandonment of facilities involves some contouring and re-landscaping facilities areas. Activity should be restricted to the originally disturbed area to avoid potential impacts to cultural resources.
Potential impacts to cultural resources will be mitigated by measures requiring avoidance and or additional survey and testing to determine importance of resources. These measures apply to all phases of the project during which ground disturbance will occur:
- Since steep slopes and dense vegetation precluded intensive physical survey of all land surfaces, it is recommended that additional survey be conducted in these areas on a site-specific basis once areas to be impacted by development are identified (FEIR Mitigation Measure #1).
- Wherever possible, sites of possible cultural interest shall be avoided through redesign of facilities (FEIR Mitigation Measure #2).
- Minimum mitigation measures for all sites to be impacted shall include initial testing (excavation) to determine whether subsurface deposits exist, and collection and mapping of representative lithic debris and all formal tools. An "enhanced" inventory method incorporating these procedures has been developed (Fredrickson, 1985) which would also allow for evaluation of research potential for recorded sites. As these procedures determine presence or absence of subsurface deposits, permit an age estimate and age range of site use (through obsidian hydration) and provide site-type analysis, Fredrickson estimates that impact mitigation for approximately 50 percent of all prehistoric sites could be accomplished at this stage. This would include virtually all surface lithic scatters (FEIR Mitigation Measure #3).
- For sites with subsurface deposits, further testing (formal excavation) shall be required, with results of initial testing serving as basis for a research design. For many of these sites (estimated by Fredrickson at 25 percent of the total), information potential would be realized at this stage (FEIR Mitigation Measure #4).
- Another 25 percent of sites is estimated to have the potential to address additional significant research questions. For these remaining sites with a high level of significance (e.g., those with midden and/or structural remains), avoidance may become a reasonable alternative. According to Fredrickson (1985), lithic sites that yielded particularly important material (e.g., Paleoindian or Lower Archaic) would be included in this category (FEIR Mitigation Measure #5).
Where a potential for buried sites exists, construction activities shall be monitored by qualified individuals. Should buried resources be discovered, grading or construction activities will be redirected until a determination of importance can be made by the monitor (FEIR Mitigation Measure #6).
The Native American Commission will be informed prior to any construction in areas of known or suspected cultural resource sensitivity (FEIR Mitigation Measure #7).
**PALEONTOLOGICAL RESOURCES: Exploratory Drilling, Field Development, Operation and Maintenance Activities, and Abandonment Phases**
**Impact:** As with cultural resources, significant adverse impacts to paleontological resources could occur during any phase of the project where ground disturbance will occur.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties).
**Facts Supporting the Finding:**
Any ground disturbing activities could result in potential impacts to fossil resources. In that many of the fossil specimens known to occur in the area are relatively common in terms of assemblage and taxa, significance is attributed to the less common resources. Given the importance of resources which are known in the area, substantial adverse impacts to rare or high interest resources is not predicted. However, the potential does exist, thus, the impact is categorized as significant and will be mitigated by conducting additional surveying and monitoring of construction during appropriate development activities.
For each specific sublease area, a qualified paleontologist shall be retained by the applicant to develop a program of onsite monitoring of significant paleontologic resources including fresh exposures, bulk sample screening, and salvage of specimens. This program shall include a literature and records search to assess specific areas of sensitivity to fossil resources. A paleontologic resource sensitivity map of the project area can then be prepared showing the paleontologic importance of each rock unit to be exposed as well as the overall paleontologic sensitivity (FEIR Mitigation Measure #8).
An excavation monitoring program designed to locate and salvage significant paleontological resources. Paleontologic monitors shall be equipped to salvage fossils as they are unearthed to avoid construction delays and to preserve samples of sediments.
which are likely to contain the remains of small mammals. The monitor shall be empowered to temporarily halt or divert grading equipment to allow removal of abundant or large specimens. Sediment samples may be removed in bulk to off-site screening locations (FEIR Mitigation Measure #9).
Recovered specimens shall be prepared to the point of identification (FEIR Mitigation Measure #10).
Specimens shall be curated into an established repository (FEIR Mitigation Measure #11).
Preparation of a report of findings with an appended itemized inventory of specimens and taxa. The report and inventory, when submitted to the appropriate lead agency, signifies completion of the paleontologic resource impact mitigation program (FEIR Mitigation Measure #12).
CULTURAL AND PALEONTOLOGICAL RESOURCES: Cumulative Impacts
Impact: Areas to be developed under the cumulative scenario will contain cultural and paleontological resources which may be inadvertently adversely affected by geothermal activities.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies. (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
Substantial and important cultural and paleontologic resources exist in The Geysers area as demonstrated by previous projects. Undoubtedly, areas to be developed under the cumulative scenario will contain cultural resources which may be inadvertently, adversely affected by such activities as non-drilling exploration where ground disturbance, but no formal grading is involved. Impacts to cultural and paleontological resources can be mitigated by conducting field studies of potential project sites prior to grading activities or by having cultural and paleontological resource experts monitor grading or exploration activities as proposed on a site-specific basis.
Mitigation for significant cumulative impacts to cultural and paleontological resources are the same as those listed for site-specific impacts.
Mitigation for significant cumulative impacts to cultural and paleontological resources are the same as those listed for site-specific impacts.
TRANSPORTATION: Exploratory Drilling
Impact: Traffic generation under exploratory drilling phases is potentially significant from the standpoint of creation of or existing rural traffic.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Caltrans).
Facts Supporting the Finding:
During the exploration phase the drill rig and all support equipment and structures are transported to the drill site. Frequent heavy vehicle traffic includes delivery and removal of equipment and supplies, delivery of well casings, delivery of water, and removal of geothermal wastes and sewage. It is estimated that 50 to 60 trips per day per will occur during the 6 to 12 month exploratory drilling phase. This figure includes both light and heavy vehicle traffic.
The following mitigation measure to provided safety measures for equipment transportation over local roads have been adopted to reduce adverse exploratory phase transportation impacts to insignificant levels:
- To reduce hazards, oversized vehicles should be preceded and followed by warning vehicles as required by state and county regulations. In addition, when existing road conditions dictate, specific routing and restricted time of operation may be required on certain roadway segments (FEIR Mitigation Measure #1).
- Potential conflicts can be reduced with development project trucking scheduled to avoid hours of greatest potential conflict, e.g., school bus runs (FEIR Mitigation Measure #2).
- Overall traffic volumes can be reduced through high occupancy vehicle measures, e.g., car pooling, project buses (FEIR Mitigation Measure #3).
- The lessee/operator should provide to its contractors and vendors a detailed map of the area for distribution to truck drivers. The map shall include a) all dangerous curves/elevation points highlighted in red, b) speed limits/reduced limits depicted on the map, c) safe locations for vehicle inspections, and d) a serious warning clause/penalties.
if drivers violate any safety procedures while traveling on leasehold roads (FEIR Mitigation Measure #4).
Due to the poor conditions of roads in The Geysers area, it is recommended that road reconstruction should occur prior to the start of geothermal development construction. Otherwise, nondesign traffic loads will exacerbate existing conditions (FEIR Mitigation Measure #5).
TRANSPORTATION: Field Development
Impact: The initial field development activities will generate significant and adverse levels of traffic, though the duration of impact is short-term.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Caltrans).
Facts Supporting the Finding:
Production drilling generates transportation-related movement of drill rigs, drilling crews and necessary equipment to the well site. The California Energy Commission transportation study (1981) estimated that 35 semi-trailer loads are required over a 3-day period to move the equipment needed for setting up one drill rig. Transport of equipment and supplies will generate daily traffic levels of 900-kg (1-ton) truck traffic (3-4 trips), car traffic from drilling crews, supervisory and administrative personnel (20-30 trips). Casing deliveries are normally made in 1,814-kg (20-ton) loads, sporadically throughout the first 40-60 days of drilling operations. Another 10 to 12 trips per day are made to delivery water and haul wastes.
Well field development generates more traffic than any other phase of geothermal development. From 80 to 100 trips per day are generated over the 24 to 36 month typical well field development period for a power plant.
The power plant construction phase of development has the greatest impact on the transportation network in terms of loads. Steam turbines weighing up to 90,720 kg (100 tons) or more are transported to the geothermal sites during this phase. Overload permits are required for these loads. The volume of tractor trailer rigs and trucks hauling heavy equipment to the site also increases during this phase. This type of traffic causes congestion and safety problems where these vehicles must cross the roadway centerline to negotiate turns. The transport of construction personnel is also at its peak during this phase. Power plant construction activities normally involve 20 to 40 trips per day over a 36-month construction period.
The following mitigation measure encouraging use of local and county sources of services for geothermal projects have been adopted to reduce adverse exploratory related transportation impacts to insignificant levels:
- All measures included in Exploratory Drilling are applicable to Field Development (FEIR Mitigation Measure #6).
- A transportation permit from Caltrans is required for all loads on state highways which exceed established limits as to width, height, and weight.
- The geothermal industry is encouraged to use local contracts and services, and to purchase material equipment, and supplies from sources within the county (FEIR Mitigation Measure #7).
**TRANSPORTATION: Operation and Maintenance**
**Impact:** The operation and maintenance activities will potentially generate significant and adverse levels of traffic during the life of project operations.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Caltrans).
**Facts Supporting the Finding:**
Power plant operations and well field maintenance typically generate 30 to 50 trips per day over the life of any one geothermal power plant and well field development project. This level of traffic is much less than during the field development phase.
Impacts from traffic generation during this phase are mitigated by encouraging employees to ride the commuter buses provided specifically for geothermal industry workers in The Geysers or to carpool, as follows:
- To reduce project-generated traffic levels, employee car pools or use of the geothermal worker commuter bus system should be established (FEIR Mitigation Measure #8).
TRANSPORTATION: Abandonment
Impact: Upon abandonment, geothermal roads may continue to provide access to the project area, but will be prone to the impact of erosion.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies (Lake, Sonoma and Mendocino Counties; California Regional Water Quality Control Board; Caltrans).
Facts Supporting the Finding:
Trip generation during the abandonment phase involves dismantling and removal of certain equipment and well abandonment. Heavy equipment may also be needed for minor contour grading. It is expected that trip generation would be on the low side of the exploratory drill phase traffic, or about 30 trips per day over a 3 month abandonment procedure. This short-term impact is not significant.
Upon abandonment, access roads may be either restored or left intact for use by landowners. To prevent significant impact from erosion of unsurfaced roads, the following measure is adopted:
- If approved by appropriate agencies, level areas and roads created by geothermal development may be retained for other beneficial uses, provided that effective erosion control measures have been implemented (FEIR Mitigation Measure #12).
TRANSPORTATION: Exploratory Drilling, Field Development, and Abandonment
Impact: Development of the proposed leaseholds, coupled with continuing regional development, will incrementally increase roadway deterioration as a result of the transport of heavy trucks and equipment, will require more frequent repairs, and will result in increased maintenance costs.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have
been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
The cost of previous roadway improvements or widening often has been allocated to the geothermal developers as a condition of approval for a project. It has also been the responsibility of the developers to resurface and maintain roadways from the well sites and facilities within the leasehold to the proximate highways.
Significant traffic increases are not anticipated to occur along the principal state highways in the region, although slow-moving trucks may constitute a traffic hazard. Specifically, geothermal activity in Project Areas No. 1 and 2 will create a potential nuisance and driving hazard on Cloverdale-Geyser Road. Slow moving trucks climbing steep grades, the narrow road, and inadequate sight distance for passing are contributing factors. Due to the developed nature of geothermal access roads in the vicinity of Cobb Mountain, no significant safety impacts are predicted for access to Project Area No. 3.
The following mitigation measures to fund needed roadway repairs and improve operating safety have been adopted to reduce the adverse transportation impacts to insignificant levels:
- Project-related impacts to the roadbed of local county roadways shall be mitigated through specific agreements between the developer/operator and the county. In some instances, joint funding among several geothermal operators for the initial cost of roadway repair and continued maintenance has been required for roadways utilized by more than one operator (FEIR Mitigation Measure #9).
- Other mitigation measures that may be required of the project include the preparation of a traffic safety plan by the applicant which addresses sign requirements and the coordination of heavy truck traffic, and off-site parking arrangement such as Park n' Ride (FEIR Mitigation Measure #10).
- The counties shall discourage the use of private access roads to steam fields by the general public (FEIR Mitigation Measure #11).
AIR QUALITY: Non-Drilling Exploration
Impact: Non-Drilling exploration will generate air emissions from incidental use of diesel powered equipment and vehicles as well as associated dust generation.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts; State Lands Commission).
Facts Supporting the Finding:
The incidental and sporadic activities during Non-drilling exploration generally will not create significant air emissions, although all such activities are subject to compliance with local Air Pollution Control District regulations as follows:
o Compliance with local APCD rules and regulations relative to equipment operation and dust control will ensure that Non-Drilling Exploration impacts remain insignificant. This includes consideration for asbestos hazard from disturbance of serpentine soils as defined in Measure 3a below (FEIR Mitigation Measure #1).
AIR QUALITY: Exploratory Drilling and Field Development - Drilling Activity
Impact: Potentially significant air pollutants will result from the diesel powered drilling equipment and from truck and passenger vehicles commuting to the drill site.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
Facts Supporting the Finding:
Typical drilling diesel prime mover fuel consumption is estimated at about 1,890 li (500 gal) per day. This consumption is based on an assumed 400-horsepower diesel engine operating with a specific fuel consumption of approximately 0.05 gal/hp/hr (EPA 1990). For industrial diesel drives, each liter (0.26 gal) of fuel burned produces about 0.45 kg (1 lb) of oxides of nitrogen, 0.006 kg (0.014 lb) of carbon monoxide, and minor amounts of particulates, unburned hydrocarbons, and sulfur oxides. Since baseline levels of these pollutants are very low, the addition of the diesel emissions will not exacerbate air standards beyond a few feet from the exhaust stacks. Vehicular emissions, involving only a few vehicles dispersed through the area, similarly do not pose any threat to healthful levels of air quality.
Though exploratory well drilling and transportation activities generally will not create significant air emissions, such activities are subject to compliance with local Air Pollution Control District regulations as follows:
- Compliance with local APCD rules and regulations relative to equipment operation and dust control will ensure that Non-Drilling Exploration impacts remain insignificant. This includes consideration for asbestos hazard from disturbance of serpentine soils as defined in Measure 3a below (FEIR Mitigation Measure #1).
**AIR QUALITY: Exploratory Drilling and Field Development - Site Preparation**
**Impact:** Activities to prepare a drill site, excavate the sump, move equipment into position, and travel on unpaved roads produce potentially significant levels fugitive dust.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
**Facts Supporting the Finding:**
Much of the fugitive dust generated during site preparation settles out on nearby foliage, but the smallest particles remain suspended in the air and are dispersed regionally. The EPA suggests a universal dust emission factor of 1,090 kg/acre/month (1.2 tons/acre/month) of activity (EPA-AP 42) which can be reduced by about 50 percent through regular watering. Similarly, each kilometer of unpaved road travel by one vehicle at 30 mph adds about 28 gm of dust to the air. The regional particulate load levels in the air basin will not be significantly affected by these fugitive dust emissions. Locally, dust settling out on nearby surfaces may retard plant growth along the shoulder of dirt access roads and dust plumes along the ridgeline may create objectionable visible dust plumes during the dry summer months. Such impacts are transitory and localized, but can be mitigated by watering down the drill site and by maintaining and enforcing reasonable speeds on dirt access roads, as follows:
- Fugitive dust generation during drilling activities should be minimized by enforcing reasonable driving speeds on dirt roads, by using water or oil spray to control dusty areas, and by performing major grading activities in spring when natural soil moisture is high (FEIR Mitigation Measure #3).
If serpentine soils are detected in pre-construction soil surveys, such areas shall be avoided to the maximum extent possible. If avoidance is not possible, testing shall be conducted to determine whether concentrations of asbestos exceed 1 percent. If so, construction workers and superintendents shall use OSHA-approved respiratory equipment and receive OSHA-approved training in methods to reduce their exposure and downwind receptors. Other measures consistent with APCD regulations shall be implemented (FEIR Mitigation Measure #3a).
AIR QUALITY: Exploratory Drilling and Field Development - Well Drilling, Testing and Cleanout
Impact: Geothermal exploration and development activities may result in the venting of steam containing potentially hazardous gases such as H₂S which could reach significant concentrations downwind under adverse meteorological conditions.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
Facts Supporting the Finding:
During testing, a well may produce about 68,000 kg (150,000 lb) of steam per hour, assuming a vapor-dominated resource. Using The Geysers average of 222 ppm of non-condensible H₂S in the steam, about 15 kg (33 lb) of H₂S could be released each hour during a full flow test.
During drilling, a supplementary abatement system can reduce escaping H₂S levels to protect the drilling crew and any nearby receptor. However, during venting and clean-out, the total H₂S burden will be released to the atmosphere. The initial momentum and buoyancy of the plume precludes any localized H₂S impacts, but the downwind transport of this plume could create significant H₂S impacts under adverse meteorological conditions.
Without on-site data, it is difficult to define "adverse meteorological conditions." However, initial calculations show that for a plume rise of 30 m (100 ft), the maximum impact occurs within 1 km under neutral or slightly stable conditions. Maximum concentrations beyond 2 km (1.25 mi) occur at night ("F" Stability) with violations of the California H₂S standard predicted to occur at receptor sites beyond 3 km (1.8 mi) from the source. As the plume rise increases to 50 and 100 m (80 and 300 ft), the ground level concentration drops to below the standard with maxima still occurring in the morning and evening hours near the site, and highest concentrations still occurring at night although at greater distances. Even with 100 m (300 ft)
plume rise, ground-level concentrations of 6 to 8 μg/m³ (15 to 20 percent of the standard) could still cause the standard to be exceeded if background levels are high enough.
The following measures specifying the timing of venting and requiring BACT have been adopted to reduce adverse H₂S emissions to the extent possible:
- In order to minimize population exposure to high H₂S and other gaseous pollutant levels, venting occurring during the day with light winds will allow the stream plume to disperse well above the surface. Venting at night could impact populated areas adversely and should be limited by conditions placed on air pollution permits during the permitting process. By adjusting operational procedures to fit atmospheric dispersion conditions, the drilling process can be carried out without objectionable H₂S impacts. In instances where it is impractical or impossible to schedule emissions releases to coincide with good meteorological conditions, available portable abatement equipment can be utilized to reduce emissions to acceptable levels. Automated controls should be readily available to anticipate well connection and operation as soon as possible upon well completion (FEIR Mitigation Measure #2).
- The Best Available Control Technologies (BACT) or other state of the art technology (i.e., Stretford process or Hydrogen Peroxide process) shall be implemented to ensure H₂S emissions are below Air Pollution Control District limits (FEIR Mitigation Measure #5).
- Control of particulate emission during drilling should be performed by use of a properly sized wet cyclone using at least 60 gpm water injection. If a resource high in arsenic or other toxic material is encountered, mitigation of significant emissions should be accomplished by available remedies to be selected by the applicant and approved by the applicable air pollution control district (FEIR Mitigation Measure #6).
AIR QUALITY: Exploratory Drilling and Field Development - Well Bleeds
Impact: The impact from well bleeding, particularly if there are several such sources in the same area bleeding simultaneously, could cause H₂S to be carried to downwind receptor areas in sufficient quantity as to constitute a significant air quality impact.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
Facts Supporting the Finding:
After testing is completed, wells may be placed on stand-by mode with a slow bleed to maintain a stable well bore temperature and prevent accumulation of condensate, precipitate, or loose well bore material. Otherwise, the wells may be plugged with redrilling occurring consistent with the actual production sequence. Most wells need only a small steam flow rate, but some "wet" wells require a considerable bleed rate to prevent loss of the well. Flow rates range from several hundred pounds of steam per hour to as much as 10 percent of full flow.
In addition to implementing H\textsubscript{2}S abatement measures as described above, the impact is further mitigated by the installation of well throttling systems as follows:
- Remote throttling systems should be installed on the wells. In the interim before they are installed, lessee should agree to a throttling schedule to achieve given emissions reduction percentages during stacking situations using on-site personnel to manually turn the valves (FEIR Mitigation Measure #4).
AIR QUALITY: Exploratory Drilling and Field Development - Well Blowouts
Impact: Significant adverse air emission impact would occur from H\textsubscript{2}S emitted during a well blowout.
Finding:
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
Facts Supporting the Finding:
Operational disruptions could result in a casing failure near the surface unless adherence to mandatory regulations is strictly enforced. If steam had been encountered, it may escape without any controls. Deeper blowouts pose similar hazards, but are usually protected with mandatory blowout prevention equipment. One of the largest H\textsubscript{2}S sources in The Geysers would be a single uncontrolled well, and there is a remote possibility of a recurrent event. Such an event could cause a serious impact because decreased plume buoyancy would allow high H\textsubscript{2}S concentrations to be injected into low-level inversions, with potential nocturnal drainage flow toward populated receptor sites.
Measures to guard against blowouts have been adopted in relation to system safety impacts (see Systems Safety: Exploratory Drilling, FEIR Mitigation Measures #3 and #4). However, should
there be a blowout or other uncontrolled situation, H₂S emissions could significantly affect populated areas based on area meteorology and known air flow mechanics. While the occurrence of such an accident is very unlikely, the resulting impact is not mitigable.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts.
**No Project Alternative**
Implementation of the No Project Alternative would mean that the State Lands Commission would not offer any of the lands within the study area for leasing for geothermal resources. These resources would remain undeveloped for the foreseeable future. From the standpoint of the unavoidable adverse impact of a well blowout with unabated hydrogen sulfide emissions, adoption of this alternative would eliminate the impacts from project areas.
It is noted however, that the No Project Alternative would deny the State of California revenues from the leasing program. Also since the steam resource of The Geysers area is diminishing, the resources on the site may diminish over time so that development may not be cost feasible in the future. The energy lost by the No Project Alternative would need to be made up from some other source, most probably fossil fuels. In addition, the probability of a blowout, with current BOPE installed is remote.
**Leasing Portions of the Project Areas**
This alternative involves leasing one or two of the three project areas identified for prospective leasing. The reasons for omitting any particular leasing area could be numerous; however, this analysis assumes that the reason would be to avoid a potential blowout. Emissions of hazardous substances has a potential for occurrence with aspects of geothermal activity involving exploratory drilling, and field development and operations wherever they occur. Since this alternative does eliminate such activity, the unavoidable adverse impacts could still occur.
**Prohibiting Construction of Power Plants**
This alternative would allow construction of steam fields in the area, but not development of new power plants. Potential for a well blowout, though remote, would remain a possibility in the area under this alternative.
**Alternative Land Uses**
This alternative is based on the assumption that the State Lands Commission could encourage alternative land uses, other than geothermal uses, to be established on the leasehold areas. The State Lands Commission is limited in its ability to establish or encourage land uses beyond its jurisdiction to lease lands for resource and mineral development. Local land use approvals for any use subsequent to leasing are under the purview of the local county governments with jurisdiction. The state does own the lands on Cobb Mountain within the designated lease area and would have some land use authority there. Uses other than geothermal development result
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not involve hazards from potential well blowout. The adoption of this alternative could eliminate the impact, however, the State Lands Commission has limited ability to implement such an alternative.
Alternative Technology
This alternative assumes that alternative technologies could be implemented to exploit the geothermal resources of the project areas. The need for implementation of alternative technologies has several purposes, including the reduction in the physical environmental impacts of more traditional geothermal development, and the extension of the life of The Geysers steam field through conservation and more efficient use of the resources. However, this alternative does not eliminate the need for drilling and extraction of geothermal resources nor the associated, though remote, potential for a well blowout.
In conclusion, only the No Project and Alternative Land Use Alternatives have been shown to reduce the unavoidable impact of an accident involving geothermal well blowout. Neither of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible, not withstanding efforts by State Lands Commission to minimize to the extent practicable, the significant adverse impacts associated with well blowouts and hydrogen sulfide emissions.
AIR QUALITY: Operation and Maintenance - Well Drilling
Impact: During operation and maintenance phases, it is often necessary to maintain, redrill, and drill new make-up wells which would have similar air emissions impacts as the exploratory phase well drilling activity.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
Facts Supporting the Finding:
During operation and maintenance phases, it is often necessary to maintain, redrill, and drill new make-up wells. Emissions from these sources would be similar to the emissions discussed above for the exploratory phase and are adopted as follows:
- All measures listed for Exploratory Drilling and Field Development are applicable to the Operation and Maintenance phase (FEIR Mitigation Measure #7).
AIR QUALITY: Operation and Maintenance - Power Plants
Impact: The increase in H₂S emissions which may be caused by steam stacking at an unabated plant, and/or release of the combined steam flow from a number of wells at a plant could have significant adverse impact on air quality.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts; California Energy Commission).
Facts Supporting the Finding:
Location of the plant site relative to prevailing air flows and stability structure is a dominant effect on H₂S dispersion patterns. Plumes from ridgelines may experience occasional suppressed rise from strong winds with corresponding elevated downwind H₂S concentrations. However, if the elevated buoyant plumes are released near the base of a valley inversion, they will tend to penetrate the inversion with a resultant reduced ground level H₂S impact. Plumes released at lower elevations will often have difficulty in penetrating the inversion. Under these conditions, downwind transport of the plume could create high H₂S concentrations under adverse release conditions.
The combination of abatement equipment, higher natural plume rise from many single wells combined into one large source, and the ability to throttle and possibly divert the steam flow, all reduce the ambient air quality impact from the power plant over the uncontrolled emissions of the well at the wellhead. However, because the flowfield is more complex and the combination of abatement, throttling, intertie, plume rise, etc. at the power plant are more difficult to estimate, it is more difficult to predict the impact from a power plant than from a single, isolated well.
Mitigation of H₂S impacts from power plants to receptors is accomplished by implementing the following abatement and location measures:
- Any new facility must undergo an analysis to determine if it threatens, delays, or prevents the attainment the 30 ppb hourly H₂S standard. It must not contribute H₂S concentrations to the ambient environment such that the sum of this project plus the background concentration exceed the hourly standard (FEIR Mitigation Measure #8).
- An NaOH/H₂O₂ abatement system should be installed and ready for operation prior to initiating drilling with compressed air. Injection should start when significant
concentrations of H\textsubscript{2}S are encountered. Blowout control equipment shall be installed after installation of casing and materials should be available within the immediate Geysers area for timely emergency response (FEIR Mitigation Measure #9).
- Project objectives should be to identify optimal power plant location and develop operational plans to avoid severe air quality impact events (FEIR Mitigation Measure #10).
- Continuous monitoring of radon-222 in off gas noncondensible treatment stream shall be instituted to ensure that the level of emissions remains low (FEIR Mitigation Measure #12).
**AIR QUALITY: Operation and Maintenance - Abatement Technologies**
**Impact:** Hydrogen sulfide emissions and their abatement relating to well development and maintenance and steam transmission remains problematical and a potentially significant adverse impact of geothermal development.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts; California Energy Commission).
**Facts Supporting the Finding:**
The introduction of abatement equipment in condenser/cooling tower systems has greatly reduced emissions and, correspondingly, the ambient hydrogen sulfide concentrations. These systems include the Stretford Process, the Vent Gas Incineration System, and the noncommercial EIC process.
Newer plants should be less likely to engage in untreated stacking due to the adoption of turbine bypass design of the plants. Simply put, this system reroutes steam to the condenser (and associated abatement equipment) if mechanical problems develop or simply through the abatement equipment alone, until steam flow can be reduced or power generation resumes. With these techniques in use, new power plant emissions of H\textsubscript{2}S have been reduced to benign levels.
Abatement of emissions from well development and maintenance and from steam transmission is still problematical. Given current stacking control technology, effective treatment of the and the cost of effective abatement is high. It appears that significant technological advances are needed if these intermittent, distributed sources are to be effectively controlled.
Because of these uncertainties, continued research and legislative mandate are encouraged to spark the necessary technological innovation to effectively abate hydrogen sulfide constituents in geothermal steam as follows:
- Requirements to make geothermal steam field-power plant technological improvements in operational management and in pollutant abatement systems should be encouraged and legislated. Promising systems should be tested and used to retrofit older plants so that standards of $H_2S$ emissions can be realized (FEIR Mitigation Measure #11).
**AIR QUALITY: Operation and Maintenance - Abatement Technologies**
**Impact:** Site abandonment may create significant adverse impacts due to site grading, demolition, or capping of wells.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts; California Division of Oil and Gas;).
**Facts Supporting the Finding:**
Abandonment activities include minor site grading, revegetation, facilities demolition or dismantling and shutting in or down of active wells. Impacts are similar to construction activities and are potentially significant. Measures to mitigate such impacts, including preparation of a plan of abandonment, and control of fugitive dust will be implemented as follows:
- A plan of abandonment shall be prepared prior to removal of any equipment from geothermal sites. The plan shall include a residuals and hazardous materials survey and sampling program to ascertain quantity and quality of potential residual and hazardous materials. Based on the survey, the proper procedures for demolition and disposal shall be developed, incorporating BACT, and submitted to the appropriate County agency for approval (FEIR Mitigation Measure #13).
- Steam emissions from idle wells should be minimized through the use of gas caps, temporary plugs, and timely abandonment procedures (FEIR Mitigation Measure #14).
- Fugitive dust generation from site demolition and material removal should be minimized by enforcing reasonable driving speeds on dirt roads and through use of water spray. Precautions relative to serpentine soils shall be implemented as discussed in Measure 3a above (FEIR Mitigation Measure #15).
AIR QUALITY: Cumulative Impacts
Impact: Cumulative air quality impacts from additional geothermal development will result in increased emissions from various vehicular and geothermal sources, including emissions of hydrogen sulfide and other potentially harmful and toxic elements such as ammonia, arsenic, boron, mercury, radon-222, silicon, sulfur dioxide and sulfates.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties; Local Air Pollution Control Districts).
Facts Supporting the Finding:
According to Lake County (1989), existing operations in The Geysers area generate a potential for 307 kg (6,770 lb) per hour of uncontrolled H₂S emissions, although application of control technology reduces the emissions to approximately 172 kg (380 pounds) per hour. By proportion, cumulative projects would increase the H₂S generation rate to approximately 3,785 kg (8,344 lb) per hour uncontrolled, or 212 kg (468 pounds) per hour controlled. Depending upon location of cumulative projects and micrometeorological effects, it is possible that H₂S levels could exceed the hourly standard in some populated areas of Lake County (such as Anderson Springs and Cobb Valley).
As mentioned in Section 4.9.3, the major sources of emissions include blowouts (uncontrolled well venting), bleeding (when wells are on stand-by) and stacking (incurred when a facility is "throttled back" and steam is vented directly to the atmosphere). Though these may not constitute serious emissions sources in of themselves, the cumulative impact from all existing facilities in addition to those which could conceivably be built is considered significant.
The measures to mitigate cumulative impacts from H₂S emissions are the same as listed for site-specific impacts, that is FEIR Mitigation Measure #2, #4, #5, #8, #9, #10, and #11. Thought the probability of a blowout or an uncontrolled well is extremely low the resulting potentially high hydrogen sulfide emissions are not mitigable.
The EIR evaluated several alternatives which could have the potential to reduce or eliminate the identified environmental impacts. The conclusions with respect to feasibility of alternatives is the same for cumulative impacts as was discussed for the site-specific impacts.
Of the alternatives considered, only the No Project and Alternative Land Use Alternatives have been shown to reduce the unavoidable impact of an accident involving geothermal well blowout. Neither of these alternatives allow the State Lands Commission to fulfill its obligations under the Geothermal Resources Act and are not considered feasible, not withstanding efforts by State Lands Commission to minimize to the extent practicable, the significant adverse impacts associated with well blowouts and hydrogen sulfide emissions.
**ACOUSTICAL ENVIRONMENT: Non-Drilling Exploration Activities**
**Impact:** Seismic surveys may subject nearby sensitive receptors to significant noise levels.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
**Facts Supporting the Finding:**
Typically, before the geothermal wells are located, various types of surveys will be conducted. These may include resistivity, seismic, gravity, and magnetometer surveys as well as others. Of these surveys, the only one which is noisy by nature is the seismic survey. This survey requires the use of a machine which either vibrates or pounds the ground. Assuming that the seismic survey "ground shaker" emits a noise level similar to a vibratory compactor, then the peak anticipated noise level is 82 dBA as measured at 15 m (50 ft). Based upon an atmospheric sound attenuation rate of 6 dBA per doubling of distance, a minimum distance of 366 m (1,200 ft) would have to be maintained between the machinery and the nearest sensitive receptor to reduce impacts to insignificant levels as provided below:
- Seismic surveys shall not be located closer than 366 m (1,200) ft from existing residences or other sensitive receptors (FEIR Mitigation Measure #1).
**ACOUSTICAL ENVIRONMENT: Exploratory Drilling**
**Impact:** Exploratory drilling activities may subject nearby sensitive receptors and on-site workers to significant noise levels.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
Construction of access roads and well pads will require the use of heavy equipment such as bulldozers, scrapers, backhoes, water trucks, etc., which will generate noise levels of approximately 80 to 85 dBA at a distance of 50 feet. Additional noise will be generated by trucks delivering well supplies and during the well drilling operations. In addition to the adverse noise affects which would be imposed on any nearby sensitive off-site receptors, on-site workers could be subjected to significant adverse noise impacts.
The following mitigation measures requiring compliance with proposed noise standards and limitations on activities will be implemented to reduce these potentially significant acoustical impacts to below significant levels:
- The applicant shall meet a noise standard Ldn 50 dBA with a 10 dBA penalty between the hours of 10:00 P.M. and 7:00 A.M. of the following day at the nearest receptor. Noise levels from drilling operations will be muffled and times of operation limited so as not to constitute a public nuisance (FEIR Mitigation Measure #2).
- The hours of heavy truck traffic to and from the site will be restricted to between the hours of 7:00 A.M. and 7:00 P.M. only, except in cases of blowout, emergency pumping of the sump or threat of personal injury. Where necessary, traffic shall be rerouted away from noise sensitive areas to alleviate noise problems (FEIR Mitigation Measure #3).
- Drill pipes shall not be laid in bins between the hours of 8:00 P.M. and 7:00 A.M. the following day (FEIR Mitigation Measure #4).
- Developments in noise-sensitive locations shall not produce noise levels more than 10 dB greater than the 24 hour average pre-development ambient Leq for periods of greater than one hour in any 24-hour period (FEIR Mitigation Measure #5).
- Unless specifically waived by the applicable County Planning Commission, where legally permissible, the following minimum distances shall be observed in placing a well:
| Outer Boundary of Parcel (Leasehold Agreement) | 30 m (100 ft) |
|-----------------------------------------------|--------------|
| Public Roads | 30 m (100 ft) |
| Residence | 300 m (1,000 ft) |
| School | 805 m (2,640 ft) |
| Hospital | 1,610 m (5,280 ft) |
| Any other development | 152 m (500 ft) |
(FEIR Mitigation Measure #6)
Drilling, clean-out, and well testing and producing operations must be muffled at all times except in times of extreme emergency. There will be no changing of valves except on Monday through Saturday between the hours of 8:00 A.M. and 6:00 P.M. (FEIR Mitigation Measure #7).
No geothermal well shall be drilled within 0.8 km (0.5 mi) of any populated area (defined as more than 10 dwelling units established within 0.4 km [.25 mi] diameter area) or within 0.8 km (0.5 mi) of any recorded subdivision without consent of at least 75 percent of the owners having been obtained (FEIR Mitigation Measure #8). Additionally, noise control practices require that all engines be fitted with mufflers as supplied by the manufacturer. Finally, the county advocates the use of the best available control technology for construction noise controls which might entail the use of berms, barriers, orienting equipment such that exhaust stacks point away from sensitive receptors and noisy equipment is physically shielded by quieter pieces, additional time-of-day restrictions, etc. (FEIR Mitigation Measure #9).
In accordance with OSHA regulations, all workers who are subject to noise in exceedance of the allowable levels will be provided with adequate hearing protection (FEIR Mitigation Measure #10).
Air drilling exhausts, well clean-out, and production tests should be directed through a cyclonic muffler/separator with water injection when feasible to give an attenuation to 90 dBA or less at 15 m (50 ft) (FEIR Mitigation Measure #11).
Major noise sources during drilling, such as engines, pumps and compressors, can be placed on the side of the pad away form the nearest receptor. Cyclonic muffler/separator and test mufflers shall be located on the side of the pad away from receptor locations, and stream flow directed away from them as well (FEIR Mitigation Measure #12).
Production tests shall be conducted into existing steam pipelines when possible (FEIR Mitigation Measure #13).
Noisy steam-handling equipment, steam piping, and steam ejector housing shall be insulated with materials possessing good acoustic and thermal properties (FEIR Mitigation Measure #14).
**ACOUSTICAL ENVIRONMENT: Full Field Development**
**Impact:** Power plant and production pipeline construction will produce significant daytime noise impacts.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties).
Facts Supporting the Finding:
Noise sources throughout all phases of plant construction include large diesel powered equipment, but the specific equipment varies with the phase and the contractor performing the work. Typical equipment includes; bulldozers, scrapers, cranes, cement mixers, tractor trailer rigs, backhoes, power generators, and cranes. Other spurious noises such as impact tools and steel handling will also take place. Additionally, the noise from the installation of the pipelines which carry steam from the well heads to the plant will generate noise, but as the amount of heavy equipment necessary to install the steam lines is limited relative to that involved in plant construction, and the placement and construction of the well pads will be situated to reduce noise impacts on sensitive receptors, no additional impacts are expected from pipeline construction. Considering the equipment requirements for this phase of the project, and assuming the standard atmospheric attenuation of 6 dBA per doubling of the distance, a distance of approximately 1,311 m (4,300 ft) will be necessary to attenuate the noise of plant construction down to 55 dBA.
The following mitigation measures requiring consideration of distance to receptors and noise monitoring will be implemented in order to reduce potentially noise impacts to insignificant levels:
- Measures listed for Exploratory Drilling are applicable to the Field Development Phase (FEIR Mitigation Measure #15).
- Mitigation measures for noise impacts involve the placement of wells, power plants, etc. at distances where the produced noise will be atmospherically attenuated to the regulatory noise levels at the nearby sensitive receptors. As the exact placement of equipment as well as the locations of nearby sensitive receptors is currently unknown, they will have to be evaluated on a case-by-case basis when deciding upon construction locations (FEIR Mitigation Measure #16).
- The counties should consider requiring the installation of permanent noise monitors at sensitive noise receptors near residential development (FEIR Mitigation Measure #17).
ACOUSTICAL ENVIRONMENT: Operation and Maintenance
Impact: Plant operations are expected to generate noise levels ranging up to 77 dBA at a distance of 50 feet from the source. Additional potentially significant adverse noise impacts may be generated by construction workers and employees commuting to work.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
Plant operations are expected to generate a noise level of approximately 76 to 77 dBA at 17 m (50 ft). As plants will be in fairly continuous operation, they will be governed by the 50 dBA Ldn noise limit. To stay within this limit, the facility must not exceed a constant noise level of approximately 43 dBA Leq. Based upon the standard atmospheric attenuation of 6 dBA per doubling of distance, and a produced noise level of 77 dBA, approximately 823 m (2,700 ft) will be required to attenuate the plant noise down to this level of 43 dBA.
In addition to noise created as a direct result of plant and field operations, employees commuting to work have the potential to create noise impacts as a result of vehicle noise emissions. Because there is a reasonable potential to develop approximately 450 MW of additional geothermal energy from both Lake and Sonoma Counties, a worst case scenario could involve the construction of two plants simultaneously with six facilities already on-line. Project implementation assuming this scenario would raise future noise levels by less than 1 dBA Ldn.
Implementation of the following measures including use of proper mufflers and other operational factors to reduce noise will mitigate noise generation to insignificant levels:
- Measures listed for Field Development are applicable to the Operation and Maintenance phase (FEIR Mitigation Measure #18).
- During steam field production start-up after a power plant outage, every effort shall be made to minimize the length of time required for full venting of wells closest to receptors (FEIR Mitigation Measure #19).
- During plant shutdown, steam will be routed through the turbine bypass system to the condenser. A muffling system will be used if atmospheric discharge is needed (FEIR Mitigation Measure #20).
- Where appropriate, rock mufflers or other similar sound attenuation devices shall be installed to muffle venting operations. Baffles or other containment devices should be used to reduce cooling tower drift (FEIR Mitigation Measure #21).
- Control valve noise shall be minimized by limiting bulb pressure drop, enclosing the valves, muffling the downstream pipe, and lagging pipes adjacent to a valve. In some cases, it may be necessary to fill the pipe stands with concrete (FEIR Mitigation Measure #22).
ACOUSTICAL ENVIRONMENT: Cumulative Impacts
Impact: The cumulative effect of development in the region would be an increase in ambient-noise levels.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma and Mendocino Counties).
Facts Supporting the Finding:
The magnitude of ambient-noise level increase is dependent upon site-specific conditions; however, such noise levels would be substantially above that of similar, non-industrial areas in the region. While noise sensitive receptors are few in the region, new developments could be located in the vicinity of rural inhabited areas. Noise generation and propagation, therefore, is a potentially significant cumulative effect.
The monitoring, regulatory and operational measures for the various phases of the project listed above will reduce cumulative impacts to insignificant levels.
SOCIOECONOMICS AND PUBLIC SERVICES: Fire and Police Protection, and Medical Services
Impact: Increased human activity in the project areas during the Non-Drilling Exploration phase of the project would result in a potential increased demand for police and fire protection, and emergency services.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; California Department of Forestry).
Facts Supporting the Finding:
A potential need for emergency services from police and fire protection agencies may be generated by the increased human activity and operation of vehicles in all three proposed project areas. Brush fires may be started by sparks from off-road vehicles, through negligence of field personnel, and campfires. As the project area is classified as an extreme fire hazard area, wildfires have the potential of rapidly spreading and doing damage to the watershed and cause property and structure losses in adjacent populated areas. The local and state fire services are equipped to handle fire outbreaks throughout the project area although response times are limited by the remoteness of the area.
Exploration activities will also result in an greater number of vehicles on the roads and an increased potential for accidents to occur. Increased demands for traffic enforcement services and accident investigations could result; however, significant adverse impacts to law enforcement and emergency services are not anticipated.
The following mitigation measures requiring coordination with California Department of Forestry and implementation of vegetation management are proposed for the non-drilling exploration phase of the project in order to reduce adverse impacts on fire, police and other emergency protection to levels insignificance:
- During exploratory and construction activities, all vehicles which will travel off-road shall be equipped with CDF-approved spark arrestors. No vehicle equipped with a catalytic converter shall be stopped over or close to brush, weeds, or other combustible growth (FEIR Mitigation Measure #1).
- Personnel involved in exploratory or construction activities shall be prohibited from smoking at all times in any wildland or forest areas. In addition, personnel shall be prohibited from building campfires of any sort while in the wildland or forest areas for any purpose (FEIR Mitigation Measure #2).
- The adoption of fire safety guidelines provided by the CDF will be considered in areas subject to high and very high wildland fire hazards (FEIR Mitigation Measure #3).
- Controlled burning programs shall be supported in areas of high fire hazard to reduce the amount of combustible growth. Brush clearing around construction and development areas and geothermal facilities will be coordinated with the CDF. Clearance of highly volatile vegetation is required within 100 ft of structures in fire prone areas (FEIR Mitigation Measure #4).
- Other vegetation management techniques are intended to reduce fuel loading and include maintenance of firebreaks and fuel modification, such as thinning and irrigated buffers (FEIR Mitigation Measure #5).
- A checklist of manpower and fire-fighting equipment, including water sources shall be available in the event of a fire (FEIR Mitigation Measure #6).
SOCIOECONOMICS AND PUBLIC SERVICES: Fire and Police Protection, and Medical Services
Impact: During the Exploratory Drilling, Development, and Operation and Maintenance phases of the project increased human activity in the project areas would result in a potential increased demand for police and fire protection, and emergency services.
Finding:
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; California Department of Forestry; California Highway Patrol).
Facts Supporting the Finding:
The increased amount of activity due to exploratory drilling and development of the leaseholds will result in an additional demand for law and traffic enforcement services. The increased number of vehicles and heavy equipment on the roads, the provision of additional roads to patrol, and potential increase in traffic accidents may require additional personnel and patrol cars to serve the project area and respond to emergencies. Also, development activities will increase the amount of hazardous and toxic material transported, and the potential for spills to occur.
Activities from drilling and lease development include the use of drilling equipment, the construction of pads, grading, and the provision of roadways. When drilling, there is the possibility of a blowout, release of and exposure to toxic gasses and steam. As with exploration activities, brush fires from drilling and construction activities, sparks from vehicles, and carelessness can occur resulting in a potentially significant adverse impact to fire protection services.
The following mitigation measures requiring areawide coordination, emergency notification, and facilities design features are proposed for the Exploratory Drilling, Development, and Operation and Maintenance phases of the project to reduce adverse impacts on fire, police and other emergency protection to levels insignificance:
- Non-Drilling Exploration fire, police protection, and medical services mitigation measures shall apply to the Exploratory Drilling, Development, and Operation and Maintenance phases of the project (FEIR Mitigation Measure #9).
- Developers of geothermal resources shall consider the use of private security forces to serve the facilities and plant operations (FEIR Mitigation Measure #8).
o Additional police personnel will be provided as needed by the respective county sheriff's office. CHP will provide patrols and personnel to provide additional traffic enforcement as needed (FEIR Mitigation Measure #26).
o Developers shall be required to participate in an area of benefit agreement for the purpose of developing a unified emergency notification and communication linking the geothermal facilities, the CDF, Lake, Mendocino, and Sonoma County Sheriff's Offices, CHP, and other agencies. This system may be integrated with the Lake County Sheriff Department central dispatch system (FEIR Mitigation Measure #27).
o Any additional personnel or equipment for fire protection will be provided by the state and local fire fighting services as needed. The developers shall pay any applicable fees to the state, county, or local fire protection services (FEIR Mitigation Measure #10).
o New buildings and facilities shall incorporate structural and design features that comply with applicable fire protection ordinances. These features will include use of fire retardant materials in construction, fire retardant plant materials in landscaping around the facilities, smoke alarms, sprinkler systems, fire extinguishers, and adequate posting of emergency exit routes and evacuation procedures (FEIR Mitigation Measure #11).
o Wellfield developers and electrical generators shall consider participation in a joint powers agreement with the respective counties as recommended by the CDF to improve fire protection within The Geysers (FEIR Mitigation Measure #28).
o The adoption of fire safety guidelines provided by the CDF will be considered in areas subject to high and very high wildland fire hazards (FEIR Mitigation Measure #29).
o Comprehensive fire protection plans shall be submitted by developers of the geothermal resources for review by local fire protection districts and the CDF. The fire protection plans shall identify the person/user responsible for ensuring that the fire protection/prevention plans are implemented (FEIR Mitigation Measure #30).
o Emergency response and evacuation plans shall include the provision of looped and double access road systems as escape routes for wildland fire emergencies. Fire access maps shall be provided to the appropriate fire districts. Access roads and bridges to geothermal facilities shall have adequate load capabilities and be wide enough to safely accommodate fully loaded fire safety equipment (FEIR Mitigation Measure #31).
o Controlled burning programs shall be supported in areas of high fire hazard to reduce the amount of combustible growth. Brush clearing around construction and development areas and geothermal facilities will be coordinated with the CDF. Clearance of highly volatile vegetation is required within 100 ft of structures in fire prone areas (FEIR Mitigation Measure #32).
o Other vegetation management techniques are intended to reduce fuel loading and include maintenance of firebreaks and fuel modification, such as thinning and irrigated buffers (FEIR Mitigation Measure #33).
Emergency respirator equipment shall be provided throughout geothermal facilities for use in the event of an accidental release of hazardous gas. All personnel shall be trained in the use of respirator equipment and the proper steps to be taken in the event of a gas release (FEIR Mitigation Measure #34).
On-site water storage for fire protection shall be provided. Storage can include tanks, ponds, pools, or wells where water is reserved for fire protection (FEIR Mitigation Measure #35).
**SOCIOECONOMICS AND PUBLIC SERVICES: Water**
**Impact:** During the Exploratory Drilling, Development, and Operation and Maintenance phases of the project increased water demand from geothermal operations could result in significant adverse impacts to already limited water resources in the area. There is also a potential over-use surface waters.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; Regional Water Quality Control Board; California Department of Water Resources; local water agencies).
**Facts Supporting the Finding:**
During the exploratory drilling and field development phases, water will be required for the well drilling process and to facilitate dust control during construction of access roads, well pads, and plant facilities. Water required for this phase of development can be purchased from local water district suppliers and hauled to the site. Bottled water would be provided for the domestic uses of drilling and construction crews.
Power plant operations will require water for domestic uses, plant maintenance, landscaping, H₂S abatement, fire protection, and cooling tower make-up. It is anticipated that water requirements for H₂S abatement and cooling tower replacement volumes will be met using condensate from the power generation cycle and therefore, will not require an outside water source except for initial start-up procedures. Additional water demand from geothermal operations can result in adverse impacts to the current water resources. If no adequate volumes of surface or groundwater are present within the leasehold, water demand from geothermal projects in the lease will result in a significant adverse impact.
Another potentially significant adverse impact is the over-use of surface waters, notably from streams, in the operations of the power plants. While condensate waters are used for routine...
plant operations, some operators in the area are diverting large volumes of water from surface streams for general operations and for additional injection into the steam wells. Surface water resources are limited and groundwater sources are not well developed. Increases in water demand generated from geothermal operations could significantly impact surface water supplies in the project areas.
Potentially significant adverse water impacts can be reduced to insignificant levels by implementing measures to regulate water supply diversion and facilitate importation of water as follows:
- Assurance for the provision of adequate water and sewer service is required prior to approval and implementation of development. All applicable water and sewer districts and departments will review water and sewer system demands for each phase of development for conformance to district design requirements and for ability to serve (FEIR Mitigation Measure #12).
- Planning for geothermal development in the leaseholds shall be provided with a goal of balancing local water resource needs. Utilization of local water resources should not adversely affect other nearby downstream water needs. The state, counties, and users of the leaseholds shall develop appropriate measures to protect area water rights in order to assure that long-term water needs for development and growth can be adequately met (FEIR Mitigation Measure #13).
- Water demand in areas with insufficient water resources can be partially mitigated by importing water from local suppliers (FEIR Mitigation Measure #14).
- Developers shall design and submit water and sewer plans for each proposed development project in the geothermal project areas for review and approval by the appropriate Water and Sanitation Districts of the respective counties (FEIR Mitigation Measure #15).
- The capital cost of new water distribution and sewage collection systems, pump stations, septic systems, and reservoirs to handle on-site flows will be borne by the applicant and dedicated to the appropriate Water and Sanitation District of the respective counties (FEIR Mitigation Measure #16).
- Permits for the withdrawal and diversion of water from surface streams, subterranean channels, and other bodies of water for geothermal-related uses will be obtained from the State Water Resources Control Board (SWRCB). Permit conditions include terms which require certain minimum flows during water removal as a means of protecting aquatic resources (FEIR Mitigation Measure #17).
SOCIOECONOMICS AND PUBLIC SERVICES: Wastewater
Impact: During the Exploratory Drilling, Development, and Operation and Maintenance phases of the project there will be a nominal, adverse impact associated with increased wastewater generation. The use of septic systems in the project areas will result in potential adverse impacts to water quality.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; Regional Water Quality Control Board; California Department of Water Resources; local water agencies).
Facts Supporting the Finding:
Incremental impacts to domestic wastewater systems and septic systems are expected from increases in population associated with the increased workforce. The additional wastewater generated by the development and operation of geothermal facilities in the proposed leaseholds is considered an adverse impact. However, current wastewater disposal practices including collection and treatment systems and on-site systems will be sufficient to handle the additional wastewater. Exploratory drilling projects and construction sites will be provided with portable chemical toilets. Sanitary wastes are removed from the site when temporary activities are completed and disposed of at county-permitted sanitation facilities.
Sewage produced at geothermal power plants will be handled by on-site septic systems. The use of septic systems in the project areas will result in potential adverse impacts to water quality. In addition, accidental spills from condensate reinjection and sump failures may occur during operation phases.
Potentially significant adverse impacts associated with increased wastewater generation and disposal will be mitigated to insignificant levels by implementing measures to control discharges to sumps and provide package wastewater treatment systems as follows:
- The provision of a package wastewater treatment plant to accommodate large development and growth will be considered in areas where the use of septic tanks is not feasible (FEIR Mitigation Measure #39).
- Assurance for the provision of adequate water and sewer service shall be required before development is allowed to proceed (FEIR Mitigation Measure #12).
- Sanitary and hand washing facilities shall be provided at each drill site as specified by the County Health Departments (FEIR Mitigation Measure #4).
Required permits shall be obtained for additional discharge to sewer systems, drainage systems, sumps and injection wells, including Industrial Waste Discharge Permits issued by the Sanitation Districts and NPDES (National Pollution Discharge Elimination Permits) issued by the Regional Water Quality Control Board (FEIR Mitigation Measure #18).
Waste sumps and septic systems shall be properly installed and maintained to prevent leakage and spills which could contaminate surface water and groundwater sources (FEIR Mitigation Measure #19).
Drilling sumps shall be constructed to meet the waste discharge requirements of the Regional Water Quality Control Board (FEIR Mitigation Measure #20).
Contents of waste sumps shall be tested and classified to determine final waste disposal requirements. Nonhazardous solid wastes can be dried, mixed with soil and buried on-site. Hazardous wastes and potentially harmful wastes must be removed and disposed of in an approved Class I or Class II WMU (FEIR Mitigation Measure #42).
**SOCIOECONOMICS AND PUBLIC SERVICE: Solid Waste**
**Impact:** Volumes of waste generated during the Exploratory Drilling, Development, and Operation and Maintenance phases of the project be a significant adverse impact. Landfills and hazardous waste management units will be incrementally impacted.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; Regional Water Quality Control Board).
**Facts Supporting the Finding:**
Currently, no solid waste is being produced from the project areas. Therefore, the volumes of solid waste generated during drilling, field development, and operations will be substantial and will be a significant adverse impact. Drilling, construction, and operations will produce debris and domestic wastes. Hazardous and designated solid waste will also result from a number of processes that are part of the geothermal development technology. The potential sources of solid waste include well drilling mud and cuttings, brine clarification wastes, scale, and sludge and wastes produced from hydrogen sulfide abatement.
Non-hazardous solid waste and municipal waste generated by drilling, development, and operations will be collected and disposed of at the Clearlake Highlands Landfill. The facility currently has sufficient capacity to accept the inert solid wastes expected to be generated by geothermal activities in the proposed leaseholds. However, while the volume of inert solid waste is not expected to be significant, it will incrementally shorten the life of the landfill and therefore, will be an adverse impact.
Potentially significant adverse impacts associated with increased solid waste generation and disposal will be mitigated to insignificant levels by implementing solid waste management plans and facility permitting review as follows:
- County Solid Waste Management Plans include programs to reduce the quantities of nonhazardous solid waste being sent to landfills. These programs include source reduction, separation of recoverables, composting, and high technology resource recovery. The applicant shall implement these programs to reduce the increase in solid waste generation associated with development in the leaseholds, and will thereby extend the life of the affected disposal sites (FEIR Mitigation Measure #21).
- Drilling sumps which are intended to be used longer than one year will require a Solid Waste Facility Permit from the Solid Waste Management Board. The Solid Waste Facilities Permit is issued by the State and requires that the sumps be designated by appropriate zoning and consistent with the General Plan (FEIR Mitigation Measure #44).
**SOCIOECONOMICS AND PUBLIC SERVICES: Energy Utilities**
**Impact:** A substantial amount of energy will be expended during the exploration, development, and operational phases of the project, resulting in a short-term adverse impacts.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; California Energy Commission).
**Facts Supporting the Finding:**
Additional power lines to serve development and operation activities in the project areas will be installed by PG&E. Bottled propane gas and fuel oil will be supplied by local distributors. It is anticipated that exploration, development, and operation activities will expend substantial
amounts of electricity, gas, and fuel. Increased demand for electricity, gas and fuel is not expected to result in a significant impact to the current service levels, however energy consumption itself represents a loss on nonrenewable resources and is thus considered a significant adverse impact.
Potentially significant adverse impacts associated with the project related to energy consumption will be mitigated to insignificant levels by implementing measures requiring conservation and facility efficiency as follows:
- PG&E can provide assistance in selection of effective energy conservation techniques and infrastructure construction (FEIR Mitigation Measure #22).
- Development plans shall be made available to all involved utilities as they become available in order to facilitate engineering, design, and construction of improvements (FEIR Mitigation Measure #23).
- Architectural and mechanical plans for the facilities shall be carefully reviewed to verify that the lowest energy rated mechanical and electrical equipment has been specified (FEIR Mitigation Measure #24).
- Facilities will be designed for optimum energy efficiency in accordance with Energy Conservation Standards for non-residential buildings. The use of solar energy and waste heat recovery systems shall be incorporated into the design of facilities wherever feasible (FEIR Mitigation Measure #25).
**SOCIOECONOMICS AND PUBLIC SERVICES: Schools**
**Impact:** The increase in student and the need for additional classroom space will result in significant adverse impacts to local school districts, as a majority of the schools are already operating over capacity.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; local school districts).
**Facts Supporting the Finding:**
As exploration activities are short-term, no impacts to schools are expected. Estimates of future increases or decreases in enrollment in county schools are difficult to project. The greatest increases in the workforce population will be during the exploration and development phases.
within the proposed project areas. However, future development activities are not expected to attract a significant number of new residents to the county, therefore, many of the workers who would be employed by new geothermal projects will likely be permanent residents already living in the area. Nonetheless, any increase in students and the need for additional classroom space will result in a significant adverse impact to school services since the majority of schools are already operating over-capacity.
The current development impact fee established in 1986 by passage of AB 2926 is not expected to provide sufficient mitigation payments from future geothermal projects to the school districts to offset future enrollment levels. Under this legislation, school districts are paid 25 cents per square ft of covered or enclosed industrial, i.e., geothermal space built within their jurisdiction.
Potentially significant adverse project impacts related to overcrowding in local schools will be mitigated to insignificant levels by payment of school impaction fees and through other mitigation agreements between geothermal developers and school districts as follows:
- Developers of the proposed leaseholds shall pay required state impact fees to mitigate school impacts resulting from geothermal-related development. This standard fee will only partially mitigate school impacts (FEIR Mitigation Measure #46).
- Developers shall also consider entering into additional mitigation agreements with the County Office of Education and the school districts to supplement state impact fees. Mitigation can include the provision of additional school sites and temporary school buildings (FEIR Mitigation Measure #47).
- The mitigation agreements/fees shall include provision, if necessary, for school buses. The mitigation fee shall be a one-time fee for students whose families have relocated to the district since the certification of the project (FEIR Mitigation Measure #48).
**SOCIOECONOMICS AND PUBLIC SERVICES: Cumulative Impacts**
**Impact:** Specific geothermal projects could overtax public services within local subareas.
**Finding:**
A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties; California Department of Forestry; California Highway Patrol; California Department of Water Resources; Regional Water Quality Control Board; California Energy Commission; local water agencies; local school districts).
Facts Supporting the Finding:
Attendant with an increase in population is an increased demand for public services. Though the increase in demand for public services associated with geothermal employment growth is likely to be insignificant, specific subareas in the region are plagued by certain service and capacity problems associated with small water systems, wastewater disposal, and schools. Thus, individual projects must continue to be assessed for their affect on such services.
Potentially significant adverse impacts associated with the cumulative project effect on public services will be mitigated to insignificant levels by implementing the mitigation measures described for individual services (above). On a site-specific basis, additional mitigation measures shall be prescribed as necessary to ensure cumulative project development will not result in significant adverse impacts.
AESTHETICS: Exploratory Drilling
Impact: Potentially significant adverse visual modifications to the landscape may occur.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties).
Facts Supporting the Finding:
Exploratory drilling requires the preparation of a pad and access roadways in addition to equipment delivery and set up of the drilling rig itself. Visual modifications from this activity will include; introduced changes in the form, line, and texture of the area from the pad site and road cutting activity, introduction of a visually obtrusive element (the drill rig and support vehicles), changes in the character of the landscape from undeveloped to partially developed and/or disturbed which will compete with surrounding undeveloped/rural settings, and, changes in viewer expectations depending on where the exploratory drilling is located (whether it is within a sensitive viewshed).
In addition, most drill rigs operate on a 24-hour basis, thus requiring night lighting. Steam venting out during this operation combined with lighting may be visible at night.
The following mitigation measures relating to pad and facilities design and location will be implemented to reduce visual impacts during exploratory drilling to insignificant levels:
Pads, roads, pipelines, plants, and transmission facilities shall be designed so as to present the least visual intrusion on views from popular use areas. Consideration shall be given to the facility's distance from potential viewers during the design process (FEIR Mitigation Measure #1).
The use of local rock types for road and pad surfacing material will help minimize color contrast between engineered and natural land forms (FEIR Mitigation Measure #2).
**AESTHETICS: Full Field Development**
**Impact:** Potentially significant adverse visual modifications to the landscape may occur.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties).
**Facts Supporting the Finding:**
Lease development will involve the combination of visual impacts similar to those resulting from well drilling with a combination of other visual elements. More activity will be visible during construction than at any other time. Many trucks will be bringing materials into the leasehold area, significantly increasing activity within and through nearby local communities. Also associated with lease development is the construction of power transmission facilities composed of high-voltage lattice-type transmission towers. These will be placed both on-site and off-site to make necessary inter-ties to an existing PG&E system.
Temporary night lighting will be placed on drill rigs and possibly other construction areas. Permanent low-level lighting will be placed on structures and pads which will show as pin points of light from a distance. Illumination may be increased by steam from the well pads as well as the plants at night.
These changes have the potential to result in a significant visual impact which is dependent on viewer sensitivity, proximity and relative scale from the lease development activity. The following mitigation measures relating to facilities design will be implemented to reduce these aesthetic impacts to insignificant levels:
o Exploratory Drilling mitigation measures shall be applicable to the Operation and Maintenance Field Development phase (FEIR Mitigation Measure #3).
On visual edges such as ridgelines, construction of facilities shall maintain a low profile design. A low profile design for pipelines shall also be incorporated. All pads, roads, pipelines, and transmission towers, as well as buildings, shall utilize existing vegetation and topography to the maximum extent possible for visual screening. Pipelines and roads shall lie parallel to existing terrain contours to minimize visual breaks in the landscape. In areas of visual sensitivity, visual analysis shall include the use of vertical versus horizontal pipeline expansion loops to minimize visibility (FEIR Mitigation Measure #4).
Plants, control buildings, maintenance buildings, pump stations, and other structures shall be constructed and colored in natural browns and shades of greens to blend into the surrounding terrain (FEIR Mitigation Measure #5).
Pipelines shall be wrapped with green or light brownish taping to also blend in with surrounding terrain. It should be determined which color is appropriate depending on the adjacent shrubbery. Taping on pipelines shall continue to be maintained during operation to prevent reflections and glaring off of the pipelines. (In some areas of existing developments the taping has worn off and extreme glaring is experienced off of the silvery-metal of the pipelines) (FEIR Mitigation Measure #6).
Transmission towers shall also be etched and colored so as not to create glare conditions and to blend into the surrounding environment (FEIR Mitigation Measure #7).
Vegetation plans and vegetation maintenance plans shall be required and approved prior to construction to minimize, reduce, or eliminate impacts from construction activity or drilling operations. In particular, these plans shall address cut and fill work required for construction of pads, roads, and related plant facilities and the revegetation of these areas. The vegetation maintenance plan shall focus on the permit holder being responsible for planting and maintaining native trees and vegetation along the revegetated areas (FEIR Mitigation Measure #8).
Lighting plans shall be approved prior to construction and shall include that lighting be shielded or directed away from any sensitive receptors including residences, public roadways and any other public use facilities (FEIR Mitigation Measure #9).
Cut and fill areas shall be revegetated to reduce visual contrast with the surrounding area (FEIR Mitigation Measure #10).
In Lake County, new high voltage transmission facilities shall not be sited along a foreground view of major resorts or wineries, potential state and country scenic highways or communities as designated in the Lake County General Plan, unless no feasible alternatives exist. In situations where no feasible alternatives exist, undergrounding or other visual mitigation measures shall be imposed (FEIR Mitigation Measure #).
AESTHETICS: Operations and Maintenance
Impact: Potentially significant adverse visual modifications to the landscape may occur.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties).
Facts Supporting the Finding:
Impacts from operation and maintenance of facilities will be the same as those for listed above for lease development with the exception of the construction activity (except for additional well drilling). Night lighting for structures, well pads, access road entrances, and other areas may create pinpoints of light as well as the potential for illumination from steam and foggy conditions. These changes have the potential to result in a significant visual impact which is dependent on viewer sensitivity, proximity and relative scale.
Mitigation measures adopted for the Non-Drilling Exploration and Exploratory Drilling phases of the project shall continue to be implemented during the Operations and Maintenance phase, thereby reducing any potentially significant adverse aesthetic impacts to insignificant levels.
AESTHETICS: Abandonment
Impact: Removal of geothermal materials will leave visual scars such former facility and drill pads, and abandoned roadways. Modifications to the landscape may occur.
Finding: A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties).
Facts Supporting the Finding:
During actual abandonment, it is assumed that all power plant building structures, pipelines, unused transmission towers and construction debris and surplus materials will be removed from
the sites. Once these materials are removed, visual scars will consist of the areas used for drilling pads, plant and ancillary facility pads (i.e., maintenance buildings), and roadways.
If site restoration occurs in accordance with proper revegetation guidelines, including recontouring of pads to blend in with the existing terrain, then any potential impacts resulting from operations activities and subsequent abandonment will be substantially reduced. In addition, the following mitigation measures relating to specific revegetation requirements shall be implemented to help reduce post-abandonment aesthetic impacts to insignificant levels:
- Vegetation plans addressing abandonment should also be approved in advance of any final project approvals and should be in accordance with requirements addressed for biological resources (FEIR Mitigation Measure #12).
- Cut and fill areas will be revegetated to reduce visual contrast with the surrounding area (FEIR Mitigation Measure #13).
**AESTHETICS: Cumulative Impacts**
**Impact:** Land use conversion necessary for the construction of access roads, well sites, and power plants has the potential to significantly impact scenic quality in the project area.
**Finding:** A) Changes or alterations have been required in, or incorporated into, the project which avoid or substantially lessen the significant environmental effect as identified in the Final EIR.
B) Such changes or alterations are within the responsibility or jurisdiction of another public agency and not the agency making the finding. Such changes have been adopted by other such agencies or can or should be adopted by other such agencies (Lake, Sonoma, and Mendocino Counties).
**Facts Supporting the Finding:**
Expansion of geothermal development, could include 4 to 8 new plants, and will have the potential to change to character of the viewshed in the project area. Changes in a viewshed could include the addition of incongruous features such as industrial structures, grading cuts, vegetation removal, and increased human activity and traffic flow.
The combination of new plants and new residential growth will have the potential to begin to change the character of the area from rural and remote to one of slightly more development. It is unlikely however, that the overall character will change significantly due to other constraints in land development, most notably infrastructure availability.
Siting considerations shall include use of hills and terrain to naturally screen elements from general viewsheds, sensitive placement of man-made structures,
restoration of landform and vegetation, and respect for scenic corridor viewsheds. Though it will not be possible to completely mitigate cumulative visual impacts, mitigation will reduce the impact to acceptable levels.
| Existing Conditions | Issues and Impacts | Mitigation | Responsible for Mitigation | Reduced to insignificant |
|---------------------|--------------------|------------|----------------------------|--------------------------|
| **SYSTEMS SAFETY** | | | | |
| Phase 1 - Non-Drilling Exploration Activities | Off-road vehicle operation increases possibility of fires. Any wildland brush or forest fire would constitute a significant impact. | All vehicles shall be equipped with CDF-approved spark arrestors. Campfires and smoking shall be prohibited during exploratory activities. | Applicant/Developer | Reduced to insignificant |
| Phase 2 - Exploratory Drilling | No active geothermal activities occur in any of the three project areas. | Potential risks for blowout of well. A blowout could constitute a significant impact because of the possibility of injury or death to site personnel. | Blowout Prevention Equipment shall be installed in all wells. Development areas shall be cleared of combustible material and a fire extinguisher shall be kept on site at all times. | Applicant/Developer | Reduced to insignificant |
| Phase 3 - Full Field Development | The proposed leasehold is generally undeveloped with the exception of some roadways. | During construction, potential risks to start a significant brush or forest fire. Any wildland brush or forest fire would constitute a significant impact. | All vehicles shall be equipped with CDF-approved spark arrestors. | Applicant/Developer | Reduced to insignificant |
| Phase 4 - Operations and Maintenance | No active geothermal activities occur in any of the three project areas. Roadways are used for transportation of hazardous materials such as fuel, solvents, and drilling muds. | Accidents may occur during maintenance, e.g., welding-induced fires. Accidents may occur with the handling of hazardous materials and hazardous wastes. Waste haulers must typically use heavy trucks and negotiate steep, narrow, or winding roads to transport waste from remote well site and geothermal facilities. The impacts associated with hazardous wastes shall be reduced by minimizing the volume generated. | Development areas shall be cleared of combustible material and a fire extinguisher shall be kept on-site at all times. Hazardous wastes shall be packaged, manifested and transported according to applicable state and federal regulations. A safety and emergency response program shall be developed including regular vehicle inspections by Applicant in accordance to OSHA regulations. On-site minimization of hazardous wastes shall be employed to maximum extent possible. | Applicant/Developer | Reduced to insignificant |
The potential for accidental release or improper disposal of hazardous wastes is considered a significant adverse impact.
| Phase 5 - Abandonment | The proposed leasehold is generally undeveloped with the exception of some roadways. | Abandonment activities will involve much work similar to construction, e.g., welling and potential oil to start fires. Hazardous wastes may accumulate on equipment, pumps, tanks, etc. are dismantled. | Development areas shall be cleared of combustible material and a fire extinguisher shall be kept on site at all times. A reclamation plan shall be submitted to Planning Department and a site abandonment shall occur as required by the Division of Oil and Gas and SLC. | Applicant/Developer DOD SLC | Applicant/Developer DOD SLC | Reduced to insignificant |
|-----------------------|---------------------------------------------------------------------------------|---------------------------------------------------------------------------------|---------------------------------------------------------------------------------|-----------------------------|-----------------------------|-----------------------------|
| Cumulative Impacts and Mitigations | Increase in incidence of wildland brush or forest fire. Generation of significant quantities of known hazardous waste which must be contained, handled, and disposed of in accordance with state and federal law. | All vehicles shall be equipped with CDF-approved spark arresters. Development area shall be cleared of combustible material and a fire extinguisher shall be kept on site at all times. It is recommended that geothermal waste facilities be located in the Geyser area. Technological changes in operations have great potential to reduce hazardous waste disposal requirements. A Waste Management and Prevention Program for waste hazardous materials shall be prepared as required by State law. | Applicant/Developer DOD SLC | Applicant/Developer DOD SLC | The potential for accidental release or improper disposal of hazardous wastes is considered a significant adverse impact. |
**LAND USE**
| Phase 1 - Non-Drilling Exploration Activities | The Geyser Caliente KOFA is rural in character and sparsely populated due mainly to the characteristic steepness and ruggedness of the terrain, fire hazard potential, road accessibility, and lack of public services. | No land use disturbance will result from non-drilling exploration activity. | No mitigation is required. | Applicant/Developer | Reduced to insignificant |
| Existing Conditions | Issues and Impacts | Mitigations | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|-------------|----------------------------|-----------------|
| **Phase 2 - Exploratory Drilling**
The Geysers-Calistoga KORA is rural in character and sparsely populated due mainly to the characteristic steepness and ruggedness of the terrain, fire hazard potential, road accessibility, and lack of public services. | Land transformation will occur as a result of access roadway construction and pad development. | Development shall proceed in accordance with all state and local permit requirements. Measures to minimize land disturbance to be implemented include limitation on cut and fill activity, sharing of roadways, etc. All disturbed areas will be revegetated as soon as possible. | Applicant/Developer | Reduced to insignificant |
| **Phase 3 - Full Field Development**
The Geysers-Calistoga KORA is rural in character and sparsely populated due mainly to the characteristic steepness and ruggedness of the terrain, fire hazard potential, road accessibility, and lack of public services. | Land transformation will occur as a result of access roadway construction and pad development. | Development shall proceed in accordance with all state and local permit requirements. Measures to minimize land disturbance to be implemented include limitation on cut and fill activity, sharing of roadways, etc. All disturbed areas will be revegetated as soon as possible. | Applicant/Developer | Reduced to insignificant |
| **Phase 4 - Operation and Maintenance**
The Geysers-Calistoga KORA is rural in character and sparsely populated due mainly to the characteristic steepness and ruggedness of the terrain, fire hazard potential, road accessibility, and lack of public services. | Land transformation will occur as a result of access roadway construction and pad development. | Measures to mitigate potential impacts to residential users include adherence to buffering requirements set forth through county guidelines for noise, visual effects, air quality, and other areas. | Applicant/Developer | Reduced to insignificant |
| **Phase 5 - Abandonment**
The Geysers-Calistoga KORA is rural in character and sparsely populated due mainly to the characteristic steepness and ruggedness of the terrain, fire hazard potential, road accessibility, and lack of public services. | Proper site restoration and revegetation and time will allow areas to recover from development scars. | Revegetation plan shall be developed by a qualified biologist, reviewed by Planning and monitored to ensure revegetation is successful. | Applicant/Developer | Reduced to insignificant |
| **Cumulative Impacts and Mitigations**
The Geysers-Calistoga KORA is rural in character and sparsely populated due mainly to the characteristic steepness and ruggedness of the terrain, fire hazard potential, road accessibility, and lack of public services. | Potential land use conflict would probably occur in the northern part of Lake County in Project Area 2. This area is where development is likely to occur and is near inhabited areas. | The mitigation measures described above will reduce all of the significant adverse impacts regarding land use to levels considered acceptable and therefore insignificant. | Applicant/Developer | Reduced to insignificant |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Condition | Issues and Impacts | Mitigation | Responsible for Mitigation | Resultant Impact |
|--------------------|--------------------|------------|----------------------------|------------------|
| **PHYSIOGRAPHY AND GEOLOGY** |
| **Phase 1 - Non Drilling Exploration Activities** |
| The area of the Geyser RODA is located in the physiographic province known as the Coast ranges. The physical setting for the project leasing area is the very steep, rugged terrain surrounding the Mayacamas Mountains. |
| Overfly surveys, magnetometer surveys, seismic surveys, reliability surveys, aerial photo and geophysical reconnaissance, drilling of shallow test gradient well, geochemical studies, geologic mapping, and field surveys may occur but impacts are minimal. |
| A plan of exploration shall be prepared and submitted prior to commencement of any exploration activities. |
| - Applicant/Developer |
| - DOG |
| - SLC |
| Reduced to insignificant |
| **Phase 2 - Exploratory Drilling** |
| The area of the Geyser RODA is located in the physiographic province known as the Coast physiographic province known as the Coast ranges. The physical setting for the project leasing area is the very steep, rugged terrain surrounding the Mayacamas Mountains. |
| Impacts from exploratory drilling include erosion from grading, damage from spills of lubricating oils and grease, damage from accidental discharge of drilling fluids, overfills of fluids in storage pits, and uncontrolled blowouts. Most of these activities could cause hazardous materials to be discharged. |
| Exploratory drilling plans shall include measures to minimize listed impacts. Pads shall be constructed to a minimum of 90 percent relative compaction (filled slope banks should not exceed a gradient of 1:5:1; loss of fill should be stabilized with rock and gravel or beyond this stable soil, etc. |
| - Applicant/Developer |
| - Reduced to insignificant |
| **Phase 3 - Field Development** |
| The area of the Geyser RODA is located in the physiographic province known as the Coast physiographic province known as the Coast ranges. The physical setting for the project leasing area is the very steep, rugged terrain surrounding the Mayacamas Mountains. |
| Impacts from development include erosion from grading, damage from spills of lubricating oils and grease, damage from accidental discharge of drilling fluids, overfills of fluids in storage pits, and uncontrolled blowouts. Most of these activities could cause hazardous materials to be discharged. |
| Varied impacts will also occur from construction of a steam gathering system and transmission facilities. |
| Drilling plans shall include measures to minimize listed impacts. Pads shall be compacted to a minimum of 90 percent relative compaction (filled slope banks should not exceed a gradient of 1:5:1; loss of fill should be stabilized with rock and gravel or beyond this stable soil, etc. |
| - Applicant/Developer |
| - Reduced to insignificant |
| **Phase 4 - Operations and Maintenance** |
| The area of the Geyser RODA is located in the physiographic province known as the Coast physiographic province known as the Coast ranges. The physical setting for the project leasing area is the very steep, rugged terrain surrounding the Mayacamas Mountains. |
| Little additional surface disturbance will occur. Impacts are limited to possible occurrences resulting from failures of previous work in regional geotechnical or resource events. |
| A maintenance plan shall be developed by Applicant and reviewed by Planning. Maintenance activities shall occur on a regular basis. |
| - Applicant/Developer |
| - Planning Department |
| Reduced to insignificant |
| **a. surface rupture** |
| There are first large faults and numerous smaller fractures mapped in the area of the leases. They are considered very old and inactive. |
| It is believed to be improbable that a surface rupture would occur as a result of an active fault. |
| No mitigation measures are proposed. |
| - |
| Insignificant |
| Existing Conditions | Issues and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|------------|----------------------------|-----------------|
| **b. seismic activity** | Potential future fault movement is low, but because of the numerous faults in California, periodic ground shaking is likely. | Proper engineering design should minimize the impact of earthquake induced damage to the physical facilities. | Applicant/Developer | Reduced to insignificant |
| **c. landslides** | Over 200 landslides have been identified in the project area but only a few could be classified as being active. The majority of the area is currently very stable. | During the course of operational life, a landslide is probable, however, the impact of these slides can be made negligible with proper planning and location of operation and facilities. | Applicant/Developer | Reduced to insignificant |
| **d. liquefaction** | Bedrock of Project Lease Areas No. 1 and 2 is composed of Jurassic to Cretaceous age rocks of the Franciscan Complex. The bedrock geology in Project Lease Area No. 3 is composed of volcanic flows and air-borne volcanics such as ash, etc. | Sande and gravel of the alluvial and colluvial deposits, landslide debris, terrace deposits, and some lake deposits all have potential for liquefaction. These type of deposits have a somewhat restricted distribution over the lease area. | If these deposits are avoided, it is improbable that any damage could result. | Reduced to insignificant |
| **e. flooding** | Rainfall is highly variable in the lease area. Most of the drainages are very narrow and incised. | Probability of flooding in the stream valleys is high. | Avoidance of building in these water courses will make flooding improbable. | Reduced to insignificant |
| **f. cavity collapse** | Review of maps and aerial photos do not indicate any evidence of natural cavities or underground workings in the lease area. | It is improbable that cavity collapse would occur in the area. | No mitigation measures are suggested. | Insignificant |
| **g. volcanism** | There are known active volcanoes in the area. The closest potential area is about 24 km (15 miles) away in the area north of Lower Lake. | The potential for surface lava flows reaching the area and doing damage is considered extremely remote. The major impact from eruption would be ash fall. | No mitigation measures are suggested. | Insignificant |
| Existing Conditions | Impacts and Impacts | Mitigations | Responsible for Mitigation | Residual Impact |
|---------------------|---------------------|-------------|----------------------------|-----------------|
| **Geothermal Resources Utilization** | | | | |
| **Resource Depletion** | A negative impact of increased geothermal development of new fields is the increased rate of depletion. | Conservation of the resource during energy production is the most effective mitigation. Operational measures such as cycling, load following, and puffing conserve the resource by delivering loads in a cyclic manner consistent with demand. Binary recovery equipment readjustment would increase overall plant efficiency. | Applicant/Developer | Significant |
| **Reservoir Injection** | The depletion of use of an operator's underlying field at the expense of an adjacent operator is a very difficult impact to assess. | Mitigation measures cannot be presented until further knowledge is developed about the mechanics (i.e., exchange of heat and fluids) between the cells in the reservoir. | Applicant/Developer | Insignificant |
| | A negative impact from injection is local quenching of the formation and/or thermal breakthrough of the injected brine the same where the production well has been cased. Quenching causes the steam drawn off to be less wet and reduces the efficiency of power generation. | Mitigation measures to prevent deutilization of the reservoir would be left as a self imposed requirement for the operator. | Applicant/Developer | Significant |
| | The construction of improvements on any of the local water sources to be used for injection would have additional impacts. Operator could also be employing recharge or reservoir stimulation activities which may deplete the production in an adjacent field. | Mitigation would be imposed through the county flood control permitting process. Mitigation would be imposed through application of water quality standards set by county on injector. | Applicant/Developer | Insignificant |
| **Induced Ground Displacement** | A secondary impact of drawing off the resources is surface displacement caused by relief of subsurface pressure. The settlement may then induce seismicity. | Localized settlement in the monolithic Geysers area may have minor impacts on roadways and utilities and accelerate top soil creep on steep slopes. Subsidence and induced seismic activities are mitigable by recharging the reservoir by injection. Localized displacement has little impact and requires little mitigation. | Applicant/Developer | Insignificant |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impact and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|------------|----------------------------|-----------------|
| **Induced Seismicity** | Minor earthquake activity in the Geysers area has been directly attributed to the withdrawal of steam for geothermal production. | Current seismicity is of low magnitude and has measurable effects on the production facilities. However, tremors propagating through the neighboring communities are a nuisance causing resident concern. | A combined monitoring program is needed to detect vertical and horizontal displacements in order to assess the seismic risks in the region, and further research on reservoir is needed. | Applicant/Developer | Insignificant |
| **Landform Modifications** | The area of the Geysers FOFA is located in the physiographic province known as the Coast Range. The physical setting for the project leasing area is the very steep, rugged terrain surrounding the Mayacama Mountains. | Physical results of landform modification, i.e., increased erosion and sedimentation. These occur on a site-specific basis and it is not expected that these separate impacts would be coincidental and cause relative cumulative impacts. | No geotechnical engineering measures nor protective measures, in addition to those identified for site-specific impacts, can be prescribed for application on a cumulative basis. | Applicant/Developer | Reduced to insignificant |
| **Phase 3 - Abandonment** | | Impacts are similar to those during development phase. | She shall be cleared of all unnecessary materials and restored landfill as practical. Sumps and lost ponds shall be filled and covered. Erosion control measures shall be in place. | Applicant/Developer | Reduced to insignificant |
| **Cumulative Impacts and Mitigations** | | The cumulative impact is an overall decline in geothermal resources potential in the Geysers which is presently theorized to be accelerated due to lack of injection of sufficient quantities of fluids to offset depletion. | Implementation of area-wide injection is the only mitigation to conserve the resource. However, because of the lack of sufficient sources of water, this measure is considered to have low feasibility. | Applicant/Developer | Reduced to insignificant |
### SURFACE AND GROUND WATER HYDROLOGY
#### Phase 1 - Non-Drilling Exploration Activities
The Geysers region is sufficiently typified by steep canyons, high ridges, unstable soil, thin lithic fillings, heavy rain, and high runoff. The study area encompasses portions of four watershed areas.
Some significant short-term impacts are increased erosion and sedimentation problems in nearby streams. Sedimentation and turbidity affect fish and wildlife habitats and can endanger water supplies.
Plane of exploration shall detail methods to prevent erosion into creeks and streams. Many impacts on the surface water can be reduced or eliminated by proper planning and siting.
Applicant/Developer | DOG | Reduced to insignificant |
### Table S1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Issues and Impacts | Mitigation | Responsible for | Residual Impact |
|---------------------|--------------------|------------|-----------------|-----------------|
| **Phase 2 - Exploratory Drilling**
The Geysers region is surficially typified by deep canyon, high ridges, erodible soil, thin alluvial fillings, heavy rains, and high runoff. The study area encompasses portions of four watershed areas. | Construction activities will cause impacts that will be more short term in nature and/or less permanent. Significant impacts include: removal of vegetation, increased sediment load in streams, and increased fires in fields, etc. | Measures to reduce sediment and turbidities include: damming cut and fill areas with hay bales, compacting fields to a minimum of 90 percent compaction, and finding slope banks no steeper than a gradient of 1:5:1. | Applicant/Developer | Reduced to insignificant |
| **Phase 3 - Full Field Development**
Development of a lease into production status involves drilling additional wells, building a generation plant, constructing pipelines, feeder transmission lines, and providing required access. | The greatest potential problem is the spillage of drilling muds or fluids which could create significant adverse water quality conditions deleterious to most aquatic organisms. | Mitigations are the same as for the exploratory drilling as listed above except the magnitude of potential contamination projects is much greater which increases the potential or frequency of impacts. | Applicant/Developer | Reduced to insignificant |
| **Phase 4 - Operation and Maintenance**
The Geysers region is surficially typified by deep canyon, high ridges, erodible soil, thin alluvial fillings, heavy rains, and high runoff. The study area encompasses portions of four watershed areas. | The development of water resources on area streams would be a significant adverse impact. | Mitigations are the same for as for the exploratory drilling process or their control. Additional mitigations include: springs shall be monitored and floodplain management practices shall be implemented. | Applicant/Developer | Reduced to insignificant |
| | An important significant impact is the potential of contamination of surface water via liquid wastes. | Application shall obtain by right or purchase all water used in drilling process or their control. All waste must be disposed of in compliance with existing federal state and county regulations. No waste shall be allowed to enter any stream, creek or other body of water. | Applicant/Developer | Reduced to insignificant |
| | Cooling tower drift emissions may enter local streams under times of excess rainfall causing potentially significant water quality impacts. | Springs shall always maintain at least 3 feet of freshwater to accommodate blow out, excess formation fluids or heavy rains and proper berms and dikes shall be strategically placed to guard against spills. | | |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Issues and Impacts | Mitigation | Responsible for Mitigation | Radical Impact |
|---------------------|--------------------|------------|----------------------------|----------------|
| Groundwater impacts | There is no significant development of groundwater in the immediate area of the leases. The lease areas in general are not to be considered as having a high potential for developing significant amounts of groundwater. | Potential for significant impact to be limited groundwater sources during drilling and operation phases may occur from accidental escape of drilling or other downhole fluids, spillage of oils, etc., and migration of formation fluids up and into the groundwater source on a result of faulty cement jobs and completion practices. | Primary protection of the groundwater is to be accomplished by proper lining of all casing and monitoring same on a monthly basis. | Applicant/Developer | Reduced to insignificant |
| Phase 3 Abandonment | The Geyser region is suitably typified by steep canyons, high ridges, erodible soils, thin shallow fillings, heavy rains, and high runoff. The study area encompasses portions of four watershed areas. | The impacts to the lease area from abandonment will be similar to impacts listed above for exploratory drilling. The impacts will be transitory in nature and very short lived. | Mitigations are similar to those listed above under exploratory drilling. Additional mitigation includes the removal of all unnecessary material, the filling and covering of test points, and the restoration of the premises to a near natural state. | Applicant/Developer | Reduced to insignificant |
| Cumulative Impacts and Mitigations | The potential for significant hydrologic impacts is high for a short duration during and shortly after construction of future geothermal development sites. Any significant diversion of surface water for reservoir injection would significantly diminish water quality and aquatic habitats. Watershed values and water quality can be significantly affected from alteration of natural runoff patterns. The potential exists for spills of hazardous waste material. | Applicants shall implement above listed mitigation and participate in an area-wide monitoring program. The implementation of an area-wide reservoir injection program would require a corresponding program to develop local surface and/or groundwater sources to support injection. Advances in technology could produce greater steam efficiency and greater condensate for injection. All waste must be disposed of in compliance with existing federal state and county regulations. No waste shall be allowed to enter any streams, creeks, or other body of water. | Applicant/Developer | Reduced to insignificant with the implementation of a feasible injection program | The potential for accidental release or improper disposal of hazardous waste is considered a significant adverse impact. |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impact and Impacts | Mitigation | Responsible for Mitigation | Reduced to insignificant |
|---------------------|--------------------|------------|----------------------------|--------------------------|
| **BIOLICAL RESOURCES** | | | | |
| **Phase 1 - Non Drilling Exploratory Activities** | | | | |
| **Vegetation** | Removal of vegetation for access and trampling of localized areas by workers will impact area. Potentially significant impacts occur if habitat contains or is suitable for rare plant species. Probability of significant impacts is higher for Project Areas 2 and 3 where sensitive plant species are known to occur. | A site-specific plant survey and rare plant survey shall be conducted by a qualified biologist in accordance with California Native Plant Society guidelines as recommended by the California Department of Fish and Game. | Applicant/Developer CNPS CDFG | Reduced to insignificant |
| **Wildlife** | The high diversity of vegetation communities present in the leachfield areas is associated with a high diversity of wildlife taxa. The areas are actually or potentially occupied by 33 species of reptiles and reptoids, 74 species of birds, some residents or seasonal visitors, and 54 species of mammals. | The overall impacts are minimal on wildlife for all three properties. Habitat will not be significantly altered and acts-like use of short duration as not to produce a harmful disruption of wildlife activities. | A survey shall be conducted by a qualified wildlife biologist to assure no active reproductive dams are present. If an occupied dam is found, wildlife biologist shall insure protection of occupant and may relocate the dam if necessary. | Reduced to insignificant |
| **Aquatic Resources** | There are two major drainage systems within the project area, and several major creeks which drain into Big Stoper Creek. | Impacts could result if these activities increased sedimentation into the streams. | Measures to prevent erosion and sedimentation shall be included in the plan of exploration. | Applicant/Developer DOQ | Reduced to insignificant |
| **Phase 2 - Exploratory Drilling** | | | | |
| **Vegetation** | The project region is a highly diverse mosaic of shrubs, woodland, riparian, and grassland communities. Of particular importance for rare plant species is the presence of serpentine soils and rocky outcrops within the project area. Accidental spillage of hot fluids may also damage vegetation on a local basis. Project Area 2 and 3 have the highest probability of significant individual and cumulative impacts from drilling operations. | Removal of vegetation and potential for removal of sensitive species during access road construction, road widening, clearing of the drilling pad site, disposal of soil or debris, and construction of the drilling pad ramp. | Removal of or injury to sensitive plant species shall be avoided. If removal of habitat by sensitive plant population occurs, a mitigation plan shall be developed and implemented immediately. Mitigation measures to prevent spills are listed under all phases of Surface Water and Groundwater Hydrology section. | Applicant/Developer | Reduced to insignificant |
| Existing Conditions | Issues and Impacts | Mitigations | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|-------------|----------------------------|-----------------|
| **Wildlife** | | | | |
| The high diversity of vegetation communities present in the leeshold area is associated with a high diversity of wildlife taxa. The areas are actually or potentially occupied by 33 species of amphibians and reptiles, 97 species of birds as residents or seasonal visitors, and 34 species of mammals. | Considerable local modification of wildlife habitat and habitat removal will result, especially during drilling pad and sump construction. Impact will be greatest in Project Area 3 where yellow pine forests would be removed. Important den sites for larger carnivores may be lost. Wildlife activities may increase substantially in the area since the drilling sump will potentially increase the amount of available water. | A survey shall be conducted by a qualified wildlife biologist to evaluate habitats and assure no active carnivore dens are present. If an occupied den is found, wildlife biologist shall insure protection of occupant and may relocate the den if necessary. | - Applicant/Developer
- Potentially beneficial | Reduced to insignificant |
| **Aquatic Resources** | | | | |
| There are two major drainage systems within the project area, and several major creeks which drain into Big Sulphur Creek. | Construction activities would have potential to cause increased sedimentation and erosion into creek drainages. There is a chance for potentially toxic materials to be spilled and eventually be washed into the streams. | Cut and fills shall be dammed with sandbags during construction to prevent sediment transport. Measures as discussed previously will reduce chances for spills. No waste shall be allowed to enter any streams, creeks, or other body of water. | - Applicant/Developer
- Applicant/Developer | Reduced to insignificant |
| **Phase 3 - Full Field Development** | | | | |
| **Vegetation** | | | | |
| The project region is a highly diverse mosaic of shrub, woodland, riparian, and grassland communities. Of particular importance for rare plant species is the presence of serpentine soils and rocky outcrops within the project area. | Approximately 45 to 90 hectares (100 to 200 acres) of vegetation would be cleared for each power plant site. Vegetation may be injured from accidental spills or other gaseous emissions. Removal of vegetation in a sensitive habitat such as serpentine grassland would be considered highly significant. | A revegetation and landscaping plan shall be developed which utilizes native plant species. Measures as discussed previously will reduce chances for spills. No waste shall be allowed to enter any streams, creek or other body of water. Areas of sensitive habitat shall be avoided. | - Applicant/Developer
- Applicant/Developer
- Applicant/Developer | Reduced to insignificant
Reduced to insignificant
Reduced to insignificant |
| Existing Conditions | Issues and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|------------|----------------------------|-----------------|
| **Wildlife** | Considerable local modification of wildlife habitat will result, especially during drilling pad and camp construction. | A survey shall be conducted by a qualified wildlife biologist to evaluate habitat and to ensure no active carnivore dens are present. If an occupied den is found, wildlife biologist shall insure protection of occupant and may relocate the den if necessary. | Applicant/Developer | Reduced to insignificant |
| | Impact will be greatest in Project Area 3 where yellow pine forests would be removed. Important dens also for larger carnivores may be lost. | | | |
| | More secretive or disturbance-sensitive species such as gray foxes may be permanently displaced by development activities. | | | |
| | Faunal mammals and reptiles will be displaced or killed. | | | |
| **Aquatic Resources** | There are two major drainage systems within the project area, and several major creeks which drain into Big Skyler Creek. | Construction activities have potential to significantly decrease sedimentation and erosion into creek drainages. | Cut and fill shall be done with care during construction to prevent sediment transport. | Applicant/Developer | Reduced to insignificant |
| | Potentially toxic materials may be spilled and eventually be washed into the streams and cause lethal or sublethal effects on aquatic organisms. | Measures as discussed previously will reduce chances for spills. No waste shall be allowed to enter any stream, creek, or other body of water. | Applicant/Developer | Reduced to insignificant |
| **Phase 4 - Operation and Maintenance** | | | | |
| **Vegetation** | The project relies on a highly diverse mosaic of shrub, woodland, riparian, and grassland communities. Of particular importance for rare plant species is the presence of serpentine soils and rocky outcrops within the project area. | Impacts during operation and maintenance are not expected beyond those previously discussed. | Steam emulsions and accidental spills are potential impacts. | Applicant/Developer | (Insignificant) |
| **Wildlife** | The high diversity of vegetation communities present in the landscape area is associated with a high diversity of wildlife uses. The areas are actually or potentially occupied by 33 species of amphibians and reptiles, 97 species of birds as residents or seasonal visitors, and 54 species of mammals. | The continued operation of the steam plant facilities will not impact additional habitat beyond that lost in development. | | (Insignificant) |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impacts and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|---------------------|------------|----------------------------|-----------------|
| **Aquatic Resources** | The phase would have less potential for major inputs of sediment since construction will have been completed; however, reconstruction and maintenance may increase erosion in the streams. | Cut and fill shall be done with setbacks during construction to prevent sediment transport. | Applicant/Developer | Reduced to insignificant |
| **Phase 5 - Abandonment** | Accidental spills and steam emissions are also a potential significant impact. | Measures as discussed previously will reduce chances for spills. No waste shall be allowed to enter any streams, creeks, or other body of water. | Applicant/Developer | Reduced to insignificant |
| **Vegetation** | The project region is a highly diverse mosaic of shrub, woodland, riparian, and grassland communities. Of particular importance for rare plant species is the presence of serpentine soils and rocky outcrops within the project area. | Impacts include contamination and mortality of the surrounding vegetation due to migration of toxic fluids. | Measures as discussed previously will reduce chances for spills and acceptance of toxic materials. | Applicant/Developer | Reduced to insignificant |
| **Wildlife** | The high diversity of vegetation communities present in the leasehold areas is associated with a high diversity of wildlife taxa. The areas are actually or potentially occupied by 33 species of amphibians and reptiles, 97 species of birds as residents or seasonal visitors, and 34 species of mammals. | Re-establishment of wildlife in the area of an abandoned well will depend partly on the patterns of reforestation. | A reforestation plan shall be developed which utilizes native plant species and encourages wildlife use. | Applicant/Developer | Reduced to insignificant |
| **Aquatic Resources** | There are two major drainage systems within the project area, and several major creeks which drain into Big Sulphur Creek. | Activities associated with well development has the potential to accelerate sedimentation into streams. Toxic fluids left in the area could wash into the streams. | Cut and fill shall be done with setbacks during abandonment to prevent sediment transport. Measures as discussed previously will reduce chances for spills and acceptance of toxic materials. | Applicant/Developer | Reduced to insignificant |
**Executive Summary**
---
**CALENDAR PAGE 761**
**MINUTE PAGE Page 2480**
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impact and Impacts | Mitigation | Responsible for Mitigation | Resultant Impact |
|---------------------|--------------------|------------|----------------------------|------------------|
| **Cumulative Impacts and Mitigation - Vegetation and Wildlife** | Removal of additional acreages of habitat within The Geysers area would be a significant cumulative impact on plant communities and wildlife habitat in general. Cumulative impacts would occur on sensitive species particularly sequoia, chaparral, old growth yellow pine woodland, and riparian communities. Development would result in a potentially significant cumulative loss of foraging habitat for raptors. | Site-specific mitigation measures should take into account biological linkages. Implementation of above listed mitigation measures would reduce significant adverse impacts to levels considered acceptable and therefore insignificant. | Applicant/Developer | Reduced to insignificant |
| **Cumulative Impacts - Aquatic Resources** | The cumulative effects of dilution, input of toxic chemicals either from operation or from accident, and from leaching of water levels in the streams and interruption of creek flow. | Select adherence to site-specific mitigation measures proposed to control situations, accidents, and inputs of toxic chemicals will help to ensure that cumulative impact in the Geysers area on aquatic resources are insignificant. | Applicant/Developer | Reduced to insignificant |
### CULTURAL RESOURCES AND PALEONTOLOGY
#### Cultural Resources
**Phase 1 - Non-Drilling Exploration Activities**
| Substantial and important cultural and paleontologic resources exist in The Geysers area as demonstrated by previous projects. | Some off-road and foot disturbance is probable. Potential damage to cultural resources is possible during the placement of instruments used in acoustic surface heat flow studies and resistivity surveys. | No mitigation measures are suggested. No mitigation measures are suggested. | Applicant/Developer | Insignificant |
**Phase 2 - Exploratory Drilling**
| Substantial and important cultural and paleontologic resources exist in The Geysers area as demonstrated by previous projects. | Road widening and cutting/filling activities will further disturb known sites which have already been impacted by existing roads and trails. Drill pad and ramp construction will disturb relatively large amounts of land making significant cultural resource impacts highly probable. | Sites of possible cultural interest will be avoided through redesign of facilities. Construction activities shall be monitored by qualified historians. Burial resources discovered will cause redirection or grading or construction activities until a determination of importance is made by monitor. It is recommended that further survey occur on a site-specific basis. | Applicant/Developer | Reduced to insignificant |
To be determined at time of survey
To be determined at time of survey
| Failing Conditions | Issues and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|-----------------------------------------------------------------------------------|------------------------------------------------------------------------------------|----------------------------------------------------------------------------|-----------------------------|----------------------------------|
| **Phase 3 - Full Field Development** | If development utilizes existing pads and access, anticipated impacts are similar but on a much smaller scale than for that of exploration. | Sheet of possible cultural interest will be avoided through realigning of facilities. | Applicant/Developer | Reduced to insignificant |
| Substantial and important cultural and paleontologic resources exist in The Geysers area as demonstrated by previous projects. | As most prehistoric sites are small, feasibility in the placement of pipeline systems and power transmission towers should allow site avoidance. | Construction activities shall be monitored by qualified individuals. Burial resources discovered will cause redirection of grading or construction activities until a determination of importance is made by monitor. It is recommended that further survey occur on a site-specific basis. | Applicant/Developer | To be determined at time of survey |
| **Phase 4 - Operation and Maintenance** | Significant adverse impacts to cultural resources could occur with any new construction during this phase. | Sheet of possible cultural interest will be avoided through realignment of facilities. | Applicant/Developer | Reduced to insignificant |
| Substantial and important cultural and paleontologic resources exist in The Geysers area as demonstrated by previous projects. | Landform modification associated with geothermal development may cause an increase in slope instability and erosion resulting in potential impact to cultural resources. | Construction activities shall be monitored by qualified individuals. Burial resources discovered will cause redirection of grading or construction activities until a determination of importance is made by monitor. It is recommended that further survey occur on a site-specific basis. | Applicant/Developer | To be determined at time of survey |
| **Phase 5 - Abandonment** | Abandonment activity should be restricted to the originally disturbed area to avoid potential impacts to cultural resources. | A qualified paleontologist shall be retained to monitor and assess scatative fossil resources. | Applicant/Developer | Reduced to insignificant |
| Paleontologic Resources | Any ground disturbance could result in significant impact to fossil resources. | A qualified paleontologist shall be retained to monitor and assess scatative fossil resources. | Applicant/Developer | Reduced to insignificant |
| Substantial and important cultural and paleontologic resources exist in The Geysers area as demonstrated by previous projects. | Undoubtedly, areas to be developed under the cumulative scenario will contain cultural resources which may be inadvertently, adversely affected. | Field studies of potential project sites and monitoring exploration and grading shall minimize impacts. | Applicant/Developer | Reduced to insignificant |
**Executive Summary**
**CALENDAR PAGE** 763
**MINUTE PAGE** 4482
| Existing Conditions | Issues and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|------------|----------------------------|-----------------|
| **TRANSPORTATION** | | | | |
| **Phase 1 - Non-Drilling Exploration Activities** | Traffic circulates through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character. | No significant impacts on transportation will occur since traffic generation during this phase of development is minimal. | Measures to avoid its safety include use of warning vehicles, trips scheduled around peak hours, and the encouragement of car pooling. | Applicant/Developer | Insignificant |
| **Phase 2 - Exploratory Drilling** | Traffic circulates through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character. | Heavy vehicle and employee traffic (30 to 60 trips per day) occurs during the 6 to 12 month exploratory drilling phase. Though the traffic generation is not necessarily significant, the heavy trucks and equipment will cause significant damage to County roadways not designed to handle such loads. | Road construction and improvement should occur prior to the start of exploratory drilling. Other measures to avoid its safety include use of warning vehicles, trips scheduled around peak hours, and the encouragement of car pooling. | Applicant/Developer | Refered to insignificant |
| **Phase 3 - Full Field Development** | Traffic circulates through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character. | The greatest increases in traffic will occur during the initial development phase although these additional levels will be temporary in nature. From 80 to 100 trips per day are generated over the 24 to 36 month typical well field development period for a power plant. | Road construction and improvement should occur prior to the start of exploratory drilling. Other measures to avoid its safety include use of warning vehicles, trips scheduled around peak hours, and the encouragement of car pooling. | Applicant/Developer | Refered to insignificant |
### Phase 4 - Operations and Maintenance
**Existing Conditions**
Traffic circulates through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character.
**Impacts of Roadways**
Traffic circulates through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character.
Roadway deterioration will increasingly increase as a result of the transport of heavy trucks and equipment.
Significant traffic increases are not anticipated to occur along the principal state highways in the region, although slow-moving trucks may constitute a traffic hazard.
Specifically, geothermal activity in Project Areas 1 and 2 will create a potential nuisance and driving hazard on Cheyenne-Grays Road.
**Mitigation**
As a percentage of total traffic volume, these are expected to remain about the same as ranking levels through the end of the century. Since the total amount of traffic will increase, the percentage of the traffic transporting hazardous material is expected to decline.
**Mitigation Measures**
Measures to assist in safety include use of warning vehicles, trips scheduled around peak hours, and the encouragement of car pooling.
**Responsible for Mitigation**
Applicant/Developer
**Beneficial Impact**
Reduced to insignificant
---
### Phase 5 - Abandonment
**Existing Conditions**
Traffic circulates through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character.
**Impacts of Roadways**
It is expected that trip generation would be about 30 trips per day over a 3 month abandonment procedure. Impacts would be less than exploratory drilling impacts.
**Mitigation**
Roads may be retained for other beneficial uses provided that effective erosion control measures have been implemented.
**Responsible for Mitigation**
Applicant/Developer
**Beneficial Impact**
Reduced to insignificant
### Table 1: IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impacts and Impacts | Mitigation | Responsible for Mitigation | Reduced to insignificant | Residual Impact |
|---------------------|---------------------|------------|----------------------------|--------------------------|-----------------|
| **Cumulative Impacts and Mitigation** | Traffic travels through the study area on a network of state, county, and privately-owned roads. Most of these are built and maintained to carry relatively small amounts of traffic consistent with the area's rural character. | Cumulative development will generate additional heavy truck traffic in the study area, with the associated significant impact on roadway maintenance and highway safety. The occurrence of large, slow moving trucks on loading, measurable roads represents a significant safety hazard to other motorists. | Implementation of above listed mitigation measures would reduce significant adverse impacts to levels considered acceptable and therefore insignificant. | Applicant/Developer County Air Pollution Control | Reduced to insignificant |
| **AIR QUALITY** | | | | | |
| **Phase 1 - Non Drilling Exploration Activities** | The air quality of an area depends on the transport and spatial distribution of local emissions, the volume of air into which those emissions are emitted, the transport of pollutants and the nature of the chemical, and physical transformation from emitted species. | Emissions associated with this phase include minor or background use of diesel powered equipment and vehicles and dust generation. The background and operable activities will not create significant air emissions. | Compliance with local county air pollution control rules and regulations, reflective equipment operation and dust control will ensure impacts remain insignificant. | Applicant/Developer County Air Pollution Control | Reduced to insignificant |
| **Phase 2 - Exploratory Drilling** | The air quality of an area depends on the transport and spatial distribution of local emissions, the volume of air into which those emissions are emitted, the transport of pollutants and the nature of the chemical, and physical transformation from emitted species. | Air pollution will result from the diesel powered drilling equipment used from truck and passenger vehicles commuting to the drill site. Small numbers of vehicles dispersed throughout the area do not pose any threat to healthful levels of the quality. | Fulfilling dust generation should be minimized by enforcing reasonable driving speeds on dirt roads, by using water or oil spray to control dusty areas, and by performing major grading activities in spring when annual soil moisture is high. | Applicant/Developer | Reduced to insignificant |
| | The meteorology of the proposed lease sites is characterized by significant diversity. | Regional particulate load levels will not be significantly affected. Local impacts may retard plant growth and dust plumes along the ridgeline may create objectionable visible impacts. | | | |
| | Well bleed, another source of emissions, can create a significant air quality impact if a large number with the potential to leak technology fails to be implemented to achieve H2S emissions are below air pollution control standards. | | | | |
**Potential of accidental release of a large amount of H2S though unlikely, could be significant adverse impact**
---
**CALENDAR PAGE 766**
**Executive Summary 4483**
**MINUTE PAGE**
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Phase 3 - Full Field Development | Issues and Impacts | Mitigation | Responsible for Mitigation | Reduced Impact |
|----------------------------------|--------------------|------------|----------------------------|----------------|
| Approximately 10 percent of the steam entering the power plant is ultimately lost to the atmosphere through evaporation in the cooling towers. | Impacts for full field development will be the same as those listed under Exploratory Drilling. Impacts will incrementally increase depending on the number of wells developed. | Mitigation include those listed under Exploratory Drilling above. | Applicant/Developer | Reduced to insignificant |
| Phase 4 - Operation and Maintenance | Redrilling and drilling of new make-up wells would be similar to the activities discussed above. | Mitigation measures include those listed under Exploratory Drilling above. | Applicant/Developer | Reduced to insignificant |
| Phase 5 - Abandonment | The major air quality concern is the release of combined steam flow from a number of wells at the power plant. Plant location and prevailing air flows have a dominant effect on dispersion patterns. | Facilities shall be monitored and maintained throughout operation. Any new Facility shall not contribute H2S concentrations such that the sum plus the background concentration exceeds the hourly standard. | Applicant/Developer | Reduced to insignificant |
| Cumulative Impacts and Mitigations | Combustion emissions and fugitive dust are the primary effects associated with abandonment but effects will be insignificant. | Fugitive dust generation should be minimized by enforcing reasonable driving speeds on dirt roads, by using wet or all-weather to control dusty areas, and by providing water to the facilities in spring when wind soil moisture is high. | Applicant/Developer | Reduced to insignificant |
| ACOUSTICAL ENVIRONMENT | Increased emissions from various vehicles and geothermal sources will occur. Of most concern in the vicinity is the volume of hydrogen sulfide. On a cumulative basis, the impact from all existing facilities in addition to those which could conceivably be built is considered significant. | Implementation of above listed mitigation measures would reduce significantly adverse impacts to levels considered acceptable and therefore insignificant except for the effects on people living close to the facility or of accidental release of a large amount of H2S emissions. | Applicant/Developer | Reduced to insignificant |
| Phase 1 - Non-Drilling Exploration Activities | Ambient noise levels range from 30 to 45 dBA, but may rise by more than 10 dBA above these levels due to natural phenomena such as wind and rain. Sporadic manmade noises also occur within or adjacent to the leases. | Of surveys conducted during this phase, only a seismic survey may cause noise impacts but these impacts will not be significant. | Applicant/Developer | Reduced to insignificant |
| Phase 2 - Exploratory Drilling | Ambient noise levels range from 30 to 45 dBA, but may rise by more than 10 dBA above these levels due to natural phenomena such as wind and rain. Sporadic manmade noises also occur within or adjacent to the leases. | Acoustical impacts occur during well pad installation, mudskiff delivery, drilling and well installation, and access road construction. Of these, well and pad installations are likely to have the most impacts. | Noise standards shall be met between the hours of 7:00 A.M. and 10:00 P.M. Noise levels from drilling operations shall be muffled. Distance restrictions shall be in effect around sensitive receptors. | Applicant/Developer Noise Control Officer | Reduced to insignificant |
| Phase 3 - Full Field Development | Ambient noise levels range from 30 to 45 dBA, but may rise by more than 10 dBA above these levels due to natural phenomena such as wind and rain. Sporadic manmade noises also occur within or adjacent to the leases. | Noise sources during development include large diesel powered equipment for construction. These activities will occur mostly during the day. | Noise standards shall be met between the hours of 7:00 A.M. and 10:00 P.M. Noise levels from drilling operations shall be muffled. Distance restrictions shall be in effect around sensitive receptors. Well and power plant shall be placed where produced noise will be atmospherically attenuated. | Applicant/Developer Noise Control Officer | Reduced to insignificant |
| Phase 4 - Operations and Maintenance | Ambient noise levels range from 30 to 45 dBA, but may rise by more than 10 dBA above these levels due to natural phenomena such as wind and rain. Sporadic manmade noises also occur within or adjacent to the leases. | Plant operations are expected to generate a noise level of approximately 76 to 77 dBA at 15 meters (50 feet). Additional noise will come from employees commuting to work. | Noise standards shall be met between the hours of 7:00 A.M. and 10:00 P.M. Noise levels from drilling operations shall be muffled. Distance restrictions shall be in effect around sensitive receptors. Well and power plant shall be placed where produced noise will be atmospherically attenuated. Car pooling programs shall be encouraged. | Applicant/Developer Noise Control Officer | Reduced to insignificant |
| Phase 5 - Abandonment | Ambient noise levels range from 30 to 45 dBA, but may rise by more than 10 dBA above these levels due to natural phenomena such as wind and rain. Sporadic manmade noises also occur within or adjacent to the leases. | Impacts during this phase are not continuous, typically performed during the day and are considered insignificant. | No mitigation measures are required. | | Insignificant |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impacts and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|---------------------|------------|----------------------------|-----------------|
| **Cumulative Impacts and Mitigations** | Ambient noise levels range from 30 to 45 dBA, but may rise by more than 10 dBA above these levels due to natural phenomena such as wind and rain. Sporadic manmade noises also occur within or adjacent to the leases. | The cumulative effect in the region would be an increase in ambient noise levels. The magnitude of the increase is dependent upon site-specific conditions; however, such noise levels would be substantially above that of similar, non-industrial areas in the region. | The monitoring and implementation of the above listed mitigations will reduce any significant adverse impacts to acceptable levels therefore insignificant. | Applicant/Developer Noise Control Officer |
| **SOCIOECONOMICS AND PUBLIC SERVICES** | | | | |
| **Demographics and Housing** | All counties in the study have experienced substantial growth in the past 10 to 15 years. Some county plans contain expectations of continued growth from geothermal development; however, with a decline in steam reservoir temperatures, the level of geothermal development may have already peaked. The housing stock in Lake County, mainly single-family units, has risen in the last 10 years. | Activities are expected to be supported by the indigenous geothermal workers in the area. Development is not expected to create a significant adverse impact. Cumulative impacts include short-term demands for construction workers and housing and a small number of permanent geothermal workers. It is expected this level of growth could be accommodated without significant socioeconomic effect. | No significant impacts on population and housing were identified, therefore, no mitigation measures are provided. | Insignificant |
| **Employment** | Lake County economy is based primarily on retail sales and services and government employment. Sonoma County is transitioning from an economy heavily dependent on agriculture, construction, and resources to more urban-based employment. The economy of Mendocino County is based primarily on agriculture, government, services, manufacturing, and tourism. | Employment generated by all phases of development is not anticipated to have a significant impacts on the total labor supply in the county. | No significant impact on employment were identified, therefore, no mitigation measures are provided. | Insignificant |
| **Fiscal Effects** | Geothermal development that has a substantial fiscal impact on Lake and Sonoma County and other local government entities. It is expected that geothermal revenues will continue to fluctuate due to oil price cycles and resource decline. | Cumulative projects will generate direct revenues to the counties within which such operations are developed. A generally positive effect on the fiscal resources of the involved county agencies is expected. | Funds shall be paid to appropriate State and county agencies. | Beneficial |
---
**Executive Summary**
---
**CALENDAR PAGE 769**
**MINUTE PAGE Page 2468**
| Existing Conditions | Issues and Impacts | Mitigations | Responsible for Mitigation | Red/Build Impact |
|---------------------|--------------------|-------------|----------------------------|------------------|
| **Fire** | A vulnerable wildland fire hazard area. The Geysers is served by both state and local fire fighting services with emergency services provided by the city's fire department and in the unincorporated areas by contract agreement with the California Department of Forestry (CDF). | A potential need for emergency services from fire and police protection and medical agencies may be generated by the increased human activity and operation of vehicles, but significant adverse impacts are not anticipated. | Fire safety guidelines shall be provided by the CDF. Additional personnel will be provided as necessary. Emergency response and evacuation plans shall be developed. | Applicant/Developer CDF |
| **Police** | Sonoma, Lake, and Mendocino County each maintain their own Sheriff's Department to provide protective services to the unincorporated portions of their respective counties. The CHP provides policing of traffic to unincorporated areas of Lake and Sonoma Counties. | Police The use of private security forces shall be considered. A unified emergency notification plan shall be developed. | Applicant/Developer CHP | Reduced to insignificant |
| **Medical** | Emergency medical services in The Geysers area are provided by private and county hospitals located in the larger urban areas. | | | |
| **Water** | The principal sources of water for urban and agricultural purposes in the region is groundwater. Surface water sources provide limited supplies of suitable potable water. | Due to limited water resources, additional water demand from geothermal operations can result in adverse impacts to the current water resources. If adequate volumes of water are not present on-site, water demand will result in a significant adverse impact. There is also potential to over-use surface waters. | Assurance for the provision of adequate water and sewer service is required prior to development. Applicant shall obtain by right or purchase all water used. Permits shall be obtained for withdrawal and diversion of water from surface streams. Areas with insufficient water resources should consider importing water from local suppliers. | Applicant/Developer Applicant/Developer Applicant/Developer |
| | | | | Upon securing a reliable water source, impacts will be reduced to insignificant |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impacts and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|---------------------|------------|----------------------------|----------------|
| **Wastewater** | | | | |
| Within the project area, central wastewater collection and treatment systems have been developed only in the larger communities. The balance of the area, including geothermal development, relies on individual septic systems to dispose of domestic and commercial sewage. Currently there are no known major impacts on area water quality due to influence of geothermal disposal practices. However, there is concern for the long-term maintenance of local water quality in the planning area. | Additional wastewater generated by the development and operation of geothermal facilities is considered an adverse, but not significant impact. Current wastewater disposal practices including collection and treatment systems and on-site systems will be sufficient to handle the additional wastewater. | Sanitary and hand washing facilities should be provided at each drill site. Assurance for the provision of adequate water and sewer service is required prior to development. | Applicant/Developer | Reduced to insignificant |
| **Solid Waste** | | | | |
| No solid waste is being produced from the project area currently, but substantial volumes of waste will be generated during all phases of geothermal resource development. | Volumes of solid waste generated during drilling, field development, and operation will be an adverse impact. Landfills and on-site waste management will be less-thanfully impacted. | Applicant shall implement County Solid Waste Management Plans which include programs to reduce the quantities of non-hazardous solid waste being sent to landfills. | Applicant/Developer | Reduced to insignificant |
| **Energy Utilities**| | | | |
| The planning area's energy needs are met by electricity provided by PG&E, and by bottled propane gas and fuel oil supplied by several local distributors. Natural gas is not available. | Construction operations will expend substantial amounts of energy and is considered a short-term adverse impact. Short construction itself represents a risk of non-recoverable resources but increased demand will be serviced by local companies and is not a significant impact to current service levels. | Facilities will be designed for optimum energy efficiency in accordance with the California Energy Commission standards. | Applicant/Developer CEC | Reduced to insignificant |
| **Schools** | | | | |
| Schools districts within Lake County near the project area include Kelseyville Unified School District, Konocti Unified School District and Middlekauf Unified School District. Each district serves kindergarten through high school. | The increase in students and the need for additional classroom space will result in a significant adverse impact to school services since the majority of schools are already operating over capacity. | Developers shall pay required state impact fees to mitigate school impacts resulting from geothermal-related developments. | Applicant/Developer | Reduced to insignificant |
| **Cumulative Impacts and Mitigations** | | | | |
| The increase in demand for public services associated with geothermal development is likely to be insignificant. Each project must be assessed for its individual effect. | Implementation of above mitigation measures as well as additional mitigations prescribed on a site-specific basis shall reduce any significant impacts to an acceptable level and therefore insignificant. | Applicant/Developer | Reduced to insignificant |
---
**Executive Summary**
---
**CALENDAR PAGE 771**
**Page 4270**
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impact and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|--------------------|------------|----------------------------|-----------------|
| **AESTHETICS** | | | | |
| **Phase 1 - Non-Drilling Exploration Activities** | No visual impacts will result from this phase. | No mitigation measures are required. | | Insignificant |
| Visual elements within and adjacent to the project area are composed of natural elements of land, water, and vegetation with man-made forms including pipeline, pads, plants, and facilities interspersed within the natural setting. | Visual modifications include changes in form line and texture of the area, introduction of a visually obtrusive element (e.g., rig), changes of the landscape to that of partially developed, and possible changes in viewer expectations. These changes have the potential to result in a significant visual impact depending on viewer sensitivity, proximity, and relative scale from the drilling activity. *(Impacts are not expected in Project Areas 2 but may be experienced elsewhere for views of Areas 1 and 3.)* | Pad, roads, pipelines, plants, and transmission facilities should be designed so as to prevent the least visual intrusion on views from popular use areas. The use of local rock types for road and pad surfacing materials will help maintain a color contrast between engineered and natural land forms. | Applicant/Developer | Reduced to insignificant |
| **Phase 2 - Exploratory Drilling** | Visual modifications include changes in form line and texture of the area, introduction of a visually obtrusive element (e.g., rig), changes of the landscape to that of partially developed, and possible changes in viewer expectations. These changes have the potential to result in a significant visual impact depending on viewer sensitivity, proximity, and relative scale from the drilling activity. *(Impacts are not expected in Project Areas 2 but may be experienced elsewhere for views of Areas 1 and 3.)* | Pad, roads, pipelines, plants, and transmission facilities should be designed so as to prevent the least visual intrusion on views from popular use areas. The use of local rock types for road and pad surfacing materials will help maintain a color contrast between engineered and natural land forms. | Applicant/Developer | Reduced to insignificant |
| **Phase 3 - Full Field Development** | More activity will be visible during construction than at any other time. Impacts are the same as listed above, plus changes in lighting and potential for debris and additional nearby obtrusive elements such as road and power phases. These changes have the potential to result in a significant visual impact depending on viewer sensitivity, proximity, and relative scale from the drilling activity. *(Impacts are not expected in Project Areas 2 but may be experienced elsewhere for views of Areas 1 and 3.)* | Pad, roads, pipelines, plants, and transmission facilities should be designed so as to prevent the least visual intrusion on views from popular use areas. The use of local rock types for road and pad surfacing materials will help maintain a color contrast between engineered and natural land forms. On visual edges such as highlines, construction of facilities should maintain a low profile design. Plants, buildings, and other structures should be constructed and colored in natural colors. Cut and fill areas shall be revegetated. | Applicant/Developer | Reduced to insignificant |
### Table S-1 - IMPACT AND MITIGATION SUMMARY - GEYSERS EIR
| Existing Conditions | Impacts and Impacts | Mitigation | Responsible for Mitigation | Residual Impact |
|---------------------|---------------------|------------|----------------------------|-----------------|
| **Phase 4 - Operations and Maintenance**
Visual elements within and adjacent to the project area are composed of natural elements of land, water, and vegetation with man-made forms including pipeline, pads, plants, and facilities interspersed within the natural setting.
Cooling towers emit saline drift droplets and warm vapor that condense into large visible plumes which may cause an aesthetic impact.
Night lighting for structures, well pads, access road entrances, and other areas may create disjoints of light as well as the potential for illumination from steam and foggy conditions.
On visual edges such as ridgelines, construction of facilities should maintain a low profile design.
Pad, roads, pipelines, plants, and transmission facilities should be designed so as to present the least visual intrusion on views from popular use areas.
The use of local rock types for road and pad surfacing material will help minimize color contrast between engineered and natural land forms.
Plants, buildings, and other structures should be constructed and colored in natural colors.
Cut and fill areas shall be revegetated. | | | Applicant/Developer | Reduced to insignificant |
| **Phase 5 - Abandonment**
Visual elements within and adjacent to the project area are composed of natural elements of land, water, and vegetation with man-made forms including pipeline, pads, plants and facilities interspersed within the natural setting.
Once materials are removed, visual scars will consist of the areas used for drilling pads, sites, and ancillary facility pads and roadways.
Site restoration with revegetation and reveolouring will substantially reduce impacts.
(The level of impact reduction depends on distance of viewer to the site and the relative scale of the site within the entire landscape.)
Revegetation plans addressing abandonment should be approved in advance of final project approvals.
Cut and fill areas will be revegetated to reduce visual contrast with the surrounding area. | | | Applicant/Developer | Reduced to insignificant |
| **Cumulative Impacts and Mitigations**
If development is concentrated in areas that can be seen by large portions of the general public, a significant impact will result.
Particularly persistent viewpoints would be from Highway 173 and the communities in the area.
It is unlikely the overall character will change significantly due to other constraints in land development.
Cumulative mitigation measures include the monitoring and implementation of all measures previously listed.
No effective mitigation is available to completely mitigate all impact, but significant adverse impacts will be reduced to a level considered acceptable and therefore insignificant. | | | | Reduced to insignificant |
**Executive Summary**
**CALENDAR PAGE 773**
**MINUTE PAGE Page 9462**
EXHIBIT E
STATEMENT OF OVERRIDING CONSIDERATIONS
The California State Lands Commission adopts this Statement of Overriding Considerations with respect to the impacts identified in the Final EIR which cannot be reduced, with mitigation, to a level of insignificance or which are nonmitigable, specifically those associated with:
- accidental release of hazardous materials during Exploratory Drilling, Field Development, and Operation and Maintenance,
- accidental release or improper disposal of hazardous wastes during Exploratory Drilling, Field Development, and Operation and Maintenance,
- use of surface water sources to support resource conservation through reservoir injections,
- impacts related to the geothermal resource extraction such as induced seismicity and ground subsidence,
- the complex nature of zonal encroachment making feasible mitigation unknown, the uncertainties of the availability of sufficient fluids which is a major factor affecting conservation of the steam resource at The Geysers, and,
- hazardous H₂S emissions from a well blowout or other uncontrolled situation are not mitigable.
The Commission hereby finds that the Geothermal Leasing Program (Program) will have numerous benefits to the State of California (State) and to and within the project areas where geothermal projects may be undertaken.
The Program will generate non-tax revenues to the State of California. The proposed negotiated lease provides that a ten percent (10%) royalty will be paid to the State. Such percentage is to be applied to the gross revenue, as defined in the lease, that will be generated if lease development occurs. This revenue will accrue to the State Teachers' Retirement System (STRS).
Subsequent geothermal development within the project areas would have direct positive impact on the local tax base of local counties from the increase in assessed valuation due to construction of improvements necessary to geothermal production. The overall effect of these tax revenues, though not representing a substantial additional source of revenue, will slow the decline of geothermal revenues currently experienced in Lake and Sonoma Counties.
Geothermal development results in substantial generation of sales taxes associated with the goods and services consumed in the local area. An additional positive and substantial source of revenue associated with geothermal development is the sales, income, and property taxes paid by the permanent geothermal work force and the payroll spending which supports the local economy.
The direct costs attributed to geothermal development are the county and local agency expenditures for processing permits, administration, and environmental review of the specific projects. However, these costs are generally offset by filing and permit fees. Property tax revenues from geothermal facilities more than make up the difference in the cost of administration and general county services required by geothermal development. Local government processing costs are small in comparison to revenues generated to such governments.
In addition, the counties have used special agreements with geothermal developers to provide specific finding to mitigate project impacts. It is expected that such agreements will continue to be used as a means of compensating any public costs associated with geothermal development.
Other positive effects result from geothermal development. Geothermal energy provides an alternative to the use of fossil fuels to generate electricity and to provide heating of space and water. Continued development of technology to use both high and low temperature geothermal resources will contribute a partial alternative to combustion of hydrocarbon fuels for power production. Development of alternative energy sources has become increasingly important in the State to lessen reliance on hydrocarbon-based resources and the extraction of geothermal resources on State lands is an integral part of energy projections for California.
The proposed leasing action will have positive impact on efforts to manage The Geysers resource. Present data suggests that the resource is not renewable, and that commercial productivity over the long-term is dependent on a coordinated management approach, that is, incorporation of water injection and operational resource conservation procedures. The State Lands Commission participates on the TAC of the Interim Coordinated Resources Management Plan effort and supports its collective direction regarding management of The Geysers resource. The mitigation measures which are proposed in the EIR provide a standard for other permitting agencies which approve geothermal development projects. Thus, the State Lands Commission leasing action, through its support of resource management plans, policies and model mitigation measures, will contribute to the long-term productivity of The Geysers and will also minimize short-term impacts created from geothermal development.
The Commission further finds that all mitigation measures identified in the EIR have been imposed to avoid or lessen impacts, to the maximum extent possible, and furthermore finds that the No Project Alternative, Leasing of Portions of the Project Areas, Prohibiting Construction of Power Plants, Alternative Land Use, and Alternative Technologies are infeasible because they: 1) only partially offset significant environmental impacts; 2) do not provide the benefits described; 3) do not fully fulfill the objectives of the proposed project; or 4) are socially, economically, or technically infeasible.
Based on the above discussion, the Commission finds that the benefits of the proposed Program outweigh the unavoidable adverse environmental effects and considers such effects acceptable. |
Gloria In Excelsis Deo
J = 82
Majestically
Traditional / Arr. Bernice
Gloria In Excelsis Deo
J= 82
Majestically
Traditional / Arr. Bernice
Ode To Joy
Mr. PC is a 12-bar minor blues. Segments of the motivic melody are transposed to match the chord changes. It was originally played with a fast swing feel.
For your use
Sample Piano Voicings
Basic 3-note voicings
Rootless voicings
Useful Scales
C Blues Scale
C Dorian
(CM7) F Dorian
(FM7)
Ab Mixolydian
(Ab7) G Mixolydian
(G7)
Sample Bass Line
CM7
FM7
Ab7
G7
CM7
My Way
And now the end is near,
And so I face the final curtain,
My friends I’ll say it clear,
I’ll state my case of which I’m certain,
I’ve lived a life that’s full,
I traveled each and every highway,
And more much more than this,
I did it my way...
Baritone (B.C.)
My Way
Don Costa
trans. Jerannchris Rivera-Heredia
My Way
Don Costa
trans. Jerannchris Rivera-Heredia
Trombone 2
A
B
fp
ff
Trombone 1
My Way
Don Costa
trans. Jerannchris Rivera-Heredia
OVER THE RAINBOW
1ST TROMBONE
Music by HAROLD ARLEN
Lyric by E.Y. HARBURG
Arranged by PAUL COOK
MODERATELY SLOW BALLAD
SOLO
TO CODA
D.S. AL CODA
OVER THE RAINBOW
2ND TROMBONE
Music by HAROLD ARLEN
Lyric by E.Y. HARBURG
Arranged by PAUL COOK
MODERATELY SLOW BALLAD
To Coda
D.S. al Coda
OVER THE RAINBOW
3RD TROMBONE
Music by HAROLD ARLEN
Lyric by E.Y. HARBURG
Arranged by PAUL COOK
Moderately slow ballad
To Coda
D.S. al Coda
Over the Rainbow
Bass Clef
-Doubles Alto Sax
=Solo @ 35
Harold Arlen
rit.
mf
f
mf
f
To Coda
D.S. al Coda
Coda
mf
rit.
PEP BAND CHEERS
Superman So So Do So So Do So Do / So So Do So So Mi Re Re
Imperial March Mi Mi Mi Do So Mi Do So Mi
Iron Man Mi So So La La Do Ti Do Ti Do Ti So So La La (Repeat)
Mari Bros Mi Mi Mi Do Mi So So
Malaguena Mi Mi Mi Mi Fa Fa Fa Fa So Fa (Repeat)
Harmony Ti Ti Ti Ti Do Do Do Re Do (Repeat)
Get Ready For This So So So Do Do Re Re
So So So Te Te Do Do
So So So Do Do Re Re
So So So Te Te Do Re
Eye of The Tiger So So Fa So So Fa So So Fa Me (Repeat)
Harmony Te Te La Te Te La Te Te La So (Repeat)
More...
Suavemente: Groove (Cm – G – G – Cm )
C Minor Groove: (C Minor)
Antonio Groove: Do Te Le So (Bb Blues)
Harmony: So Fa Me Re
12 Bar Groove: (Bb Blues)
Pomp & Circumstance (MELODY)
Trombone
[Arranger]
A 8 8 6
D
E
rit.
1.
2.
3.
Two Ceremonial Marches
1. Processional
Pomp and Circumstance March No. 3
EDWARD ELGAR, Op. 39
Arranged by James Swearingen
Maestoso
YBS 54
Andante
simile
Copyright © 1990 by Carl Fischer, Inc.
International Copyright Secured.
Two Ceremonial Marches
1. Processional
Pomp and Circumstance March No. 3
EDWARD ELGAR, Op. 39
Arranged by James Swearingen
Maestoso
YBS 54
Andante
simile
Copyright © 1990 by Carl Fischer, Inc.
International Copyright Secured
Santa Claus Is Comin' To Town
Melody - Bass Clef
Coots & Gillespie
arr. Bernice
Moderate Swing $\frac{3}{8}$
mf
A
B
18
C
To Coda D
D.S. al Coda E
©2011
Santa Claus Is Comin' To Town
Bass Line - Bass Clef
Coots & Gillespie
arr. Bernice
Moderate Swing
B♭ E♭ B♭ B♭7 E♭ E♭m B♭ Gm
mf
A
Cm7 F7 B♭ B♭ E♭ B♭ B♭7 E♭ E♭m B♭ Gm
B
Cm7 F7 B♭ B♭7 E♭ B♭7 E♭ C7
C
F7 F♯dim Gm C7 F7 F aug B♭ E♭ B♭ B♭7 E♭ E♭m B♭ Gm
To Coda
D
Cm7 F7 B♭ D.S. al Coda
E
B♭ Gm Cm7 F7 B♭
f
©2011
Sight Reading Exercises
1. \( \text{Bass Clef} \)
2. \( \text{Bass Clef} \)
3. \( \text{Bass Clef} \)
4. \( \text{Bass Clef} \)
5. \( \text{Bass Clef} \)
6. \( \text{Bass Clef} \)
7. \( \text{Bass Clef} \)
8. \( \text{Bass Clef} \)
9. \( \text{Bass Clef} \)
Simple Gifts
from Appalachian Spring
Trombone/Baritone (B.C.)
Traditional
Aaron Copland (1900-1990)
| CATEGORY | MASTERY 4 | PROFICIENT 3 | DEVELOPING 2 | EMERGING 1 |
|------------------|---------------------------------------------------------------------------|----------------------------------------------------------------------------|----------------------------------------------------------------------------|----------------------------------------------------------------------------|
| DESCRIPTION OF | • Indicates a mastery level, exceeding expectations. | • Reaches expected (or proficient) level for this task. | • Indicates a developing level for this task. | • Indicates an emerging level for this task. |
| LEVELS | • Student rarely needs assistance with demanding tasks, is self-motivated, and produces consistently high-quality work. | • Student produces quality work and occasionally needs assistance with demanding tasks. | • Student produces required work with teacher direction and support. | • Student requires constant teacher direction, support, and assistance. |
| TONE QUALITY | • The tone is always full, resonant, open, supported, focused, controlled, clear, and centered throughout the range of the instrument. The tone has professional quality. • Air is always used efficiently to support a quality tone. | • The tone is usually full, resonant, open, supported, focused, controlled, clear, and centered throughout the range of the instrument. Extremes in range may cause the tone to be less controlled. • Air is usually used efficiently to support a quality tone. | • The tone is somewhat full, resonant, open, supported, focused, controlled, clear, or centered throughout the range of the instrument. The tone is occasionally uncontrolled and harsh in the normal and extreme playing range. • Air is somewhat used efficiently to support a quality tone. | • The tone is rarely full, resonant, open, supported focused, controlled, clear, or centered regardless of the range being played. Tone quality is harsh, distorted, inconsistent, thin or airy. • Air is rarely used efficiently to support a quality tone. |
| RHYTHMIC | • The beat is always secure (steady). • Rhythms are always accurate. • There are no duration errors that detract from the overall performance. | • The beat is usually secure (steady). • Rhythms are usually accurate. • There are a few duration errors, but these do not detract from the overall performance. | • The beat is somewhat secure (steady). • Rhythms are somewhat accurate. • There are frequent or repeated duration errors that occasionally detract from the overall performance | • The beat is rarely secure (steady). Lack of internal pulse. • Rhythms are rarely accurate. • There are constant duration errors that significantly detract from the overall performance |
| CATEGORY | MASTERY 4 | PROFICIENT 3 | DEVELOPING 2 | EMERGING 1 |
|---------------|-----------|--------------|--------------|------------|
| NOTE ACCURACY | ● Notes are always accurate.
● Finger/slide/sticking combinations are always smooth and completed without hesitation.
● There are no pitch errors that detract from the overall performance.
● Notes are usually accurate, though there might be an isolated error.
● Finger/slide/sticking combinations are usually smooth and completed without hesitation.
● There are a few pitch errors, but these do not detract from the overall performance.
● Notes are somewhat accurate.
● Finger/slide/sticking combinations are occasionally smooth or completed without hesitation.
● There are frequent or repeated pitch errors that occasionally detract from the overall performance.
● Notes are rarely accurate.
● Finger/slide/sticking combinations are rarely smooth or completed without hesitation.
● There are constant pitch errors that significantly detract from the overall performance. |
| DYNAMICS | ● Dynamic levels are always obvious and consistent.
● Markings (crescendo, decrescendo/diminuendo, pp, p, mp, mf, f, ff, sff, fp, etc.) are always executed accurately as directed by the music and/or the conductor.
● Dynamic levels are usually obvious and consistent.
● Markings (crescendo, decrescendo/diminuendo, pp, p, mp, mf, f, ff, sff, fp, etc.) are usually executed accurately as directed by the music and/or the conductor.
● Dynamic levels are somewhat obvious and consistent. Levels fluctuate, but can be discerned.
● Markings (crescendo, decrescendo/diminuendo, pp, p, mp, mf, f, ff, sff, fp, etc.) are occasionally executed accurately as directed by the music and/or the conductor.
● Dynamic levels are rarely obvious or consistent.
● Markings (crescendo, decrescendo/diminuendo, pp, p, mp, mf, f, ff, sff, fp, etc.) are rarely executed accurately as directed by the music and/or the conductor. |
| ARTICULATION | ● Articulations are always secure.
● Markings (staccato, legato, slur, accents, etc.) are always executed accurately as directed by the music and/or the conductor.
● Articulations are usually secure, though there might be an isolated error.
● Markings (staccato, legato, slur, accents, etc.) are usually executed accurately as directed by the music and/or the conductor.
● Articulations are somewhat secure.
● Markings (staccato, legato, slur, accents, etc.) are occasionally executed accurately as directed by the music and/or the conductor.
● Articulations are rarely secure.
● Markings (staccato, legato, slur, accents, etc.) are rarely executed accurately as directed by the music and/or the conductor. |
| INTONATION | ● The performance is always in tune in all registers and dynamic levels.
● Intonation is always consistent.
● There are no pitch problems due to range or dynamic extremes.
● The performance is usually in tune in all registers and dynamic levels.
● Intonation is usually consistent.
● There are occasional pitch problems due to range or dynamic extremes.
● The performance is somewhat in tune in all registers and dynamic levels.
● Intonation is somewhat inconsistent.
● There are several pitch problems due to range or dynamic extreme.
● The performance is rarely in tune in all registers and dynamic levels.
● Intonation rarely consistent.
● There are constant pitch problems due to range or dynamic extremes. |
| CATEGORY | MASTERY 4 | PROFICIENT 3 | DEVELOPING 2 | EMERGING 1 |
|-------------------|------------|--------------|--------------|------------|
| **EXPRESSION** | ● The student always performs with a creative nuance and expressive style in response to the music.
● Attention is always given to dynamic sensitivity, phrasing, and the proper style in regard to the historical period or cultural tradition.
● Music is always performed with feeling—artfully, meaningfully, and emotionally.
| ● The student usually performs with a creative nuance and expressive style in response to the music.
● Attention is usually given to dynamic sensitivity, phrasing, and the proper style in regard to the historical period or cultural tradition.
● Music is usually performed with feeling—artfully, meaningfully, and emotionally.
| ● The student occasionally performs with a creative nuance and expressive style in response to the music.
● Attention is occasionally given to dynamic sensitivity, phrasing, and the proper style in regard to the historical period or cultural tradition.
● Music is occasionally performed with feeling—artfully, meaningfully, and emotionally.
| ● The student rarely performs with a creative nuance and expressive style in response to the music
● Attention is rarely given to dynamic sensitivity, phrasing, and the proper style in regard to the historical period or cultural tradition.
● Music is rarely performed with feeling—artfully, meaningfully, or emotionally.
|
| **SIGHT-READING (if applicable)** | ● The student always responds accurately to all musical notation within the sight-reading selection (rhythm, notes, articulation, dynamics, tempo, etc.)
● The performance is smooth and completed without hesitation.
| ● The student usually responds accurately to all musical notation within the sight-reading selection (rhythm notes, articulation, dynamics, tempo, etc.)
● The performance is mostly smooth and completed without much hesitation.
| ● The student occasionally responds accurately to all musical notation within the sight-reading selection (rhythm notes, articulation, dynamics, tempo, etc.)
● The performance is somewhat smooth and completed with some hesitation.
| ● The student rarely responds accurately to all musical notation within the sight-reading selection (rhythm notes, articulation, dynamics, tempo, etc.)
● The performance is not smooth and completed with much hesitation.
|
| **PERCUSSION TECHNIQUE** | ● Correct technique is always used.
(i.e. Palms down, hands relaxed; thumbs at the side with index finger hooked; wrists used to control the level of bounce; sticks form a V shape; instrument is hit with only enough force to make a pleasing, clear sound; etc.)
| ● Correct technique is usually used.
(i.e. Palms down, hands relaxed; thumbs at the side with index finger hooked; wrists used to control the level of bounce; sticks form a V shape; instrument is hit with only enough force to make a pleasing, clear sound; etc.)
| ● Correct technique is somewhat used.
(i.e. Palms down, hands relaxed; thumbs at the side with index finger hooked; wrists used to control the level of bounce; sticks form a V shape; instrument is hit with only enough force to make a pleasing, clear sound; etc.)
| ● Correct technique is rarely used.
(i.e. Palms down, hands relaxed; thumbs at the side with index finger hooked; wrists used to control the level of bounce; sticks form a V shape; instrument is hit with only enough force to make a pleasing, clear sound; etc.)
|
| **GRADING (if applicable)** | A (100-90) | B (89-80) | C (79-70) | D (69-60) |
Sponsor Song 2017 - Melody
C Instruments (Treble)
B-Flat Instruments (High)
B-Flat Instruments (Low)
E-flat Instruments
C Instruments (Bass)
Tuba
Lyrics
SciTech Band! We need your money, your money right now.
Show us love, come be a sponsor, a sponsor, right now.
Sponsor Song 2017 - Horn Lick
C INSTRUMENTS (Treble)
G F G Bb G F G G F G Bb G F G
B-FLAT INSTRUMENTS (High)
A G A C A G A A G A C A G A
B-FLAT INSTRUMENTS (Low)
A G A C A G A A G A C A G A
E-FLAT INSTRUMENTS
E D E G E D E E D E G E D E
C INSTRUMENTS (Bass)
G F G Bb G F G G F G Bb G F G
TUBA
G F G Bb G F G G F G Bb G F G
Chords
Gm, Bb, Dm, F
THE STAR SPANGLED BANNER
Trombone
arr. by Robert W. Smith (ASCAP)
Majestic
024-3860-00
f
p
f
© 2009 Birch Island Music Press (ASCAP); P.O. Box 680, Oskaloosa, Iowa 52577 USA
International Copyright Secured. All Rights reserved. Printed in U.S.A.
THE STAR SPANGLED BANNER
arr. by Robert W. Smith
(ASCAP)
Baritone B.C.
Majestic
024-3860-00
© 2009 Birch Island Music Press (ASCAP), P.O. Box 680, Oskaloosa, Iowa 52577 USA
International Copyright Secured. All Rights reserved. Printed in U.S.A.
TAKE THE "A" TRAIN
Words and Music by
BILLY STRAYHORN
Arranged by MICHAEL SWEENEY
TROMBONE 1
(MEDIUM SWING)
(CUP MUTE)
(OPEN ON D.S.)
(OPEN)
TO CODA
SOLO FOR ANY INSTRUMENT
D.S. AL CODA (WITH REPEAT)
CODA
Copyright © 1941; Renewed 1969 DreamWorks Songs (ASCAP) and Billy Strayhorn Songs, Inc. (ASCAP) for the U.S.A.
This arrangement Copyright © 2003 DreamWorks Songs (ASCAP) and Billy Strayhorn Songs, Inc. (ASCAP) for the U.S.A.
07010925 Rights for DreamWorks Songs and Billy Strayhorn Songs, Inc. Administered by Cherry Lane Music Publishing Company, Inc.
TROMBONE
Rhythm Workout
Melody Workout
Chord/Scale Workout
(VARIATIONS ON THE MELODY)
Demonstration Solo
(3) Cm7 F7 Bb6 EbMaj7
(3) - 2ND TIME Cm7 F7 Bb6 Fm7 Bb7
(4) EbMaj7
(F7) (49) Cm7 F7 Bb6
TAKE THE "A" TRAIN
Words and Music by
BILLY STRAYHORN
Arranged by MICHAEL SWEENEY
TROMBONE 2
(MEDIUM SWING)
(CUP MUTE)
(OPEN ON D.S.)
15 (OPEN)
TO CODA
SOLI FOR ANY INSTRUMENT
D.S. AL CODA
(WITH REPEAT)
CODA
Copyright © 1941; Renewed 1969 DreamWorks Songs (ASCAP) and Billy Strayhorn Songs, Inc. (ASCAP) for the U.S.A.
This arrangement Copyright © 2003 DreamWorks Songs (ASCAP) and Billy Strayhorn Songs, Inc. (ASCAP) for the U.S.A.
Rights for DreamWorks Songs and Billy Strayhorn Songs, Inc. Administered by Cherry Lane Music Publishing Company, Inc.
International Copyright Secured All Rights Reserved
TROMBONE
Rhythm Workout
Melody Workout
Chord/Scale Workout
Demonstration Solo
TAKE THE "A" TRAIN
Words and Music by
BILLY STRAYHORN
Arranged by MICHAEL SWEENEY
TROMBONE 3
(MEDIUM SWING) (CUP MUTE)
(5) (OPEN ON D.S.)
1.
2.
(15) (OPEN)
23
TO CODA
SOLO FOR ANY INSTRUMENT
49
D.S. AL CODA
(WITH REPEAT)
CODA
Copyright © 1941; Renewed 1969 DreamWorks Songs (ASCAP) and Billy Strayhorn Songs, Inc. (ASCAP) for the U.S.A.
This arrangement Copyright © 2003 DreamWorks Songs (ASCAP) and Billy Strayhorn Songs, Inc. (ASCAP) for the U.S.A.
Distributed for DreamWorks Songs and Billy Strayhorn Songs, Inc. Administered by Pharos International Music Publishing Company, Inc.
TROMBONE
Rhythm Workout
Melody Workout
Chord/Scale Workout
Demonstration Solo
(VARIATIONS ON THE MELODY)
(CONCERT Bb MAJOR SCALE)
THE TEMPEST
ROBERT W. SMITH
TROMBONE/BARITONE/
BASSOON
With energy!
Bassoon only
+ Tbn./Bar.
1 2 3 4 5 6 7 8 9
mp f
10 11 12 13 14 15 16 17 ff
18 18 36
f
45
ff mp
63
f
69 2
mf
72 73 74 75 76 77 78 79 ff
© 1995 BELWIN-MILLS PUBLISHING CORP. (ASCAP)
All Rights Administered by WARNER BROS. PUBLICATIONS INC.
For the United States and Canada Only. Public Performance for Profit
Trombone, Baritone
Viva la Vida
Driving, With Intensity
Coldplay
arr. Bernice
L
M
N 4
O 4 P
Q mf R
S
T
U
V
W X
Y
f
106
\[ \text{Z} \]
111
\[ \text{A2} \]
115
\[ \text{B2} \]
119
\[ \text{C2} \]
123
\[ \text{D2} \quad \text{E2} \]
130
\[ \text{F2} \]
135
\[ \text{p rit.} \]
NEC NEW ENGLAND CONSERVATORY
necmusic.edu
Trombone/Baritone
Name __________
- Please write the note names for #31, measures 1-4
1. A MOZART MELODY
2. ESSENTIAL ELEMENTS QUIZ Draw these symbols where they belong and write in the note names before you play:
ESSENTIAL ELEMENTS 2000 PLUS DVD
COMPREHENSIVE BAND METHOD
TIM LAUTZENHEISER
JOHN HIGGINS
CHARLES MENGHINI
PAUL LAVENDER
TOM C. RHODES
DON BIERSCHENK
Hal Leonard Corporation
THE BASICS
Posture
Sit on the edge of your chair, and always keep your:
• Spine straight and tall
• Shoulders back and relaxed
• Feet flat on the floor
Breathing & Airstream
Breathing is a natural thing we all do constantly. To discover the correct airstream to play your instrument:
• Place the palm of your hand near your mouth.
• Inhale deeply through the corners of your mouth, keeping your shoulders steady. Your waist should expand like a balloon.
• Slowly whisper “tah” as you gradually exhale air into your palm.
The air you feel is the airstream. It produces sound through the instrument. Your tongue is like a faucet or valve that releases the airstream.
Producing The Essential Tone
“Buzzing” through the mouthpiece produces your tone. The buzz is a fast vibration in the center of your lips. Your embouchure (ahm-‘bah-shure) is your mouth’s position on the mouthpiece of the instrument. A good embouchure takes time and effort, so carefully follow these steps for success:
BUZZING
• Moisten your lips.
• Bring your lips together as if saying the letter “m.”
• Relax your jaw to separate your upper and lower teeth.
• Form a slightly puckered smile to firm the corners of your mouth.
• Direct a full airstream through the center of your lips, creating a buzz.
• Buzz frequently without your mouthpiece.
MOUTHPIECE PLACEMENT
• Form your “buzzing” embouchure.
• Place the mouthpiece approximately 2/3 on the upper lip and 1/3 on the lower lip. Your teacher may suggest a slightly different mouthpiece placement.
• Take a full breath through the corners of your mouth.
• Start your buzz with the syllable “tah.” Buzz through the center of your lips keeping a steady, even buzz. Your lips provide a cushion for the mouthpiece.
MOUTHPIECE WORKOUT
Using only the mouthpiece, form your embouchure carefully. Take a deep breath without raising your shoulders. Begin buzzing your lips by whispering “tah” and gradually exhale your full airstream. Strive for an even tone.
Taking Care Of Your Instrument
Before putting your instrument back in its case after playing, do the following:
• Use the water key to empty water from the instrument. Blow air through it.
• Remove the mouthpiece and slide assembly. Do not take the outer slide off the inner slide piece. Return the instrument to its case.
• Once a week, wash the mouthpiece with warm tap water. Dry thoroughly.
Trombone slides occasionally need oiling. To oil your slide, simply:
• Rest the tip of the slide on the floor and unlock the slide.
• Exposing the inner slide, put a few drops of oil on the inner slide.
• Rapidly move the slide back and forth. The oil will then lubricate the slide.
• Be sure to grease the tuning slide regularly. Your director will recommend special slide oil and grease, and will help you apply them when necessary.
Getting It Together
Step 1 Lock the slide by turning the slide lock ring to the right. Carefully put the slide into the bell section at a 90° angle. Tighten the connector nut to hold the two sections together.
Step 2 Carefully twist the mouthpiece to the right into the mouthpiece receiver.
Step 3 Place your left thumb under the bell brace, and your index finger on top of the mouthpiece receiver. Gently wrap your other fingers around the first slide brace.
Step 4 Place your right thumb and first two fingers on the second slide brace.
Step 5 Support the trombone with your left hand only. Unlock the slide. Your right hand and wrist should be relaxed to move the slide comfortably. Hold the trombone as shown:
READING MUSIC
Identify and draw each of these symbols:
| Music Staff | Ledger Lines | Measures & Bar Lines |
|-------------|--------------|----------------------|
| ___________ | ____________ | Measure Measure |
| ___________ | ____________ | Bar Line Bar Line |
| ___________ | ____________ | Bar Line |
The music staff has 5 lines and 4 spaces where notes and rests are written.
Ledger lines extend the music staff. Notes on ledger lines can be above or below the staff.
Bar lines divide the music staff into measures.
Notes In Review
Memorize the slide positions for the notes you've learned:
14. ROLLING ALONG
Go to the next line.
Double Bar
Half Note
= 2 Beats
1 & 2 &
Half Rest
= 2 Silent Beats
1 & 2 &
15. RHYTHM RAP
Clap the rhythm while counting and tapping.
Clap
Repeat Sign
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
16. THE HALF COUNTS
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
17. HOT CROSS BUNS
Try this song on your mouthpiece only. Then play it on your instrument.
Breath Mark
Take a deep breath through your mouth after you play a full-length note.
18. GO TELL AUNT RHODIE
American Folk Song
9. ESSENTIAL ELEMENTS QUIZ
Using the note names and rhythms below, draw your notes on the staff before playing.
Eb F Eb D Eb D C Bb C D Eb D Eb
20. RHYTHM RAP Clap the rhythm while counting and tapping.
Clap
\[ \frac{4}{4} \]
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
21. THE WHOLE THING
\[ \frac{4}{4} \]
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
Duet A composition with two different parts, played together.
22. SPLIT DECISION – Duet
A
\[ \frac{4}{4} \]
B
\[ \frac{4}{4} \]
Key Signature The Key Signature tells us which notes to play with sharps (♯) or flats (♭) throughout the music. Your Key Signature indicates the Key of B♭—play all B’s and E’s as flats.
23. MARCH STEPS
\[ \frac{4}{4} \]
Play B♭’s and E♭’s
24. LISTEN TO OUR SECTIONS
Percussion Woodwinds Brass Percussion Woodwinds Brass Perc. Ww. Brass All
25. LIGHTLY ROW
\[ \frac{4}{4} \]
26. ESSENTIAL ELEMENTS QUIZ Draw in the bar lines before you play.
\[ \frac{4}{4} \]
Fermata
Hold the note (or rest) longer than normal.
1. REACHING HIGHER - New Note
Practice long tones on each new note.
28. AU CLAIRE DE LA LUNE
French Folk Song
29. REMIX
Harmony
Two or more notes played together. Each combination forms a chord.
30. LONDON BRIDGE – Duet
English Folk Song
HISTORY
Austrian composer Wolfgang Amadeus Mozart (1756–1791) was a child prodigy who started playing professionally at age six, and lived during the time of the American Revolution. Mozart’s music is melodic and imaginative. He wrote more than 600 compositions during his short life, including a piano piece based on the famous song, “Twinkle, Twinkle, Little Star.”
31. A MOZART MELODY
Adaptation
32. ESSENTIAL ELEMENTS QUIZ
Draw these symbols where they belong and write in the note names before you play:
33. DEEP POCKETS – New Note
A
34. DOODLE ALL DAY
35. JUMP ROPE
Pick-Up Notes One or more notes that come before the first full measure. The beats of Pick-Up Notes are subtracted from the last measure.
36. A-TISKET, A-TASKET
Dynamics \( f \) – forte (play loudly) \( mf \) – mezzo forte (play moderately loud) \( p \) – piano (play softly)
Remember to use full breath support to control your tone at all dynamic levels.
37. LOUD AND SOFT
Clap
38. JINGLE BELLS Also practice new music on your mouthpiece only.
J. S. Pierpont
39. MY DREYDL Use full breath support at all dynamic levels.
Traditional Hanukkah Song
Eighth Notes
Each Eighth Note = 1/2 Beat
2 Eighth Notes = 1 Beat
Play on down and up taps.
Two or more Eighth Notes have a beam across the stems.
40. RHYTHM RAP Clap the rhythm while counting and tapping.
Clap
41. EIGHTH NOTE JAM
42. SKIP TO MY LOU
American Folk Song
mf
LONG, LONG AGO Good posture improves your sound. Always sit straight and tall.
p
44. OH, SUSANNA
Stephen Collins Foster
Italian composer Gioacchino Rossini (1792–1868) began composing as a teenager and was very proficient on the piano, viola and horn. He wrote “William Tell” at age 37 as the last of his forty operas, and its familiar theme is still heard today on radio and television.
45. ESSENTIAL ELEMENTS QUIZ — WILLIAM TELL
Gioacchino Rossini
mf
f
52. PERFORMANCE WARM-UPS
ONE BUILDER
RHYTHM ETUDE
RHYTHM RAP
Clap
Stomp!
CHORALE
Andante
53. AURA LEE – Duet or Band Arrangement
(Part A = Melody, Part B = Harmony)
George R. Poulton
A
B
A
B
54. FRÈRE JACQUES – Round (When group A reaches ②, group B begins at ①)
Moderato
French Folk Song
55. WHEN THE SAINTS GO MARCHING IN – Band Arrangement
Allegro
Arr. by John Higgins
56. OLD MACDONALD HAD A BAND – Section Feature
Allegro
2nd time go on to meas. 13
57. ODE TO JOY (from Symphony No. 9)
Moderato
Ludwig van Beethoven
Arr. by John Higgins
58. HARD ROCK BLUES – Encore
Allegro
John Higgins
Tie A curved line connecting notes of the same pitch. Play one note for the combined counts of the tied notes.
59. FIT TO BE TIED
60. ALOUETTE French-Canadian Folk Song
Dotted Half Note
1 & 2 & 3 &
A dot adds half the value of the note.
61. ALOUETTE – THE SEQUEL French-Canadian Folk Song
HISTORY
American composer Stephen Collins Foster (1826–1864) was born near Pittsburgh, PA. He has become the most recognized song writer of his time for works such as “Oh Susanna,” which became popular during the California Gold Rush of 1849. Among his most well-known songs are “My Old Kentucky Home” and “Camptown Races.”
62. CAMPTOWN RACES Stephen Collins Foster
Allegro
mf
63. NEW DIRECTIONS
64. THE NOBLES Always use a full airstream and maintain good posture.
3 beats Δ
65. ESSENTIAL ELEMENTS QUIZ
3 Time Signature
\[
\frac{3}{4} = 3 \text{ beats per measure}
\]
\[
\frac{3}{4} = \text{Quarter note gets one beat}
\]
Conducting
Practice conducting this three-beat pattern.
66. RHYTHM RAP
Clap
\[
\frac{3}{4} \quad 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 &
\]
67. THREE BEAT JAM
\[
\frac{3}{4} \quad 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 &
\]
68. BARCAROLLE
Moderato
Jacques Offenbach
Norwegian composer Edvard Grieg (1843–1907) wrote Peer Gynt Suite for a play by Henrik Ibsen in 1875, the year before the telephone was invented by Alexander Graham Bell. "Morning" is a melody from Peer Gynt Suite. Music used in plays, or in films and television, is called incidental music.
69. MORNING (from Peer Gynt)
Andante
Edvard Grieg
Accent
Emphasize the note.
70. ACCENT YOUR TALENT
Clap
Latin American music has its roots in the African, Native American, Spanish and Portuguese cultures. This diverse music features lively accompaniments by drums and other percussion instruments such as maracas and claves. Music from Latin America continues to influence jazz, classical and popular styles of music. "Chiapanecas" is a popular children's dance and game song.
71. MEXICAN CLAPPING SONG ("Chiapanecas")
Latin American Folk Song
72. ESSENTIAL CREATIVITY
Compose your own music for measures 3 and 4 using this rhythm:
**Accidental**
Any sharp, flat or natural sign which appears in the music without being in the key signature is called an **accidental**.
**Flat**
A flat sign lowers the pitch of a note by a half-step. The note A-flat sounds a half-step below A, and all A’s become A-flats for the rest of the measure where they occur.
### 74. COSSACK DANCE
**Allegro**
Flat applies to all A’s in measure.
### 75. BASIC BLUES – New Note
Flat applies to all A’s in measure.
### 76. HIGH FLYING
**Moderato**
1st & 2nd Endings
Play through the 1st Ending. Then play the repeated section of music, skipping the 1st Ending and playing the 2nd Ending.
---
**New Key Signature**
This Key Signature indicates the Key of E♭ – play all B’s as B-flats, all E’s as E-flats, and all A’s as A-flats.
---
**Japanese folk music** actually has its origins in ancient China. “Sakura, Sakura” was performed on instruments such as the **koto**, a 13-string instrument that is more than 4000 years old, and the **shakuhachi** or bamboo flute. The unique sound of this ancient Japanese melody results from the pentatonic (or five-note) sequence used in this tonal system.
### 77. SAKURA, SAKURA – Band Arrangement
**Andante**
Japanese Folk Song
Arr. by John Higgins
78. UP ON A HOUSETOP
Allegro
Check mf
Key Signature
79. JOLLY OLD ST. NICK – Duet
Moderato
A
B
See page 9 for additional holiday music, MY DREYDL and JINGLE BELLS.
80. THE BIG AIRSTREAM – New Note
Bb
1
81. WALTZ THEME (THE MERRY WIDOW WALTZ)
Moderato
Franz Lehar
82. AIR TIME
83. DOWN BY THE STATION
Allegro
84. ESSENTIAL ELEMENTS QUIZ
Moderato
85. ESSENTIAL CREATIVITY Using these notes, improvise your own rhythms:
86. TONE BUILDER Use a steady stream of air.
87. RHYTHM BUILDER
88. TECHNIQUE TRAX
89. CHORALE (Adapted from Cantata 147) Johann Sebastian Bach
**THEORY**
**Theme and Variations** A musical form featuring a theme, or primary melody, followed by variations, or altered versions of the theme.
90. VARIATIONS ON A FAMILIAR THEME
**Theme**
**Variation 1**
**Variation 2**
**D.C. al Fine** At the D.C. al Fine play again from the beginning, stopping at Fine (fee'-nay). D.C. is the abbreviation for Da Capo, or “to the beginning,” and Fine means “the end.”
91. BANANA BOAT SONG
Moderato
Caribbean Folk Song
D.C. al Fine
A natural sign cancels a flat (b) or sharp (#) and remains in effect for the entire measure.
92. RAZOR'S EDGE – New Note
93. THE MUSIC BOX
African-American spirituals originated in the 1700's, midway through the period of slavery in the United States. One of the largest categories of true American folk music, these primarily religious songs were sung and passed on for generations without being written down. The first collection of spirituals was published in 1867, four years after The Emancipation Proclamation was signed into law.
94. EZEKIEL SAW THE WHEEL
A curved line which connects notes of different pitch. Tongue the first note normally. Then, play the slurred note(s) using "dah," a legato tonguing syllable.
Legato — An Italian word for smooth and connected.
95. SMOOTH OPERATOR
Slur
96. GLIDING ALONG
Ragtime is an American music style that was popular from the 1890's until the time of World War I. This early form of jazz brought fame to pianists like "Jelly Roll" Morton and Scott Joplin, who wrote "The Entertainer" and "Maple Leaf Rag." Surprisingly, the style was incorporated into some orchestral music by Igor Stravinsky and Claude Debussy.
A special trombone technique used in ragtime and other styles of music is called a glissando, which looks like this:
To play a glissando, move your slide without tonguing and use a full airstream. Remember that glissandos are different from legato tonguing (slurs).
97. TROMBONE RAG
98. ESSENTIAL ELEMENTS QUIZ
99. TAKE THE LEAD – New Note
A
2
Theory
Phrase
A musical “sentence” which is often 2 or 4 measures long. Try to play a phrase in one breath.
100. THE COLD WIND
101. PHRASEOLOGY Write in the breath mark(s) between the phrases.
New Key Signature
This Key Signature indicates the key of F – play all B’s as B-flats.
Multiple Measure Rest
The number above the staff tells you how many full measures to rest. Count each measure of rest in sequence:
1-2-3-4 2-2-3-4
102. SATIN LATIN
Allegro
German composer Johann Sebastian Bach (1685–1750) was part of a large family of famous musicians and became the most recognized composer of the Baroque era. Beginning as a choir member, Bach soon became an organist, a teacher, and a prolific composer, writing more than 600 masterworks. This Minuet, or dance in 3/4 time, was written as a teaching piece for use with an early form of the piano.
103. MINUET – Duet
Moderato
Johann Sebastian Bach
104. ESSENTIAL CREATIVITY This melody can be played in 3/4 or 4/4. Pencil in either time signature, draw the bar lines and play. Now erase the bar lines and try the other time signature. Do the phrases sound different?
105. NATURALLY
Austrian composer Franz Peter Schubert (1797–1828) lived a shorter life than any other great composer, but he created an incredible amount of music: more than 600 art-songs (concert music for voice and accompaniment), ten symphonies, chamber music, operas, choral works and piano pieces. His "March Militaire" was originally a piano duet.
106. MARCH MILITAIRE
Allegro
Franz Schubert
107. THE FLAT ZONE – New Note
D♭
108. ON TOP OF OLD SMOKEY
Allegro
American Folk Song
Boogie-woogie is a style of the blues, and it was first recorded by pianist Clarence “Pine Top” Smith in 1928, one year after Charles Lindbergh’s solo flight across the Atlantic. A form of jazz, blues music features altered notes and is usually written in 12-measure verses, like “Bottom Bass Boogie.”
109. BOTTOM BASS BOOGIE – Duet
Allegro
A
B
A
B
PERFORMANCE SPOTLIGHT
Solo with Piano Accompaniment
You can perform this solo with or without a piano accompanist. Play it for the band, the school or your family. It is part of Symphony No. 9 ("From The New World") by Czech composer Antonín Dvořák (1841–1904). He wrote it while visiting America in 1893, and was inspired to include melodies from American folksongs and spirituals. This is the Largo (or "very slow tempo") theme.
118. THEME FROM "NEW WORLD SYMPHONY"
Largo
Antonín Dvořák
Piano Accompaniment
Largo
Slower
29
Slower
2
SPECIAL TROMBONE EXERCISE – Lip Slurs
Lip Slurs are notes that are slurred without changing positions. Brass players practice these to develop a stronger airstream and embouchure, and to increase range. Add this pattern to your daily Warm-Ups.
Great musicians give encouragement to fellow performers. On this page, clarinetists learn their instruments’ upper register in the “Grenadilla Gorilla Jumps” (named after the grenadilla wood used to make clarinets). Brass players learn lip slurs, a new warm-up pattern. The success of your band depends on everyone’s effort and encouragement.
119. GRENADELLA GORILLA JUMP No. 1
120. JUMPIN’ UP AND DOWN
121. GRENADELLA GORILLA JUMP No. 2
Alternate position 6
Play all “F’s” in 6th position in this exercise.
122. JUMPIN’ FOR JOY
123. GRENADELLA GORILLA JUMP No. 3
124. JUMPIN’ JACKS
Interval
The distance between two pitches is an interval. Starting with “1” on the lower note, count each line and space between the notes. The number of the higher note is the distance of the interval.
125. ESSENTIAL ELEMENTS QUIZ Write in the numbers of the intervals, counting up from the lower notes.
Intervals: 2nd
126. GRENA DILLA GORILLA JUMP No. 4
127. THREE IS THE COUNT
128. GRENA DILLA GORILLA JUMP No. 5
129. TECHNIQUE TRAX
130. CROSSING OVER – New Note
A trio is a composition with three parts played together. Practice this trio with two other players and listen for the 3-part harmony.
131. KUM BAH YAH – Trio Always check the key signature.
African Folk Song
Repeat Signs
Repeat the section of music enclosed by the repeat signs.
(If 1st and 2nd endings are used, they are played as usual — but go back only to the first repeat sign, not to the beginning.)
132. MICHAEL ROW THE BOAT ASHORE
Andante
African-American Spiritual
133. AUSTRIAN WALTZ
Moderato
Austrian Folk Song
134. BOTANY BAY
Allegro
Australian Folk Song
C Time Signature
Conducting
Practice conducting this four-beat pattern.
135. TECHNIQUE TRAX Practice at all dynamic levels.
136. FINLANDIA
Andante
Jean Sibelius
137. ESSENTIAL CREATIVITY
Create your own variations by penciling in a dot and a flag to change the rhythm of any measure from | d d | to | d. d |
138. EASY GORILLA JUMPS
139. TECHNIQUE TRAX Always check the key signature.
140. MORE TECHNIQUE TRAX
141. GERMAN FOLK SONG
Moderato
142. THE SAINTS GO MARCHIN’ AGAIN
Allegro
James Black and Katherine Purvis
143. LOWLAND GORILLA WALK
144. SMOOTH SAILING
145. MORE GORILLA JUMPS
146. FULL COVERAGE
A scale is a sequence of notes in ascending or descending order. Like a musical “ladder,” each step is the next consecutive note in the key. This scale is in your Key of Bb (two flats), so the top and bottom notes are both Bb’s. The interval between the Bb’s is an octave.
147. CONCERT Bb SCALE
Scale Steps: 1 2 3 4 5 6 7 8 7 6 5 4 3 2 1
Octave
When two or more notes are played together, they form a chord or harmony. This Bb chord is built from the 1st, 3rd and 5th steps of the Bb scale. The 8th step is the same as the 1st, but it is an octave higher. An arpeggio is a “broken” chord whose notes are played individually.
148. IN HARMONY
Divide the notes of the chords between band members and play together. Does the arpeggio sound like a chord?
Chord
Arpeggio
Chord
Arpeggio
149. SCALE AND ARPEGGIO
Scale
Arpeggio
Scale
Arpeggio
Austrian composer Franz Josef Haydn (1732–1809) wrote 104 symphonies. Many of these works had nicknames and included brilliant, unique effects for their time. His Symphony No. 94 was named “The Surprise Symphony” because the soft second movement included a sudden loud dynamic, intended to wake up an often sleepy audience. Pay special attention to dynamics when you play this famous theme.
150. THEME FROM “SURPRISE SYMPHONY”
Andante
Franz Josef Haydn
151. ESSENTIAL ELEMENTS QUIZ – THE STREETS OF LAREDO
American Folk Song
Write in the note names before you play.
152. SCHOOL SPIRIT – Band Arrangement
March Style
W.T. Purdy
Arr. by John Higgins
Soli
When playing music marked Soli, you are part of a group “solo” or group feature. Listen carefully in “Carnival of Venice,” and name the instruments that play the Soli part at each indicated measure number.
153. CARNIVAL OF VENICE – Band Arrangement
Allegro
Julius Benedict
Arr. by John Higgins
Soli
end Soli
154. RANGE AND FLEXIBILITY BUILDER
155. TECHNIQUE TRAX
156. CHORALE
Johann Sebastian Bach
The traditional Hebrew melody "Hatikvah" has been Israel's national anthem since the nation's inception. At the Declaration of State in 1948, it was sung by the gathered assembly during the opening ceremony and played by members of the Palestine Symphony Orchestra at its conclusion.
157. HATIKVAH
Israeli National Anthem
Andante
mf
f
mf
165. DANCING MELODY – New Note
American composer and conductor John Philip Sousa (1854–1932) wrote 136 marches. Known as “The March King,” Sousa wrote *The Stars And Stripes Forever*, *Semper Fidelis*, *The Washington Post* and many other patriotic works. Sousa’s band performed all over the country, and his fame helped boost the popularity of bands in America. Here is a melody from his famous *El Capitan* operetta and march.
166. EL CAPITAN
Allegro
“O Canada,” formerly known as the “National Song,” was first performed during 1880 in French Canada. Robert Stanley Weir translated the English language version in 1908, but it was not adopted as the national anthem of Canada until 1980, one hundred years after its premiere.
167. O CANADA
Maestoso (Majestically)
Calixa Lavallee, l’Hon. Judge Routhier and Justice R.S. Weir
168. ESSENTIAL ELEMENTS QUIZ – METER MANIA
Count and clap before playing. Can you conduct this?
Enharmonics
Two notes that are written differently but sound the same (and played with the same fingering) are called **enharmonics**. Your fingering chart on pages 46–47 shows the fingerings for the enharmonic notes on your instrument.
On a piano keyboard, each black key is both a flat and a sharp:
169. SNAKE CHARMER
\[ G_b/F^b \]
\[ \text{Enharmonic notes use the same position.} \]
170. DARK SHADOWS
\[ \text{Pick-up note} \]
171. CLOSE ENCOUNTERS
\[ D_b/C^b \]
\[ \text{Enharmonic notes use the same position.} \]
172. MARCH SLAV
Largo
Peter Illyich Tchaikovsky
\[ f \]
\[ mf \]
173. NOTES IN DISGUISE
Chromatic notes are altered with sharps, flats and natural signs which are not in the key signature. The smallest distance between two notes is a half-step, and a scale made up of consecutive half-steps is called a **chromatic scale**.
174. HALF-STEPPIN’
French composer Camille Saint-Saëns (1835–1921) wrote music for virtually every medium: operas, suites, symphonies and chamber works. The "Egyptian Dance" is one of the main themes from his famous opera *Samson et Delilah*. The opera was written in the same year that Thomas Edison invented the phonograph—1877.
175. EGYPTIAN DANCE Watch for enharmonics.
Camille Saint-Saëns
Allegro
176. SILVER MOON BOAT
Chinese Folk Song
Largo
Fine
D.C. al Fine
German composer Ludwig van Beethoven (1770–1827) is considered to be one of the world's greatest composers, despite becoming completely deaf in 1802. Although he could not hear his music the way we can, he could "hear" it in his mind. As a testament to his greatness, his Symphony No. 9 (p. 13) was performed as the finale to the ceremony celebrating the reunification of Germany in 1990. This is the theme from his Symphony No. 7, second movement.
177. THEME FROM SYMPHONY NO. 7 – Duet
Ludwig van Beethoven
Allegro (moderately fast)
A
B
A
B
1.
2.
Russian composer Peter Illyich Tchaikovsky (1840–1893) wrote six symphonies and hundreds of other works including *The Nutcracker* ballet. He was a master at writing brilliant settings of folk music, and his original melodies are among the most popular of all time. His *1812 Overture* and *Capriccio Italien* were both written in 1880, the year after Thomas Edison developed the practical electric light bulb.
178. **CAPRICCIO ITALIEN**
*Always check the key signature.*
Peter Illyich Tchaikovsky
Allegro
179. **AMERICAN PATROL**
F.W. Meacham
Allegro
180. **WAYFARING STRANGER**
African-American Spiritual
Andante
181. **ESSENTIAL ELEMENTS QUIZ – SCALE COUNTING CONQUEST**
182. AMERICA THE BEAUTIFUL – Band Arrangement
Maestoso
Andante
15
Maestoso
183. LA CUCARACHA – Band Arrangement
Latin Rock
Latin American Folk Song
Arr. by John Higgins
184. THEME FROM 1812 OVERTURE – Band Arrangement
Allegro
Peter Illyich Tchaikovsky
Arr. by John Higgins
DUETS
Here is an opportunity to get together with a friend and enjoy playing music. The other player does not have to play the same instrument as you. Try to exactly match each other's rhythm, pitch and tone quality. Eventually, it may begin to sound like the two parts are being played by one person! Later, try switching parts.
186. SWING LOW, SWEET CHARIOT - Duet
African-American Spiritual
Andante
Fine
D.C. al Fine
187. LA BAMBA - Duet
Mexican Folk Song
Allegro
Fine
D.C. al Fine
KEY OF Bb In this key signature, play all Bb's and Eb's.
1.
2.
3.
4.
KEY OF Eb In this key signature, play all Bb's, Eb's and Ab's.
1.
2.
3.
4.
RUBANK® SCALE AND ARPEGGIO STUDIES
KEY OF F In this key signature, play all Bb's.
1.
2.
3.
4.
KEY OF A♭ In this key signature, play all Bb's, Eb's, Ab's and Db's.
1.
2.
3.
4.
RHYTHM STUDIES
1 2 3 4
5 6 7 8
9 10 11 12
13 14 15 16
17 18 19 20
21 22 23 24
25 26 27 28
29 30 31 32
33 34 35 36
RHYTHM STUDIES
37 4/4
38 4/4
39 4/4
40 4/4
41 4/4
42 4/4
43 4/4
44 4/4
45 4/4
46 4/4
47 4/4
48 4/4
49 4/4
50 4/4
51 4/4
52 4/4
53 4/4
54 4/4
55 4/4
56 4/4
57 3/4
58 3/4
59 3/4
60 3/4
61 3/4
62 3/4
63 3/4
64 3/4
65 2/4
66 2/4
67 2/4
68 2/4
69 2/4
70 2/4
71 2/4
72 2/4
Composition is the art of writing original music. A composer often begins by creating a melody made up of individual phrases, like short musical "sentences." Some melodies have phrases that seem to answer or respond to "question" phrases, as in Beethoven's *Ode To Joy*. Play this melody and listen to how phrases 2 and 4 give slightly different answers to the same question (phrases 1 and 3).
1. **ODE TO JOY**
- 1. Question
- 2. Answer
- 3. Question
- 4. Answer
Ludwig van Beethoven
2. **Q. AND A.** Write your own "answer" phrases in this melody.
- 1. Question
- 2. Answer
- 3. Question
- 4. Answer
3. **PHRASE BUILDERS** Write 4 different phrases using the rhythms below each staff.
A
B
C
D
4. **YOU NAME IT:**
Pick phrase A, B, C, or D from above, and write it as the "Question" for phrases 1 and 3 below. Then write 2 different "Answers" for phrases 2 and 4.
1. Question
2. Answer
3. Question
4. Answer
Improvisation is the art of freely creating your own melody as you play. Use these notes to play your own melody (Line A), to go with the accompaniment (Line B).
5. **INSTANT MELODY**
A
B
You can mark your progress through the book on this page. Fill in the stars as instructed by your band director.
ESSENTIAL ELEMENTS 2000
STAR ACHIEVER
NAME__________________________________________
1. Page 2–3, The Basics
2. Page 5, EE Quiz, No. 13
3. Page 6, EE Quiz, No. 19
4. Page 7, EE Quiz, No. 26
5. Page 8, EE Quiz, No. 32
6. Page 10, EE Quiz, No. 45
7. Page 12–13, Performance Spotlight
8. Page 14, EE Quiz, No. 65
9. Page 15, Essential Creativity, No. 72
10. Page 17, EE Quiz, No. 84
11. Page 17, Essential Creativity, No. 85
12. Page 19, EE Quiz, No. 98
13. Page 20, Essential Creativity, No. 104
14. Page 21, No. 109
15. Page 22, EE Quiz, No. 117
16. Page 23, Performance Spotlight
17. Page 24, EE Quiz, No. 125
18. Page 26, Essential Creativity, No. 137
19. Page 28, No. 149
20. Page 28, EE Quiz, No. 151
21. Page 29, Performance Spotlight
22. Page 31, EE Quiz, No. 164
23. Page 32, EE Quiz, No. 168
24. Page 33, No. 174
25. Page 35, EE Quiz, No. 181
26. Page 36, Performance Spotlight
27. Page 37, Performance Spotlight
28. Page 38, Performance Spotlight
MUSIC — AN ESSENTIAL ELEMENT OF LIFE
Instrument Care Reminders
Before putting your instrument back in its case after playing, do the following:
- Use the water key to empty water from the instrument. Blow air through it.
- Remove the mouthpiece and slide assembly. Do not take the outer slide off the inner slide piece. Return the instrument to its case.
- Once a week, wash the mouthpiece with warm tap water. Dry thoroughly.
Trombone slides occasionally need oiling. To oil your slide, simply:
- Rest the tip of the slide on the floor and unlock the slide.
- Exposing the inner slide, put a few drops of oil on the inner slide.
- Rapidly move the slide back and forth. The oil will then lubricate the slide.
- Be sure to grease the tuning slide regularly. Your director will recommend special slide oil and grease, and will help you apply them when necessary.
CAUTION: If a slide or your mouthpiece becomes stuck, ask for help from your band director or music dealer. Special tools should be used to prevent damage to your instrument.
* + = Make the slide a little longer.
** - = Make the slide a little shorter.
ESSENTIAL ELEMENTS 2000 PLUS DVD
COMPREHENSIVE BAND METHOD
TIM LAUTZENHEISER
JOHN HIGGINS
CHARLES MENGHINI
PAUL LAVENDER
TOM C. RHODES
DON BIERSCHENK
Hal Leonard®
THE BASICS
Posture
Sit on the edge of your chair, and always keep your:
• Spine straight and tall
• Shoulders back and relaxed
• Feet flat on the floor
Breathing & Airstream
Breathing is a natural thing we all do constantly. To discover the correct airstream to play your instrument:
• Place the palm of your hand near your mouth.
• Inhale deeply through the corners of your mouth, keeping your shoulders steady. Your waist should expand like a balloon.
• Slowly whisper “tah” as you gradually exhale air into your palm.
The air you feel is the airstream. It produces sound through the instrument. Your tongue is like a faucet or valve that releases the airstream.
Producing The Essential Tone
“Buzzing” through the mouthpiece produces your tone. The buzz is a fast vibration in the center of your lips. Your embouchure (ahm’-bah-shure) is your mouth’s position on the mouthpiece of the instrument. A good embouchure takes time and effort, so carefully follow these steps for success:
BUZZING
• Moisten your lips.
• Bring your lips together as if saying the letter “m.”
• Relax your jaw to separate your upper and lower teeth.
• Form a slightly puckered smile to firm the corners of your mouth.
• Direct a full airstream through the center of your lips, creating a buzz.
• Buzz frequently without your mouthpiece.
MOUTHPIECE PLACEMENT
• Form your “buzzing” embouchure.
• Place the mouthpiece approximately 2/3 on the upper lip and 1/3 on the lower lip. Your teacher may suggest a slightly different mouthpiece placement.
• Take a full breath through the corners of your mouth.
• Start your buzz with the syllable “tah.” Buzz through the center of your lips keeping a steady, even buzz. Your lips provide a cushion for the mouthpiece.
Taking Care Of Your Instrument
Before putting your instrument back in its case after playing, do the following:
• Use the water key to empty water from the instrument. Blow air through it.
• Remove the mouthpiece. Once a week, wash the mouthpiece with warm tap water. Dry thoroughly.
• Wipe off the instrument with a clean soft cloth. Return the instrument to its case.
Baritone valves occasionally need oiling. To oil your baritone valves:
• Unscrew the valve at the top of the casing.
• Lift the valve half-way out of the casing.
• Apply a few drops of special brass valve oil to the exposed valve.
• Carefully return the valve to its casing. When properly inserted, the top of the valve should easily screw back into place.
Be sure to grease the slides regularly. Your director will recommend special slide grease and valve oil, and will help you apply them when necessary.
MOUTHPIECE WORKOUT
Using only the mouthpiece, form your embouchure carefully. Take a deep breath without raising your shoulders. Begin buzzing your lips by whispering “tah” and gradually exhale your full airstream. Strive for an even tone.
Getting It Together
Step 1 Rest the baritone across your lap so the bell faces upward and the mouthpiece receiver points toward you.
Step 2 Carefully twist the mouthpiece to the right into the mouthpiece receiver.
Step 3 Place your right thumb in the thumb ring. Rest your fingertips on top of the valves, keeping your wrist straight. Your fingers should curve naturally.
Step 4 Place your left hand on the third valve slide or on the tubing next to this slide. Lift the instrument up toward you.
Step 5 Be sure you can comfortably reach the mouthpiece. Hold the baritone as shown:
READING MUSIC
Identify and draw each of these symbols:
Music Staff
The music staff has 5 lines and 4 spaces where notes and rests are written.
Ledger Lines
Ledger lines extend the music staff. Notes on ledger lines can be above or below the staff.
Measures & Bar Lines
Bar lines divide the music staff into measures.
14. ROLLING ALONG
Go to the next line.
Double Bar
Half Note
Half Rest
= 2 Beats
= 2 Silent Beats
1 & 2 &
1 & 2 &
15. RHYTHM RAP
Clap the rhythm while counting and tapping.
Repeat Sign
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
16. THE HALF COUNTS
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
17. HOT CROSS BUNS
Try this song on your mouthpiece only. Then play it on your instrument.
Breath Mark
Take a deep breath through your mouth after you play a full-length note.
18. GO TELL AUNT RHODIE
American Folk Song
19. ESSENTIAL ELEMENTS QUIZ
Using the note names and rhythms below, draw your notes on the staff before playing.
Eb F Eb D Eb D C Bb C D Eb D Eb
20. RHYTHM RAP Clap the rhythm while counting and tapping.
Clap
\[ \frac{4}{4} \]
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
21. THE WHOLE THING
\[ \frac{4}{4} \]
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
Duet A composition with two different parts, played together.
22. SPLIT DECISION – Duet
A
\[ \frac{4}{4} \]
B
\[ \frac{4}{4} \]
Key Signature The Key Signature tells us which notes to play with sharps (♯) or flats (♭) throughout the music. Your Key Signature indicates the Key of Bb – play all B’s and E’s as flats.
23. MARCH STEPS
\[ \frac{4}{4} \]
Play Bb’s and Eb’s
24. LISTEN TO OUR SECTIONS
Percussion Woodwinds Brass Percussion Woodwinds Brass Perc. Ww. Brass All
\[ \frac{4}{4} \]
25. LIGHTLY ROW
\[ \frac{4}{4} \]
26. ESSENTIAL ELEMENTS QUIZ Draw in the bar lines before you play.
\[ \frac{4}{4} \]
27. REACHING HIGHER – New Note
Practice long tones on each new note.
28. AU CLAIRE DE LA LUNE
French Folk Song
29. REMIX
30. LONDON BRIDGE – Duet
English Folk Song
Austrian composer Wolfgang Amadeus Mozart (1756–1791) was a child prodigy who started playing professionally at age six, and lived during the time of the American Revolution. Mozart’s music is melodic and imaginative. He wrote more than 600 compositions during his short life, including a piano piece based on the famous song, “Twinkle, Twinkle, Little Star.”
31. A MOZART MELODY
Adaptation
32. ESSENTIAL ELEMENTS QUIZ
Draw these symbols where they belong and write in the note names before you play:
33. DEEP POCKETS – New Note
A
34. DOODLE ALL DAY
35. JUMP ROPE
Pick-Up Notes One or more notes that come before the first full measure. The beats of Pick-Up Notes are subtracted from the last measure.
36. A-TISKET, A-TASKET
Pick-up note
Dynamics \( f \) – forte (play loudly) \( mf \) – mezzo forte (play moderately loud) \( p \) – piano (play softly)
Remember to use full breath support to control your tone at all dynamic levels.
37. LOUD AND SOFT
Clap
38. JINGLE BELLS Also practice new music on your mouthpiece only.
J.S. Pierpont
39. MY DREYDL Use full breath support at all dynamic levels.
Traditional Hanukkah Song
Eighth Notes
Each Eighth Note = 1/2 Beat
2 Eighth Notes = 1 Beat
Play on down and up taps.
Two or more Eighth Notes have a beam across the stems.
40. RHYTHM RAP Clap the rhythm while counting and tapping.
Clap
41. EIGHTH NOTE JAM
42. SKIP TO MY LOU
American Folk Song
43. LONG, LONG AGO Good posture improves your sound. Always sit straight and tall.
44. OH, SUSANNA
Stephen Collins Foster
Italian composer Gioacchino Rossini (1792–1868) began composing as a teenager and was very proficient on the piano, viola and horn. He wrote "William Tell" at age 37 as the last of his forty operas, and its familiar theme is still heard today on radio and television.
45. ESSENTIAL ELEMENTS QUIZ — WILLIAM TELL
Gioacchino Rossini
Time Signature
\[ \frac{2}{4} \] = 2 beats per measure
\[ \frac{3}{4} \] = Quarter note gets one beat
Conducting
Practice conducting this two-beat pattern.
46. RHYTHM RAP
Clap
\[ \frac{2}{4} \]
1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 &
47. TWO BY TWO
\[ \frac{2}{4} \]
1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 & 1 & 2 &
Tempo Markings
*Tempo* is the speed of music. Tempo markings are usually written above the staff in Italian.
Allegro – Fast tempo
Moderato – Medium tempo
Andante – Slower walking tempo
48. HIGH SCHOOL CADETS – March
Allegro
John Philip Sousa
Reproduced by Permission of Boosey & Hawkes Music Publishers Ltd.
49. HEY, HO! NOBODY’S HOME
Moderato
mf
Dynamics
Crescendo (gradually louder)
Decrescendo or Diminuendo (gradually softer)
50. CLAP THE DYNAMICS
Clap
\[ \frac{4}{4} \]
p f p
51. PLAY THE DYNAMICS
\[ \frac{4}{4} \]
p f p
52. PERFORMANCE WARM-UPS
ONE BUILDER
RHYTHM ETUDE
RHYTHM RAP
Clap
Stomp!
CHORALE
Andante
53. AURA LEE – Duet or Band Arrangement
(Part A = Melody, Part B = Harmony)
George R. Poulton
A
B
A
B
54. FRÈRE JACQUES – Round
(Moderato)
(When group A reaches ②, group B begins at ①)
French Folk Song
55. WHEN THE SAINTS GO MARCHING IN – Band Arrangement
Allegro
Arr. by John Higgins
56. OLD MACDONALD HAD A BAND – Section Feature
Allegro
2nd time go on to meas. 13
57. ODE TO JOY (from Symphony No. 9)
Moderato
Ludwig van Beethoven
Arr. by John Higgins
58. HARD ROCK BLUES – Encore
Allegro
John Higgins
Tie A curved line connecting notes of the same pitch. Play one note for the combined counts of the tied notes.
\[ \text{2 Beats} \]
59. FIT TO BE TIED
60. ALOUETTE
French-Canadian Folk Song
Dotted Half Note
\[ = 3 \text{ Beats} \]
A dot adds half the value of the note.
61. ALOUETTE – THE SEQUEL
French-Canadian Folk Song
American composer Stephen Collins Foster (1826–1864) was born near Pittsburgh, PA. He has become the most recognized song writer of his time for works such as “Oh Susanna,” which became popular during the California Gold Rush of 1849. Among his most well-known songs are “My Old Kentucky Home” and “Camptown Races.”
62. CAMPTOWN RACES
Allegro
Stephen Collins Foster
63. NEW DIRECTIONS
64. THE NOBLES Always use a full airstream. Keep fingers on top of the valves, arched naturally.
3 beats
65. ESSENTIAL ELEMENTS QUIZ
3 Time Signature
\[
\frac{3}{4} = 3 \text{ beats per measure}
\]
\[
\frac{3}{4} = \text{ Quarter note gets one beat}
\]
Conducting
Practice conducting this three-beat pattern.
66. RHYTHM RAP
Clap
\[
1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 &
\]
67. THREE BEAT JAM
\[
1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 & 1 & 2 & 3 &
\]
68. BARCAROLLE
Moderato
Jacques Offenbach
Norwegian composer Edvard Grieg (1843–1907) wrote Peer Gynt Suite for a play by Henrik Ibsen in 1875, the year before the telephone was invented by Alexander Graham Bell. "Morning" is a melody from Peer Gynt Suite. Music used in plays, or in films and television, is called incidental music.
69. MORNING (from Peer Gynt)
Andante
Edvard Grieg
Accent
Emphasize the note.
70. ACCENT YOUR TALENT
Clap
Latin American music has its roots in the African, Native American, Spanish and Portuguese cultures. This diverse music features lively accompaniments by drums and other percussion instruments such as maracas and claves. Music from Latin America continues to influence jazz, classical and popular styles of music. "Chiapanecas" is a popular children's dance and game song.
71. MEXICAN CLAPPING SONG ("Chiapanecas")
Latin American Folk Song
72. ESSENTIAL CREATIVITY
Compose your own music for measures 3 and 4 using this rhythm:
Accidental
Any sharp, flat or natural sign which appears in the music without being in the key signature is called an accidental.
Flat
A flat sign lowers the pitch of a note by a half-step. The note A-flat sounds a half-step below A, and all A's become A-flats for the rest of the measure where they occur.
73. HOT MUFFINS – New Note
74. COSSACK DANCE
Allegro
75. BASIC BLUES – New Note
New Key Signature
This Key Signature indicates the key of Bb – play all B's as B-flats, all E's as E-flats, and all A's as A-flats.
1st & 2nd Endings
Play through the 1st Ending. Then play the repeated section of music, skipping the 1st Ending and playing the 2nd Ending.
76. HIGH FLYING
Moderato
Japanese folk music actually has its origins in ancient China. "Sakura, Sakura" was performed on instruments such as the koto, a 13-string instrument that is more than 4000 years old, and the shakuhachi or bamboo flute. The unique sound of this ancient Japanese melody results from the pentatonic (or five-note) sequence used in this tonal system.
77. SAKURA, SAKURA – Band Arrangement
Andante
Japanese Folk Song
Arr. by John Higgins
78. UP ON A HOUSETOP
Allegro
Check mf
Key Signature
79. JOLLY OLD ST. NICK – Duet
Moderato
A
B
See page 9 for additional holiday music, MY DREYDL and JINGLE BELLS.
80. THE BIG AIRSTREAM – New Note
Bb
81. WALTZ THEME (THE MERRY WIDOW WALTZ)
Moderato.
Franz Lehar
82. AIR TIME
83. DOWN BY THE STATION
Allegro
84. ESSENTIAL ELEMENTS QUIZ
Moderato
85. ESSENTIAL CREATIVITY
Using these notes, improvise your own rhythms:
86. TONE BUILDER Use a steady stream of air.
87. RHYTHM BUILDER
88. TECHNIQUE TRAX
89. CHORALE (Adapted from Cantata 147) Johann Sebastian Bach
**THEORY**
**Theme and Variations**
A musical form featuring a **theme**, or primary melody, followed by **variations**, or altered versions of the theme.
90. VARIATIONS ON A FAMILIAR THEME
**Theme**
**Variation 1**
**Variation 2**
**D.C. al Fine**
At the D.C. al Fine play again from the beginning, stopping at **Fine** (fee’-nay).
D.C. is the abbreviation for **Da Capo**, or “to the beginning,” and **Fine** means “the end.”
91. BANANA BOAT SONG
Moderato Caribbean Folk Song
D.C. al Fine
Natural
A natural sign cancels a flat (b) or sharp (#) and remains in effect for the entire measure.
92. RAZOR’S EDGE – New Note
93. THE MUSIC BOX
Moderato
African-American spirituals originated in the 1700’s, midway through the period of slavery in the United States. One of the largest categories of true American folk music, these primarily religious songs were sung and passed on for generations without being written down. The first collection of spirituals was published in 1867, four years after The Emancipation Proclamation was signed into law.
94. EZEKIEL SAW THE WHEEL
Allegro
African-American Spiritual
Slur
A curved line which connects notes of different pitch. Tongue only the first note in a slur.
95. SMOOTH OPERATOR
Slur 2 notes – tongue only the first.
96. GLIDING ALONG
Slur 4 notes – tongue only the first.
Ragtime is an American music style that was popular from the 1890’s until the time of World War I. This early form of jazz brought fame to pianists like “Jelly Roll” Morton and Scott Joplin, who wrote “The Entertainer” and “Maple Leaf Rag.” Surprisingly, the style was incorporated into some orchestral music by Igor Stravinsky and Claude Debussy. The trombones now learn to play a glissando, a technique used in ragtime and other styles of music.
97. TROMBONE RAG
Allegro
98. ESSENTIAL ELEMENTS QUIZ
Andante
Fine
D.C. al Fine
99. TAKE THE LEAD – New Note
A musical “sentence” which is often 2 or 4 measures long. Try to play a phrase in one breath.
100. THE COLD WIND
101. PHRASEOLOGY Write in the breath mark(s) between the phrases.
New Key Signature
This Key Signature indicates the Key of F—play all B’s as B-flats.
Multiple Measure Rest
The number above the staff tells you how many full measures to rest. Count each measure of rest in sequence:
102. SATIN LATIN
Allegro
German composer Johann Sebastian Bach (1685–1750) was part of a large family of famous musicians and became the most recognized composer of the Baroque era. Beginning as a choir member, Bach soon became an organist, a teacher, and a prolific composer, writing more than 600 masterworks. This Minuet, or dance in 3/4 time, was written as a teaching piece for use with an early form of the piano.
103. MINUET – Duet
Moderato
Johann Sebastian Bach
104. ESSENTIAL CREATIVITY This melody can be played in 3/4 or 4/4. Pencil in either time signature, draw the bar lines and play. Now erase the bar lines and try the other time signature. Do the phrases sound different?
105. NATURALLY
Austrian composer Franz Peter Schubert (1797–1828) lived a shorter life than any other great composer, but he created an incredible amount of music: more than 600 art-songs (concert music for voice and accompaniment), ten symphonies, chamber music, operas, choral works and piano pieces. His “March Militaire” was originally a piano duet.
106. MARCH MILITAIRE
Allegro
Franz Schubert
107. THE FLAT ZONE – New Note
D
108. ON TOP OF OLD SMOKEY
Allegro
American Folk Song
Boogie-woogie is a style of the blues, and it was first recorded by pianist Clarence “Pine Top” Smith in 1928, one year after Charles Lindbergh’s solo flight across the Atlantic. A form of jazz; blues music features altered notes and is usually written in 12-measure verses, like “Bottom Bass Boogie.”
109. BOTTOM BASS BOOGIE – Duet
Allegro
A
B
A
B
Dotted Quarter & Eighth Notes
A dot adds half the value of the quarter note.
A single eighth note has a flag on the stem.
110. RHYTHM RAP
Clap
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
111. THE DOT ALWAYS COUNTS
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
112. ALL THROUGH THE NIGHT
Fine
D.C. al Fine
113. SEA CHANTY
Always use a full airstream.
Moderato
English Folk Song
mf
f
114. SCARBOROUGH FAIR
Andante
English Folk Song
mf
f
115. RHYTHM RAP
Clap
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
116. THE TURNAROUND
1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 & 1 & 2 & 3 & 4 &
117. ESSENTIAL ELEMENTS QUIZ – AULD LANG SYNE
Andante
Scottish Folk Song
mf
Check Rhythm
PERFORMANCE SPOTLIGHT
Solo with Piano Accompaniment
You can perform this solo with or without a piano accompanist. Play it for the band, the school or your family. It is part of Symphony No. 9 ("From The New World") by Czech composer Antonin Dvorák (1841-1904). He wrote it while visiting America in 1893, and was inspired to include melodies from American folksongs and spirituals. This is the Largo (or "very slow tempo") theme.
118. THEME FROM "NEW WORLD SYMPHONY"
Largo
Antonín Dvořák
Piano Accompaniment
Largo
29 Slower
29 Slower
SPECIAL BARITONE EXERCISE – Lip Slurs
Lip Slurs are notes that are slurred without changing valves. Brass players practice these to develop a stronger airstream and embouchure, and to increase range. Add this pattern to your daily Warm-Ups.
Great musicians give encouragement to fellow performers. On this page clarinetists learn their instruments’ upper register in the “Grenadilla Gorilla Jumps” (named after the grenadilla wood used to make clarinets). Brass players learn lip slurs, a new warm-up pattern. The success of your band depends on everyone’s effort and encouragement.
119. GRENA DILLA GORILLA JUMP No. 1
120. JUMPIN’ UP AND DOWN
121. GRENA DILLA GORILLA JUMP No. 2
122. JUMPIN’ FOR JOY
123. GRENA DILLA GORILLA JUMP No. 3
124. JUMPIN’ JACKS
Interval
The distance between two pitches is an interval. Starting with “1” on the lower note, count each line and space between the notes. The number of the higher note is the distance of the interval.
125. ESSENTIAL ELEMENTS QUIZ Write in the numbers of the intervals, counting up from the lower notes.
Intervals: [2nd] [ ] [ ] [ ]
Repeat Signs
Repeat the section of music enclosed by the repeat signs.
(If 1st and 2nd endings are used, they are played as usual—but go back only to the first repeat sign, not to the beginning.)
132. MICHAEL ROW THE BOAT ASHORE
Andante
African-American Spiritual
133. AUSTRIAN WALTZ
Moderato
Austrian Folk Song
134. BOTANY BAY
Allegro
Australian Folk Song
C Time Signature
Conducting
Practice conducting this four-beat pattern.
135. TECHNIQUE TRAX Practice at all dynamic levels.
136. FINLANDIA
Andante
Jean Sibelius
137. ESSENTIAL CREATIVITY
Create your own variations by penciling in a dot and a flag to change the rhythm of any measure from \( \frac{1}{4} \) to \( \frac{1}{8} \).
138. EASY GORILLA JUMPS
139. TECHNIQUE TRAX Always check the key signature.
140. MORE TECHNIQUE TRAX
141. GERMAN FOLK SONG
Moderato
142. THE SAINTS GO MARCHIN’ AGAIN
Allegro
James Black and Katherine Purvis
143. LOWLAND GORILLA WALK
144. SMOOTH SAILING
145. MORE GORILLA JUMPS
146. FULL COVERAGE
A scale is a sequence of notes in ascending or descending order. Like a musical "ladder," each step is the next consecutive note in the key. This scale is in your Key of Bb (two flats), so the top and bottom notes are both Bb's. The interval between the Bb's is an octave.
147. CONCERT Bb SCALE
Scale Steps: 1 2 3 4 5 6 7 8
Octave
Chord & Arpeggio
When two or more notes are played together, they form a chord or harmony. This Bb chord is built from the 1st, 3rd and 5th steps of the Bb scale. The 8th step is the same as the 1st, but it is an octave higher. An arpeggio is a "broken" chord whose notes are played individually.
148. IN HARMONY
Divide the notes of the chords between band members and play together. Does the arpeggio sound like a chord?
Chord
Arpeggio
1 3 5 3 1
Chord
Arpeggio
8 5 3 5 8
149. SCALE AND ARPEGGIO
Scale
Arpeggio
Scale
Arpeggio
Austrian composer Franz Josef Haydn (1732–1809) wrote 104 symphonies. Many of these works had nicknames and included brilliant, unique effects for their time. His Symphony No. 94 was named "The Surprise Symphony" because the soft second movement included a sudden loud dynamic, intended to wake up an often sleepy audience. Pay special attention to dynamics when you play this famous theme.
150. THEME FROM "SURPRISE SYMPHONY"
Andante
Franz Josef Haydn
151. ESSENTIAL ELEMENTS QUIZ – THE STREETS OF LAREDO
Write in the note names before you play.
American Folk Song
152. SCHOOL SPIRIT – Band Arrangement
March Style
W.T. Purdy
Arr. by John Higgins
Soli
When playing music marked Soli, you are part of a group “solo” or group feature. Listen carefully in “Carnival of Venice,” and name the instruments that play the Soli part at each indicated measure number.
153. CARNIVAL OF VENICE – Band Arrangement
Allegro
Julius Benedict
Arr. by John Higgins
154. RANGE AND FLEXIBILITY BUILDER
155. TECHNIQUE TRAX
156. CHORALE
Johann Sebastian Bach
The traditional Hebrew melody "Hatikvah" has been Israel's national anthem since the nation's inception. At the Declaration of State in 1948, it was sung by the gathered assembly during the opening ceremony and played by members of the Palestine Symphony Orchestra at its conclusion.
157. HATIKVAH
Israeli National Anthem
Andante
mf
f
mf
165. DANCING MELODY – New Note
American composer and conductor John Philip Sousa (1854–1932) wrote 136 marches. Known as “The March King,” Sousa wrote *The Stars And Stripes Forever*, *Semper Fidelis*, *The Washington Post* and many other patriotic works. Sousa’s band performed all over the country, and his fame helped boost the popularity of bands in America. Here is a melody from his famous *El Capitan* operetta and march.
166. EL CAPITAN
Allegro
“O Canada,” formerly known as the “National Song,” was first performed during 1880 in French Canada. Robert Stanley Weir translated the English language version in 1908, but it was not adopted as the national anthem of Canada until 1980, one hundred years after its premiere.
167. O CANADA
Maestoso (Majestically)
168. ESSENTIAL ELEMENTS QUIZ – METER MANIA
Count and clap before playing. Can you conduct this?
Enharmonics
Two notes that are written differently but sound the same (and played with the same fingering) are called enharmonics. Your fingering chart on pages 46–47 shows the fingerings for the enharmonic notes on your instrument.
On a piano keyboard, each black key is both a flat and a sharp:
169. SNAKE CHARMER
Enharmonic notes use the same fingering.
170. DARK SHADOWS
Pick-up note
171. CLOSE ENCOUNTERS
Enharmonic notes use the same fingering.
172. MARCH SLAV
Largo
Peter Illyich Tchaikovsky
173. NOTES IN DISGUISE
Chromatic notes are altered with sharps, flats and natural signs which are not in the key signature. The smallest distance between two notes is a half-step, and a scale made up of consecutive half-steps is called a chromatic scale.
174. HALF-STEPPIN’
French composer Camille Saint-Saëns (1835–1921) wrote music for virtually every medium: operas, suites, symphonies and chamber works. The "Egyptian Dance" is one of the main themes from his famous opera *Samson et Delilah*. The opera was written in the same year that Thomas Edison invented the phonograph—1877.
175. EGYPTIAN DANCE Watch for enharmonics.
Allegro
Camille Saint-Saëns
176. SILVER MOON BOAT
Largo
Chinese Folk Song
Fine
D.C. al Fine
German composer Ludwig van Beethoven (1770–1827) is considered to be one of the world's greatest composers, despite becoming completely deaf in 1802. Although he could not hear his music the way we can, he could "hear" it in his mind. As a testament to his greatness, his Symphony No. 9 (p. 13) was performed as the finale to the ceremony celebrating the reunification of Germany in 1990. This is the theme from his Symphony No. 7, second movement.
177. THEME FROM SYMPHONY NO. 7 – Duet
Allegro (moderately fast)
Ludwig van Beethoven
Russian composer Peter Illyich Tchaikovsky (1840–1893) wrote six symphonies and hundreds of other works including *The Nutcracker* ballet. He was a master at writing brilliant settings of folk music, and his original melodies are among the most popular of all time. His 1812 Overture and Capriccio Italien were both written in 1880, the year after Thomas Edison developed the practical electric light bulb.
178. **CAPRICCIO ITALIEN**
*Always check the key signature.*
Peter Illyich Tchaikovsky
179. **AMERICAN PATROL**
F.W. Meacham
180. **WAYFARING STRANGER**
African-American Spiritual
181. **ESSENTIAL ELEMENTS QUIZ – SCALE COUNTING CONQUEST**
182. AMERICA THE BEAUTIFUL – Band Arrangement
Maestoso
Andante
15
Maestoso
183. LA CUCARACHA – Band Arrangement
Latin Rock
Latin American Folk Song
Arr. by John Higgins
184. THEME FROM 1812 OVERTURE – Band Arrangement
Allegro
Peter Illyich Tchaikovsky
Arr. by John Higgins
DUETS
Here is an opportunity to get together with a friend and enjoy playing music. The other player does not have to play the same instrument as you. Try to exactly match each other’s rhythm, pitch and tone quality. Eventually, it may begin to sound like the two parts are being played by one person! Later, try switching parts.
186. SWING LOW, SWEET CHARIOT – Duet
African-American Spiritual
Andante
A
B
Fine
D.C. al Fine
187. LA BAMBA – Duet
Mexican Folk Song
Allegro
Fine
D.C. al Fine
RUBANK® SCALE AND ARPEGGIO STUDIES
KEY OF Bb In this key signature, play all Bb's and Eb's.
1.
2.
3.
4.
KEY OF Eb In this key signature, play all Bb's, Eb's and Ab's.
1.
2.
3.
4.
RUBANK® SCALE AND ARPEGGIO STUDIES
KEY OF F In this key signature, play all Bb's.
1.
2.
3.
4.
KEY OF A♭ In this key signature, play all Bb's, Eb's, Ab's and Db's.
1.
2.
3.
4.
RHYTHM STUDIES
1 2 3 4
5 6 7 8
9 10 11 12
13 14 15 16
17 18 19 20
21 22 23 24
25 26 27 28
29 30 31 32
33 34 35 36
RHYTHM STUDIES
37 4/4
38 4/4
39 4/4
40 4/4
41 4/4
42 4/4
43 4/4
44 4/4
45 4/4
46 4/4
47 4/4
48 4/4
49 4/4
50 4/4
51 4/4
52 4/4
53 4/4
54 4/4
55 4/4
56 4/4
57 3/4
58 3/4
59 3/4
60 3/4
61 3/4
62 3/4
63 3/4
64 3/4
65 2/4
66 2/4
67 2/4
68 2/4
69 2/4
70 2/4
71 2/4
72 2/4
Composition is the art of writing original music. A composer often begins by creating a melody made up of individual phrases, like short musical "sentences." Some melodies have phrases that seem to answer or respond to "question" phrases, as in Beethoven's *Ode To Joy*. Play this melody and listen to how phrases 2 and 4 give slightly different answers to the same question (phrases 1 and 3).
1. **ODE TO JOY**
- 1. Question
- 2. Answer
- 3. Question
- 4. Answer
2. **Q. AND A.** Write your own "answer" phrases in this melody.
- 1. Question
- 2. Answer
- 3. Question
- 4. Answer
3. **PHRASE BUILDERS** Write 4 different phrases using the rhythms below each staff.
A
B
C
D
4. **YOU NAME IT:**
Pick phrase A, B, C, or D from above, and write it as the "Question" for phrases 1 and 3 below. Then write 2 different "Answers" for phrases 2 and 4.
5. **INSTANT MELODY**
Improvisation is the art of freely creating your own melody as you play. Use these notes to play your own melody (Line A), to go with the accompaniment (Line B).
You can mark your progress through the book on this page. Fill in the stars as instructed by your band director.
ESSENTIAL ELEMENTS 2000
STAR ACHIEVER
NAME__________________________________________
1. Page 2–3, The Basics
2. Page 5, EE Quiz, No. 13
3. Page 6, EE Quiz, No. 19
4. Page 7, EE Quiz, No. 26
5. Page 8, EE Quiz, No. 32
6. Page 10, EE Quiz, No. 45
7. Page 12–13, Performance Spotlight
8. Page 14, EE Quiz, No. 65
9. Page 15, Essential Creativity, No. 72
10. Page 17, EE Quiz, No. 84
11. Page 17, Essential Creativity, No. 85
12. Page 19, EE Quiz, No. 98
13. Page 20, Essential Creativity, No. 104
14. Page 21, No. 109
15. Page 22, EE Quiz, No. 117
16. Page 23, Performance Spotlight
17. Page 24, EE Quiz, No. 125
18. Page 26, Essential Creativity, No. 137
19. Page 28, No. 149
20. Page 28, EE Quiz, No. 151
21. Page 29, Performance Spotlight
22. Page 31, EE Quiz, No. 164
23. Page 32, EE Quiz, No. 168
24. Page 33, No. 174
25. Page 35, EE Quiz, No. 181
26. Page 36, Performance Spotlight
27. Page 37, Performance Spotlight
28. Page 38, Performance Spotlight
MUSIC — AN ESSENTIAL ELEMENT OF LIFE
Instrument Care Reminders
Before putting your instrument back in its case after playing, do the following:
• Remove the mouthpiece and wipe it clean. Once a week, wash the mouthpiece with warm tap water. Dry thoroughly.
• Use the water key to empty water from the instrument. Blow air through it.
• Wipe off the instrument with a clean soft cloth. Return the instrument to its case.
Baritone valves occasionally need oiling. To oil your baritone valves:
• Unscrew the valve at the top of the casing.
• Lift the valve half-way out of the casing.
• Apply a few drops of special brass valve oil to the exposed valve.
• Carefully return the valve to its casing. When properly inserted, the top of the valve should easily screw back into place.
Be sure to grease the slides regularly. Your director will recommend special slide grease and valve oil, and will help you apply them when necessary.
CAUTION: If a slide, a valve or your mouthpiece becomes stuck, ask for help from your band director or music dealer. Special tools should be used to prevent damage to your instrument.
○ = Open
● = Pressed down
Instrument courtesy of Yamaha Corporation of America, Band and Orchestral Division
FINGERING CHART
BARITONE B.C.
C C# Db D D# Eb
E F F# Gb G
G# Ab A A# Bb B
C C# Db D D# Eb
E F F# Gb |
Multiculturalism and world history! When I was asked to talk about this, I was intrigued, but also unsure just what was expected. Multiculturalism as an ideology, after all, is the province of a small fringe group of people who seem to say that every culture is just as good as every other and deserves just as much space as anyone else’s. To me, that does not seem to be a very serious position and is something not worth really worrying about. Multiculturalism as a human actuality, by contrast, has existed across the millennia in human affairs, ever since cities first arose. And that does seem to me worth thinking about, discussing, and putting into a general framework of world history. So it was that I succumbed to the invitation.
The first thing to say is that multiculturalism is an obvious reality, because different groups of people created discrete cultures. It is a reality that presumably dates back to the initial dispersal of humankind around the world, as groups became more isolated from one another across longer distances, developed unique technologies, and adapted to differing environments. The human race, in short, comprises a myriad of cultures.
But multiculturalism in the more exact (and contemporary) sense of people with different cultures living permanently cheek by jowl is an affair of cities. It arose whenever long-distance trade and diasporas living from trade became significant, and it required mutual adaptation so that all parties might gain the advantages of exchanging raw materials and manufactures—and ideas—from different parts of the world. So far as current scholarship can determine, this trade really began with ancient Sumer in the fourth millennium B.C., when the first cities arose at the intersection of a maritime network stretching across the Persian Gulf and Indian Ocean and a land caravan network made possible by the domestication of donkeys. Precisely when the latter was achieved and long-range caravans began to travel cross-country is uncertain, but evidently human beings began sailing the seas very early—as early as 40,000 B.C., when Australia was first settled. Navigation in the Indian Ocean is thus extremely ancient, but what made the land of Sumer so critical was that
William H. McNeill is the Robert A. Millikan Distinguished Service Professor Emeritus of History at the University of Chicago. In 1964, McNeill received the National Book Award for the now-classic volume *The Rise of the West: A History of the Human Community*.
it was where long-range trade routes over land and sea first came together. They linked the mountainous hinterland up the Tigris and Euphrates Rivers with the Persian Gulf, and in turn with the manifold coastlands of the southern seas and oceans, where monsoon winds made sailing easy.
Sumerian cities were settlements typically divided between landholders—the core settlement, of which the temple households were the largest and the most significant part—and what might be called a *faubourg*, the French medieval term for people living outside the city walls, including boarmen, caravan personnel, and long-distance sailors. Such sojourners formed a permanent if ever-changing population of peripatetic strangers, outsiders, and foreigners—people of different cultures, yet close at hand. Archaeologists have established the bifurcation of the earliest settlements, whose layout attests to this first multicultural reality.
There was probably another fissure, about which scholars are less sure, that is suggested by Sumerian texts referring to agricultural laborers as “black-headed people” and thus perhaps of different ethnicity from their Sumerian managers and the masters of the written language. After some thousand years, however, that single, dominant Sumerian group was overtaken by speakers of a Semitic language, Akkadian. They migrated from the fringes of the Mesopotamian world, and Sargon of Akkad, who dated from about 2250 B.C., was the first Semitic-speaking conqueror. But Akkadians were very eager apprentices to Sumerian skills and knowledge, especially in matters of religion, where they inherited the responsibility for managing relations with the gods. So the Akkadians readily practiced bilingualism if only because the gods were used to being addressed in Sumerian. The result was a civilization based on two sacred languages, with dictionaries translating from one to the other. Without these dictionaries, scholars might never have succeeded in deciphering Sumerian, which has no known linguistic relatives.
Now, the dominance of these ruling Sumerian and Semitic peoples was due to their monopolization not only of property, wealth, and power, but also of knowledge, especially of how to appease the gods. And it is possible that their modes of communicating with the gods were the motor of their entire social development. The drive to make temples more magnificent and liturgies more elaborate in order to earn divine good will (and thus, good harvests and safety) may have inspired a constant search for precious goods and curiosities brought from afar by caravans and ships. Indeed, it is probable that other Eurasian and Mesoamerican civilizations arose at similar exchange nodes, and it is possibly also true that the struggle to win favor with supernatural forces was central to the creation of cosmopolitan markets in each of these civilizations as well.
At any rate, the earliest civilizations all seem to have had priestly leadership at first, superseded or supplemented over time by a warrior class. Now, each civilization exhibits an endless variation of detail, and no single pattern, no fixed dynamic, characterizes them all. But always and everywhere, civilizations involved polyethnic mingling and attracted people who came from a distance to live, temporarily or permanently, in relatively close proximity.
Today this phenomenon is only intensified by the enormous capacity of modern transport and communication.
To be sure, like almost everything else in human affairs, this sort of “cheek-by-jowl” multiculturalism, causing people to live next to, or very close to, people whose beliefs, behavior, customs, and outward appearance are quite different, has positive and negative effects. One clear advantage is the access to new goods, skills, knowledge, and arts of which one would otherwise be ignorant. That is why exchange systems exist and persist in the first place and were present even before cities, amongst the earliest human hunters and gatherers. Clear proof of that derives from the chemical analysis of obsidian blades. Obsidian holds a very sharp edge, was the best cutting instrument available prior to metal, and thus was very precious to Stone Age communities. By chemical analysis, you can discover just where a given obsidian blade originated because it will contain trace elements from a volcano somewhere in the neighborhood. We know, therefore, that obsidian was carried by prehistoric traders many hundreds of miles from one group of hunters and gatherers to others. But the establishment of genuine multicultural communities required a much higher and more regular volume of exchange than the odd sliver of obsidian traded at occasional festivals as neighbors met their neighbors and so on, which is why urbanization, official cults, and the creation of market demands beyond the needs of sheer survival are intrinsic to what we call civilization.
The obvious downside of living with strangers with a different culture from one’s own is that they can be, or can be perceived as, a danger or even as enemies. Trading has always been one way of exchanging, but raiding is another, and each can easily give way to the other depending on the relative strength of the parties. Still, booty amounts to a sort of accidental assemblage of goods. It may or may not contain what the raiders desired or be truly useful in the form it is taken. Even pirates and raiders usually required the services of intermediaries who would accept what they had in exchange for what they really wanted. Thus, raid and trade are first cousins, and one cannot exist without the other.
**The Dangers and Boons of Cultural Mix**
While strangers are always a potential threat to life and property, a multicultural setting can give rise to a still more profound threat to the host society. And that is because strangers who are to some degree ignorant of local customs and mores, and more or less indifferent to one’s sacred beliefs and rituals, constitute by the very fact of their nonparticipation a tacit or active challenge to the validity of local authority and tradition. What can the dominant group in a multicultural setting do about that?
So long as one group remains clearly dominant and so long as the gap between the hosts and the minority is not too wide, newcomers can normally be compelled to conform, at least outwardly, to the expectation of their hosts. They may even learn from their hosts and seek to be assimilated, assuming
the dominant group will allow them to do so. Such tolerant “melting pot” behavior was a strong pattern that helped to maintain urban societies throughout the past, and not just the distant past, but the medieval and early modern eras as well. Indeed, given the demographic decay that usually characterized urbanized societies, due to infectious diseases above all, cities normally had to be sustained demographically by a constant in-migration from the countryside. Cities had to attract “strangers” or they would wither and die over time. Now, when the rural migrants come from relatively near at hand, the cultural and linguistic differences between them and the city folk are likely to be relatively minor. Assimilation to urban life under such circumstances is normal and unquestioned across a generation or two. Modern frictions of over-multiculturalism, by contrast, result from the fact that our urban cultures have come to embrace whole nations as their “rural hinterlands” thanks to the effect of modern transport and communications. Moreover, the recent collapse of birth rates all across the most highly developed parts of the world requires—or invites—migration from ever longer distances and across cultural barriers. That creates far larger gaps between the newcomers and the host population, making assimilation more difficult and inviting or tempting the newcomers to cling to the culture of their homeland. And the fact that communication with one’s original homeland is much easier than ever before means that the possibility of maintaining ethnic particularism is much enhanced.
How then does a dominant group negotiate a modus vivendi with large, autonomous minorities in its midst? This is the problem facing the United States, Western Europe, and Russia today, where birth rates have fallen below replacement levels. It is a very new phenomenon—post-1945 for the most part—and one of fundamental importance for the cultural, political, and social landscape of our time. But I hasten to say it is not unique. Other urban groups have, in times past, found it impossible to maintain themselves. Very possibly the decay of Sumerian civilization and the rise of the Akkadians was due to similar demographic processes. It is certain that the nineteenth-century decay of German townsmen across Eastern Europe, retreating before enhanced migration from the Slavic countryside and failing to assimilate the newcomers to the German way of life, formed the background to the breakup of the Hapsburg monarchy, with immense consequences for the history of Europe.
When people live close together, there is bound to be interaction between cultures. No one can live in complete isolation. The normal pattern, as was apparently true in ancient Sumer and seems to have been the case in every other urbanized setting, is ghettoization. The strangers are kept at arm’s length, perhaps not with a wall around them like the Jews of medieval Venice (whence we derive the word ghetto), but in separate neighborhoods nonetheless. One need only think of medieval England, where the Lombards and the Baltic merchants of the Hanseatic League lived in separate enclaves. They enjoyed
the king’s protection and a good deal of local autonomy, running their own affairs according to their own laws, independent of the people around them. They had only to pay the crown a fee, or ransom if you like, for protection. Similar arrangements existed in ancient and medieval China. There was a Muslim quarter in Canton, subsumed within the Chinese city. The Muslims were foreigners, to be sure, but thanks to the tribute they paid in return for the protection of the Chinese government, they were free to run their own affairs.
This was the standard pattern, and the ethnic neighborhoods in most American cities are a sort of residue of that ancient practice. Nor is such separatism a function only of the dominant group’s prejudice or fear. Strangers want to live together, too. For example, the fourteenth-century Muslim traveler Ibn Batuta makes it very clear that after his arrival in China he was appalled by the Chinese: so indifferent to the revelation of Mohammed, which meant so much to him, yet nevertheless so numerous, skilled, and civilized as to be overwhelming. So he was relieved to meet fellow Muslims, including someone who had come from his own native Morocco—a neighbor encountered halfway around the world.
Whether or not a ghetto had a formal legal structure and “charter,” it was always a vehicle for mutual accommodation. By and large, it seems to me that vigorous and successful cultures can afford to be interested in novelties from afar, welcome strangers, and assimilate them more or less into an evolving common culture. But cultures change in the process, as the “stranger” gradually comes to be accepted as one of “us,” not one of “them.” That is certainly the way I would describe the history of the United States, given its conspicuous success in this respect.
In contrast, when local culture loses a sense of its inner security, self-confidence, and cohesion, strangers start to appear more threatening and efforts to defend sacred truths and traditions become far more compelling. A telling example of that is what has occurred in French Canada. When I was a youngster in Canada, the Québécois were, of course, different from English Canadians. Everybody knew that. A sort of old-regime France survived on Canadian soil until the Second World War. What is more, the French had a much higher birth rate than other Canadians, as if in defense of their besieged way of life. But the pattern was disrupted during World War II, thanks to the boom in employment in Montreal and other cities, swiftly followed by a catastrophic drop in the birth rate. Young French Canadian women simply decided that they would never be enslaved to the cradle as their mothers, with eight or ten children, had been, with the result that the birth rate of French Canadians today is lower than that of English Canadians. Preservation of French culture and language was suddenly not as secure as before and so had to be buttressed by political action to compel signs in French and other sorts of linguistic policing, not only in Québec, but throughout Canada. And while a few liberal French Canadians think that is not the way to go, the Parti Québécois and most French Canadian intellectuals and politicians endorse the new ethnic politics.
Now, in general, whenever alien cultures collide, a deep ambivalence prevails. The age-old feature central to the historical process is that when people meet strangers, their obvious differences challenge local inherited ways. How to react? One may say, "He knows some things that I do not, he can do things that I cannot. Let me imitate him, improve and transform what he does and so acquire the skill, knowledge, and ability which he has and which I want." And that, of course, means changing established ways of behaving. Alternatively, one can say, "The stranger is corrupt and likely to seduce us from our ancestral ways. We must therefore strengthen ourselves against this intruder, underscore the differences between us and him and, if possible, impose our ways on him." But that also involves changing older behaviors.
Both responses, the positive and the negative, the acceptance and the rejection, involve an adjustment. And such adjustment, I am convinced, is the principal force behind historical change and cultural innovation across the centuries, because, other things being equal, the dominant, everyday tendency of human action is to do things the way one's parents did, the way one's ancestors did, the way they have always been done and obviously ought to be done. What provokes innovation is some perceived discrepancy between expectation and experience. Now, it is possible and certainly true that invention can arise from contradictions within existing traditions of learning and science. For the last three or four hundred years, in the West at least, the systematic search for new ideas and new technologies has become more and more prevalent.\(^1\) But in ancient times, when sacred learning was the norm, what effectually challenged prevailing ideas and practices was seldom internal contradictions, but an encounter with outsiders who had different skills and ideas, some of which seemed better than anything known before and some of which threatened what the insiders held most dear. And because civilizations, by definition, are those places where strangers live side by side, even if ghetto walls separate them at night, civilizations are ipso facto volatile loci of change and exchange of new skills, tools, and knowledge, thereby augmenting their power over both nature and neighboring peoples.
There are also interesting biological dimensions to the phenomenon of urban multiculturalism.\(^2\) Since cities attracting people from far away are veritable rookeries of infectious diseases, they create a civilized population that in time develops a high level of resistance and immunity. Such acquired immunities, in turn, become a mighty, if unconsciously wielded, weapon for the destruction of isolated peoples who have never been exposed to infections originating abroad. And this is a second reason why civilizations expand. They break down the demographic structures of previously isolated peoples with whom they
\(^1\) However, it is easy to exaggerate how old that is. The idea of throwing away a perfectly good machine because you had a better one is really only about 150 years old now and was very radical when it was first introduced in the chemical, steel, and ferrous metallurgical industries.
\(^2\) See William H. McNeill, *Plagues and People* (New York: Doubleday, 1977).
come into contact. Both kinds of power, biological toughness and infectiousness, and the power of ever-altering technologies and ideas, tend to move outwards from the center and travel swiftly across very long distances.
Nevertheless, what held civilizations together despite the multiculturalism built into their body politic was widespread acceptance of a common code of thought and behavior amongst a privileged ruling elite or elites. The exact agreed-upon code or codes varied in each case, but no civilization lacked a dominant code and none survived the loss of that code. In sum, a civilization is a population whose rulers pay lip service to a corpus of agreed-upon truths and rules, and conform in their actual behavior to such truths and rules at least to a certain degree. That is what allows for efficient cooperation across large areas and among literally millions of people. And that is what makes civilization so powerful: maintenance of a predictable minimum level of agreement as to what ought to occur, what ought to be done, and how people ought to behave, even when they are strangers to one another.
Now, underneath the ruling elite, lower classes and local ethnic groups subordinated to them always had, I think, multiple and divergent cultures. But they shared some things with the ruling elite; they had to, if only to survive as subordinates in the presence of a representative of the elites. And lest that seem an exaggeration, recall that until the “day before yesterday”—certainly until the early part of the nineteenth century—in every civilization in history, urban populations were a very tiny minority. The peasant majority lived in villages and were in, but not of, urban high culture. They knew something about it but they certainly did not share it. They had little in the way of formal education, and perhaps none at all. They had a tradition that was local and was passed on from parent to child across generations, time out of mind, and thus they accommodated social superiors as best they could and constituted the bedrock of all society. To repeat, cities rested on that bedrock because they had to be maintained by migration from the countryside. Thus, from the time of neolithic development of agriculture, the real living cell of society was the village. Villages are what kept human society going, biologically and culturally.
As for the urban, “civilized” elites, they soon became aware that there were others like them at far distances. Within Eurasia, the landmark that I emphasized in *The Rise of the West* was the expedition that the Chinese emperor Wu Ti sent to Ferghana in 101 B.C. in search of horses that could carry armored men on their backs and so drive away the steppe nomads from the borders of China. Rumors of such horses had reached China from the west and from that time onward contact was never broken off for long, Caravans traversed the full breadth of Asia and as time went on their numbers and scale increased. Not long afterward, regular contacts by sea were also established—surely by the second century A.D., when self-styled ambassadors from the Roman emperor Marcus Aurelius (died 180 A.D.) arrived at the Chinese court.
These contacts brought awareness of distant accomplishments to the attention of the respective elites, calling into existence what may be called a world system of exchange. It was, if you will pardon the phrase, a multicivilzational interactive galaxy of cultures, in which the urban nodes were critical, but which was characterized by cultural slopes from the urban nodes downward toward the provinces in each case. The world system was a sort of moving landscape, because in every particular part of the Eurasian world new developments, inventions, skills, sources of wealth, and population spikes and declines were occurring more or less rapidly, and so defining cultural heights, depths, and slopes in a fluid topography. Similar things happened in the Americas. The Aztec and Inca civilizations did have contacts with one another, though we know relatively little about them, and the cultural slopes from those two principal centers of high skill extended north into what is now the United States and deep into South America. Likewise in Australia amongst the hunters and gatherers of that continent, I suspect cultural flows existed, but differences there were far less than in the Eurasian or American worlds, and patterns of diffusion and change are impossible to reconstruct.
After 1500, of course, the Eurasian and African system engulfed all the others, and our own one world is the heir and frame for multicultural interaction today. Accordingly, ours is multiculturalism with a vengeance, because literally thousands of distinct human cultures, each precious to some group and alien to others, and a multiplicity of metropolitan centers and cultural slopes, now interact in an ever-shifting landscape of cultures and subcultures that are either gaining or losing attractiveness among our species as a whole.
**The Essential Fragility of Civilization**
Now, in coping with this elemental fact of human life, it seems obvious that one must teach coming generations, heirs as they will be to quite different cultural traditions, that multiculturalism is a fact, a reality very ancient among humankind and sure to persist indefinitely into the future, for the simple reason that existing groups are attached to their differences and treasure the distinctive cultural markers that separate “us” from “them.”
Consider my own experience as one who was born in Canada and spent the first ten years of life there. I was brought up very conscious of Canadians’ image of themselves as the “true north, strong and free,” poor but virtuous, and by virtue of our poverty and hardihood superior to the soft, corrupt republic to the south. Canadians still feel that way, though they may not say so quite so bluntly as I have done. Now, Canada—English Canada, anyway—is as like the United States as any two countries are ever likely to be. But each people treasures its differences. Imagine the divergences, then, among peoples with far greater cultural gaps.
So multiculturalism is here to stay, contrary to the commonplace American assumption that the “American way” is normative for all other peoples on earth, either by dint of preference or inevitable historical forces. The American tradition of assimilating immigrants is an expression of that assumption in microcosm and dates back to the eighteenth-century universalist notion that our values and institutions are an example that the world as a whole will eventually follow.
That is just not so. One need only to visit Canada and talk to a few Canadians privately to be disabused of such universalism. And that lesson is the first thing we ought to try to teach our youth.
The second is that, in spite of human determination to cling to differences, people and nations somehow must get along with each other peaceably, whether in the neighborhoods of our cities or on the planet we share. A failure to escape crippling social conflict and disruption, and the almost unimaginable costs of organized conflict in a closely interdependent world, scarcely bears thinking about.
The fragility of contemporary civilized society is something seldom talked or thought about, but the truth is that the essentials of everyday life today almost always arrive from afar. We depend on the delivery of fruits and vegetables from California, Florida, or overseas. But if gasoline should cease to flow faithfully through the pipelines and pumps, most inhabitants of the United States would be without food or fuel in six months or less. How utterly dependent we are on this flow-through economy, which is so vulnerable to serious disruption! The sort of thing that happened to the Russians in 1917, when 80 percent of the people were still self-sufficient peasants, would be infinitely more catastrophic today. The world is enormously vulnerable, like a spinning top poised on a single point.
So we have to get along peacefully. We cannot afford any massive resort to violence for any length of time, either domestically or internationally. And that requires mutual accommodation and respect. Some sort of social space for cultural differences becomes essential for practical citizenship, for the survival and maintenance of everyday life.
But remember the bedrock of all civilization: a predictability of behavior derived from a consensus about overriding rules. In one sense, we already possess that essential cultural capital, enshrined in sacred codes of conduct such as the Golden Rule, “Do unto others as you would be done by.” Close parallels to it exist in other great religions of the world. Almost the identical words can be found in Confucius’s *Analects*, for instance, and I do not think this is entirely an accident, for the survival advantage of such a rule is obvious. Wherever strangers abound and contacts with them are inescapable, giving them the benefit of the doubt, doing to them as you would be done by, has very sound, practical results. You are less likely to have your throat cut or be stabbed in the back. A little bit of trust, a little bit of generosity, goes a long way and so the survival value of such moral injunctions is very real.
Yet, at the same time, any realistic vision of the human condition must admit that there is a need for a certain readiness to defend local cultural heritages. Only so can a cultural tradition persist, can cooperation within the group that shares a culture be sustained and passed from generation to generation.
As I conceive of these things, the transmission of culture is a kind of loose survival of the fittest. Which rules of life work optimally, which rules attract adherents most powerfully? Those are the ones most likely to prevail.
and assimilate outsiders. And this, unless I quite misunderstand the facts, is how all the principal religions of the world, and indeed secular cultures, arose and flourished: by converting individuals and groups, first at a locus of origin and then along paths we can at least partially reconstruct. One can follow the loci of principal creativity across the centuries and generations and see how one part of the world after another assumed the role of metropolitan center.\(^3\)
Mine may be a narrow-minded and obtuse vision of reality. But it seems to me that the ultimate arbiters of the rise and fall of cultures, their propagation, spread, and transformation, are individual and group choices. Every human being faces the questions, Who am I? With whom do I belong? How do I define myself? How ought I to behave amongst those like myself and others who are not “us,” but outsiders? These are the perpetual and universal moral questions that have always haunted human groups and associations at every scale, from the family on up to nations and civilizations, and arise in every kind of human encounter.
The answers chosen, and the behavior consequent to them, define the rise and disintegration of all social groups, local, national, and transnational, as well as the fate of humankind as a whole, because contemporary weapons can destroy us all. So we clearly need a more peaceable world, we need a more peaceable way of behaving toward culturally different individuals and groups, and we need effective ways of familiarizing the young with the ongoing cultural traditions of the world.
And here, of course, schooling certainly can help. Schooling is very powerful. Teachers have always helped to shape the minds of the persons put in their charge, and teachers today, it seems to me, must first of all accept for themselves and their pupils a global perspective on that human past. This is the only way they can introduce the young to the multicultural world that they actually inhabit, whether they want to or not, and also introduce them to the United States’ own local version of high culture, which derives, of course, mainly from Latin Christendom and, in some specific and important political respects, from England and France of the seventeenth and eighteenth centuries.
Now, it is a tall order for any teacher to teach about the entire world in addition to the national cultural tradition of one’s own country. But it is our duty; that is what a teacher’s role in society is and necessarily must be. We are responsible for helping to define for the young who we are as a people and as members of a locality as well, and how we ought to behave as a nation and as members of the human race at large. This is what teaching, and specifically historical teaching, has always tried to do, has always done, and inescapably continues to do. I wish you well, teachers in my audience, in the effort to adapt our national traditions successfully to ever-changing circumstances, in a world where so many voices and noises compete for the attention of young people.
\(^3\) See William H. McNeill, *The Rise of the West: A History of the Human Community* (Chicago: University of Chicago Press, 1964, new ed. 1991).
Nothing is more critical to the future well-being of those who are bearers of the cultural tradition of our own country, the various groups within it, and all of humanity. |
Periodical Index
Michigan Law Review
Follow this and additional works at: https://repository.law.umich.edu/mlr
Recommended Citation
Michigan Law Review, Periodical Index, 92 Mich. L. Rev. 776 (1993).
Available at: https://repository.law.umich.edu/mlr/vol92/iss3/8
This Index is brought to you for free and open access by the Michigan Law Review at University of Michigan Law School Scholarship Repository. It has been accepted for inclusion in Michigan Law Review by an authorized editor of University of Michigan Law School Scholarship Repository. For more information, please contact firstname.lastname@example.org.
PERIODICAL INDEX
This Index includes articles, comments, and some of the longer notes and recent developments that have appeared in leading reviews since the publication of the last issue of this Review.
ACADEMIC FREEDOM
See Legal Education.
AFFIRMATIVE ACTION PROGRAMS
See Legal Education.
ARREST
LaFave on arrest and the three decades that have followed. Frank J. Remington. 1993 Ill. L. Rev. 315-21 (No. 2).
BANKRUPTCY
See also Corporate Reorganization.
Bankruptcy policymaking in an imperfect world. Elizabeth Warren. 92 Mich. L. Rev. 336-87 (Nov.).
CAPITAL PUNISHMENT
See Right to Counsel.
CHILD ABUSE
See Due Process of Law.
CHILD CUSTODY
The Brady bunch and other fictions: how courts decide child custody disputes involving remarried parents. 45 Stan. L. Rev. 2073-142 (July).
CHILD SEXUAL ABUSE
Rape shield laws: do they shield the children? 78 Iowa L. Rev. 751-78 (Mar.).
CONFESSIONS
Promises, confessions, and Wayne LaFave's bright line rule analysis. George E. Dix. 1993 Ill. L. Rev. 207-60 (No. 2).
CONSTITUTIONAL LAW
See also Legal Education.
The Constitution, the legislature, and unfair surprise: toward a reliance-based approach to the Contract Clause. 92 Mich. L. Rev. 398-437 (Nov.).
CONSTITUTIONAL THEORY
Three mistakes about interpretation. Paul Campos. 92 Mich. L. Rev. 388-97 (Nov.).
CONTRACTS
Enforceability of precontractual agreements in Illinois: the need for a middle ground. 68 Chi.-Kent L. Rev. 939-72 (No. 2).
COPYRIGHT
See Intellectual Property.
CORPORATE REORGANIZATION
The unwarranted case against corporate reorganization: a reply to Bradley and Rosenzweig. Donald R. Korobkin. 78 Iowa L. Rev. 669-735 (Mar.).
COURTS
See Sex Discrimination.
CRITICAL LEGAL STUDIES
See Discrimination.
DISCRIMINATION
Ambivalence: the resiliency of legal culture in the United States. Judith Resnik. 45 Stan. L. Rev. 1525-46 (July).
DUE PROCESS OF LAW
The constitutionality of employer-accessible child abuse registries: due process implications of governmental occupational blacklisting. 92 Mich. L. Rev. 139-94 (Oct.).
EMPLOYMENT AT WILL
Life-cycle justice: accommodating just cause and employment at will. Stewart J. Schwab. 92 Mich. L. Rev. 8-62 (Oct.).
EMPLOYMENT DISCRIMINATION
See Due Process of Law.
ENVIRONMENTAL LAW
See Environmental Protection.
ENVIRONMENTAL PROTECTION
Allocating the burden of proof to effectuate the preservation and federalism goals of the Coastal Zone Management Act. 92 Mich. L. Rev. 438-77 (Nov.).
ETHICS
See Legal Education, Legal Ethics.
EVIDENCE
See Child Sexual Abuse.
EXCLUSIONARY RULE
See Search and Seizure.
FEMINISM
Reply: please be careful with cultural feminism. Margaret Jane Radin. 45 Stan. L. Rev. 1567-69 (July).
FOURTH AMENDMENT PROTECTIONS
At the borders of the Fourth Amendment: why a real due process test should replace the outrageous government conduct defense. Donald A. Dripps. 1993 Ill. L. Rev. 261-84 (No. 2).
The virtues (and limits) of shared values: the Fourth Amendment and Miranda's concept of custody. Richard A. Williamson. 1993 Ill. L. Rev. 379-409 (No. 2).
FREEDOM OF SPEECH
A shifting balance: freedom of expression and hate-speech restriction. Jean Stephancic & Richard Delgado. 78 Iowa L. Rev. 737-50 (Mar.).
HATE SPEECH
See Freedom of Speech.
INSTRUCTIONS TO JURIES
Criminal jury instructions. William H. Erickson. 1993 Ill. L. Rev. 285-94 (No. 2).
INTELLECTUAL PROPERTY
Beyond metaphor: copyright infringement and the fiction of the work. Robert H. Rotstein. Commentary by Keith Aoki. 68 Chi.-Kent L. Rev. 725-839 (No. 2).
Color as a trademark and the mere color rule: the circuit split for color alone. 68 Chi.-Kent L. Rev. 973-1003 (No. 2).
Copyright, property, and the right to deny. Timothy J. Brennan. 68 Chi.-Kent L. Rev. 675-714 (No. 2).
Deserving to own intellectual property. Lawrence C. Becker. 68 Chi.-Kent L. Rev. 609-29 (No. 2).
Does it matter whether intellectual property is property? Stephen L. Carter. 68 Chi.-Kent L. Rev. 715-23 (No. 2).
From authors to copiers: individual rights and social values in intellectual property. Jeremy Waldron. 68 Chi.-Kent L. Rev. 841-87 (No. 2).
From fast cars to fast food: overbread protection of product trade dress under section 43(a) of the Lanham Act. 45 Stan. L. Rev. 2037-72 (July).
Institutional utilitarianism and intellectual property. Patrick Croskery. 68 Chi.-Kent L. Rev. 631-57 (No. 2).
Total concept and feel or dissection?: approaches to the misappropriation test of substantial similarity. 68 Chi.-Kent L. Rev. 913-37 (No. 2).
Valuing intellectual property. Russell Hardin. 68 Chi.-Kent L. Rev. 659-74 (No. 2).
Who owns this? J.S.G. Boggs. 68 Chi.-Kent L. Rev. 889-910 (No. 2).
JURIES
Jury secrecy and the media: the problem of postverdict interviews. Abraham S. Goldstein. 1993 Ill. L. Rev. 295-314 (No. 2).
Postconviction review of jury discrimination: measuring the effects of juror race on jury decisions. Nancy J. King. 92 Mich. L. Rev. 83-150 (Oct.).
JURY SELECTION
See Juries.
LABOR LAW
Labor law successorship: a corporate law approach. Edward B. Rock & Michael L. Wachter. 92 Mich. L. Rev. 203-60 (Nov.).
LAW CURRICULA
See Legal Education.
LAW TEACHING
See Legal Education.
LEGAL EDUCATION
See also Legal Ethics.
Adopting an educator habit of mind: modifying what it means to "think like a lawyer." Gail A. Jaquish & James Ware. 45 Stan. L. Rev. 1713-29 (July).
"(A)other critique of pure reason": toward civic virtue in legal education. Angela P. Harris & Marjorie M. Schultz. 45 Stan. L. Rev. 1773-805 (July).
Civic education and interest group formation in the American law school. Jonathan R. Macey. 45 Stan. L. Rev. 1937-53 (July).
Constructions of the client within. Ann Shalleck. 45 Stan. L. Rev. 1731-53 (July).
Erastian and sectarian arguments in religiously affiliated American law schools. Thomas L. Shaffer. 45 Stan. L. Rev. 1859-79 (July).
Legal education and the ideal of analytic excellence. J. Harvie Wilkinson III. 45 Stan. L. Rev. 1659-69 (July).
Legal education and the politics of exclusion. Richard A. Epstein. 45 Stan. L. Rev. 1607-26 (July).
Legal education, feminist epistemology, and the Socratic method. Susan H. Williams. 45 Stan. L. Rev. 1571-80 (July).
Legal scholarship today. Richard A. Posner. 45 Stan. L. Rev. 1647-58 (July).
Liberal political culture and the marginalized voice: interpretive responsibility and the American law school. David A.J. Richards. 45 Stan. L. Rev. 1955-79 (July).
Missing questions: feminist perspectives on legal education. Deborah L. Rhode. Commentary by Margaret Jane Radin and Susan H. Williams. 45 Stan. L. Rev. 1547-76 (July).
Nobody in here but us chickens: legal education and the virtue of the ruler. Linda R. Hirshman. 45 Stan. L. Rev. 1905-36 (July).
Raising personal identification issues of class, race, ethnicity, gender, sexual orientation, physical disability, and age in lawyering courses. Bill Ong Hing. 45 Stan. L. Rev. 1807-33 (July).
Reflections on professorial academic freedom: second thoughts on the third "essential freedom." Michael A. Olivas. 45 Stan. L. Rev. 1835-58 (July).
Rodrigo's fifth chronicle: Civitas, civil wrongs, and the politics of denial. Richard Delgado. 45 Stan. L. Rev. 1581-605 (July).
Two paths to the mountaintop? the role of legal education in shaping the values of black corporate lawyers. David B. Wilkins. 45 Stan. L. Rev. 1981-2026 (July).
The use and abuse of philosophy in legal education. Martha C. Nussbaum. 45 Stan. L. Rev. 1627-45 (July).
The value of public service: a model for instilling a pro bono ethic in law school. Jill Chaifetz. 45 Stan. L. Rev. 1695-711 (July).
What we do, and why we do it. Larry Alexander. 45 Stan. L. Rev. 1885-904 (July).
LEGAL ETHICS
Can virtue be taught to lawyers? Amy Gutmann. 45 Stan. L. Rev. 1759-71 (July).
Knowledge about legal sanctions. Stephen McG. Bundy & Einer Elhauge. 92 Mich. L. Rev. 261-335 (Nov.).
LEGAL SCHOLARSHIP
See also Legal Education.
Tribute to Wayne LaFave. Commentary by Daniel A. Farber, Joseph Grano, Jerold Israel & Yale Kamisar, Ralph Reisner, and Frank J. Remington. 1993 Ill. L. Rev. 169-205 (No. 2).
MEDICARE
The complexity of Medicare's hospital reimbursement system: paradoxes of averaging. David M. Frankford. 78 Iowa L. Rev. 517-668 (Mar.).
PROBATION
Judicial control of reproductive freedom: the use of Norplant as a condition of probation. 78 Iowa L. Rev. 779-812 (Mar.).
RACE
See Juries, Legal Education.
RELIGION
See Legal Education.
REPRODUCTIVE TECHNOLOGY
See Probation.
RIGHT TO COUNSEL
Effective assistance of counsel in capital cases: the evolving standard of care. Welsh S. White. 1993 Ill. L. Rev. 323-78 (No. 2).
Lethal fiction: the meaning of "counsel" in the Sixth Amendment. Bruce A. Green. 78 Iowa L. Rev. 433-516 (Mar.).
SEARCH AND SEIZURE
Illinois v. Krull: when has a legislature wholly abandoned its responsibility to enact constitutional law? 1993 Ill. L. Rev. 411-45 (No. 2).
SEX DISCRIMINATION
Executive summary of the preliminary report of the Ninth Circuit Task Force on Gender Bias. Introduction by Barbara Allen Babcock; commentary by Barbara Allen Babcock, Deborah R. Hensler, and Judith Resnik. 45 Stan. L. Rev. 2143-209 (July).
STANDING TO SUE
Article II revisionism. Cass R. Sunstein. 92 Mich. L. Rev. 131-38 (Oct.).
TRADEMARKS
See Intellectual Property.
WOMEN
See Legal Education. |
LEGISLATIVE RESOLUTION NO. LR07-04
INTRODUCED BY THE LEGISLATIVE BRANCH
LEGISLATIVE RESOLUTION OF THE CROW TRIBAL LEGISLATURE ENTITLED:
"ADOPTION OF THE CROW TRIBE OF INDIANS "FINANCIAL MANAGEMENT SYSTEM, POLICIES AND PROCEDURES."
WHEREAS, The Crow Tribe Executive Branch has adopted and approved the "Financial Management System, Policies and Procedures, on March 31, 2006, and
WHEREAS, the Crow Legislature desires to establish a "Financial Management System, Policies and Procedures for the Legislative Branch which will provide the necessary and required procedures for operation of the Legislature's Financial System, and
WHEREAS, it is the goal of the Legislative Branch to establish a separate system from the Executive Branch, and
WHEREAS, the Crow Tribal Legislature has reviewed the Crow Tribe’s “Financial Management System, Policies and Procedures, and
WHEREAS, the Crow Tribal Legislature has concluded after careful review that the Crow Tribal “Financial Management System, Policies and Procedures” are adequate and appropriate at this time.
NOW, THEREFORE, BE IT RESOLVED BY THE CROW TRIBAL LEGISLATURE.
THE CROW LEGISLATURE HEREBY THIS ACTION OFFICIALLY ADOPTS THE CROW FINANCIAL MANAGEMENT SYSTEM, POLICIES AND PROCEDURES, PAGES 1 – 82, APPROVED BY THE EXECUTIVE BRANCH MARCH 31, 2006, WHICH IS ATTACHED, INCORPORATED BY REFERENCE AND MADE A PART HEREOF AS IF STATED HEREIN. THE POLICIES AND PROCEDURES CONTAINED THEREIN SHALL BE FOLLOWED AT ALL TIMES BY ALL LEGISLATIVE EMPLOYEES, OFFICERS AND
LEGISLATORS. COMPLIANCE WITH THESE POLICIES AND PROCEDURES IN THIS ADOPTED “FINANCIAL MANAGEMENT SYSTEM, POLICIES AND PROCEDURES” SHALL BE STRICTLY CONSTRUED BY THE LEGISLATIVE ENFORCEMENT AUTHORITY OR THE PROPER CIVIL/CRIMINAL COURT.
CERTIFICATION
I hereby certify that this Legislative Resolution entitled “ADOPTION OF THE CROW TRIBE OF INDIANS “FINANCIAL MANAGEMENT SYSTEM, POLICIES AND PROCEDURES.” was duly enacted by the Crow Tribal Legislature with a vote of 14 in favor 0 opposed, and 0 abstaining and that a quorum was present on this 26th day of June “Special Session”, 2007.
[Signature]
Speaker of the House
Servant of the Apsaalooke People
Crow Tribal Legislature
ATTEST:
[Signature]
Secretary
Crow Tribal Legislature
June 26th 2007 Special Session
LR ADOPTING THE TRIBE’S FINANCIAL MANAGEMENT SYSTEM, POLICIES AND PROCEDURES, PAGE 1 -82, ESTABLISHED AND APPROVED MARCH 31, 2006.
| Representative | Yes | No | Abstained |
|------------------------|-----|----|-----------|
| L. Plain Bull | ✔ | | |
| O. Costa | | | |
| V. Crooked Arm | ✔ | | |
| M. Not Afraid | ✔ | | |
| R. Iron | | | |
| B. House | ✔ | | |
| E. Fighter | ✔ | | |
| L. Costa | ✔ | | |
| L. Hogan | ✔ | | |
| S. Fitzpatrick | | | |
| K. Real Bird | | | |
| M. Covers Up | ✔ | | |
| L. Not Afraid | ✔ | | |
| B. Shane | ✔ | | |
| J. Stone | ✔ | | |
| D. Wilson | ✔ | | |
| R. Old Crow | ✔ | | |
| D. Goes Ahead | ✔ | | |
Totals: 14 0 0
Result of Vote: Passed
Signature Officer: Carlson Lynne Clark Date: 6-26-07
CROW TRIBE OF INDIANS
FINANCIAL MANAGEMENT SYSTEM
POLICIES AND PROCEDURES
Established and Approved: March 31, 2006
# CROW TRIBE OF INDIAN
## FINANCIAL MANAGEMENT SYSTEM
### TABLE OF CONTENTS
| CHAPTER | INDEX | SUBJECT | PAGE NUMBER |
|---------|---------|----------------------------------------------|-------------|
| 1 | | INTRODUCTION | 1-4 |
| | 01.100 | GENERAL | 1-2 |
| | 01.200 | GOALS OF THE TRIBE | 2 |
| | 01.300 | ACCOUNTING CONCEPTS | 2 |
| | 01.301 | FUND ACCOUNTING | 2-3 |
| | 01.302 | TYPES OF FUNDS | 3 |
| | 01.400 | CENTRALIZED FINANCIAL MANAGEMENT | 4 |
| | 01.500 | AMENDMENTS TO THE POLICIES | 4 |
| | 01.600 | COMPONENT UNITS | 4 |
| 2 | | STAFF RESPONSIBILITIES | 5-8 |
| | 02.100 | PURPOSE | 5 |
| | 02.200 | ELECTED OFFICIALS | 5 |
| | 02.201 | CPA | 6-7 |
| | 02.202 | FINANCE DIRECTOR/CONTROLLER | 7-8 |
| 3 | | ALLOWABLE EXPENDITURE OF FEDERAL FUNDS | 9-33 |
| | 03.100 | GENERAL GUIDELINES | 9 |
| | 03.200 | EXPENDITURES FOR 638 CONTRACTS | 9-10 |
| | 03.300 | OMB A-87 EXPENDITURES | 10-33 |
| 4 | | GENERAL FEDERAL GUIDELINES | 34-35 |
| | 04.100 | OVERVIEW | 34 |
| | 04.200 | FEDERAL FINANCIAL STANDARDS | 34-35 |
| CHAPTER | INDEX | SUBJECT | PAGE NUMBER |
|---------|---------|----------------------------------------------|-------------|
| 5 | | INDIRECT COSTS | 36-42 |
| | 05.100 | INTRODUCTION AND OVERVIEW | 36-37 |
| | 05.200 | EFFECT ON PROGRAMS | 37-38 |
| | 05.300 | TYPES OF COSTS TO BE INCLUDED IN INDIRECT COST BUDGET | 38 |
| | 05.400 | TERMINOLOGY USED FOR INDIRECT COST PROPOSALS | 38-39 |
| | 05.500 | DIRECT BASE COSTS | 39-40 |
| | 05.600 | INDIRECT COST RATE METHODS | 40 |
| | 05.700 | TYPES OF INDIRECT COST AGREEMENTS | 40-41 |
| | 05.800 | THE INDIRECT COST PROPOSAL PACKAGE | 41-42 |
| | 05.900 | OIG SPECIAL CONSIDERATION CERTAIN COSTS | 42 |
| 6 | | THE ACCOUNTING CYCLE | 43-53 |
| | 06.100 | PURPOSE OF THE ACCOUNTING SYSTEM | 43 |
| | 06.200 | ACCOUNTING SYSTEM-GENERAL DESCRIPTION | 43-44 |
| | 06.201 | STRUCTURE OF MIP FUND ACCOUNTING SYSTEM | 44 |
| | 06.202 | DATA ENTRY | 44 |
| | 06.203 | FINANCIAL REPORTING | 44-45 |
| | 06.204 | FUND ACCOUNTING MODULES | 45-46 |
| | 06.300 | CPA | 46 |
| | 06.400 | OVERVIEW OF RECORDING AND ACCEPTING RECEIPTS | 46 |
| | 06.401 | GENERAL POLICIES REGARDING CASH RECEIPTS | 46-47 |
| | 06.402 | DETAILED PROCESS OF ACTUAL RECEIVING OF CASH | 47-48 |
| | 06.500 | OVERVIEW OF CASH DISBURSEMENTS | 48 |
| | 06.501 | DETAILS ON CASH DISBURSEMENT PROCESS | 48-49 |
| | 06.502 | LOST/STOLEN CHECKS | 49 |
| | 06.600 | PAYROLL COMPONENT OF THE ACCOUNTING CYCLE | 49-50 |
| | 06.601 | DETAILS OF PAYROLL | 50-51 |
| | 06.602 | TIMESHEETS | 51 |
| | 06.603 | PAYROLL DEDUCTIONS | 51-52 |
| | 06.700 | OVERVIEW OF CAPITAL ASSETS | 52 |
| | 06.701 | RECORDING CAPITAL ASSETS | 52 |
| | 06.800 | CREDIT LOANS | 53 |
| 7 | | TRAVEL | 54-60 |
| | 07.100 | OFF-RESERVATION TRAVEL | 54 |
| CHAPTER | INDEX | SUBJECT | PAGE NUMBER |
|---------|--------|-------------------------------------------------------------------------|-------------|
| | 07.101 | USE OF PRIVATE VEHICLES – MILEAGE ALLOWANCE | 54 |
| | 07.102 | USE OF PERSONAL OR TRIBAL VEHICLES: ELECTED OFFICIALS EXCEPTION | 54 |
| | 07.103 | USE OF TRIBAL VEHICLES – MILEAGE ALLOWANCE | 54 |
| | 07.104 | COMMERCIAL TRAVEL COSTS VS PERSONAL VEHICLE | 55 |
| | 07.105 | DIRECT ROUTE | 55 |
| | 07.106 | OFFICIAL TRAVEL – COMMUTING | 56 |
| | 07.107 | INSURANCE COVERAGE AND DRIVERS LICENSE | 56 |
| | 07.108 | LODGING AND PER DIEM/OVERNIGHT TRAVEL | 56-57 |
| | 07.109 | OTHER TRAVEL EXPENSES | 57 |
| | 07.110 | ENTERTAINMENT | 57 |
| | 07.111 | NON-EMPLOYEE TRAVEL | 57-58 |
| | 07.200 | TRAVEL ADVANCE FORM | 58 |
| | 07.300 | TRAVEL RECONCILIATION FORM | 59 |
| | 07.400 | ON-RESERVATION TRAVEL | 60 |
| | 07.500 | VEHICLE RENTALS | 60 |
| | 8 | MISCELLANEOUS EXPENDITURES POLICIES | 61-63 |
| | 08.100 | PURPOSE | 61 |
| | 08.200 | EMERGENCY ASSISTANCE | 61 |
| | 08.300 | FOOD COSTS | 61 |
| | 08.400 | BURIAL FEEDS | 61 |
| | 08.500 | DONATIONS | 61 |
| | 08.600 | COMMITTEE MEETINGS | 61-62 |
| | 08.700 | CREDIT CARDS | 62 |
| | 08.800 | CELL PHONES | 62 |
| | 08.900 | TELEPHONE USAGE | 62 |
| | 08.1000| LOANS | 62 |
| | 08.1100| FUEL PURCHASE/MILEAGE REIMBURSEMENTS | 62-63 |
| | 08.1200| COMPUTER EQUIPMENT/PERIPHERALS PURCHASES | 63 |
| | 08.1300| SENIOR BENEFITS | 63 |
| | 9 | RECORDS RETENTION | 64-65 |
| | 09.100 | RESPONSIBILITIES | 64-65 |
| | 09.200 | CATALOGUE OF RECORDS | 65 |
| CHAPTER | INDEX | SUBJECT | PAGE NUMBER |
|---------|-------|----------------------------------------------|-------------|
| 10 | | PROCUREMENT & PURCHASING POLICIES | 66-73 |
| | 10.100| POLICIES AND OBJECTIVES | 66-67 |
| | 10.110| STANDARDS OF CONDUCT | 67 |
| | 10.200| RESPONSIBILITY OF THE PROCUREMENT OFFICER | 67-68 |
| | 10.300| PURCHASE REQUISITIONS | 68 |
| | 10.400| PURCHASE ORDER CLERK: INITIATION OF PURCHASE ORDER | 68-69 |
| | 10.410| VENDOR PURCHASE AGREEMENTS (VPA) | 69 |
| | 10.420| OPEN PURCHASE ORDERS | 69 |
| | 10.430| SIGNATURE AND REVIEW REQUIREMENTS | 70 |
| | 10.500| SELECTION OF SUPPLIERS | 70-72 |
| | 10.510| PREPARING A SOLICITATION OR BID | 72 |
| | 10.600| LEGISLATURE EXCEPTIONS | 73 |
| 11 | | PROPERTY, PLANT AND EQUIPMENT PROCEDURES | 74-77 |
| | 11.100| DEFINITION OF PROPERTY, PLAN AND EQUIPMENT | 74 |
| | 11.200| PP&E ACQUISITIONED | 74 |
| | 11.300| RECORDKEEPING OVER PROPERTY, PLANT AND EQUIPMENT | 75 |
| | 11.400| DEPRECIATION | 75-76 |
| | 11.500| INVENTORY OF PROPERTY, PLANT AND EQUIPMENT | 76 |
| | 11.600| DISPOSAL OF PROPERTY, PLANT AND EQUIPMENT | 76-77 |
| 12 | | INTERNET USAGE POLICY | 78-80 |
| | 12.100| POLICY OVERVIEW | 78 |
| | 12.200| DETAILED INTERNET POLICIES | 78-80 |
| 13 | | DISASTER RECOVERY | 81-82 |
| | 13.100| OVERVIEW | 81 |
| | 13.200| EMERGENCY CONTACTS | 81-82 |
| | 13.300| EMERGENCY PROCEDURES TO SAFEGUARD COMPUTER SYSTEM | 82 |
| | 13.400| STEPS FOR CONTINUING OPERATIONS OF FINANCIAL SYSTEM | 82 |
| CHAPTER | INDEX | SUBJECT | PAGE NUMBER |
|---------|-------|--------------------------------|-------------|
| 14 | | COMPUTER WORKSTATION BACKUP | 83 |
| | 14.100| POLICY OVERVIEW | 83 |
| | 14.200| WHERE DO YOU BACKUP? | 83 |
| | 14.300| WHEN DO YOU BACKUP? | 83 |
CHAPTER ONE
INTRODUCTION
01.100 GENERAL
The Crow Tribe of Indians (The Tribe) is recognized by the United States Government as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. The Tribe receives a substantial amount of its total funds by entering into contracts with the Bureau of Indian Affairs and the Indian Health Service under the provisions of Public Law 93-638, The Indian Self-Determination and Education Assistance Act. As permitted by this law, the Tribe provides maximum participation by the people in these contracts that enable the Tribe to administer its own governmental programs. Other sources of funds are primarily from other departments within the Federal Government and the State of Montana.
General management of the Tribe falls under the responsibility of an elected Chairman, Vice-Chairman, Secretary, and Vice-Secretary. These four officers hereinafter referred to as the elected officials, hire employees to assist in the administration of the Tribe. Key employees are the cabinet heads/members. The Chief Executive Officer leads the cabinet members. The Controller and/or Finance Director is a cabinet member delegated the authority of administering the financial management system. General duties of some of the key employees in regards to the financial management of the Tribe are explained in Chapter Two of this manual.
The Chairperson hires a Certified Public Accountant, hereinafter referred to as the CPA, to act as Controller and/or Finance Director for the Tribe. Certain designated accounting staff assists the CPA and may perform some of the CPA’s duties as assigned. The CPA provides on-site monitoring and oversight for all components of the financial management system. The CPA generally performs all controllership functions for the Tribe. General duties of the CPA are explained in Chapter Two of this manual.
The Tribe utilizes monies from both unrestricted and general purposes and from the Federal Government and other governments for restricted programs. Unrestricted funds (general fund) may be used at the discretion of the Tribe with little or no binding requirements other than to follow the financial management policies and procedures as established by the Tribe's elected officials. However, the Federal Government restricts expenditures on programs funded by it only for purposes, and in amounts, approved by it and in accordance with procedures detailed in Federal Law. Whether the administration of the Tribe agrees that the constraints imposed by the Federal Government promote wise management of resources, or feel that wise management is hindered, is beside the point. The constraints are binding, the Tribe has no choice but to operate within them; the financial management system and the accounting system must enable the elected officials to comply with legal constraints.
This need to demonstrate compliance with legal requirements led to the development of the Tribe's fund accounting system.
01.200 GOALS OF THE TRIBE
The Tribe has developed the financial management system in order to assist in achieving the following goals and objectives:
1. To provide efficient administrative support to all programs in order to assist those programs in providing maximum services to program participants and recipients.
2. To provide a good use of the Tribe's limited resources.
3. To centralize all financial management support services within the operational control of the Tribe's elected officials in order that policies are standardized for all programs.
4. To assure expenditure of federal and state funds are made according to grant and contract guidelines.
5. To provide meaningful and accurate financial data to programs and external agencies in a timely manner.
01.300 ACCOUNTING CONCEPTS
The Tribe utilizes generally accepted accounting principles as applied to governmental entities.
01.301 FUND ACCOUNTING
The word FUND has a special technical meaning in the non-business sector. A fund is defined as a fiscal and accounting entity with a self-balancing set of accounts recording cash and other financial resources, together with all related liabilities and residual equities, or balances, and changes therein, which are segregated for the purpose of carrying on specific activities or attaining certain objectives in accordance with special regulations, restrictions or limitations.
The dual meaning of fund should be noted. A fund is an accounting entity; it is also a fiscal entity created, in most instances, by operation of law. The term law is used in its most general sense. The accounting and financial reporting of the Tribe is prescribed by provisions of grants and contracts from Federal or other governmental agencies and may be prescribed by state laws, agreements with employees, and agreements with individuals or private organizations which have donated assets to be used for specific purposes. The Tribe is also bound by administrative regulations of agencies of higher jurisdictions.
Another distinctive characteristic of the Tribe's accounting system is the formal recording of the legally approved budget in the accounts of funds operated on an annual basis. This is a result of the need to demonstrate compliance with laws governing the sources of revenues available and the laws governing the utilization of these revenues. Briefly: Budgetary accounts are opened as of the beginning of each fiscal year and closed as of the end of each fiscal year; therefore they have no balances at year-end. During the year, however, the budgetary accounts of a fund are integrated with its proprietary accounts. Proprietary accounts generally refer to asset, liability, net worth, revenues, and expense accounts. A general summary of the Tribe's accounting system is that it has the accounting and reporting capability to make it possible both: a) To present fairly and with full disclosure the financial position and results of financial operations of the funds and account groups in conformity with generally accepted accounting principles; and b) to determine and demonstrate compliance with finance related legal and contractual provisions.
01.302 TYPES OF FUNDS
The Tribe utilizes the following types of funds within its accounting system.
1. General fund. The general fund is the operating fund of the Tribe. It is used to account for all financial resources except those required to be accounted for in another fund. The indirect cost charges collected from other funds are accounted for as a separate component of the general fund.
2. Special Revenue Funds. The special revenue funds are used to account for the proceeds of specific revenue sources that are legally restricted to expenditures for specified purposes. These funds are grant/contract funds from Federal or state agencies that represent the activities of various programs which are disbursed by the Tribe and over which the Tribe exercises fiscal and administrative control.
3. Capital Projects Fund. The receipt and disbursement of all financial resources to be used for the acquisition of capital facilities, other than those financed by economic ventures, is accounted for by the capital projects fund.
4. Enterprise Funds. Enterprise funds are used to account for operations that are financed and operated in a manner similar to private business enterprises where the intent of the governing body is that the costs (expenses, including depreciation) of providing goods or services on a continuing basis be financed or recovered primarily through user charges or enterprise revenues.
5. Internal Service Funds. Internal service funds are used to account for the financing of goods or services provided by one department to other departments of the Tribe and to other governmental units, on a cost reimbursement basis. For example, rental income and expenses related to the rental of equipment to programs by the Tribe is reported in the internal service fund when Tribal programs are renting the equipment.
01.400 CENTRALIZED FINANCIAL MANAGEMENT
The Crow Tribe of Indians has adopted a centralized financial management all accounting system as provided in 25 Code of Federal Regulations. The Tribe utilizes a centralized financial management system whereby the elected officials retain control over the use of any funds under the management of the Tribe. All funds are accounted for through the centralized financial management system. Any individual or entity that utilizes the name of the Crow Tribe of Indians to gain funding, either formally or informally, agrees to utilize the centralized financial management system.
Exception: Currently, the Abandoned Mine Lands Program maintains a separate financial management system. It is monitored by the Crow Tribe and is included in the Tribe’s Financial Audit. Other programs may be granted this exception if special circumstances warrant. These programs will generally follow the same policies as the Tribe, but may have their own policies that override the Tribe’s.
01.500 AMENDMENTS TO THE POLICIES
Amendments to the policies stated in this manual will be attached at the beginning of the appropriate chapter. The amendment will refer to the paragraph of the policy changed, if applicable. The amendment must be dated and signed by the elected Chairman.
01.600 COMPONENT UNITS
There are currently three Component Units operating under the Crow Tribe of Indians. They are the Awe Kualawaache Care Center, Apsaalooke Housing Authority and Apsaloka Casino Enterprise. These Component Units should have their own financial policies established. If a particular policy is not addressed within their policies, than they should adopt the Tribe’s policies in those circumstances.
CHAPTER TWO
STAFF RESPONSIBILITIES
02.100 PURPOSE
The following financial management and accounting job duties have been assigned as designated to maximize separation of duties and provide better internal administrative and accounting controls.
02.200 ELECTED OFFICIALS
The elected officials have general oversight responsibility for the financial stability of the government. Specific duties are listed below.
1. Assists in the development and implementation of plans of operation to meet local needs.
2. Ensures that the needs of the citizens are met as far as possible with available Tribal resources.
3. Selects the external auditor to perform an annual audit as required by the Single Audit Act of 1984 and approves the audit report prior to it being submitted to funding agencies.
4. Reviews and approves the annual indirect cost proposal prior to its submission to the Department of the Interior, Office of Inspector General.
5. Participates in federal funding grant and contract negotiations, with final signature authority.
6. Participates in legal and settlement issues involving potential monetary and land reclamation for the benefit of the Tribe.
7. Participates in the negotiated settlement of other legal disputes.
8. With assistance from the Tribe's legal staff, negotiates major contracts to be performed by outside firms.
9. Serves as signers on checks for disbursement of funds. Two signatures are required on all checks.
A. ACCOUNTING
1. Assists with the financial planning, investment, and procurement of Tribal funds.
2. Analyzes financial records to forecast future financial position, cash flow and subsequent budget requirements.
3. Assists the finance director with the budgeting process. Responsible for budget modifications as deemed necessary. The elected officials will receive notification of any major budget modifications.
4. Responsible for preparing Trial Balances and all financial reports. Reviews for reasonableness and resolves any discrepancies.
5. Responsible for the overall accounting functions. Reconciling the bank accounts and preparing all journal entries.
6. Assists the auditors as necessary in completing their fieldwork and preparing the financial audit report.
B. PAYROLL
1. Receives timesheets, computes earnings and deductions, and computes annual and sick leave for all employees.
2. Prepares payroll listing by program.
3. Processes payroll and maintains employee earnings records.
4. Processes checks to entities due payments for withholdings from employees' gross earnings.
5. Prepares all required tax reports.
6. Monitors employee timesheets and time records for validity.
7. Prepares all year-end reports and statements on employee earnings.
8. Maintains the payroll journal and summarizes expenditure and liability data on a monthly basis for posting to the general ledger.
C. CONTRACTS MANAGEMENT
1. Maintains individual program files, including award notices, modifications, approved budgets, correspondence with funding agencies and Tribal program staff, and financial and program audit reports.
2. Assists program administrative staff in contract and grant budgetary matters and compliance issues. The CPA does not prepare program reports, but may provide some assistance in filing as deemed necessary.
3. Performs technical assistance to the Tribe's Contracts Officer as directed by the elected officials.
4. Prepares the financial reports and draw down requests for all contracts and grants.
5. Records any expenditure and incurred for all contracts and grants.
D. AUTOMATED ACCOUNTING SYSTEMS
1. Serves as the contact person for the external servicing vendor for the automated system.
2. Assures the automated system is maintained in operating order.
3. Backs up the accounting system frequently and stores an occasional copy off-site.
4. Restores the system, as required.
5. Updates the automated system with all software enhancements.
6. Provides training to Tribal staff on use of required software.
7. Provides assistance to departments in the installation of automated systems and subsequent use.
8. Provides assistance in the per capita distribution to assure payments are generated in a timely manner.
02.202 FINANCE DIRECTOR / CONTROLLER
The CPA may perform the duties of both the Finance Director and the Controller. Or the position of Finance Director may be filled by a separate individual. There may be other accounting staff that performs some of the duties of the Finance Director, as well as, the Controller. These individuals are assigned to perform the Finance Director’s duties for
particular programs/funds or in the absence of the Controller. The Finance Director is responsible for reviewing all payable vouchers to assure proper account codes are used, funds are adequately budgeted, the proposed payment is within the guidelines of disbursement as approved by the elected officials, and the checks for the vouchers are prepared in a timely manner. General duties within the control of the Finance Director include the following: (It is noted that the Finance Director utilizes accounts payable and voucher payable employees for completion of the work.)
1. Approves all payable vouchers after review to assure that proper account codes are used, funds are adequately budgeted, and the proposed payment is within the guidelines of disbursement as approved by the elected officials.
2. Processes checks from the accounts payable voucher with proper supporting documentation and secures the check signatures.
3. Maintains a file of paid invoices, purchase orders, vouchers, and other documents pertaining to the payables process.
4. Corresponds to vendors on problems on billings and duplicate invoices.
5. Provides technical support to staff on interpretation of Tribal financial management policies and procedures.
6. Serves as an advisor to the elected officials on financial management matters.
7. Assists the CPA’s with developing the annual operating budgets for the Tribe's unrestricted funds and trust funds for approval by the elected officials/legislature.
8. Monitors the budgets and advises on budget modification and issues. Provides technical assistance to program staff on budgetary issues.
CHAPTER THREE
ALLOWABLE EXPENDITURE OF FEDERAL FUNDS
03.100 GENERAL GUIDELINES
It is the responsibility of the program director to assure that all costs charged to a program are permitted under the terms of the grant or contract agreement. The most important factor which governs the eligibility of the expenditure is the grant or contract agreement. Many agreements restrict the type or amount of expenditure. The agreement prevails over all other federal guidelines governing the expenditure of funds.
If the terms of the agreement require matching funds from the Tribe, the expenditure of the matching portion falls under the same general guidelines as the agreement.
03.200 EXPENDITURES FOR 638 CONTRACTS
Program directors who are operating under a 638 contract with the Department of the Interior or Department of Health and Human Services (IHS) have greater flexibility in the expenditure of program funds than do program directors that are funded by other federal and state agencies. Office of Management and Budget Circular A-87 generally determine allowable costs for a federally funded program. However, allowable costs for a 638 contract are defined in section 106 (k) of the Indian Self-Determination and Education Assistance Act. This definition may differ from allowable costs in OMB Circular A-87.
Accordingly, a program director operating under a 638 contract may, without the approval of the funding agency, expend funds provided under a self-determination contract for the following purposes to the extent that the expenditure of the funds is supportive of the contracted program.
1. Depreciation and use allowances not otherwise specifically prohibited by law, including the depreciation of facilities owned by the Tribe.
2. Publication and printing costs.
3. Building, realty, and facilities costs, including rental costs or mortgage expenses.
4. Automated data processing and similar equipment or services. 5. Costs for capital assets and repairs.
5. Management studies.
6. Professional services, other than services provided in connection with judicial proceedings by or against the United States.
7. Insurance and indemnification, including insurance covering the risk of loss of or damage to property used in connection with the contract without regard to the ownership of such property.
8. Costs incurred to raise funds or contributions from non-Federal sources for the purpose of furthering the goals and objectives of the self-determination contract.
9. Interest expenses paid on capital expenditures such as building, building renovation, or acquisition or fabrication of capital equipment, and interest expenses on loans necessitated due to delays by the Bureau of Indian Affairs in providing funds under a contract.
10. Expenses of the governing body of the Tribe that are attributable to the management or operation of contracted programs.
11. Costs associated with the management of pension funds, self-insurance funds, and other funds of the Tribe that provide for participation by the Federal Government.
03.300 OMB A-87 EXPENDITURES
Program directors operating under a 638 contract should refer to OMB Circular A-87 as a general guide on the allowable costs to charge to the contract, even though the Indian Self-Determination and Education Assistance Act prevails. The additional types or examples of expenditures in OMB Circular A-87 will provide information on costs typically associated with federally funded programs.
Program directors operating under any federally funded program other than a 638 contract are restricted to, and must use, OMB Circular A-87 as the final authority on the allowable costs to charge to the program.
The applicable cost principles (to determine allowability) from OMB Circular A-87 are as follows:
1. **Accounting.** The cost for establishing and maintaining accounting and other information systems is allowable.
2. **Advertising and public relations costs.**
a. The term "advertising costs" means the costs of advertising media and corollary administrative costs. Advertising media include magazines, newspapers, radio and television programs, direct mail, exhibits, and the like.
b. The term "public relations" includes Community relations and means those activities dedicated to maintaining the image of the governmental unit or maintaining or promoting understanding and favorable relations with the Community or public at large or any segment of the public.
c. Advertising costs are allowable only when incurred for the recruitment of personnel, the procurement of goods and services, the disposal of surplus materials, and any other specific purposes necessary to meet the requirements of the Federal award. Advertising costs associated with the disposal of surplus materials are not allowable where all disposal costs are reimbursed based on a standard rate as specified in the grants management common rule-
d. Public relations costs are allowable when:
1) Specifically required by the Federal award and then only as a direct cost;
2) Incurred to communicate with the public and press pertaining to specific activities or accomplishments that result from performance of the Federal award and then only as a direct cost; or
3) Necessary to conduct general liaison with news media and government public relations officers, to the extent that such activities are limited to communication and liaison necessary to keep the public informed on matters of public concern, such as notices of Federal contract/grant awards, financial matters, etc.
e. Unallowable advertising and public relations costs include the following:
1) All advertising and public relations costs other than as specified in subsections c. and d.;
2) Except as otherwise permitted by these cost principles, costs of conventions, meetings, or other events related to other activities of the governmental unit including:
a) costs of displays, demonstrations, and exhibits;
b) Costs of meeting rooms, hospitality suites, and other special facilities used in conjunction with shows and other special events; and
c) Salaries and wages of employees engaged in setting up and displaying exhibits, making demonstrations, and providing briefings;
3) Costs of promotional items and memorabilia, including models, gifts, and souvenirs; and
4) Costs of advertising and public relations designed solely to promote the governmental unit.
3. **Advisory Councils.** Costs incurred by advisory councils or committees are allowable as a direct cost where authorized by the Federal awarding agency or as an indirect cost where allocable to Federal awards.
4. **Alcoholic beverages.** Costs of alcoholic beverages are unallowable.
5. **Audit services.** The costs of audits are allowable provided that the audits were performed in accordance with the Single Audit Act, as implemented by Circular A-133, "Audits of States) Local Governments and Non Profit Organizations." Generally, the percentage of costs charged to Federal awards for a single audit shall not exceed the percentage derived by dividing Federal funds expended by total funds expended by the recipient or subrecipient (including program matching funds) during the fiscal year. The percentage may be exceeded only if appropriate documentation demonstrates higher actual costs.
Other audit costs are allowable if specifically approved by the awarding or cognizant agency as a direct cost to an award or included as an indirect cost in a cost allocation plan or rate.
6. **Automatic electronic data processing.** The cost of data processing services is allowable (but see section 19, equipment and other capital expenditures).
7. **Bad debts.** Any losses arising from uncollectible accounts and other claims, and related costs, are unallowable unless provided for in Federal program award regulations.
8. **Bonding costs.** Costs of bonding employees and officials are allowable to the extent that such bonding is in accordance with sound business practice.
9. **Budgeting.** Costs incurred for the development, preparation, presentation, and execution of budgets are allowable.
10. **Communications.** Costs of telephone, mail, messenger, and similar communication services are allowable.
11. Compensation for personnel services.
a. General. Compensation for personnel services includes all remuneration, paid currently or accrued, for services rendered during the period of performance under Federal awards including but not necessarily limited to wages, salaries, and fringe benefits. The costs of such compensation are allowable to the extent that they satisfy the specific requirements of this Circular, and that the total compensation for individual employees:
1) Is reasonable for the services rendered and conforms to the established policy of the governmental unit consistently applied to both Federal and non-Federal activities;
2) Follows an appointment made in accordance with a governmental unit's laws and rules and meets merit system or other requirements required by Federal law, where applicable; and
3) Is determined and supported as provided in subsection h.
b. Reasonableness. Compensation for employees engaged in work on Federal awards will be considered reasonable to the extent that it is consistent with that paid for similar work in other activities of the governmental unit. In cases where the kinds of employees required for Federal awards are not found in the other activities of the governmental unit, compensation will be considered reasonable to the extent that it is comparable to that paid for similar work in the labor market in which the employing government competes for the kind of employees involved. Compensation surveys providing data representative of the labor market involved will be an acceptable basis for evaluating reasonableness.
c. Unallowable costs. Costs, which are unallowable under other sections of these principles, shall not be allowable under this section solely on the basis that they constitute personnel compensation.
d. Fringe benefits.
1) Fringe benefits are allowances and services provided by employers to their employees as compensation in addition to regular salaries and wages. Fringe benefits include, but are not limited to, the costs of leave, employee insurance, pensions, and unemployment benefit plans. Except as provided elsewhere in these principles, the costs of fringe benefits are allowable to the extent that the benefits are reasonable and are required by law, governmental unit-employee agreement, or an established policy of the governmental unit.
2) The cost of fringe benefits in the form of regular compensation paid to employees during periods of authorized absences from the job, such as for annual leave, sick leave, holidays, court leave, military leave, and other similar benefits, are allowable if: (a) they are provided under established written leave policies; (b) the costs are equitably allocated to all related activities, including Federal awards; and, (c) the accounting basis (cash or accrual) selected for costing each type of leave is consistently followed by the governmental unit.
3) When a governmental unit uses the cash basis of accounting, the cost of leave is recognized in the period that the leave is taken and paid for. Payments for unused leave when an employee retires or terminates employment are allowable in the year of payment provided they are allocated as a general administrative expense to all activities of the governmental unit or component.
4) The accrual basis may be only used for those types of leave for which a liability as defined by Generally Accepted Accounting Principles (GAAP) exists when the leave is earned. When a governmental unit uses the accrual basis of accounting, in accordance with GAAP, allowable leave costs are the lesser of the amount accrued or funded.
5) The cost of fringe benefits in the form of employer contributions or expenses for social security; employee life, health, unemployment, and worker's compensation insurance (except as indicated in section 25, Insurance and indemnification); pension plan costs (see subsection e.); and other similar benefits are allowable, provided such benefits are granted under established written policies. Such benefits, whether treated as indirect costs or as direct costs, shall be allocated to Federal awards and all other activities in a manner consistent with the pattern of benefits attributable to the individuals or group(s) of employees whose salaries and wages are chargeable to such Federal awards and other activities.
e. Pension costs. Pension plan costs may be computed using a pay-as-you-go method or an acceptable actuarial cost method in accordance with established written policies of the governmental unit.
1) For pension plans financed on a pay-as-you-go method, allowable costs will be limited to those representing actual payments to retirees or their beneficiaries.
2) Pension costs calculated using an actuarial cost-based method recognized by GAAP are allowable for a given fiscal year if they are funded for that year within six months after the end of that year. Costs funded after the six-month period (or a later period agreed to by the cognizant agency) are allowable in the year funded. The cognizant agency may agree to an
extension of the six month period if an appropriate adjustment is made to compensate for the timing of the charges to the Federal Government and related Federal reimbursement and the governmental unit's contribution to the pension fund. Adjustments may be made by cash refund or other equitable procedures to compensate the Federal Government for the time value of Federal reimbursements in excess of contributions to the pension fund.
3) Amounts funded by the governmental unit in excess of the actuarially determined amount for a fiscal year may be used as the governmental unit's contribution in future periods.
4) When a governmental unit converts to an acceptable actuarial cost method, as defined by GAAP, and funds pension costs in accordance with this method, the unfunded liability at the time of conversion shall be allowable if amortized over a period of years in accordance with GAAP.
5) The Federal Government shall receive an equitable share of any previously allowed pension costs (including earnings thereon) which revert or inure to the governmental unit in the form of a refund, withdrawal, or other credit.
f. Post-retirement health benefits. Post-retirement health benefits (PRHB) refers to costs of health insurance or health services not included in a pension plan covered by subsection e. for retirees and their spouse, dependents, and survivors. PRHB costs may be computed using a pay-as-you-go method or an acceptable actuarial cost method in accordance with established written policies of the governmental unit.
1) For PRHB financed on a pay as-you-go method, allowable costs will be limited to those representing actual payments to retirees or their beneficiaries.
2) PRHB costs calculated using an actuarial cost method recognized by GAAP are allowable if they are funded for that year within six months after the end of that year. Costs funded after the six-month period (or a later period agreed to by the cognizant agency) are allowable in the year funded. The cognizant agency may agree to an extension for the six-month period if an appropriate adjustment is made to compensate for the timing of the charges to the Federal Government and related Federal reimbursements and the governmental unit's contributions to the PRHB fund. Adjustments may be made by cash refund, reduction in current year's PRHB costs, or other equitable procedures to compensate the Federal Government for the time value of Federal reimbursements in excess of contributions to the PRHB fund.
3) Amounts funded in excess of the actuarially determined amount for a fiscal year may be used as the government's contribution in a future period.
4) When a governmental unit converts to an acceptable actuarial cost method and funds PRHB costs in accordance with this method, the initial unfounded liability attributable to prior years shall be allowable if amortized over a period of years in accordance with GAAP, or, if no such GAAP period exists, over a period negotiated with the cognizant agency.
5) To be allowable in the current year, the PRHB costs must be paid either to:
(a) An insurer or other benefit provider as current year costs or premiums, or
(b) An insurer or trustee to maintain a trust fund or reserve for the sole purpose of providing post-retirement benefits to retirees and other beneficiaries.
6) The Federal Government shall receive an equitable share for any amounts of previously allowed post-retirement benefit costs (including earnings thereon), which revert or inure to the governmental unit in the form of a refund, withdrawal, or other credit.
g. Severance pay.
1) Payments in addition to regular salaries and wages made to workers whose employment is being terminated are allowable to the extent that, in each case, they are required by (a) law, (b) employer-employee agreement, or (c) established written policy.
2) Severance payments (but not accruals) associated with normal turnover are allowable. Such payments shall be allocated to all activities of the governmental unit as an indirect cost.
3) Abnormal or mass severance pay will be considered on a case-by-case basis and is allowable only if approved by the cognizant Federal agency.
h. Support of salaries and wages. These standards regarding time distribution are in addition to the standards for payroll documentation.
1) Charges to Federal awards for salaries and wages, whether treated as direct or indirect costs, will be based on payrolls documented in
accordance with generally accepted practice of the governmental unit and approved by a responsible official(s) of the governmental unit.
2) No further documentation is required for the salaries and wages of employees who work in a single indirect cost activity.
3) Where employees are expected to work solely on a single Federal award or cost objective, charges for their salaries and wages will be supported by periodic certifications that the employees worked solely on that program for the period covered by the certification. These certifications will be prepared at least semi-annually and will be signed by the employee or supervisory official having first hand knowledge of the work performed by the employee.
4) Where employees work on multiple activities or cost objectives, a distribution of their salaries or wages will be supported by personnel activity reports or equivalent documentation which meets the standards in subsection (5) unless a statistical sampling system (see subsection (6)) or other substitute system has been approved by the cognizant Federal agency. Such documentary support will be required where employees work on:
(a) More than one Federal award,
(b) A Federal award and a non-Federal award,
(c) An indirect cost activity and a direct cost activity,
(d) Two or more indirect activities which are allocated using different allocation bases, or
(e) An unallowable activity and a direct or indirect cost activity.
5) Personnel activity reports or equivalent documentation must meet the following standards:
(a) They must reflect an after-the-fact distribution for the actual activity of each employee,
(b) They must account for the total activity for which each employee is compensated,
(c) They must be prepared at least monthly and must coincide with one or more pay periods, and
(d) The employee must sign them.
(e) Budget estimates or other distribution percentages determined before the services are performed do not qualify as support for charges to Federal awards but may be used for interim accounting purposes, provided that:
(i) The governmental unit's system for establishing the estimates produces reasonable approximations of the activity actually performed;
(ii) At least quarterly, comparison of actual costs to budgeted distributions based on the monthly activity reports are made. Costs charged to Federal awards to reflect adjustments made as a result of the activity actually performed may be recorded annually if the quarterly comparisons show the differences between budgeted and actual costs are less than ten percent; and
(iii) The budget estimates or other distribution percentages are revised at least quarterly, if necessary, to reflect changed circumstances.
6) Substitute systems for allocating salaries and wages to Federal awards may be used in place of activity reports. These systems are subject to approval if required by the cognizant agency. Such systems may include, but are not limited to, random moment sampling, case counts, or other quantifiable measures of employee effort.
(a) Substitute systems which use sampling methods (primarily for Aid to Families with Dependent Children (AFDC), Medicaid, and other public assistance programs) must meet acceptable statistical sampling standards including:
(b) The sampling universe must include all of the employees whose salaries and wages are to be allocated based on sample results except as provided in subsection (c);
(c) The entire time period involved must be covered by the sample; and
(d) The results must be statistically valid and applied to the period being sampled.
(e) Allocating charges for the sampled employees' supervisors, clerical and support staffs, based on the results of the sampled employees, will be acceptable.
(f) Less than full compliance with the statistical sampling standards noted in subsection (a) may be accepted by the cognizant agency if it concludes that the amounts to be allocated to Federal awards will be
minimal, or if it includes that the system proposed by the governmental unit will result in lower costs to Federal awards than a system which complies with the standards.
7) Salaries and wages of employees used in meeting cost sharing or matching requirements of Federal awards must be supported in the same manner as those claimed as allowable costs under Federal awards.
i. Donated Services.
1) Professional and technical personnel, consultants, and other skilled and unskilled labor may furnish donated or volunteer services to a governmental unit. The value of these services is not reimbursable either as a direct or indirect cost. However, the value of donated services may be used to meet cost sharing of matching requirements in accordance with the provisions of the Common Rule.
2) The value of donated services utilized in the performance of a direct cost activity shall, when material in amount, be considered in the determination of the governmental unit's indirect costs or rate(s) and, accordingly, shall be allocated a proportionate share of applicable indirect costs.
3) To the extent feasible, donated services will be supported by the same methods used by the governmental unit to support the allocability of regular personnel services.
12. **Contingencies.** Contributions to a contingency reserve or any similar provision made for events the occurrence of which cannot be foretold with certainty as to time, or intensity, or with an assurance of their happening, are unallowable. The term "contingency reserve" excludes self-insurance reserves (see subsection 25.c), pension plan reserves (see subsection 11.e), and post-retirement health and other benefit reserves (see subsection 11.f) computed using acceptable actuarial cost methods.
13. **Contributions and donations.** Contributions and donations, including cash, property, and services, by governmental units to others, regardless of the recipient, are unallowable.
14. **Defense and prosecution of criminal and civil proceedings, and claims.**
a. The following costs are unallowable for contracts covered by 10 U.S.C. 2324 (k), "Allowable costs under defense contracts."
1) Costs incurred in defense of any civil or criminal fraud proceeding or similar proceeding (including filing of certification brought by the United States where the contractor is found liable or has pleaded nolo contendere to a charge of fraud or similar proceeding, including filing of a false certification).
2) Costs incurred by a contractor in connection with any criminal, civil or administrative proceedings commenced by the United States or a State to the extent provided in 10 U.S.C. 2324 (k).
b. Legal expenses required in the administration of Federal programs are allowable. Legal expenses for prosecution for claims against the Federal Government are unallowable.
15. Depreciation and use allowances.
a. Depreciation and use allowances are means of allocating the cost of fixed assets to periods benefiting from asset use. Compensation for the use of fixed assets on hand may be made through depreciation or use allowances. A combination of the two methods may not be used in connection with a single class of fixed assets (e.g., buildings, office equipment, computer equipment, etc.) except as provided in subsection g. Except for enterprise funds and internal service funds that are included as part of a State/local cost allocation plan, classes of assets shall be determined on the same basis used for the government-wide financial statements.
b. The computation of depreciation or use allowances shall be based on the acquisition cost of the assets involved. Where actual cost records have not been maintained, a reasonable estimate of the original acquisition cost may be used. The value of an asset donated to the governmental unit by an unrelated third party shall be its fair market value at the time of donation. Governmental or quasi-governmental organizations located within the same State shall not be considered unrelated third parties for this purpose.
c. The computation of depreciation or use allowances will exclude:
1) The cost of land;
2) Any portion of the cost of buildings and equipment borne by or donated by the Federal government irrespective of where title was originally vested or where it presently resides; and
3) Any portion of the cost of buildings and equipment contributed by or for the governmental unit, or a related donor organization, in satisfaction of a matching requirement.
d. Where the use allowance method is followed, the use allowance for buildings and improvements (including land improvements - such as paved parking areas, fences, and sidewalks) will be computed at an annual rate not exceeding two percent of acquisition costs. The use allowance for equipment will be computed at an annual rate not exceeding 6 2/3 percent of acquisition cost. When the use allowance method is used for buildings, the entire building must be treated as a single asset; the building's components (e.g., plumbing system, heating and air condition, etc.) cannot be segregated from the building's shell. The two percent limitation, however, need not be applied to equipment which is merely attached or fastened to the building but not permanently fixed to it and which is used as furnishings or decorations or for specialized purposes (e.g. dentist chairs and dental treatment units, counters, laboratory benches bolted to the floor, dishwashers, modular furniture, carpeting, etc.). Such equipment will be considered as not being permanently fixed to the building if it can be removed without the destruction of, or need for costly or extensive alterations or repairs, to the building or the equipment. Equipment that meets these criteria will be subject to the 6 2/3 percent equipment use allowance limitation.
e. Where the depreciation method is followed, the period of useful service (useful life) established in each case for usable capital assets must take into consideration such factors as type of construction, nature of the equipment used, historical usage patterns, technological developments, and the renewal and replacement policies of the governmental unit followed for the individual items or classes of assets involved. In the absence of clear evidence indicating that the expected consumption of the asset will be significantly greater in the early portions than in the later portions of its useful life, the straight line method of depreciation shall be used. Depreciation methods once used shall not be changed unless approved by the Federal cognizant or awarding agency. When the depreciation method is introduced for application to an asset previously subject to a use allowance, the annual depreciation charge thereon may not exceed the amount that would have resulted had the depreciation method been in effect from the date of acquisition of the asset. The combination of use allowances and depreciation applicable to the asset shall not exceed the total acquisition cost of the asset or fair market value at time of donation.
f. When the depreciation method is used for buildings, a building's shell may be segregated from the major component for the building (e.g., plumbing system, heating, and air conditioning system, etc.) and each major component depreciated over its estimated useful life, or the entire building (i.e., the shell and all components) may be treated as a single asset and depreciated over a single useful life.
g. A reasonable use allowance may be negotiated for any assets that are considered to be fully depreciated, after taking into consideration the amount of depreciation previously charged to the government, the estimated useful
life remaining at the time of negotiation, the effect of any increased maintenance charges, decreased efficiency due to age, and any other factors pertinent to the utilization for the asset for the purpose contemplated.
h. Charges for use allowances or depreciation must be supported by adequate property records. Physical inventories must be taken at least once every two years (a statistical sampling approach is acceptable) to ensure that assets exist, and are in use. Governmental units will manage equipment in accordance with State laws and procedures. When the depreciation method is followed, depreciation records indicating the amount of depreciation taken each period must also be maintained.
16. **Disbursing service.** The costs of disbursing funds by the Treasurer or other designated officer is allowable.
17. **Employee morale, health, and welfare costs.** The costs of health or first-aid clinics and/or infirmaries, recreational facilities, employee counseling services, employee information publications, and any related expenses incurred in accordance with a governmental unit's policy are allowable. Income generated from any of these activities will be offset against expenses.
18. **Entertainment.** Costs of entertainment, including amusement, diversion, and social activities and any costs directly associated with such costs (such as tickets to shows or sports events, meals, lodging, rentals, transportation, and gratuities) are unallowable.
19. **Equipment and other capital expenditures.**
a. As used in this section the following terms have the meanings as set forth below:
1) "Capital expenditure" means the cost of the asset including the cost to put it in place. Capital expenditure for equipment means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty, protective in transit insurance, freight, and installation may be included in, or excluded from, capital expenditure cost in accordance with the governmental unit’s regular accounting practices.
2) "Equipment" means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals the lesser of (a) the capitalization level established by the governmental unit for financial statement purposes, or (b) $5000.
3) "Other capital assets" mean buildings, land and improvements to buildings or land that materially increase their value or useful life.
b. Capital expenditures, which are not charged directly to a Federal award, may be recovered through use allowances or depreciation on buildings, capital improvements, and equipment (see section 15). See also section 38 for allowability of rental costs for buildings and equipment.
c. Capital expenditures for equipment, including replacement equipment, other capital assets, and improvements which materially increase the value or useful life of equipment or other capital assets are allowable as a direct cost when approved by the awarding agency. Federal awarding agencies are authorized at their option to waive or delegate this approval requirement.
d. Items of equipment with an acquisition cost of less than $5000 are considered to be supplies and are allowable as direct costs of Federal awards without specific awarding agency approval.
e. The unamortized portion of any equipment written off as a result of a change in capitalization levels may be recovered by (1) continuing to claim the otherwise allowable use allowances or depreciation charges on the equipment or by (2) amortizing the amount to be written off over a period of years negotiated with the cognizant agency.
f. When replacing equipment purchased in whole or in part with Federal funds, the governmental unit may use the equipment to be replaced as a trade-in or sell the property and use the proceeds to offset the cost of the replacement property.
20. Fines and Penalties. Fines, penalties, damages, and other settlements resulting from violations (or alleged violations) of, or failure of the governmental unit to comply with, Federal, State, local, or Indian tribal laws and regulations are unallowable except when incurred as a result of compliance with specific provisions of the Federal award or written instructions by the awarding agency authorizing in advance such payments.
21. Fund raising and investment management costs.
a. Cost of organized fund raising, including financial campaigns, solicitation of gifts and bequests, and similar expenses incurred to raise capital or obtain contributions are unallowable, regardless of the purpose for which the funds will be used.
b. Costs of investment counsel and staff and similar expenses incurred to enhance income from investments are unallowable. However, such costs
associated with investments covering pension, self-insurance, or other funds, which include Federal participation allowed by the Circular are allowable.
c. Fund raising and investment activities shall be allocated an appropriate share of indirect costs under the conditions described in subsection C.3.B. of Attachment A.
22. **Gains and losses on disposition of depreciable property and other capital assets and substantial relocation of Federal programs.**
1) Gains and losses on the sale, retirement, or other disposition of depreciable property shall be included in the year in which they occur as credits or charges to the asset cost grouping(s) in which the property was included. The amount of the gain or loss to be included as a credit or charge to the appropriate asset cost grouping(s) shall be the difference between the amount realized on the property and the undepreciated basis of the property.
2) Gains and losses on the disposition of depreciable property shall not be recognized as a separate credit or charge under the following conditions:
(a) The gain or loss is processed through a depreciation account and is reflected in the depreciation allowable under sections 15 and 19.
(b) The property is given in exchange as part of the purchase price of a similar item and the gain or loss is taken into account in determining the depreciation cost basis of the new item.
(c) A loss results from the failure to maintain permissible insurance.
(d) Compensation for the use of the property was provided through use allowances in lieu of depreciation.
b. Substantial relocation of Federal awards from a facility where the Federal Government participated in the financing to another facility prior to the expiration of the useful life of the financed facility requires Federal agency approval. The extent of the relocation, the amount of the Federal participation in the financing, and the depreciation charged to date may require negotiation of space charges for Federal awards.
c. Gains of losses of any nature arising from the sale or exchange of property other than the property covered in subsection a., e.g., land or included in the fair market value used in any adjustment resulting from a relocation of Federal awards covered in subsection b. shall be excluded in computing Federal award costs.
23. **General government expenses.**
a. The general costs of government are unallowable (except provided in section 41). These include:
1) Salaries and expenses of the Office of the Governor of a State or the chief executive of a political subdivision or the chief executives of federally-recognized Indian tribal governments;
2) Salaries and other expenses of State legislatures, tribal councils, or similar local governmental bodies, such as county supervisors, city councils, school boards etc., whether incurred for purposes of legislation or executive direction;
3) Cost of the judiciary branch of a government;
4) Cost of prosecutorial activities unless treated as a direct cost to a specific program when authorized by program regulations (however, this does not preclude the allowability of other legal activities of the Attorney General); and
5) Other general types of governmental services normally provided to the general public, such as fire and policies, unless provided for as a direct cost in program regulations.
b. For federally recognized Indian tribal governments and Councils of Governments (COGs), the portion of salaries and expenses directly attributable to managing and operating Federal programs by the chief executive and his staff is allowable.
24. **Idle facilities and idle capacity.**
a. As used in this section the following terms have the meaning set forth below:
1) "Facilities" means land and buildings or any portion thereof, equipment individually or collectively, or any other tangible capital asset, wherever located, and whether owned or leased by the governmental unit.
2) "Idle facilities" means completely unused facilities that are excess to the governmental unit's current needs.
3) "Idle capacity" means the unused capacity of partially used facilities. It is the difference between (a) that which a facility could achieve under 100 percent operating time on a one-shift basis less operating interruptions resulting from time lost for repairs, setups, unsatisfactory materials, and
other normal delays and (b) the extent to which the facility was actually used to meet demands during the accounting period. A multi-shift basis should be used if it can be shown that this amount of usage would normally be expected for the type of facility involved.
4) "Cost of idle facilities of idle capacity" means costs such as maintenance, repair, housing, rent, and other related costs e.g. insurance, interest, and depreciation or use allowances.
b. The costs of idle facilities are unallowable except to the extent that:
1) They are necessary to meet fluctuations in workload; or,
2) Although not necessary to meet fluctuations in workload, they were necessary when acquired and are not idle because of changes in program requirements, efforts to achieve more economical operations, reorganization, termination, or other causes, which could not have been reasonably foreseen. Under the exception stated in this subsection, costs of idle facilities are allowable for a reasonable period of time, ordinarily not to exceed one year, depending on the initiative taken to use, lease, or dispose of such facilities.
c. The costs of idle capacity are normal costs of doing business and are a factor in the normal fluctuations of usage or indirect cost rates from period to period. Such costs are allowable, provided that the capacity is reasonably anticipated to be necessary or was originally reasonable and is not subject to reduction or elimination by use on other Federal awards, subletting, renting, or sale, in accordance with sound business, economic, or security practices. Widespread idle capacity throughout an entire facility or among a group of assets having substantially the same function may be considered idle facilities.
25. Insurance and indemnification.
a. Costs of insurance required or approved and maintained, pursuant to the Federal award, are allowable.
b. Costs of other insurance in connection with the general conduct of activities are allowable subject to the following limitations:
1) Types and extent and cost of coverage are in accordance with the governmental unit's policy and sound business practice.
2) Costs of insurance or of contributions to any reserve covering the risk of loss of, or damage to, Federal Government property are unallowable.
except to the extent that the awarding agency has specifically required or approved such costs.
c. Actual losses that could have been covered by permissible insurance (through a self-insurance program or otherwise) are unallowable, unless expressly provided for in the Federal award or as described below. However, the Federal Government will participate in actual losses of self-insurance fund that are in excess of reserves. Costs incurred because of losses not covered under nominal deductible insurance coverage provided in keeping with sound management practice, and minor losses not covered by insurance, such as spoilage, breakage, and disappearance of small hand tools, which occur in the ordinary course of operations, are allowable.
d. Contributions to a reserve for certain self-insurance programs including workers compensation, unemployment compensation, and severance pay are allowable subject to the following provisions:
1) The type of coverage and the extent of coverage and the rates and premiums would have been allowed had insurance (including reinsurance) been purchased to cover the risks. However, provision for known or reasonably estimated self-insured liabilities, which do not become payable for more than one year after the provision is made, shall not exceed the discounted present value of the liability. The rate used for discounting the liability must be determined by giving consideration to such factors as the governmental unit's settlement rate for those liabilities and its investment rate of return.
2) Earnings or investment income on reserves must be credited to those reserves.
3) Contributions to reserves must be based on sound actuarial principles using historical experience and reasonable assumptions. Reserve levels must be analyzed and updated at least biannually for each major risk being insured and take into account any reinsurance, co-insurance, etc. Reserve levels related to employee-related coverages will normally be limited to the value of claims (a) submitted and adjudicated but not paid, (b) submitted but not adjudicated, and (c) incurred but not submitted. Reserve levels in excess of the amounts based on the above must be identified and justified in the cost allocation plan or indirect cost rate proposal.
4) Accounting records, actuarial studies, and cost allocations (or billings) must recognize any significant differences due to types of insured risk and losses generated by the various insured activities or agencies of the governmental unit. If individual departments or agencies of the
governmental unit experience significantly different levels of claims for a particular risk, those differences are to be recognized by the use of separate allocations or other techniques resulting in an equitable allocation.
5) Whenever funds are transferred from a self-insurance reserve to other accounts (e.g., general fund), refunds shall be made to the Federal Government for its share of funds transferred, including earned or imputed interest from the date of transfer.
e. Actual claims paid to or on behalf of employees or former employees for workers' compensation, unemployment compensation, severance pay, and similar employee benefits (e.g., subsection 11. f for post retirement health benefits), are allowable in the year of payment provided (1) the governmental unit follows a consistent costing policy and (2) they are allocated as a general administrative expense to all activities of the governmental unit.
f. Insurance refunds shall be credited against insurance costs in the year the refund is received.
g. Indemnification includes securing the governmental unit against liabilities to third persons and other losses not compensated by insurance or otherwise. The Federal Government is obligated to indemnify the governmental unit only to the extent expressly provided for in the Federal award, except as provided in subsection d.
h. Costs of commercial insurance that protects against the costs of the contractor for correction of the contractor's own defects in materials or workmanship are unallowable.
5. Interest.
a. Costs incurred for interest on borrowed capital or the use of a governmental unit's own funds, however represented, are unallowable except as specifically provided in subsection b. or authorized by Federal legislation.
b. Financing costs (including interest) paid or incurred on or after the effective date of this Circular associated with the otherwise allowable costs of building acquisition, construction, or fabrication, reconstruction or remodeling completed on or after October 1, 1980 is allowable, subject to the conditions in (1)-(4). Financing costs (including interest) paid or incurred on or after the effective date of this Circular associated with otherwise allowable costs of equipment is allowable, subject to the conditions in (1)-(4).
1) The financing is provided (from other than tax or user fee sources) by a bona fide third party external to the governmental unit.
2) The assets are used in support of Federal awards.
3) Earnings on debt service reserve funds or interest earned on borrowed funds pending payment of the construction or acquisition costs are used to offset the current period's cost or the capitalized interest, as appropriate. Earnings subject to being reported to the Federal Internal Revenue Service under arbitrage requirements are excludable.
4) Governmental units will negotiate the amount of allowable interest whenever cash payments (interest, depreciation, use allowances, and contributions) exceed the governmental unit's cash payments and other contributions attributable to that portion of real property used for Federal awards.
27. **Lobbying.** The cost of certain influencing activities associated with obtaining grants, contracts, cooperative agreement, or loans is an unallowable cost. Lobbying with respect to certain grants, contracts, cooperative agreements, and loans shall be governed by the common rule, "New Restrictions on Lobbying" published at 55 FR 6736 (February 26, 1990), including definitions, and the Office of Management and Budget "Government-wide Guidance for New Restrictions on Lobbying" and notices published at 54 FR 52306 (December 20, 1989), 55 FR 24540 (June 15, 1990), and 57 FR 1772 (January 15, 1992), respectively.
28. **Maintenance, operations and repairs.** Unless prohibited by law, the cost of utilities, insurance, security, janitorial services, elevator service upkeep of grounds, necessary maintenance, normal repairs and alterations, and the like are allowable to the extent that they: (1) keep property (including Federal property, unless otherwise provided for) in an efficient operating condition, (2) do not add to the permanent value of property or appreciably prolong its intended life, and (3) are not otherwise included in rental or other charges for space. Costs that add to the permanent value of property or appreciably prolong its intended life shall be treated as capital expenditures (see sections 15 and 19).
29. **Materials and supplies.** The cost of materials and supplies is allowable. Purchases should be charged at their actual prices after deducting all cash discounts, trade discounts, rebates, and allowances received. Withdrawals from general stores or stockrooms should be charged at cost under any recognized method of pricing, consistently applied. Incoming transportation charges are a proper part of materials and supply costs.
30. **Memberships, subscriptions, and professional activities.**
a. Costs of the governmental unit's memberships in business, technical, and professional organizations are allowable.
b. Costs of the governmental unit's subscriptions to business, professional organizations are allowable.
c. Costs of meetings and conferences where the primary purpose is the dissemination of technical information, including meals, transportation, rental of meeting facilities, and other incidental costs are allowable.
d. Costs of membership in civic and community, social organizations are allowable as a direct cost with the approval of the Federal-awarding agency.
e. Costs of membership in organizations substantially engaged in lobbying are unallowable.
31. **Motor pools**. The costs of a service organization that provides automobiles to user governmental units at a mileage or fixed rate and/or provides vehicles maintenance, inspection, and repair services are allowable.
32. **Pre-award costs**. Pre-award costs are those incurred prior to the effective date of the award directly pursuant to the negotiation and in anticipation of the award where such costs are necessary to comply with the proposed delivery schedule or period of performance. Such costs are allowable only to the extent that they would have been allowable if incurred after the date of the award and only with the written approval for the awarding agency.
33. **Professional service costs**.
a. Cost of professional and consultant services rendered by persons or organizations that are members of a particular profession or possess a special skill, whether or not officers or employees of the governmental unit, are allowable, subject to section 14 when reasonable in relation to the services rendered and when not contingent upon recovery of the costs from the federal government.
b. Retainer fees supported by evidence of bona fide services available or rendered are allowable.
34. **Proposal costs**. Cost of preparing proposals for potential Federal awards are allowable. Proposal costs should normally be treated as indirect costs and should be allocated to all activities of the governmental unit utilizing the cost allocation plan and indirect cost rate proposal. However, proposal costs may be charged directly to Federal awards with the prior approval for the Federal-awarding agency.
35. **Publication and printing costs.** Publication costs, including the costs of printing (including the processes of composition, plate making, press work, and binding, and the end products produced by such processes), distribution, promotion, mailing, and general handling are allowable.
36. **Rearrangements and alterations.** Costs incurred for ordinary and normal rearrangement and alteration for facilities are allowable. Special arrangements and alterations costs incurred specifically for a Federal award are allowable with the prior approval of the Federal-awarding agency.
37. **Reconversion costs.** Costs incurred in the restoration or rehabilitation of the governmental unit's facilities to approximately the same condition existing immediately prior to commencement of Federal awards, less costs related to normal wear and tear, are allowable.
38. **Rental costs.**
a. Subject to the limitations described in subsections b. through d. of this section, rental costs are allowable to the extent that the rates are reasonable in light of such factors as: rental costs of comparable property, if any; market conditions in the area; alternatives available; and, the type, life expectancy, condition, and value of the property leased.
b. Rental costs under sale and leaseback arrangements are allowable only up to the amount that would be allowed had the governmental unit continued to own the property.
c. Rental costs under less-than-arms-length leases are allowable only up to the amount that would be allowed had title to the property vested in the governmental unit. For this purpose, less-than-arms-length leases include, but are not limited to, those where:
1) One party to the lease is able to control or substantially influence the actions of the other;
2) Both parties are parts of the same governmental unit; or
3) The governmental unit creates an authority or similar entity to acquire and lease the facilities to the governmental unit and other parties.
d. Rental costs under leases, which are required to be treated as capital leases under GAAF, are allowable only up to the amount that would be allowed had the governmental unit purchased the property on the date the lease agreement was executed. This amount would include expenses such as depreciation or use allowance, maintenance, and insurance. The provisions of Financial
Accounting Standards Board Statement 13 shall be used to determine whether a lease is a capital lease. Interest costs related to capital leases are allowable to the extent they meet the criteria in section 26.
39. **Taxes.**
a. Taxes that a governmental unit is legally required to pay are allowable, except for self-assessed taxes that disproportionately affect Federal programs or changes in tax policies that disproportionately affect Federal programs. This provision becomes effective for taxes paid during the governmental unit's first fiscal year that begins on or after January 1, 1998, and applies thereafter.
b. Gasoline taxes, motor vehicle fees, and other taxes that are in effect user fees for benefits provided to the Federal Government are allowable.
c. This provision does not restrict the authority of Federal agencies to identify taxes where Federal participation is inappropriate. Where the identification of the amount of unallowable taxes would require an inordinate amount of effort, the cognizant agency may accept a reasonable approximation thereof.
40. **Training.** The cost of training provided for employee development is allowable.
41. **Travel costs.**
a. **General.** Travel costs are allowable for expenses for transportation, lodging, subsistence, and related items incurred by employees traveling on official business. Such costs may be charged on an actual cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on a combination of the two, provided the amount used is applied to an entire trip, and results in charges consistent with those normally allowed in like circumstances in non-federally sponsored activities. Notwithstanding the provisions of section 23, travel costs of officials covered by the section, when specifically related to Federal awards, are allowable with the prior approval of a grantor agency.
b. **Lodging and subsistence.** Costs incurred by employees and officers for travel, including costs of lodging, other subsistence, and incidental expenses, shall be considered reasonable and allowable only to the extent such costs do not exceed charges normally allowed by the governmental unit in its regular operations as a result of the governmental unit's policy. In the absence of a written governmental unit policy regarding travel costs, the rates and amounts established under subchapter I of Chapter 57 of Title 5, United States Code "Travel and Subsistence Expenses: Mileage Allowance," or by the administration of General Services, or the President (or his designee) pursuant to any provisions of such subchapter shall be used as guidance for travel under Federal Awards (41 U.S.C. 420, "Travel Expenses of Government contractors").
c. Commercial air travel. Airfare costs in excess of the customary standard (coach or equivalent) airfare are unallowable except when such accommodations would: require circuitous routing, require travel during unreasonable hours, excessively prolong travel, greatly increase the duration of the flight, and result in increased cost that would offset transportation savings, or offer accommodations not reasonably adequate for the medical needs of the traveler.
d. Air travel by other than commercial carrier. Cost of travel by governmental unit-owned, leased, or chartered aircraft, as used in this section, includes the cost of lease, charter, operation (including personnel costs), maintenance, depreciation, interest, insurance, and other related costs. Cost of travel via governmental unit-owned, leased, or chartered aircraft are unallowable to the extent they exceed the cost of allowable commercial air travel, as provided for in subsection c.
42. Underrecovery of costs under Federal agreements. Any excess costs over the Federal contribution under one award agreement are unallowable under other award agreements.
CHAPTER FOUR
GENERAL FEDERAL GUIDELINES
04.100 OVERVIEW
When the Tribe receives Federal funds, increased demands are placed upon its financial management activities. The Tribe must set up and use accounting systems, which comply with government requirements. The program directors need to understand the guidelines and restrictions, which Federal funding agencies establish in order to make sure that funds are used efficiently to produce the desired results. In addition, the Tribe must install systems, which enable it to meet the payroll tax related requirements of the Internal Revenue Code.
The contracts the Tribe enters into are normally the result of funds appropriated by the Bureau of Indian Affairs (BIA) or the Indian Health Service (IHS), under Public Law 93-638, the Indian Self-Determination and Education Assistance Act. The financial management requirements for self-determination contracts arise from clauses contained in the regulations of Public Law 93-638. When the Tribe receives grant funds from Federal or other agencies, it must follow the agencies' grant administrative guidelines.
Most of the administrative requirements of the Tribe will have to meet can be found in:
25 CFR Part 900
Office of Management and
Budget Circulars A-102,
A-87, and A-133
04.200 FEDERAL FINANCIAL STANDARDS
All of the above referenced regulations and management guidelines provide similar instructions and establish similar requirements. Generally, the Tribe has implemented a financial management system that meets the following Federal financial standards.
1. Accounting and Financial Records
Maintain a system of accounting and financial records, which is capable of identifying the source and application of Federal funds.
2. Internal Control
Maintain a system of internal control procedures to insure that the Federal funds are used correctly.
3. Disclosure
Maintain a system for disclosing and reporting the financial transactions of the Tribe.
4. Budget Comparison
A system for analyzing expenditures in relation to the budget submitted.
5. Allowable Expenditures
Maintain a system of analyzing expenditures to determine their allowability and allocability.
6. Documentation
A system for documenting all transactions recorded in the Tribe's accounting records.
7. Minimizing Federal Cash on Hand
Procedures for minimizing the time between the receipt of Federal funds and the payment of those funds for allowable costs.
8. Auditing Procedures for auditing the performance of the Tribe and for resolving deficiencies found in such audits.
Based upon these requirements established in the Federal guidelines, the Tribe has established a financial management department capable of maintaining accurate, complete, and current records of all financial transactions and concurrently capable of meeting certain financial objectives.
CHAPTER FIVE
INDIRECT COSTS
05.100 INTRODUCTION AND OVERVIEW
In 1975, Congress enacted Public Law 93-638, the Indian Self-Determination and Education Assistance Act. The intent of the Act is to "encourage the development of human resources of the Indian People" and to provide for their maximum participation in their own education and government and in the programs and services conducted for them by the Federal government.
One means of actualizing the intent of Public Law 93-638 is contained in the Act's provisions, by regulation, to provide opportunity for contract support funds to finance many of the costs incurred in the course of administrative operations. This provision enables the Tribe to obtain Federal monies to cover its indirect or overhead costs: costs that, while not easily identified with a particular program, are nevertheless necessary to the Tribe's government and the conduct of its programs. The Tribe can place the burden of meeting these indirect costs on the funding agency. What this means is that more of the Tribe's own resources can be used in efforts to deal directly with the employment, housing, health care, economic development, and other pressing needs of its members.
In order to obtain contract support funds to finance indirect costs, the Tribe must prepare, each fiscal year, a proposal that substantiates its claim for reimbursement of indirect costs. The CPA is responsible for carrying out the procedures necessary in preparing these proposals.
The purpose of this overview is to highlight the tasks necessary in preparing an indirect cost rate proposal. It is also intended to provide a sound basis for carrying out the general leadership, administrative, and financial management responsibilities associated with indirect costs.
The Tribe must conduct basic governing operations and increase its ability to perform those operations. In the process of doing so, it incurs indirect or overhead costs. The Tribe is severely handicapped by a lack of adequate resources for financing the basic operations performed by its government structure. No Federal or State funds are generally made available for this purpose. The necessary tasks must therefore be paid for with other resources. Unfortunately, the Tribe is in no position to finance its own government operations.
The acceptance of Federal grants and contracts itself imposes an administrative burden on any government. The Tribe must conduct many management and financial management procedures in order to comply with the requirements of the funding agency. These tasks impose tremendous financial strains on the Tribe.
The Tribe can relieve itself of these financial burdens by placing the responsibility of paying for the Tribe's administration on the funding agency. Regulations implementing the indirect cost reimbursement concept in Public Law 93-638 provide that if the Tribe develops an indirect cost rate proposal it can receive contract support funds to cover these costs each fiscal year.
The purpose of indirect cost reimbursement is to provide a means of paying for administrative costs incurred in the management of State and Federally funded programs.
05.200 EFFECT ON PROGRAMS
Federal and State funded programs are "charged" for the overhead required by the Tribe's government to oversee or administer programs by applying an indirect cost rate to the direct costs incurred by the program in providing services. For example, if the Tribe has an indirect cost rate of 20% and a program incurs $100,000 in direct costs in operating the program, then the Tribe charges the program $20,000 for the overhead costs incurred in administering the program.
| Tribe Indirect Cost Rate | Program Direct Costs | Indirect Costs |
|--------------------------|----------------------|----------------|
| 20% | $100,000 | $20,000 |
Programs under PL 93-638 receive indirect costs over and above the total amount of direct costs required to operate the program. Therefore, regardless of the amount of indirect costs charged to the program, the program remains unaffected by the indirect costs.
| 638 Program Direct Costs | Tribe's Indirect Cost Rate | Indirect Costs | Total Program Contract |
|--------------------------|----------------------------|----------------|-----------------------|
| $100,000 | 20% | $20,000 | $120,000 |
Most other federal and state funded programs require the Tribe to recover indirect costs from the total program award. For example, an award of $100,000 includes both direct and indirect costs.
| Total Program | Tribe's Indirect Cost Rate | Direct Costs | Indirect Award |
|--------------------------|----------------------------|--------------|----------------|
| $100,000 | 20% | $83,333 | $16,667 |
In this case, the maximum amount of direct costs available to operate the program is $83,333. These direct costs multiplied by the Tribe's indirect cost rate (20% in the example) equals $16,667 in indirect costs.
The Tribe requires that all programs provide full funding for indirect costs based upon the Tribe's approved rate, unless the federal awarding agency restricts the amount of indirect cost recovery to a rate less than the approved rate. Waiver of the full indirect cost recovery policy requires that the elected officials approve a written request from the program director.
05.300 TYPES OF COSTS TO BE INCLUDED IN INDIRECT COST BUDGET
The following types of costs are generally included in the Tribe's indirect cost budget.
Salaries of elected officials
(or a portion thereof)
Salaries of administrative personnel (non-program)
Accountants and related staff
Purchasing employees
Contracts employees
Property employees
Personnel employees
Security guards
Receptionists
Office personnel
Maintenance & Janitorial
Fringe benefits
Travel for the above personnel
Audit costs
Bank fees
Utilities
Telephone
Computer services
Legal costs
Office supplies & expenses
Training for the above personnel
Entity worker's compensation
Contracted CPA services
These costs vary from one fiscal year to the next. The indirect costs rate changes from year-to-year, and specific line-item expenditures within the indirect cost budget need not be consistent from year-to-year.
05.400 TERMINOLOGY USED FOR INDIRECT COST PROPOSALS
The Office of Inspector General uses the following terminology in negotiating indirect cost proposals.
DIRECT COST
A direct cost is a cost that can be specifically identified with a particular cost objective (program).
INDIRECT COST
An indirect cost is a cost incurred for a common or joint purpose benefiting more than one cost objective and not readily assignable to a specific cost objective without an effort that is not proportionate to the results achieved.
Note: There is no universal rule classifying a cost as direct or indirect. An indirect cost to one Tribe may be a direct cost to another Tribe, depending on the accounting system in use.
POOL
The indirect cost budget is frequently referred to as the pool, or indirect cost pool. ALLOWABLE INDIRECT COST
Allowable indirect costs are costs which are reasonable; not prohibited; conform to limitations; consistent with policies, regulations and procedures that apply uniformly to both Federal grants and contracts and the Tribal government. The costs must be necessary to the efficient administration of all contracts and grants in the base.
INDIRECT COST RATE
The indirect cost rate is the percentage relationship of indirect costs to direct cost. (Indirect costs are applied to a grant or contract as a percentage of some acceptable direct cost base. The base may be total salaries and wages, total direct costs, or total direct costs less capital expenditures.)
05.500 DIRECT BASE COSTS
A contract written under the provisions of public law 93-638 is funded at a level of direct costs plus an added amount for indirect costs. Indirect costs are added based upon the Tribe's indirect cost rate, with the rate being applied to the total direct costs that require administrative effort. Generally, all direct costs require administrative effort for indirect cost purposes except equipment, land, infrastructure, and contract services (consultants) for amounts in excess of $5,000. In determining base costs in calculating the indirect cost rate for a 638 contract, the base cost becomes total direct costs less equipment, land, infrastructure and contracted service agreements that exceed $5,000.
While the applicable OMB Circular or regulation has not been rewritten regarding the inclusion of non-638 programs in the direct cost base, Tribes have successfully legally challenged the 1983 written Department of the Interior, Office of Inspector General
guidelines and the subsequent July, 1990, memorandum from the Department of the Interior whereby the indirect cost negotiation process required all funded programs to be included in the direct base cost regardless of the funding or non-funding of indirect cost for the program. The case Ramah Navajo Chapter vs. Babbitt ruled that the inclusion in the direct cost base for the purposes of determining indirect cost rates of programs which did not provide indirect costs over and above the direct costs of the funded program was an illegal practice of the Department of the Interior, and Office of Inspector General, and caused an adverse adjustment in the calculation of the indirect cost rate in violation of section 106 of the 1988 amendments to public law 93-638.
Accordingly, the Tribe will not add to the direct cost base any direct funds from a program which does not add indirect cost funds to the direct costs of the program until such time that the law has changed correcting this adverse adjustment to the Tribe's indirect cost rate.
05.600 INDIRECT COST RATE METHODS
The following types of rates may be approved by OIG.
SINGLE RATE
This is a uniform rate applied equally to all programs and activities when they receive approximately the same benefit from the indirect cost pool.
MULTIPLE RATE
This is a method of applying different rates to different programs because the programs benefit to different degrees from the indirect cost pool.
RESTRICTED RATE
This method is used when Federal statutes restrict the full recovery of indirect costs on a specific program. This rate is extremely difficult to negotiate with OIG, because GIG stance generally is that all programs receive the same amount of administrative support, even though a given program may restrict the amount of indirect cost recovery.
05.700 TYPES OF INDIRECT COST AGREEMENTS
The following types of indirect cost agreements are approved by OIG.
PROVISIONAL-FINAL
This agreement accepts a rate based on either a past period's cost experience or a projection of a future year's expected cost. At the end of the fiscal year, the agreement is renegotiated and a final agreement obtained. This is the type of indirect cost agreement that the Tribe utilizes.
PREDETERMINED
This agreement is a firm agreement not subject to revision except in the most unusual circumstances.
FIXED WITH CARRY-FORWARD
This agreement is based upon an estimate of future period's cost and is not subject to revision during the accounting period. However, the difference between estimated and actual costs, when known, is included as an adjustment in a subsequently proposed cost plan. (Adjustment is made two years after the year causing the adjustment.)
05.800 THE INDIRECT COST PROPOSAL PACKAGE
The complete indirect cost proposal should contain, at least, the following information.
1. Audited financial statements for the year that historical data is being presented.
2. Certification by a Tribal official that the proposal has been prepared in accordance with OMB Circular A-87.
3. Information on all grants and contracts.
A. Funding agency.
B. Contract/grant number.
C. Amount of the contract/grant (including a breakdown of Tribe's share and Federal/State share).
D. Expenditures during the last period.
E. Grant period.
4. Organizational chart of the Tribe. The Tribe may also present job descriptions of key positions.
6. When applicable, the package should contain a carryforward adjustment.
7. The initial proposal should contain a financial management system certification from the Tribe's auditor.
8. Indirect cost pool.
9. Direct cost base.
10. Reconciliation of audited report with mc proposal data.
11. Breakdown of IDC recovery by 638 programs, non-638 programs, and Tribal programs.
Based upon the above, a common proposal might have a table of contents as follows:
I. Introduction and Background Information Certification
II. Financial Management System (Description and Accounting)
III. Policy Statement of Direct vs. Indirect Costs
IV. Organizational Chart (and job descriptions)
V. Calculation of Indirect Cost Rate
VI. Program Direct Costs
VII. Indirect Cost Budget
IX. Indirect Cost Personnel Justifications.
X. Reconciliation schedule of audit report to mc proposal.
XI. Analysis of indirect cost recovery by 638 programs, non-638 programs, and Tribal programs.
05.900 OIG SPECIAL CONSIDERATION TO CERTAIN COSTS
OIG will scrutinize certain expenditures for reasonableness.
Legal costs
Tribal Elected Officials related costs Travel
Communications Public relations Salaries
Building and equipment rental
Further, OIG will check for the following:
Inequitable allocation bases
Nonconformance to guidelines
Improper classification of direct costs Unsupported costs Overstated costs
Unallowable costs
Duplication of costs
Over-recovery of expenditures
Over-recovery of depreciation Cost of capital expenditures
Cost of Tribe's government not attributable to the administration of base contracts and grants Understated costs Reasonableness
Costs not necessary to administer grants and contracts
Costs not allocable
CHAPTER SIX
THE ACCOUNTING CYCLE
06.100 PURPOSE OF THE ACCOUNTING SYSTEM
The accounting system is the major quantitative information system for the Tribe. It provides information for three broad purposes: (1) internal reporting to department directors, for use in planning and controlling current programs; (2) internal reporting to the elected officials and the Tribe for use in strategic planning, that is, the making of special decisions and in the formulating of over-all policies and long-range plans, and 3) external reporting to funding agencies.
A summary of the steps in the accounting process is:
1. Scorekeeping. The accumulation of financial data. This aspect of accounting enables both internal and external parties to evaluate Tribal performance and financial position.
2. Attention directing. The reporting and interpreting of information which helps program directors and the elected officials to focus on operating problems, imperfections, inefficiencies, and opportunities. This aspect of accounting, in particular, helps program directors concern themselves with important aspects of operations promptly enough for effective action either through perceptive planning or through astute day-to-day supervision.
3. Problem solving. This aspect of accounting involves the concise quantification of the relative merits of possible courses of action, often with recommendations as to the best procedure. Problem solving is commonly associated with nonrecurring decisions facing the Community, situations that require special accounting analyses or reports.
06.200 ACCOUNTING SYSTEM-GENERAL DESCRIPTION
The Tribe utilizes the MIP Fund Accounting System, which is an automated system. Fund accounting, also known as not-for-profit or governmental accounting, is a specialized type of accounting. Even though fund accounting uses some of the same basic principles as commercial accounting (including a double entry system of recording transactions, a comparable set of financial statements, and so on) there are many differences.
Some of these differences are fundamental. For example, the commercial accounting entity is the company, while the not-for-profit entity is the fund. Also, commercial accounting measures income, while not-for-profit accounting measures the flow of money (funds).
Other differences involve degrees of emphasis. For instance, while budget amounts and encumbrances (purchase orders) appear frequently in a not-for-profit organization's accounting records, they're rarely included in commercial accounting ledgers.
Because of these and other differences, not-for-profit and governmental organizations need an accounting system designed with their specific requirements in mind. The MIP Fund Accounting system meets those special requirements. It has all of the capabilities necessary for not-for-profit accounting.
06.201 STRUCTURE OF MIP FUND ACCOUNTING SYSTEM
The basic structure of the MIP Fund Accounting system, the chart of accounts, provides the flexibility and customization capabilities of an individually designed program. The MIP chart of accounts consists of the following items:
- Fund
- General ledger account
- Department
06.202 DATA ENTRY
Automatic offset generation allows the entering of the second half of a transaction by simply pressing a single key. The system completes the entry by entering the necessary accounts and amounts on the screen (Set up the appropriate offset accounts first.) This is beneficial when, for example, recording an expenditure. After entering the expenditure side of the entry, press the designated offset key to enter the credit side of the entry. The CPA can set up offsets for any general ledger account.
Automatic interfund transfers allow the recording of transactions across funds. For example, if fund A incurred an expenditure and fund B pays for it, the system can record the transaction automatically, generating the proper interfund payable/receivable (that is, due to/due from) entry.
06.203 FINANCIAL REPORTING
A summary of the financial reporting options available include:
1. A report based upon a specific fiscal year or years and a range of fiscal periods to be included.
2. A report based upon a range of funds, general ledger accounts, and departments to be included.
3. Any regular report (for example, a budget versus expenditure by line-item for a program) can be reprinted the following period without re-entering reporting options.
4. Reports on vendors, including presentation of information by check number, receipt number, or invoice number.
06.204 FUND ACCOUNTING MODULES
Fund Accounting is a modular system. The central core is the General Ledger module, which contains the accounting ledgers. The other modules in the system, including payroll and fixed assets, transmit information to and from the accounting ledgers. All modules permit the Tribe to enter transactions or budget entries, print related reports, and display account balances and posted entries on the screen.
Here's a list of the modules the Tribe may utilize in the Fund Accounting System:
- General Ledger
- Budget Reporting
- Accounts Payable
- Accounts Receivable
- Fixed Assets
- Payroll
The general ledger module is used to enter transactions that do not involve accounts payable or accounts receivable. Generally, this means journal vouchers, cash receipts, and cash disbursements. Budgets can be entered with this module and general ledger amounts (balances and activity) can be displayed on the screen. This module allows the printing of journals for each type of transaction entered, plus a general ledger and a cash journal. This module includes the financial statements. The system produces both combining and combined financial statements.
The budget reporting module permits the creation of a worksheet based on either a previous budget's balances or actual account balances. That worksheet is a working budget. It can be modified; specific line-item amounts can be designated; and a budget worksheet report can be printed. Once budget amounts on the worksheet are final, the system creates entries to record the new budget based on the worksheet. This module produces reports comparing actual balances to budget balances for expenditures, revenues, or both. It displays on the monitor accounts' budget and actual amounts and differences between the two.
The accounts payable module is used to record invoices from vendors. Checks are printed utilizing an automated check writing system. Accounts payable balances and activity can be displayed on the monitor and accounts payable ledger, aged accounts payable ledger, cash requirements, selected invoices, and preliminary check register reports are generated from this module.
The accounts receivable module is used to print customer bills automatically or used to record bills that are prepared manually. This module produces past due statements for customers whose payments are late. This module is also used to record receipts on accounts receivable balances and credit memos issued. Accounts receivable ledger, aged accounts receivable ledger and expected cash receipts reports are generated from this module. Accounts receivable balances and specific account activity can be displayed on the monitor.
The fixed assets module is used to maintain a record of whether the asset was purchased or donated, to identify the location, to identify the custodian, to keep a maintenance listing, and to maintain a depreciation schedule (if applicable). This database provides asset management information required to identify and control all fixed assets. This module transmits fixed assets information to the general ledger module.
The payroll module integrates information with the general ledger module. The module produces and maintains all employee payroll data for distributing payroll costs to the proper budget, accounting for employee and employee payroll taxes, actual production of the payroll checks, and historical salary information.
06.300 CPA
The CPA is responsible for the overall accounting function. The automated financial management system is designed so that accounting functions are performed individually for the programs and all accounting records are networked in order for the Tribe to obtain combined or combining data. The CPA is in control of the networked financial management system.
The CPA performs the following duties for each program. (See additional duties in Chapter Two.)
1. Prepares a trial balance.
2. Prepares comparative report for budgeted expenditures to actual expenditures.
3. Prepares a comparative report of budgeted revenues to actual revenues.
4. Performs bank reconciliations.
5. Reviews the trial balance for reasonableness.
06.400 OVERVIEW OF RECORDING AND ACCEPTING RECEIPTS
IMPORTANT NOTE: By generally accepted accounting principles, governmental fund revenues and expenditures should be recognized on a modified accrual basis. The Tribe utilizes this method of accounting. Thus, revenues should be recognized in the accounting period in which they become available and measurable. Since most revenues received from the Federal government by the Tribe only become legally available after expenditure, it is not proper to establish a receivable at the time of a grant award. See chapter seven entitled "Structure of Accounts and Transactions" for proper accounting entries.
06.401 GENERAL POLICIES REGARDING CASH RECEIPTS
1. All cash receipts (checks and cash only) shall be deposited in a timely manner.
2. All checks shall be deposited to the unrestricted checking and recorded to the proper program receiving the funds. Since the automated accounting system provides for separate accountability by account number for all programs, a separate checking account for each federally funded program is not necessary.
3. The CPA or designee shall endorse all checks for deposit upon receipt.
4. The disbursing of undeposited funds shall be strictly forbidden.
5. All coin and currency shall be deposited by the CPA or designee.
6. The CPA or designee is responsible for receipting all money received. No cash shall be accepted without a receipt being issued.
7. All mail shall be opened by the Receptionist. The Receptionist through a formal daily listing of receipts shall track all receipts from incoming mail.
8. The CPA will maintain formal cash receipts journal for all receipts.
9. All cash receipts will be entered and posted to the general ledger in a timely manner.
06.402 DETAILED PROCESS OF ACTUAL RECEIVING OF CASH
The Receptionist shall prepare a daily list of receipts and turn all checks over to the CPA or designee for deposit. Upon receipt of a check, the CPA or designee shall record the check number, source and amount and immediately stamp the check "For Deposit Only". The check is then mailed or carried to the bank for deposit to the checking account with a duplicate of the deposit slip retained.
After this is done, the CPA or designee records the receipt in the cash receipts journal.
The procedures for receiving coin or currency shall differ from those for checks. Coin and currency shall be received by the CPA or designee who shall enter on the money receipt the following information:
- Name of the individual turning in the money
- Amount of money being received
- Source or origin for the money
The CPA or designee shall then initial the money receipt and give it to the person turning in the cash. The program director should retain his copies of the receipt until the closeout of the program year.
When the monthly bank statement arrives, the CPA compares the copies of the deposit slips and the list of checks received to the deposits listed on the bank statement.
It is noted that the CPA utilizes several different individuals on staff in the cash receipts function to enhance internal control through separation of duties.
06.500 OVERVIEW OF CASH DISBURSEMENTS
General policies regarding cash disbursements include the following:
1. All checks shall be prenumbered and accounted for.
2. Unused checks shall be in the custody of the CPA or assigned representative.
3. Checks shall be prepared only after receipt and verification of supporting documents.
4. Spoiled and voided checks shall be mutilated by removing the signature line and writing "void" across the face of the check. (All such checks shall be retained.)
5. All invoices shall indicate date, amount and number of check.
6. All checks shall be prepared on a timely basis.
7. All checks require the signatures of two individuals.
8. All cash disbursements are entered into the cash disbursements journal through the automated accounting system.
06.501 DETAILS ON CASH DISBURSEMENT PROCESS
The suspense files of all unpaid vouchers (for all programs) are maintained by Accounts Payable and checks are prepared primarily from this voucher file. Accounts Payable will process the checks if the proper documentation and signatures are attached. All vouchers must contain the following:
- Vendor Name
- Vendor Number
- Date
- Description
- Fund, General Ledger and Department Numbers
- Amount
- Appropriate Signatures – See section 10.430
- Copies of Purchase Order and Purchase Requisition, if applicable
- Original Invoices or Contracts, and/or other applicable documentation
- W-9, if applicable
- Fixed Asset form, if applicable
All exceptions to the above must be noted either in the “Remarks” or in a memo.
"Checks up front" will be processed on an as needed basis. If receipts are not provided, then the appropriate director or staff may be responsible for the amount of payment and will be deducted from their salary. The program director will not be allowed any new "checks up front" if receipts are not provided timely.
Checks will be processed from the appropriate checking accounts. In the accounting system, a daily batch will be created for each staff person processing checks. This batch will be open for the entire day. The following day the batch will be posted to the general ledger. For each check the following information will be entered:
- Vendor Number
- Vendor Name
- Date
- Amount
- Description
- Fund, General Ledger and Department Number
After the checks are printed, Accounts Payable will obtain the check signatures. All checks require two signatures. A copy of the check remittance will be attached to the voucher and documentation. Accounts Payable will be responsible for the mailing checks. The date the check is mailed will be written on the voucher or in a log. If the check is picked up, the recipient will sign and date the check remittance.
The check remittance with the attached voucher and documentation will be given to records to file in the appropriate vendor file. Additionally, the voucher and documentation should be scanned prior to the check issuance.
06.502 LOST/STOLEN CHECKS
Stop payments will be issued on lost/stolen checks. Checks will be re-issued 10 working days after the stop payment is issued or within 5 working days if original check date is at least 6 months old. This applies to accounts payable checks and to per capita checks. For payroll checks the payroll supervisor should follow the same policy, but may use his/her discretion to override and re-issue checks in less days. For per capita checks, the payee must wait 60 days before a check can be re-issued and after 10 days for stop payment. The enrollment supervisor on rare occasion may override this policy. A stop payment fee will be deducted from the amount of the re-issued per capita check.
06.600 PAYROLL COMPONENT OF THE ACCOUNTING CYCLE
General policies regarding payroll include the following:
1. The payroll system is part of the overall automated accounting system. The gross salary is accounted for as part of the primary cash disbursements. All deductions from gross
salary are reconciled each pay period and such deductions are automatically entered into the general ledger.
2. Payroll checks are distributed bi-weekly to the department directors or persons assigned to pick up. The Tribe has the option of distributing checks at other times upon the approval of the Chairman.
3. Timesheets are reviewed and approved by each program director to confirm labor assignment to proper code and total of hours worked. See section 06.603 for further detail.
4. The CPA oversees the payroll generation.
5. Checks for payroll are written on a separate bank account.
6. The CPA is responsible for compliance with Federal and State wage and tax laws, payroll tax depository requirements, etc.
7. The CPA shall be responsible for maintenance of vacations and sick leave records.
8. Any change in the payroll master file shall be initiated by a properly executed form, such as a personnel action form, notice of an employee status change, a W-4 form, deduction form and an insurance application for group insurance.
9. Leave slips documenting approved absences must be submitted with the timesheet for the current pay period only.
10. Leave accruals for a given pay period may not be used until a subsequent pay period.
06.601 DETAILS OF PAYROLL
This section includes a discussion of procedures to maintain accurate payroll records and to prepare payroll checks. These procedures are developed to respond to both internal control requirements as well as to satisfy Federal and State regulations applying to wages, withholding, and timely submission of appropriate reports.
Each timekeeper shall submit timesheets for payroll and verify that hours reported are charged to the correct account. This includes time directly chargeable to a project, leave taken, holidays, time-off, etc. Timesheet preparation is discussed in detail in section 06.603. The approved employee timesheets are forwarded to the payroll department. The Payroll Department reviews the timesheets and leave forms for accuracy, and approves the data to be entered into the MIP Payroll module of the accounting system. When that step is complete, the payroll department processes and prepares the payroll checks. The payroll department reviews the checks for accuracy. If any discrepancies are found, corrections can be made at that time. Checks are then signed in accordance with general Tribal policies.
Payroll checks shall be available for pick-up by program directors at a designated time on paydays. Any check errors, which are discovered after distribution, shall be corrected with the next paycheck or upon the discretion of the Payroll Department.
The CPA is responsible for payment of the appropriate payroll taxes and other items withheld from the gross payroll. The deposit of Federal taxes is made electronically on the date due. Similarly, the other amounts due from deductions are remitted timely to the respective entities.
06.602 TIMESHEETS
Timesheets must be fully completed and submitted to the timekeepers by 5 PM Friday the week prior to payroll release. Timekeepers have until 10 AM the following Monday to review, make any necessary corrections, and turn into the Payroll department. Late or rejected timesheets will not be processed until all checks have been issued and may not be processed until the next payroll, depending upon the discretion of the Payroll department.
All signatures on the timesheet must be originals. The employee and appropriate supervisor/director must sign the timesheet. If the employees are not available to sign, the supervisor can sign on their behalf, but must initial the signature. The paycheck will be processed but the Payroll department will hold the employee’s check until the employee comes in and signs the timesheet.
Timesheets containing Administrative, Annual or Sick Leave must have complete approval slips attached and must match the time and dates reported. Timesheets need to have the employee’s correct employee number and position at the top of the timesheet. Timesheets that do not comply will only be processed for the hours properly documented. Docked hours will not be paid until correct documentation is provided. Docked hours may not be processed until the next pay period, depending upon the discretion of the Payroll department.
06.603 PAYROLL DEDUCTIONS
Payroll deductions for insurance, BIA credit, Housing, Direct Deposits, Tribal reimbursements, Liens, etc… must be submitted to the Payroll Department prior to or along with the timesheets. Once the deduction is added, it cannot be cancelled unless notified in writing by the employee or authorized individual. The appropriate individuals from those departments must authorize cancellation of Credit, Housing and Tribal reimbursement deductions. Liens served by the IRS, Child Support, etc… must be legally honored by the Tribe and cannot be cancelled without a written release from the agency that served the lien.
06.700 OVERVIEW OF CAPITAL ASSETS
Note in the Introduction that there is a self-balancing group of accounts (Fixed Assets Group of Accounts) not used exclusively by anyone fund. All capital assets are accounted for in this fund (separate ledger).
General policies on capital assets are described in Chapter 11, Property, Plant and Equipment. Highlights of these policies include the following.
1. A capital asset shall be defined as any item of non-expendable personal or real property which the cost exceeds $5,000 and has a useful life of more than one year.
2. Computers and peripherals that cost less than $5,000 will still be tracked by the computer department to insure proper distribution and control. These items will not be categorized as capital assets.
3. A bi-annual inventory of capital assets shall be conducted by the Property and Supply Director and verified through the annual audit.
4. The Property and Supply Director shall notify the CPA of any property dispositions for the CPA to properly record the disposition.
5. The CPA shall conduct a reconciliation of the ledger account to property control records at year-end.
06.701 RECORDING CAPITAL ASSETS
For each capital asset a Fixed Asset Form should be attached to the original voucher for payment. The Fixed Asset Form will be turned into the CPA or designated staff to enter the Asset into the subsidiary schedule. The originating document is called a Fixed Asset Form and shall include the following information:
- Asset ID
- Asset Type
- Asset Description
- Purchase Date
- Cost
- Estimated Useful Life
- Category
- Responsibility or Fund Code
- Location Code
- Serial Number, if applicable
Disposition of any capital asset requires the prior approval of the elected officials. The CPA shall make a general journal entry to remove the original amount paid from the account, which is posted to the general ledger.
06.800 CREDIT LOANS
Loans are approved and issued through the Credit Dept. The Credit Dept maintains the policies regarding issuance and collection of loans. The loans are tracked through the accounts receivable module of the MIP Accounting system. Duties and responsibilities regarding the loans are split between the Credit Department and the Accounting Department as such:
Credit Department
a. Approve the loan and prepare the loan documents.
b. Enter the debtor’s information in the Customer maintenance.
c. Enter the loan amount into accounting system.
d. Post payments to the debtor’s accounts receivable.
e. Submit payroll deduction information to the appropriate organization.
f. Monitor the loans and establish collections for past due loans.
g. Issue loan statements or information.
h. Retain the loan documents.
Accounting Department
a. Issue the loan check for amount submitted by the Credit Department.
b. Reconcile the general ledger accounts to insure customers accounts are properly debited for loans received and credited for payments received.
c. Calculate and post the Interest on the loans monthly.
d. Monitor the availability of funds to issue loans.
e. Enter miscellaneous credit adjustments to clear out miscellaneous balances or make corrections to accounts as determined appropriate by the Credit Department.
f. Reconcile the Credit Departments bank accounts.
CHAPTER SEVEN
TRAVEL
07.100 OFF-RESERVATION TRAVEL
All Off-Reservation travel requires prior approval. Prior to traveling a Travel Advance Form must be completed with the appropriate signatures. The Travel Advance Form is discussed in 07.200. When travel is completed a Travel Reconciliation Form must be submitted as discussed in 07.300. All Federal travel away from the reservation requires the prior approval of the program director, the Finance Office, and the Chairman. Tribal policies regarding travel off the reservation are detailed below.
07.101 USE OF PRIVATE VEHICLES – MILEAGE ALLOWANCE
Mileage allowance for use of a private vehicle on Tribal business shall be at the Federal approved standard mileage rate for all employees including elected officials. (However, see the exception noted below in 07.102). The standard mileage rate is utilized in lieu of reimbursing for the actual costs of operating the vehicle. The standard mileage rate covers the operational costs of the vehicle while on Tribal business. The standard mileage rate does not include incidental charges such as highway tolls and parking expenses. These incidental charges shall be reimbursed to the employee in addition to the standard mileage rate. Receipts are required for reimbursement of highway tolls, parking expenses, and other incidental charges. Receipts are not required for gasoline costs, or other vehicle operational expenses.
07.102 USE OF PERSONAL OR TRIBAL VEHICLES: ELECTED OFFICIAL EXCEPTION
Elected officials are required to be available for service twenty-four hours per day, seven days per week. The nature of the positions require tremendous amount of local travel for Tribal purposes. As a result, the four elected officials may either get reimbursed at the standard mileage rate or may purchase gas and actual expenditures to be reimbursed by the Tribe. The elected official may choose whichever method, but must stay with that method during the year without changing methods. If the elected official chooses to get reimbursed for actual expenditures, they should maintain a log of their business travel.
07.103 USE OF TRIBAL VEHICLES - MILEAGE ALLOWANCE
Travelers that utilize a Tribal vehicle rather than a personal vehicle may get reimbursed at $.25 per mile to cover fuel expenses or get reimbursed for the actual fuel expenses. If actual expenses are used then original receipts must be attached. If no personal or Tribal vehicle is available, a vehicle may be rented from a commercial company. The fuel will be reimbursed at $.25 per mile or the actual expense.
07.104 COMMERCIAL TRAVEL COSTS VS PERSONAL VEHICLE
If commercial forms of travel are used, such as airlines, buses, trains, or charter services, the actual cost is the basis for reimbursement. The form of transportation used should be the least expensive available, unless the loss of time or effectiveness is disproportionate to the monetary savings. If airlines are used, a standard coach class ticket will be purchased with the exception of the Tribal Officials. The Tribal Officials may purchase a First Class ticket pending budget availability. If the employee opts to drive a personal vehicle in lieu of a commercial carrier, and the cost of mileage allowance at the standard rate for use of a personal vehicle exceeds the regular coach 21 day advance fare of a commercial airline, then the employee shall be reimbursed for transportation costs at the regular coach 21 day advance fare of a commercial airline. If an airline reservation is changed due to personal reasons and there is a fee charged, the traveler is responsible to pay the fee. Airfare should be requested 21 days in advance. Travel may be denied because of the higher cost of purchasing airfare after the 21-day advance fare.
If the traveler opts to drive a personal vehicle and this extends the travel time, the traveler will be reimbursed for the lesser travel time that the commercial travel would require. Per Diem and lodging is reimbursed beginning twenty-four (24) hours prior to the start of his/her scheduled travel purpose and ending twenty-four (24) hours after the conclusion of the traveler’s scheduled travel purpose. There are three exceptions to the 24-hour rule. One exception is if the savings on airfare for extending the travel time less the additional per diem and lodging costs were less than the airfare allowed with the 24 hour rule, then the traveler may get reimbursed for the additional per diem and lodging. The second exception is if there are no available flights within the 24 hours then per diem and lodging will be reimbursed until the next available flight is procured. The third exception is if a personal vehicle is utilized because there are no other forms of commercial travel and the travel cannot feasibly be completed within the 24 hour period, then additional per diem and lodging will be reimbursed. If the traveler opts to drive a personal vehicle and this extends the travel time beyond the 24-hour rule, the traveler will not be reimbursed the additional per diem and lodging.
07.105 DIRECT ROUTE
An employee is entitled to travel reimbursement for the most direct route to and from the destination. The employee will pay any extra expenses incurred due to the interruption of the most direct route at the convenience of the employee. Employees who must travel to the Billings airport for airline travel are entitled to reimbursement either:
A) Mileage for one round-trip to Billings plus the cost of long-term parking, or
B) Mileage for two round-trips to Billings.
Long-term parking receipts must be attached to Travel Reconciliation Form.
07.106 OFFICIAL TRAVEL - COMMUTING
In cases where the employee must begin official travel from the employee's home, the employee will be entitled to reimbursement for mileage from their home rather than from the Tribe.
07.107 INSURANCE COVERAGE AND DRIVERS LICENSE
Employees who use a private vehicle for travel in connection with Tribal business must maintain automobile liability insurance coverage and have a current valid driver’s license. Employees who use a Tribal vehicle must have a current valid driver’s license.
07.108 LODGING AND PER DIEM/OVERNIGHT TRAVEL
Lodging and per diem is based upon the federal approved daily rate for a given destination as published in the federal register. The Lodging and Per Diem Schedule shall be distributed to all Tribal Departments. All employees will be subject to these rates regardless of position with the exception of the elected officials. The elected officials may get reimbursed for their actual expenses regardless of whether the expenses are less than or greater than the per diem rates. The only exception is that the lodging may not exceed 300% of the federal rate. If the officials do not provide receipts for meals, the meals will get reimbursed at the applicable federal per diem rates.
Travelers are entitled to a flat rate for each day that requires overnight travel regardless of the actual expense. The flat rate for overnight travel is the federal approved rate for lodging plus the federal approved rate for per diem.
Travelers are entitled to a flat rate for each day that does not require an overnight stay at the federal approved rate for per diem, excluding lodging, regardless of the actual expense. In instances where meals are provided by the conference/workshop the traveler’s meal rate must be adjusted by deducting the appropriate amount allocated to that particular meal. Travel to/from days or same day travel are reimbursed at 75% of the full day per diem rate.
A sample reimbursement is given as such: If an employee travels to Billings on January 15 and returns January 17, the employee will receive 75% of the federal approved per diem rate for meals for the 15th and 17th. They will receive the full per diem rate for the 16th and two nights lodging for the 15th and 16th. The federal approved per diem rate for Billings is currently $31 per day and $60 for lodging. The total reimbursement will be $197.50.
The traveler may get reimbursed for the actual lodging expense if greater than the federal approved rate under two conditions. The first condition is if the traveler is staying in the hotel that’s hosting the travel purpose (i.e. seminar). The second is if no lodging near the traveler’s destination can be obtained for less than the federal approved rate. The actual expense may be reimbursed if either of these two conditions is met at no greater than 300% of the established federally approved rate.
An employee who travels for a period that is equal to or less than four hours voids any right to per diem. For example, an employee who travels to Billings at 8:00 a.m. and returns at 12:00 noon would not receive per diem for the trip. If travel is less than 12 hours a reimbursement for the applicable lunch rate will be given. If the travel is the same day, but greater than 12 hours 75% of the full day rate will be given.
For overnight travel, per diem and lodging is reimbursed beginning twenty-four (24) hours prior to the start of his/her scheduled travel purpose and ending twenty-four (24) hours after the conclusion of the traveler’s scheduled travel purpose. In instances where the employee’s travel is extended beyond the 24 hours through no fault of their own, the traveler will be eligible for additional lodging or per diem reimbursement. To be reimbursed for the additional lodging and per diem, the traveler must state the reason for the extended stay in writing and obtain the signatures of the program director, CEO and Finance Office.
Failure to provide a properly documented lodging receipt for any night of travel voids the employee's right for lodging reimbursement for that 24-hour period. It does not void the employee's right to reimbursement for other days for which lodging receipts are provided.
Travelers who share lodging with another employee are entitled to a full daily rate provided that a lodging receipt is obtained bearing each traveler’s name. The only exception is if the travelers are married. Married travelers will be required to share lodging and only one of the married travelers will be reimbursed for the lodging.
The traveler must provide the original lodging receipt issued by the hotel/motel that bears the traveler’s name. A copy issued by the hotel/motel is acceptable if traveler loses the original, however, such copy must be sent directly to the Finance Office by the hotel/motel and must show the travelers name, dates of stay and final cost. Receipts are not required for meals and incidentals relative to per diem.
07.109 OTHER TRAVEL EXPENSES
The only travel expenses which will be reimbursed to the traveler, other than the cost of travel to and from the destination, lodging, and per diem for meals, is the cost of local transportation at the travel destination. A receipt for local transportation is required for reimbursement. There is no limit on reimbursements for local transportation provided receipts are submitted.
07.110 ENTERTAINMENT
Entertainment is not an eligible travel expense.
07.111 NON-EMPLOYEE TRAVEL
The elected officials may allow travel for non-employee Tribal members when the travel is deemed beneficial to Tribal operations. The elected official shall authorize travel for the non-employee through a signed memorandum and Travel Advance Form. For nonemployees who do not reconcile outstanding travel, the Tribe will deduct the outstanding amount owed from future payments to the non-employee such as committee stipends or contracted services. If the Tribe receives no reconciliation or payment within sixty (60) days after the trip has been completed, the Tribe may pursue any legal method of debt collection.
A Tribal employee funded from federal or state sources who travels at the request of the Elected Administration for purposes unrelated the employee's Federal or State program is required to take leave from the program for the travel.
07.200 TRAVEL ADVANCE FORM
Travelers must complete a Travel Advance Form prior to traveling. This form authorizes the travel. A valid and completed form should be submitted at least three days prior to travel. If the Travel Advance Form is not submitted three days prior to travel then the travel may be denied and/or an advance of funds may not be given. The steps to complete the form include the following:
1. Traveler must provide basic travel data on the Travel Advance Form and sign the request. Traveler shall provide back-up for registration fees and dates of required travel. If the traveler does not know the accounting line-items to be charged, the travel specialist should be contacted to obtain the correct account number.
2. Traveler must obtain the signatures of the program director, Finance Officer and elected official, if applicable prior to submitting to the Travel Specialist. The form must have dates by the signatures.
The Travel Specialist will first confirm that there is budget in the line items that the travel will be charged to. If budgeted funds are not available, the form is rejected and returned to the traveler. The Travel Specialist will write on the form: "Rejected due to lack of budgeted funds."
If the Travel Specialist notes any other reason why the travel should be rejected, the form will be returned to the traveler with the reason written on the form. The travel may get rejected due to traveler having outstanding travel that hasn’t been reconcile.
The Travel Specialist will confirm all amounts to be advanced and make corrections as deemed necessary. If approved, the Travel Specialist signs and submits the travel advance form to accounts payable to process the advance payment. The Tribe will pay all airfare and registration fees directly to the vendor, not to the traveler. An Accounts Payable voucher must be submitted by the traveler to pay for the registration. The Travel Specialist or specifically designated staff are responsible for making and paying for all airline reservations.
07.300 TRAVEL RECONCILIATION FORM
All travelers should complete a Travel Reconciliation Form within fourteen (14) days after the travel is completed. A validly completed Travel Reconciliation Form must be filled out and contain:
1. Hotel/motel receipt with traveler's name
2. Airline ticket receipt (if applicable)
3. An agenda or other handout from the meeting evidencing attendance (if applicable)
4. Any other required receipts
5. Traveler's signature
6. Program director's signature
7. Finance Officer's signature
Original receipts must be attached. If a traveler seeks reimbursement for expenses not included in his/her advance, he/she must provide receipts and must be applicable.
The Travel Specialist reviews the completed form for accuracy and indicates approval by signature. The travel specialist then forwards the travel reconciliation to accounts payable if a refund is due, accounts receivable if the traveler has submitted payment for a balance owed, or payroll if the balance owed is to be repaid through a payroll deduction. If there is a balance owed and payment is not attached, then the form is automatically forwarded to payroll for a payroll deduction from the traveler's paycheck. Once a deduction is forwarded to payroll, the travel is no longer considered outstanding. If no balance or refund is due, the form is filed in records.
If a traveler fails to go on the intended travel, the traveler shall void the travel advance and return the check not cashed. If a traveler cashes his/her travel advance check without traveling, he/she shall reimburse the Tribe immediately. If a traveler fails to reimburse the Tribe, the Tribe shall deduct the travel advance from the traveler's paycheck.
Failure to submit a valid Travel Reconciliation Form within 30 days after the travel is completed will result in the Tribe deducting the travel advance from the employee's paycheck. The only exception to the thirty days is for elected officials. They may take up to 60 days to submit the Travel Reconciliation Form after the travel is completed.
Payroll deductions regarding travel advances will be deducted in full unless specifically requested to spread deduction evenly over 4 pay periods. Once travel is deducted from an employee's paycheck, it will not be reimbursed to the employee. A traveler may elect to have the payroll deduction deducted from their annual leave balance if greater than $100. This will be taken in full, not spread over pay periods. If there is not enough annual leave, then the remaining balance will be deducted from the net paycheck as discussed above. Special payback arrangements may be given if the total deduction is larger than $400. If it is the traveler's last paycheck 100% of the travel advance will be deducted. If a traveler is no longer an employee and still has outstanding travel advances that are not reimbursed, then the amount will be added to the employee's gross W-2 wages and subject to income tax.
07.400 ON-RESERVATION TRAVEL
On-reservation travel is considered local travel within the reservation or a 100-mile radius from the Tribal Offices at Crow Agency. This travel does not include an overnight stay unless the travel extends beyond a full business day or more or they have the option of driving back and forth. Travel must be authorized by the employee’s program director or the appropriate supervisor. The request for reimbursement for this travel is submitted on a Mileage Report form to accounts payable.
07.500 VEHICLE RENTALS
When a program budget permits the rental of a vehicle for program personnel, the program director may secure a GSA rental or a tribally owned vehicle for the program through the procedures identified in the procurement management system. Programs are not permitted under any circumstances to rent a vehicle from an employee of the program.
CHAPTER EIGHT
MISCELLANEOUS EXPENDITURE POLICIES
08.100 PURPOSE
The following are expenditure policies specific to the Crow Tribe. They will be applied to all funds within the Tribe.
08.200 EMERGENCY ASSISTANCE
Emergency Assistance is available to Tribal Members on a limited basis through the general funds. The Tribal Member must qualify through an application process. Emergency assistance is defined as financial assistance given to Tribal Members on behalf of the Crow Tribe when an unusual occurrence gives rise to a financial need for that member. Members must complete an application and provide back-up for their specific need (i.e., death certificate, hospital admission slip). The financial assistance will be limited to $100 per situation. The assistance will also be limited based on the amount of funds available per approved budget. Assistance given greater than $100 requires special approval by the Tribal Chairman.
08.300 FOOD COSTS
Some federal programs require the purchase of food to meet the program’s objectives. Menus are generally required prior to purchase. Refreshments and/or light meals may be approved for trainings, if applicable. Employee parties need to have prior approval by the Tribal Chairman.
08.400 BURIAL FEEDS
Expenditures may be allowed to provide assistance with Burial Feeds.
08.500 DONATIONS
Donations/sponsorships may be made to any individual, group or organization upon the approval of the Tribal Chairman.
08.600 COMMITTEE MEETINGS
Stipends will be paid to official members of official committees for meetings specific to their purpose. Stipends are limited to $100 per meeting. Frequency of meeting will be based on available budget. Meetings will not be paid if there is not available budget. Meetings should be held after business hours. If a meeting is during business hours, the employee will have to take leave without pay for that day to receive the $100 stipend. Signin sheets and minutes are required for payment. Food and beverage will not be provided by the Tribe at the meetings. There may be exceptions to the $100 limit as approved by the Tribal Chairman. One current exception is for the 107th committee. They will receive $300 per meeting with one meeting per week.
08.700 CREDIT CARDS
Credit cards will be allowed for four specific uses only. The Tribal Officials may be issued credit cards for Tribal business purposes. The Travel Specialists will be issued credit cards to reserve airline tickets, car rentals and hotel arrangements. The rural domestic program has a credit card for use with the Purple Feather campaign. The last use is for the fire crews to make purchases while on location fighting fires, which includes meals. Itemized receipts need to be turned into Finance in a timely manner. Business meal receipts should include business purpose and attendees listed. A credit card user agreement will be signed and kept on file when the initial credit card is issued.
08.800 CELL PHONES
Cell phones will be provided on a limited basis. Cell phones will be provided to Tribal Officials and certain "qualified employees". The Qualified Employees are those employees that have special needs for a cell phone or it is beneficial and allowable under the funding agency. The cell phone will be issued by the Finance Department. The Finance Department is responsible for all phone issuance, phone maintenance and changes to service.
08.900 TELEPHONE USAGE
1. Telephone usage should be for business purposes only. On rare occasions it may be used for personal use. If an employee has excessive personal usage, it will be deducted from that employee's salary. Random calls will be made to determine if calls are for personal or business use.
2. Request for additional phone hook-ups need to be made through the Finance Department. The Tribe has a centralized phone system that requires special equipment and installation.
08.1000 LOANS
No personal loans are allowed. Personal loans may be obtained through the Crow Credit Department. See chapter 06.800 regarding the issuance of loans through the Credit Dept.
08.1100 FUEL PURCHASE / MILEAGE REIMBURSEMENTS
The gas requisition must be requested on a per time basis for Tribal Vehicles specifically assigned. The vehicles must be licensed and insured under the Tribal Insurance Policy. The vehicle driver must have a valid Montana's drivers license. Gas requisitions will not be
issued if budget is not available. Fuel purchases for GSA vehicles must follow the GSA guidelines and restrictions.
Mileage reimbursements will be made for Tribal employees that utilize their personal vehicles to conduct tribal business. The Tribal business must be pre-approved. Mileage will not be reimbursed for travel between the vehicle owner’s home and their place of employment at the Crow Tribe. The employee must submit an auto mileage report to request reimbursement at the approved Federal Standard Mileage rate. The employee must report their beginning and ending odometer reading. If applicable, documentation needs to be attached proving their need to conduct the Tribal business. The employee may need to provide proof that they were physically at the destination. This can be a signed letter or statement from an individual at the destination. A copy of the employee’s current valid Drivers License and proof of vehicle insurance for the specific vehicle driven need to be provided. A mileage reimbursement request needs to be submitted to Finance within 30 days of the conducted tribal business. The reimbursement is solely for the use of the vehicle. The reimbursement should be made to the vehicle owner listed on the proof of insurance. If the payee is different than the owner listed on the insurance, it should be explained and requested in memo form.
08.1200 COMPUTER EQUIPMENT/PERIPHERIALS PURCHASES
Computer equipment purchases must be made through the Tribe Information Technology Department. This is to guarantee that the equipment is compatible with our computer network and the specs are consistent with the Tribe’s needs.
08.1300 SENIOR BENEFITS
Senior members of the Crow Tribe of Indians age 67 and older receive a $200 benefit monthly. The checks are issued on the 1st day of the month. Back benefits will be paid from the period the member turned 67, if the senior member did not receive the benefits. Proof of age must be provided. If a check is not received by the senior for the current month a stop payment will be issued. A replacement check will be issued after 10 working days from the date of the stop payment. This benefit is subject to change or termination at the discretion of the Tribal Chairman at any time. It is not a required benefit.
CHAPTER NINE
RECORDS RETENTION
09.100 RESPONSIBILITIES
The Records Retention Supervisor is responsible for maintaining a catalogue by type and date of all records retained in satisfaction of OMB Circular A-102. Tribal policy requires the records to be stored for at least three years according to the following guidelines.
1. Financial records, supporting documents, statistical records, and all other records pertinent to a grant shall be retained for a period of three years, with the following qualifications:
a. If any litigation, claim or audit is started before the expiration of the 3-year period, the records shall be retained until all litigations, claims, or audit findings involving the records have been resolved.
b. Records for nonexpendable property acquired with Federal funds shall be retained for three years after its final disposition.
c. When records are transferred to or maintained by the Federal sponsoring agency, the 3-year retention requirement no longer applies to the Tribe.
2. The retention period starts from the date of the submission of the final expenditure report or, for grants that are renewed annually, from the date of the submission of the annual financial status report.
3. The Tribe may be authorized by the Federal grantor agency, if they so desire, to substitute microfilm copies in lieu of original records.
4. The Federal grantor agency shall request transfer of certain records to its custody from the Tribe when it determines that the records possess long-term retention value. However, in order to avoid duplicate recordkeeping, a Federal grantor agency may make arrangements with the Tribe to retain any records that are continuously needed for joint use.
5. The head of the Federal grantor agency and the Comptroller General for the United States, or any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records of grantees and subgrantees to make audit, examinations, excerpts, and transcript; subject to restrictions on duplicate audits by the Federal grantor agency imposed by OMB Circular A-133.
6. Unless otherwise required by law, no Federal grantor agency shall place restrictions on the Tribe that will limit public access to the records of grantees that are pertinent to a grant except when the agency can demonstrate that such records must be kept confidential and would have been excepted from disclosure pursuant to the Freedom of Information Act (5 U.S.C. 522), if the records had belonged to the grantor agency.
09.200 CATALOGUE OF RECORDS
The catalogue of records retained by the Records Retention Supervisor includes index cards indicating the year the record was initiated and the type of record. For example, the court contract for fiscal year 2000 would include an index card stating, "FY 2000 Court Program" and list all applicable documents and location. Similarly, all accounting records for fiscal year 2000 would be indexed by subject matter i.e. general ledger, bank statements, accounts payable invoices, payroll, etc.
CHAPTER 10
PROCUREMENT & PURCHASING POLICIES
The Crow Tribe follows all Federal Procurement and Purchasing Policies as put forth in OMB Circular A-102, 25 CFR and A-87, as well as, specific requirements under each individual grant agreement. The following policies may be in addition to the above regulations, and are general policies of the Tribe.
10.100 POLICIES AND OBJECTIVES
1. It is the policy of The Crow Tribe to procure only those items, which are required to perform the mission and/or fill a bona fide, need. Procurements will be made with complete impartiality based strictly on the merits of supplier proposals and applicable related considerations such as delivery, quantity, etc.
2. The Program Directors, with the assistance of the Procurement Officer, are responsible for all functions related to the acquisition of supplies and services, including overall administration. In performing the functions, the acquisitions will adhere to the following objectives:
a. Obtain quality supplies/services needed for delivery at the time and place required
b. Buy from responsible sources of supply
c. Obtain maximum value for all expenditures
d. Deal fairly and impartially with all vendors
e. Document each transaction as required by the Internal Revenue Service
f. Avoid any conflict of interest
3. Purchase Orders must be issued prior to any Tribal purchases. The Purchase Order signifies authorization to make a purchase. This allows for pre-approval for budget and compliance. This means you may not charge any items on account with businesses prior to getting the approved Purchase Order. Any employee making purchases without this authority are subject to disciplinary actions and possible payroll deductions for the amount of purchases. Available budget is required for all expenditures whether a Purchase Order is required or not. Certain exceptions do not require a Purchase Order and they are as follows:
EXCEPTIONS:
i. Recurring monthly bills such as Electricity, Water, Natural Gas, Telephone, Rent, Cable TV and authorized Postage Meters.
j. Signed Contract Agreements
k. Vendor Purchase Agreements as discussed in paragraph 10.410.
l. Emergency Assistance, Support Agreements, Scholarships, Awards, Donations, Court Refunds, Senior Benefits, Per Capita, Fuel vouchers, Burial Assistance, Travel Advances/Reconciliations/Registrations, Mileage Reimbursements and Direct Services.
m. Committee payments
n. Maintenance agreements such as; fish tank cleaning, linen/rug cleaning, pest elimination, storage and telephone maintenance.
o. Check up fronts as described in paragraph 06.501.
p. Emergency Response situations including needed facility repairs.
q. Specific exceptions for the Legislative Branch as discussed in paragraph 10.600 and any other exceptions as noted in other sections of this manual and/or written exceptions agreed to by the Finance Director/CPA for small dollar amount purchases.
10.110 STANDARDS OF CONDUCT
1. Business will be conducted ethically, in a manner above reproach and, except as authorized by statute or regulation, with the total impartiality and preferential treatment for none.
2. Tribal employees will not solicit or accept, directly or indirectly, any gift, favor, entertainment, loan or anything of monetary value, from anyone maintaining a business connection with The Tribe. Violations to the aforementioned will be grounds for disciplinary action.
3. Maintaining the integrity of the procurement process is of paramount importance; therefore, any person disseminating procurement information to persons who do not have a bona fide need to know, within or outside of the Corporation, are in violation of this trust and subject to dismissal.
4. The Tribe will apply sound business principles and procedures to all procurement actions and assure that their business methods are above reproach and the hint of suspicion.
10.200 RESPONSIBILITY OF THE PROCUREMENT OFFICER
The Procurement Officer and/or the Purchase Order Clerk will:
a. Review each purchase order for proper item description and technical references or specifications such as approvals, clearances, etc., and all other necessary data to initiate the required purchase.
b. Select a number of qualified suppliers, sufficient for meeting the competition criteria.
For the purpose of The Tribe, in most cases at least three (3) bids must be solicited for purchases greater than $5,000. *(Please see Section 10.500)*
c. Record all proposals/quotations.
d. Document all negotiations/discussions and phone calls.
e. Conduct price analysis and when necessary obtain cost analysis.
f. Assure that funds are available for the purchase.
g. Administer and modify or terminate purchasing agreements/contracts as necessary.
h. The Purchase Order Clerk or Procurement Officer, with written comments will return purchase requisitions not in conformance with these criteria to the requestor.
**10.300 PURCHASE REQUISITIONS**
Program Directors will prepare a **REQUISITION FORM** to get a **PURCHASE ORDER** issued. All requisitions require signature by the Program Director and dated. Program Directors can email their Requisition Forms to the Procurement clerk. The email will provide proof of signature and date. Please list the Vendor and amount in the subject line of the email. The email should be sent from the Program Director’s email or a designated employee from within the program. Requisitions must contain as a minimum:
1.) Cost estimate (as required) and source of funding (proper accounting code classification).
2.) A brief statement, in non-technical language, of the nature and purpose of the procurement.
3.) Provide date or period item is needed.
4.) Vendor preference (final vendor selection will be made by Procurement)
Purchase Requisitions will not be processed if information is missing. The Purchase Order Clerk may return the Requisition and provide comments in writing or may telephone or email requesting the needed information.
**10.400 PURCHASE ORDER CLERK: INITIATION OF PURCHASE ORDER**
Upon receipt of a valid and completed Purchase Requisition, the Purchase Order Clerk will enter the information from the Purchase Requisition into the Purchase Order Database. The database will generate a Purchase Order for approval from the appropriate CPA staff and/or Finance Director. The Purchase Order will print the name of the approving staff on the form. Once the Purchase Order is approved, the Purchase Order Clerk will print or forward the Purchase Order to the Program Director.
If the Purchase Order is rejected, the Purchase Order Clerk will forward a written notice as to why the Purchase Order was denied.
Purchase Orders will be processed in the order that they are received. The turn around time for processing a Purchase Order is 24 hours. In emergency situations, the processing time may be shortened. An incomplete Purchase Requisition may delay the Purchase Order issuance.
The Purchase Order should contain all the same information as required on the Purchase Requisition with the selected Vendor’s name and address. Some additional information may be added to the Purchase Order as determined by the Procurement Officer and/or CPA staff.
10.410 VENDOR PURCHASE AGREEMENTS (VPA)
Vendor Purchase Agreements (VPA) may be utilized for repetitive purchases to a particular vendor from a particular program/fund. These eliminate the need to submit repeat Purchase Requisitions by the Program Directors and the corresponding issuance of Purchase Orders. An example of where a VPA would be utilized is with the Senior Citizens Program, in which, weekly food purchases are made. VPA’s are allowed only for responsible Program Directors that are very familiar with their budget constraints and allowable purchases. The Finance Department may deny the use of VPA’s without any reason. VPA’s are issued at the discretion of the Finance Department. A copy of the current VPA for that vendor must be attached to the Accounts Payable Voucher, in order to initiate the payment. VPA must be renewed annually. Items required to be completed on the VPA forms:
a. Vendor Name, ID and Address
b. VPA number (the fiscal year, unless multiple agreements with Vendor)
c. Fund, Department and General Ledger account coding
d. Description of the products or services to be provided
e. Purpose of the purchases
f. Quantity, Dollar and Frequency limits.
g. Expiration Date (usually the end of fiscal or program year)
h. Program/Individuals Authorized to place orders on behalf of the Tribe under this VPA
i. Signed and dated by the Program Director, CPA, Vendor representative and Tribal Chairman
10.420 OPEN PURCHASE ORDERS
Purchase Orders are open for 30 days only from the date issued unless specifically stated on the Purchase Order.
10.430 SIGNATURE AND REVIEW REQUIREMENTS
1. Each Program Director for the Tribe should be familiar with the Tribe’s signature requirements for the Purchase Order and Accounts Payable process.
a. The CPA staff or Finance Director must approve all Purchase Orders.
b. All Accounts Payable Vouchers must have CPA staff or Finance Director’s signature, as well as, Budget Officer and Requester’s signature. CPA staff or Finance Director can act as Budget Officer in their absence. There are two exceptions. One is Credit Loans in which the Credit Department is the only signature authority. The second exception is payments posted to non-budgetary line items, such as a Payable Account. The Budget Officer is not required to sign in these situations.
c. The Tribal Chairman must approve all purchases over $10,000 by signing the Requisition and/or Accounts Payable Voucher. If more than one payment is required for the purchase, the initial payment is the only payment that requires the Chairman’s approval. The Tribal Chairman must sign all contracts, except miscellaneous service contracts under $1,000. The Chairman can give signature authority to specific individuals in his absence or for certain projects. This transfer of authority must be in writing.
d. The program director or requester should sign on all Purchase Requisitions and Accounts Payable Vouchers.
e. Contracts and miscellaneous service agreements should be signed by person responsible for providing the service.
10.500 SELECTION OF SUPPLIERS
1. Even though the selection of competent suppliers is a basic responsibility of the Procurement Officer, there are no standards by which all suppliers can be judged, because of the wide variety of materials equipment and services required by The Tribe. There are, however, several major considerations and sources of information that the Purchasing Officer may use to locate sources and guide him/her in the selection of suppliers:
a. Master vendor's mailing list/procurement history file
b. Technical and business reputation of a company
c. Past performance of a company, if previously used by The Tribe
d. Recommended sources (input from the requesting organizational element)
e. Recommendations from other sources
f. Information obtained from trade fairs, catalogs, trade journals, sales literature and
other publications
g. Published registers, such as the "Thomas Register"
h. Purchasing source lists
i. Classified sections of telephone directories
j. Buyer's knowledge and experience
k. Professional associations
l. Contacts with salespersons and vendor representatives.
2. Every supplier requesting an opportunity to render an offer will be given the opportunity to do so, unless there is supportable evidence that he or she cannot realistically be expected to provide the required item(s).
3. If bids are requested and submitted, the selected supplier should be the lowest bidder. If the lowest bidder is not accepted, then it should be documented why the particular supplier was selected. A valid reason should be determined.
4. If a supplier is an individual rather than an established business then steps must be taken to determine that a fair and competitive price is being charged by the individual. The price may be reviewed and approved by Finance for reasonableness. Finance may require a bid from an established business to verify the reasonableness. If the established business provides a bid lower than the individual, than the individual can be the selected supplier if it lowers its price to the same as the established business.
5. **Exceptions**: Supplies or services may be procured on a noncompetitive basis under the following circumstances:
a. Only one responsible source and no other supplies and services will satisfy the requirement (example: replacement machine parts).
b. Certain professional contracts that require specific expertise in which the stability and reliability of the provider is of great importance, such as Attorneys, CPA’s, Consultants and Auditors.
c. Circumstances are unusual or there is a compelling urgency, such as an emergency health or safety situation, major equipment in jeopardy or limited time to complete.
d. Vehicle or machinery repair in which it is difficult to transfer the item to different vendors, in order, to solicit bids or estimates. Bids may still be requested at the discretion of the CPA/Finance Director.
e. Continuation of an existing contract.
6. The Tribe is committed to a policy of full and open competition, and solicitation of offers will not stop at any minimum number of bidders/offerors. In circumstances other than noncompetitive awards, the Tribe will obtain at least the following number of bidders/offerors:
| Competitive Procurement Procedure | Limits |
|----------------------------------|--------|
| a. Competition not required | < $5,000 |
| b. Solicit three (3) sources by phone or in writing. | > $5,000
< $25,000 |
| c. Three (3) bids submitted in writing and possible Public Notice Required | Required for purchases over $25,000. May be required for lesser amounts. Does not apply to Noncompetitive Awards as discussed above. |
10.510 PREPARING A SOLICITATION OR BID
1. Solicitations/bids normally will be completed using the instructions in this part. Since there is really no such thing as a "standard" procurement action, this part will address the items required to be completed.
2. Phone solicitations should be documented with the vendor name, date prepared, description of goods or services requested and the price.
3. If phone or written solicitations are difficult to obtain, then other sources may be used as solicitations to confirm the reasonableness of the price. Advertisements for similar products may be used for a price comparison, as well as, Blue Book on vehicles or equipment.
4. If three solicitations or bids are difficult to obtain a public notice may be required. This may be requested at the discretion of the CPA/Finance Director.
5. All bids or solicitations should be for similar or comparable products or services. Bids must be in writing from the Vendor.
10.600 LEGISLATURE EXCEPTIONS
The Legislative Branch is not required to get Purchase Orders issued. They maintain a revenue subcommittee that monitors their budget and purchasing. The subcommittee reviews their budget and detailed expenditures frequently. Generally, the Speaker of the House will sign on all accounts payable voucher and travel advances, but some over a certain dollar limit may require the subcommittee specific written approval. Travel will not require the Chairman’s approval. Contracts will require the subcommittee’s approval or the majority of the Legislature’s approval. In general, most other policies will be followed by the Legislature.
If the Legislature goes over their total budget for the fiscal year, the following year’s budget will be reduced for this amount. If their spending is less than their total budget, these excess funds may be added to the following year’s budget.
CHAPTER 11
PROPERTY, PLANT AND EQUIPMENT (PP&E) PROCEDURES
The Crow Tribe follows all Federal Regulations regarding the acquisition and disposal of fixed assets, as put forth in OMB Circular A-102 and A-87. The following policies may be in addition to the above regulations, and are general policies of the Tribe.
11.100 DEFINITION OF PROPERTY, PLANT AND EQUIPMENT
Property, plant and equipment (PP&E) is also referred to as capital assets or fixed assets throughout this manual. Capital assets are defined as non-expendable personal, real or intangible property which the cost exceeds $5,000 and has a useful life of more than one year. Capital assets will be depreciated following GASB 34 by the required due date of implementation.
11.200 PP&E ACQUISITIONED
1. PP&E Acquisitions will be based on Approved Requests.
Before a purchase is made prior approval must be obtained. See chapter 10 for signature authority.
2. Internal Accounting Controls
A. Separate Fixed Asset Form will be attached to all Accounts Payable Vouchers with the appropriate information filled in. Payments to Vendor should not be made until Form is attached. This applies mainly to computer equipment and peripherals. Other Fixed Assets may not have a Fixed Asset Form.
B. Reconciliation of Fixed Asset Forms, the purchases posted to the Equipment line items and the items recorded in the fixed asset spreadsheet.
C. Information on each fixed asset will be entered in the fixed asset spreadsheet. This information includes, but is not limited to: identification number, acquisition price, asset description, physical location of asset, and department/fund in possession of asset.
3. Donated tangible assets
A. All tangible assets donated to the organization will be treated as owned by the organization.
B. Each donated asset will be identified, tagged and entered in the fixed assets spreadsheet at the fair market value of the asset at the time of the donation of the asset.
11.300 RECORDKEEPING OVER PROPERTY, PLANT AND EQUIPMENT
The purpose of this control objective is to completely and accurately record fixed asset acquisitions, transfers and dispositions on a current basis.
1. Capitalization Policies
The Crow Tribe will observe its policies on the capitalization of equipment and distinguish between normal maintenance and betterments. The Crow Tribe will also observe ARB 43 and FASB 34 regarding the capitalization of expenditures for capital assets under construction and the capitalization of interest expense. Items purchased in bulk purchases will be recorded as property, plant and equipment if items within the purchase exceed $5,000 individually.
2. Fixed Asset Classification
Fixed assets will be maintained for the following classifications: land, buildings, equipment, furniture and fixtures, vehicles, livestock and infrastructure.
3. Procedures
A. Asset acquisitions, transfers, dispositions and depreciation will be entered in the Fixed Assets Spreadsheet. A different Spreadsheet will be maintained for each fiscal year.
B. The fixed assets spreadsheet will be reconciled with the general ledger for the original acquisition cost and accumulated depreciation.
C. Any differences will be analyzed and resolved by the procurement officer in coordination with the Finance Office (CPA).
D. The $5,000 threshold for fixed assets was adopted October 1, 2005. Prior to that date the threshold was $1,000. The items purchased for less than $5,000 prior to October 1, 2005 will continue to be reported as fixed assets until fully depreciated and/or disposed of.
11.400 DEPRECIATION
The purpose of this control objective is to ensure that the depreciation of PP&E is correctly stated. The Tribe will record depreciation upon the due date of implementation as required by GASB 34.
1. Depreciation Policies
The same methods of depreciation, useful lives and residual values are to be used for all accounting purposes.
2. Depreciation of Assets
Detailed depreciation records will be maintained so that the organization's total depreciation amounts will be cumulative from each fixed asset's periodic and accumulated depreciation.
3. Procedures
A. Each new capital asset will be properly classified according to the type of asset and useful life and entered in the Fixed Assets Spreadsheet.
B. Annually, the Finance Office (CPA) will evaluate the useful lives of fixed assets. If a change is made, the remaining cost of the class of assets will be spread over their revised remaining lives.
11.500 INVENTORY OF PROPERTY, PLANT AND EQUIPMENT
The purpose of this control objective is to ensure that all recorded assets exist and are in use.
1. Internal accounting controls
A. All applicable PP&E tagged when received
B. Restricted access to facilities during non-working hours
C. Physical inventories completed at least bi-annually
2. Procedures
A. Inventory will be taken by those employees with responsibilities independent of the custody or record keeping of such assets.
B. The inventory of fixed assets will be compared to the detailed fixed assets printout.
C. Any differences will be resolved with the employee to whom the asset has been assigned.
11.600 DISPOSAL OF PROPERTY, PLANT AND EQUIPMENT
The purpose of this control objective is to ensure that assets no longer in use will be disposed of in accordance with existing policies.
1. Disposal Policies
The Crow Tribe has adopted policies on the disposition of PP&E.
2. Internal Accounting Controls
A. Disposal or transfer of fixed assets only with proper authorization
B. Periodic count of fixed assets that is reconciled with fixed asset records.
3. Procedures
A. A determination will be made by the procurement officer, in coordination with the finance director, as to the necessity of keeping a fixed asset.
B. An asset may be disposed of by: 1.) Trade-in on a similar asset; 2.) Sale to employees or third parties; 3.) Gift to a local charity/treatment as scrap/etc.
C. Asset disposals will be documented and list of disposed assets will be maintained. The Finance Office (CPA) will enter the asset disposals as a reduction in the General Ledger control account/ the related accumulated depreciation account/ treatment of any proceeds from the disposition/ and the recognition of any gain or loss on sale of the disposed asset.
CHAPTER 12
INTERNET USAGE POLICY
12.100 POLICY OVERVIEW
This Internet usage policy is designed to help you understand our expectations for the use of resources in the particular conditions of the Internet, and to help you use those resources wisely.
The Crow Tribe’s first concern is the security of our data and systems. An Internet user can be held accountable for any breaches of security or confidentiality.
The Internet is a business tool, provided to you at a significant cost. The Crow Tribe expects you to use your Internet access primarily for business related purposes, i.e., to communicate with customers and suppliers, to research relevant topics and obtain useful business information, except as outlined below. We insist that you conduct yourself honestly and appropriately on the Internet, and respect the copyrights, software licensing rules, property rights, privacy and prerogatives of others, just as you would in any other business dealings. All existing company policies apply to your conduct on the Internet, especially (but not exclusively) those that deal with intellectual property protection, privacy, misuse of company resources, sexual harassment, information and data security, and confidentiality.
The Crow Tribe System Engineer must take special care to maintain the clarity, consistency and integrity of the company’s image and posture. Anything any one employee writes in the course of acting for the company on the Internet can be taken as representing the company’s posture. That is why we expect you to forgo a measure of your individual freedom when you participate in newsgroups on company business, as outlined below.
12.200 DETAILED INTERNET POLICIES
1. User IDs and passwords help maintain individual accountability for Internet resource usage. Any employee who obtains a password or ID for an Internet resource must keep that password confidential. Company policy prohibits the sharing of user IDs or passwords obtained for access to Internet sites.
2. The Systems Engineer may monitor and record all Internet usage. We want you to be aware that all our security systems may record (for each and every user) each World Wide Web site visit, newsgroup or email message, and each file transfer into and out of our internal networks, and we reserve the right to do so at any time. No employee should have any expectation of privacy as to his or her Internet usage.
3. Employees may use their Internet facilities for non-business research, browsing, or
communication during mealtime or other breaks, or outside of work hours, provided that all usage policies are observed.
4. During business hours, employees with Internet access may download only software with direct business use, and must arrange to have such software properly licensed and registered. Downloaded software must be used only under the terms of its license. Under no circumstances are downloaded applications, files, or file attachments received in email to be saved to the server unless they are first checked for viruses.
5. During business hours, employees with Internet access may not use company Internet facilities to download entertainment software or games. Because of bandwidth restrictions, employees are never permitted to play games against opponents over the Internet.
6. Participation in Internet chat groups is not acceptable during business hours.
7. Video and audio streaming and downloading technologies represent significant data traffic, which can cause local network congestion. Video and audio downloading should be avoided unless necessary for business use.
8. We reserve the right to inspect any and all files stored in private areas of our network in order to assume compliance with policy.
9. The display of any kind of sexually explicit image or document on any company system is a violation of our policy on sexual harassment. In addition, sexually explicit material may not be archived, stored, distributed, edited or recorded using our network or computing resources.
10. The Crow Tribe’s Internet facilities and computing resources must not be used knowingly to violate the laws and regulations of the United States or any other nation, or the laws and regulations of any state, city or province or other local jurisdiction in any material way. Use of any company resources for illegal activity is grounds for immediate dismissal, and will cooperate with any legitimate law enforcement activity.
11. No employee may use company facilities knowingly to download or distribute pirated software or data.
12. No employee may use the Crow Tribe’s Internet facilities to deliberately propagate any virus worm, Trojan horse, or trap-door program code.
13. No employee may use the Crow Tribe’s Internet facilities to disable or overload any computer system or network, or to circumvent any system intended to protect the privacy or security of another user.
14. Each employee using the Internet facilities of the company shall identify himself or herself honestly, accurately and completely (including one’s company affiliation and
function where requested) when participating in chats or newsgroups, or when setting up accounts on outside computer systems.
15. Employees are reminded that chats and newsgroups are public forums where it is inappropriate to reveal confidential company information, customer data, trade secrets, and any other material covered by existing company secrecy policies and procedures. Employees releasing protected information via newsgroup or chat—whether or not the release is inadvertent—will be subject to all penalties under existing data security and procedures.
16. Since a wide variety of materials may be deemed offensive by colleagues, customers or suppliers, it is a violation of company policy to store, view, print, or redistribute any document or graphic file that is not directly related to the user’s job or the company’s business activities.
17. The company will comply with reasonable requests from law enforcement and regulatory agencies for logs, diaries, and archives on individuals’ Internet activities.
CHAPTER 13
DISASTER RECOVERY
13.100 OVERVIEW
There are many aspects to Disaster Recovery. These policies will mainly cover the Tribe’s contingency plans in regards to the financial computer systems in case of disaster, emergency and/or computer system failure. We will touch on a few other aspects in regards to emergency situations.
13.200 EMERGENCY CONTACTS
As soon as an emergency situation occurs, individuals should contact the appropriate emergency authority and then take the necessary steps to minimize property damage and injury to individuals in the vicinity.
| Type of Situation | Contact Person | Phone Number |
|--------------------------------------------------------|---------------------------------------|-----------------------|
| Computer Room or System Damage, such as electrical, water, fire, excessive heat, cold or humidity | Orrin Alden, Operations Supervisor | Office 638-3791 |
| | | Home 638-2199 |
| | Rhetta Rau, Computer Specialist | Office 638-3737 |
| | Priscilla Hogan, Computer Assistant | Office 638-3819 |
| Building Damage, such as air conditioning and heat, fire, electrical, plumbing and water | Orrin Alden, Operations Supervisor | Office 638-3791 |
| | | Home 638-2199 |
| | William Driftwood, Public Safety | Office 638-3832 |
| | | Cell 620-2220 |
| | Suzette Nanto, Public Safety | Cell 620-1643 |
| | Source Refrigeration | 406-248-7843 |
| Phone System Down | Vodacom | 406-665-1992 |
| Phone Lines Down | Project Telephone | 800-275-6004 |
| | Quentin Whiteman, Project Telephone | |
13.300 PROCEDURES TO SAFEGUARD COMPUTER SYSTEM
In case of an emergency situation, the immediate steps to be taken are:
a. Immediately power-down the computer
b. In case of fire, use fire extinguisher to attempt to put out fire. A fire extinguisher is mounted on the wall next to the door of the computer room.
c. Immediately contact Computer Specialist and Operations Supervisor. See phone numbers above.
d. If time permits:
Remove current tapes
Detach Cables and Roll Cart Out
13.400 STEPS FOR CONTINUING OPERATIONS OF FINANCIAL SYSTEM
In case the current facilities/computer systems are destroyed or inoperable for a sustainable period, a plan is in place for a substitute facility/computer operation to be up and running within a short period. The following are the steps and/or plans in place:
a. Check Stock – A substantial amount of check stock is located at the First Interstate Bank of Hardin’s bank vault. We will be able to issue checks immediately without waiting for new check stock to be printed.
b. Computer System Back-up – Weekly electronic back-ups of our financial accounting system and electronically stored documentation of transactions are made and stored in a safety deposit box at First Interstate Bank of Hardin. Additionally, the actual financial software is stored offsite. This can be restored and running within a day.
c. Off-site Computer Systems – The Tribe has made arrangements with two separate facilities located in Billings, MT. We will use these facilities as temporary offices to run the Finance Department and any other needed departments or functions for the Crow Tribe until a permanent facility is secured.
CHAPTER 14
COMPUTER WORKSTATION BACK-UP
14.100 POLICY OVERVIEW
It is very important to be individually responsible for any computer files you create, maintain or store that is your responsibility under your employment position with the Crow Tribe of Indians. You must take steps to back-up this information, in case your computer or the network crashes or incurs a virus. This is for your protection, as well as, the Tribe’s. Please follow the directions below to make sure you are backing up your files on a regular basis.
14.200 WHERE DO YOU BACKUP?
There are three mechanisms for storing your data:
a. Jump Drive, Flash Disk, USB Storage
b. CD/R or CD/RW
c. To a folder on the server
You may choose the method you are comfortable with. Do not back-up to a floppy.
14.300 WHEN DO YOU BACKUP?
This depends on the frequency of changes to the files and the amount of effort, as well as, your comfort level. I would recommend at least a weekly back-up if not a daily back-up. You may want to back-up several times a day, if you are working on a big project.
Each Director should be responsible for collecting their department’s backup on a weekly basis. They should either turn in an occasional copy of the back-up to the IT department to be stored offsite. |
PROJECT
On 17 March 2014, Ezion Offshore Logistics Hub (Tiwi) Pty Ltd (the Proponent) submitted a Notice of Intent (NOI) for Port Melville to the Northern Territory Environment Protection Authority (NT EPA) for consideration under the *Environmental Assessment Act* (EA Act). The submission of the NOI was in response to the NT EPA’s decision to enact clause 7 of the Environmental Assessment Administrative Procedures (EAAP) and call for the formal notification of Port Melville under the EA Act.
Components of Port Melville had already been constructed when the NOI was submitted to the NT EPA. Construction continued while the NOI, and additional information received in response to requests from the NT EPA, were being considered. Consequently, the scope of the proposed action considered by the NT EPA is limited to components yet to be constructed in the lease area\(^1\) and the operation of Port Melville.
Port Melville is located on Melville Island, approximately 122 km north of Darwin, Northern Territory, and is situated on the Apsley Strait, immediately south of Barlow Point and the community of Pirlangimpi.
Port Melville provides for the export of woodchips and the shipment of equipment and supplies for other projects such as the construction and operation of oil and gas fields. The wharf infrastructure at Port Melville was constructed in 2013. The wharf is a floating concrete structure designed to withstand a category two cyclone and has an expected design life of five years.
Port Melville has been designed to accommodate the berthing of vessels up to 200 m in length. The projected monthly vessel movements (excluding pilot vessels) in 2015 is 23, increasing to 28.5 in 2019. Vessels entering and departing to the north of the Apsley Strait would navigate the marked channel between St Asaph Bay and Port Melville. Barges entering and departing to the south of the Apsley Strait would navigate the existing marked channel.
A range of on-shore support facilities and infrastructure has been constructed or is planned, including:
- laydown areas (11 000 m\(^2\) and 60 500 m\(^2\)) and woodchip stockpile area
- warehouse, workshop, office facilities, customs station
- biosecurity washdown and container inspection facilities
- accommodation camp (150 person)
- waste holding and transfer facility
- fuel farm (30ML capacity) and additional fuel storage infrastructure
- wastewater treatment plant with an associated 0.4 ha wastewater subsurface irrigation area.
Port Melville will continue to operate as a port into the foreseeable future, with upgrades dependent upon the changing needs of shipping movements and markets.
---
\(^1\) The area of land (being part of land) as shown on the plan attached to the lease held by the Proponent, together with all structures in and on the land.
CONSULTATION
The NT EPA consulted with Northern Territory Government (NTG) advisory bodies in accordance with clause 8(1) of the EAAP. The Proponent provided further information on a number of occasions at the request of the NT EPA, including an Operational Environmental Management Plan (OEMP) and sub-plans. The NT EPA also received information from the Australian Government Department of the Environment that had been provided to it to inform its consideration under the *Environment Protection and Biodiversity Conservation Act 1999* (EPBC Act).
JUSTIFICATION
Review of the documentation identified the following potential environmental impacts:
- the impact on marine megafauna from vessel collisions as a result of increased vessel movements
- the impact of artificial lighting on marine turtle nesting and hatchling activity
- the impact of water extraction on the supply of water to the community of Pirlangimpi
- the impact on the quality of freshwater (ground and surface) and marine ecosystems from port operations, including potential hydrocarbon spills, wastewater and erosion and sediment mobilisation
- the impact of construction activities on significant heritage items and places
- the impact on threatened species that may be present in an area proposed for land clearing
- the potential introduction of weed and marine pest species
- the impact of poor waste management.
Vessel movements
The operation of Port Melville will increase the number of vessel movements in and around the Apsley Strait, presenting a risk of collision with marine megafauna, in particular to marine turtles, cetaceans and dugongs. These species are protected under the EPBC Act and the *Territory Parks and Wildlife Conservation Act* (TPWC Act).
The marked channel between St Asaph Bay and Port Melville by which vessels would navigate through the northern entrance of Apsley Strait is largely in deep water. This section would provide marginal habitat for marine megafauna and therefore it is unlikely that significant populations of marine megafauna would aggregate or remain in the channel. The NT EPA considers that the main risk from vessel movements would be to individual marine megafauna traversing the channel and interacting with vessels.
The Proponent has committed to enforcing speed restrictions and using pilot-assisted navigation to reduce the risk of collisions with marine megafauna. The mitigation actions would apply to vessels in excess of 50 m using the northern entrance of Apsley Strait. A pilot would be on board these vessels between Port Melville and the pilot boarding station situated 30 km north of the Apsley Strait. These vessels would be restricted to an overall maximum speed of twelve knots and a specific maximum speed of six knots over Mermaid Shoal, and would be required to remain within the marked channel at all times.
Vessel masters would be required to report marine megafauna sightings and strikes if and when they occur to the Port Operations Manager. The Port Operations Manager would maintain a register of marine megafauna sightings and strikes. The Proponent has committed to undertaking a review of its procedures and implementing additional measures in response to vessel strike.
The NT EPA notes that the southern Apsley Strait is an established route and is used frequently by barges to service the local communities.
The NT EPA recommends that the Proponent apply for a permit to take or interfere with protected wildlife under section 55 of the TPWC Act. At the discretion of the Director of Parks and Wildlife, the permit should condition the movement of large vessels (>50 m in length) to and from Port Melville in a manner that requires:
- vessels to enter and exit the Apsley Strait only from the northern entrance
- vessels to be overseen by a pilot while travelling between Port Melville and the pilot boarding station
- vessels to not exceed a maximum of 12 knots when traversing between Port Melville and the pilot boarding station and 6 knots when navigating over Mermaid Shoal under normal operating conditions
- the Proponent to maintain a register of dugong, cetacean and marine turtle sightings and vessel strikes
- the Proponent to report any vessel strike to a dugong, cetacean or marine turtle to Marine Wildwatch within 24 hours of becoming aware of a vessel strike
- for any dugong, cetacean or marine turtle vessel strike, the Proponent to review procedures and, where appropriate, implement measures to minimise the risk of future vessel strikes
- the Proponent to submit an annual report to the Director of Parks and Wildlife that summarises data on all dugong, cetacean and marine turtle sightings and strikes and reviews the effectiveness of procedures to minimise vessel strikes and, where appropriate, describes additional measures to reduce the risk of future vessel strikes.
**Lighting**
The beaches surrounding Bathurst and Melville Islands provide highly significant nesting sites for marine turtles, in particular the Olive Ridley Turtle (*Lepidochelys olivacea*) and Flatback Turtle (*Natator depressus*). Changed light horizons associated with artificial light, such as those by Port Melville, presents a risk to marine turtle hatchlings and nesting adults resulting in disorientation. There is potential for artificial lighting to affect nesting activity and hatchling survival at nesting sites in the absence of suitable avoidance and mitigation measures.
The Proponent engaged an independent expert to undertake an assessment of the risks from lighting on marine turtles. The assessment included a review of the proposed avoidance and mitigation measures at Port Melville. Mitigation measures utilised include keeping lights low, shielded and aimed in a direction away from potential nesting sites. The assessment concluded that:
- measures adopted during night time vessel movements were adequate to avoid potential light impacts on nesting beaches
- light from Port Melville under the present conditions had no detectable impact on sea turtle nesting beaches.
The NT EPA is satisfied that the potential impacts of lighting from Port Melville on marine turtles are not significant and associated avoidance and mitigations have been appropriately considered.
Water extraction
The Proponent will extract water from a regional shallow, unconfined aquifer for the supply of water to Port Melville. The aquifer is connected to the Blue Water Creek spring, which is currently used to supply water to the community of Pirlangimpi. The aquifer is also part of a borefield protection zone, which is an area that the Power and Water Corporation intends to develop for future public water supply for Pirlangimpi.
The Proponent modelled the predicted groundwater drawdown at the Blue Water Creek spring and concluded that the operations at Port Melville would not result in a measurable impact at the spring. The NT EPA considers that it is appropriate for the Proponent to continue to monitor for the potential over-extraction of groundwater, including the evidence of aquifer drawdown and/or saline intrusion and consult with the relevant agencies in respect to water extraction.
The NT EPA recommends that the Proponent provide monthly groundwater monitoring data to the Department of Land Resource Management and the Power and Water Corporation. The monthly monitoring data should include, but not be limited to, details of monthly extractions, standing water levels and results from water quality monitoring, as well as any exceedances above trigger thresholds. The NT EPA recommends that the Proponent provide an interpretation of the data with respect to the sustainability of the aquifer.
Water quality
Wastewater
The production and handling of wastewater presents a risk to the environment in the absence of appropriate management and mitigation measures. The Proponent has prepared a Recycled Water Management Plan, which outlines the treatment and disposal process of wastewater at Port Melville. Effluent will be treated to Class B standard\(^2\) and disposed of within a designated 0.4 ha irrigation area.
The NT EPA recommends that the system for treatment and disposal of wastewater is designed and managed in a manner that avoids the discharge of pollutants to water through surface and groundwater flows.
Erosion and sediment control
The Proponent has prepared an Erosion and Sediment Control Plan (ESCP). The NT EPA has concerns that the ESCP is not fit for purpose in its current form, particularly during times of monsoonal and/or significant rainfall events. Given the imminent Wet Season, the NT EPA considers that the revision of the ESCP and adoption of adequate erosion and sediment control measures is a matter of priority.
The NT EPA recommends that the Proponent review and update the ESCP as a matter of priority and ensure that all erosion and sediment control infrastructure is installed before the commencement of the Wet Season. The updated ESCP must identify all permanent operational phase controls and be prepared by a suitably qualified professional.
Hydrocarbon Spills
The operation of Port Melville involves the storage and supply of a considerable amount of Diesel fuel. The impact of a spill on the environment could be significant in the absence of appropriate planning and management measures. The Proponent has constructed the fuel storage and transfer
\(^2\)Northern Territory Department of Health 2013, *Draft guidelines for wastewater works design approval of recycled water systems*, 1 November 2013. Available at: [http://www.health.nt.gov.au/Environmental_Health/Wastewater_Management/index.aspx](http://www.health.nt.gov.au/Environmental_Health/Wastewater_Management/index.aspx)
infrastructure in accordance with relevant Australian Standards\textsuperscript{3} and Code of Practice\textsuperscript{4} to reduce the risk of spills to the environment. Additional mitigation and management measures have been described in several documents and plans outlining how fuel is to be stored, procedures for fuel transfers and responses to emergency situations, including cyclones and hydrocarbon spills. The NT EPA has concerns that the documents and plans are not fit for purpose in their current form and would be difficult to implement in the event of an emergency.
The NT EPA recommends that the Proponent develop and centralise information pertaining to the storage of fuel, procedures for fuel transfers and responses to emergency situations, including hydrocarbon spills. It is essential that the document outline avoidance, mitigation and management measures for hydrocarbon spills, with appropriate emergency response measures. The document should be fit for purpose, current and accessible to all staff that would be required to undertake action(s) in an emergency situation.
**Other potential impacts**
The Proponent has committed to measures to avoid or mitigate other potential impacts. The NT EPA considers that these impacts can be appropriately managed through the implementation of proposed measures, compliance with regulatory requirements and standards, and the following recommendations from the NT EPA.
**Historic and culturally sensitive heritage**
The NT EPA recommends that the Proponent maintain an uncleared buffer of at least 100 m around the artefact sites identified as Crosby 62, 64, 66, 68, 71, 72, 73 and convict quarters.
**Land clearing**
The NT EPA recommends that the Proponent undertake pre-clearance and targeted surveys for threatened species prior to disturbing any vegetation associated with clearing activities. The pre-clearance surveys should be undertaken at an appropriate time to identify threatened species, and be undertaken by a suitably qualified expert that has demonstrated experience surveying for threatened species.
**Weeds**
The NT EPA recommends that the Proponent maintain a Weed Management Plan that provides for prescriptive measures for avoiding the introduction and spread of weeds and provides appropriate provisions for monitoring and reporting. The NT EPA recommends that the Weed Management Plan be approved by relevant Agencies.
**Biosecurity**
The NT EPA recommends that the Proponent maintain a Biosecurity Management Plan that outlines the measures for avoiding the introduction and spread of invasive terrestrial and marine species, and provides appropriate provisions for monitoring and reporting. The NT EPA recommends that the Biosecurity Management Plan be revised by a suitably qualified professional.
\textsuperscript{3} Standards Australia 2004, *Australian Standard AS1940-2004 - the storage and handling of flammable and combustible liquids risks associated with spills*, Standards Australia, Sydney.
\textsuperscript{4} National Fire Protection Association, 2015, Flammable and Combustible Liquids Code Handbook, National Fire Protection Association, Quincy MA.
Waste management
The NT EPA recommends that the Proponent consult with the Tiwi Land Council in respect of disposing of any wastes associated with the operation of Port Melville into local landfill and, if necessary, contribute to the ongoing management and upkeep of the facility.
Environmental management
The NT EPA recommends the Proponent review the OEMP, and sub-plans, at a frequency of not less than 12 month.
The NT EPA recommends that the Proponent publishes the current OEMP, and sub-plans, on its webpage not less than 14 days after it has been finalised. The current OEMP, and sub-plans, should be publicly accessible for the duration of the proposed action.
The NT EPA recommends that the Proponent undertake annual audits of operations at Port Melville and the implementation of the OEMP, and sub-plans. The NT EPA recommends that a suitably qualified independent auditor undertake the audits.
Changes to the proposed action
The NT EPA recommends that the Proponent take all reasonable measures to ensure that Port Melville is implemented in accordance with the environmental commitments and safeguards provided in the NOI and OEMP.
The NT EPA recommends that the Proponent advise the NT EPA of any changes to Port Melville, in accordance with clause 14A of the EAAP.
Summary
The NT EPA has considered the environmental risks associated with Port Melville. Environmental management of some of the risks has been identified in the NOI and additional information, while the remainder will be addressed through monitoring and management actions detailed in the OEMP and/or the granting of permits and approvals under separate legislation. The NT EPA considers that Port Melville can be managed in a manner that avoids significant environmental impacts provided that the commitments and safeguards detailed in the NOI, additional information and OEMP, and the recommendations provided here are implemented and are subject to regular monitoring, auditing and review.
DECISION
The environmental significance of the Port Melville project is such that a public environmental report or an environmental impact statement is not necessary and, subject to clause 14A of the EAAP, the administrative procedures are at end in respect of the proposed action. This decision is in accordance with clause 8(2) of the EAAP.
DR BILL FREELAND
CHAIR
NORTHERN TERRITORY ENVIRONMENT PROTECTION AUTHORITY
OCTOBER 2015 |
BEFORE THE
BOARD OF PHARMACY
DEPARTMENT OF CONSUMER AFFAIRS
STATE OF CALIFORNIA
In the Matter of the Accusation Against: Case No. 4586
RICHARD C. HWANG
18405 S. Vermont Ave., #101
Gardena, CA 90248
Pharmacy Technician Registration No. TCH 85004
Respondent.
DEFAULT DECISION AND ORDER
[Gov. Code, §11520]
FINDINGS OF FACT
1. On or about June 10, 2013, Complainant Virginia K. Herold, in her official capacity as the Executive Officer of the Board of Pharmacy, Department of Consumer Affairs, filed Accusation No. 4586 against Richard C. Hwang (Respondent) before the Board of Pharmacy. (Accusation attached as Exhibit A.)
2. On or about September 10, 2008, the Board of Pharmacy (Board) issued Pharmacy Technician Registration No. TCH 85004 to Respondent. The Pharmacy Technician Registration was in full force and effect at all times relevant to the charges brought in Accusation No. 4586 and will expire on October 31, 2013, unless renewed.
3. On or about June 20, 2013, Respondent was served by Certified and First Class Mail copies of the Accusation No. 4586, Statement to Respondent, Notice of Defense, Request for Discovery, and Discovery Statutes (Government Code sections 11507.5, 11507.6, and 11507.7) at Respondent's address of record which, pursuant to Business and Professions Code section 4100, is required to be reported and maintained with the Board. Respondent's address of record was and is:
18405 S. Vermont Ave., #101
Gardena, CA 90248
4. Service of the Accusation was effective as a matter of law under the provisions of Government Code section 11505, subdivision (c) and/or Business & Professions Code section 124.
5. On or about June 27, 2013, the aforementioned documents were returned by the U.S. Postal Service marked "No Forwarding Address." The address on the documents was the same as the address on file with the Board. Respondent failed to maintain an updated address with the Board and the Board has made attempts to serve the Respondent at the address on file. Respondent has not made himself available for service and therefore, has not availed himself of his right to file a notice of defense and appear at hearing.
6. Government Code section 11506 states, in pertinent part:
(c) The respondent shall be entitled to a hearing on the merits if the respondent files a notice of defense, and the notice shall be deemed a specific denial of all parts of the accusation not expressly admitted. Failure to file a notice of defense shall constitute a waiver of respondent's right to a hearing, but the agency in its discretion may nevertheless grant a hearing.
7. Respondent failed to file a Notice of Defense within 15 days after service upon him of the Accusation, and therefore waived his right to a hearing on the merits of Accusation No. 4586.
8. California Government Code section 11520 states, in pertinent part:
(a) If the respondent either fails to file a notice of defense or to appear at the hearing, the agency may take action based upon the respondent's express admissions or upon other evidence and affidavits may be used as evidence without any notice to respondent.
9. Pursuant to its authority under Government Code section 11520, the Board finds Respondent is in default. The Board will take action without further hearing and, based on the relevant evidence contained in the Default Decision Evidence Packet in this matter, as well as taking official notice of all the investigatory reports, exhibits and statements contained therein on file at the Board's offices regarding the allegations contained in Accusation No. 4586, finds that the charges and allegations in Accusation No. 4586, are separately and severally, found to be true and correct by clear and convincing evidence.
10. Taking official notice of its own internal records, pursuant to Business and Professions Code section 125.3, it is hereby determined that the reasonable costs for Investigation and Enforcement is $995.00 as of July 22, 2013.
**DETERMINATION OF ISSUES**
1. Based on the foregoing findings of fact, Respondent Richard C. Hwang has subjected his Pharmacy Technician Registration No. TCH 85004 to discipline.
2. The agency has jurisdiction to adjudicate this case by default.
3. The Board of Pharmacy is authorized to revoke Respondent's Pharmacy Technician Registration based upon the following violations alleged in the Accusation which are supported by the evidence contained in the Default Decision Evidence Packet in this case.
a. Respondent is subject to disciplinary action under section 490 and section 4301, subdivision (l) of the Code in conjunction with California Code of Regulations, title 16, section 1770 on the grounds of unprofessional conduct in that Respondent was convicted of a substantially related crime. Specifically, on or about May 24, 2012, Respondent pled nolo contendere to and was convicted of one misdemeanor count of violating Penal Code section 484(a) [theft] in the criminal proceeding entitled *People of the State of California v. Richard C. Hwang* (Super. Ct. of California, County of Los Angeles, 2012, Case No. 2SY02764). The court placed Respondent on probation for a period of three (3) years, with terms and conditions. The circumstances underlying the criminal conviction are that on or about January 29, 2012, Redondo Beach Police Department Officers ("Officers") responded to a theft in progress at an Albertsons in Redondo Beach, California. Officers made contact with Respondent and Respondent told the
Officers that he had stolen Rogaine from Albertsons. Officers observed two bulges in Respondent’s pants and removed two (2) bottles of Rogaine. Respondent admitted to having several bottles of stolen Head and Shoulders shampoo which he stole from an Albertsons in Gardena. Officers searched Respondent’s vehicle and recovered ten (10) bottles of Head & Shoulders shampoo in the back seat passenger side floorboard. While searching Respondent’s vehicle, Officers also located tin foil and rolled piece of stock paper, with black tar residue which resembled Heroin, on the driver’s side floorboard. Respondent admitted that he is addicted to Heroin and that he smokes Heroin.
b. Respondent is subject to disciplinary action under section 4301, subdivision (f) of the Code on the grounds of unprofessional conduct in that Respondent committed an act involving dishonesty when on or about January 29, 2012, Respondent took two (2) bottles of Rogaine from Albertsons without paying for it and possessed ten (10) stolen bottles of Head & Shoulders shampoo.
c. Respondent is subject to disciplinary action under section 4301, subdivision (o) of the Code on the grounds of unprofessional conduct in that Respondent violated provisions of the licensing chapter.
///
ORDER
IT IS SO ORDERED that Pharmacy Technician Registration No. TCH 85004, heretofore issued to Respondent Richard C. Hwang, is revoked.
Pursuant to Government Code section 11520, subdivision (e), Respondent may serve a written motion requesting that the Decision be vacated and stating the grounds relied on within seven (7) days after service of the Decision on Respondent. The agency in its discretion may vacate the Decision and grant a hearing on a showing of good cause, as defined in the statute.
This Decision shall become effective on October 25, 2013.
It is so ORDERED ON September 25, 2013.
BOARD OF PHARMACY
DEPARTMENT OF CONSUMER AFFAIRS
STATE OF CALIFORNIA
By STAN C. WEISSER
Board President
Attachment:
Exhibit A: Accusation
KAMALA D. HARRIS
Attorney General of California
GREGORY J. SALUTE
Supervising Deputy Attorney General
KATHERINE MESSANA
Deputy Attorney General
State Bar No. 272953
300 So. Spring Street, Suite 1702
Los Angeles, CA 90013
Telephone: (213) 897-2554
Facsimile: (213) 897-2804
Attorneys for Complainant
BEFORE THE
BOARD OF PHARMACY
DEPARTMENT OF CONSUMER AFFAIRS
STATE OF CALIFORNIA
In the Matter of the Accusation Against: Case No. 4586
RICHARD C. HWANG
18405 S. Vermont Ave., #101
Gardena, CA 90248
Pharmacy Technician Registration No. TCH 85004
Respondent.
Complainant alleges:
PARTIES
1. Virginia Herold ("Complainant") brings this Accusation solely in her official capacity as the Executive Officer of the Board of Pharmacy, Department of Consumer Affairs.
2. On or about September 10, 2008, the Board of Pharmacy issued Pharmacy Technician Registration Number TCH 85004 to Richard C. Hwang ("Respondent"). The Pharmacy Technician Registration was in full force and effect at all times relevant to the charges brought herein and will expire on October 31, 2013, unless renewed.
JURISDICTION AND STATUTORY PROVISIONS
3. This Accusation is brought before the Board of Pharmacy ("Board"), Department of Consumer Affairs, under the authority of the following laws. All section references are to the
Business and Professions Code ("Code") unless otherwise indicated.
4. Section 118, subdivision (b), of the Code provides that the suspension, expiration, surrender or cancellation of a license shall not deprive the Board of jurisdiction to proceed with a disciplinary action during the period within which the license may be renewed, restored, reissued or reinstated.
5. Section 490 of the Code states, in pertinent part:
“(a) In addition to any other action that a board is permitted to take against a licensee, a board may suspend or revoke a license on the ground that the licensee has been convicted of a crime, if the crime is substantially related to the qualifications, functions, or duties of the business or profession for which the license was issued.
(b) Notwithstanding any other provision of law, a board may exercise any authority to discipline a licensee for conviction of a crime that is independent of the authority granted under subdivision (a) only if the crime is substantially related to the qualifications, functions, or duties of the business or profession for which the licensee's license was issued.
(c) A conviction within the meaning of this section means a plea or verdict of guilty or a conviction following a plea of nolo contendere. Any action that a board is permitted to take following the establishment of a conviction may be taken when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal, or when an order granting probation is made suspending the imposition of sentence, irrespective of a subsequent order under the provisions of Section 1203.4 of the Penal Code.”
6. Section 493 of the Code states:
“Notwithstanding any other provision of law, in a proceeding conducted by a board within the department pursuant to law to deny an application for a license or to suspend or revoke a license or otherwise take disciplinary action against a person who holds a license, upon the ground that the applicant or the licensee has been convicted of a crime substantially related to the qualifications, functions, and duties of the licensee in question, the record of conviction of the crime shall be conclusive evidence of the fact that the conviction occurred, but only of that fact, and the board may inquire into the circumstances surrounding the commission of the crime in order to fix the degree of discipline or to determine if the conviction is substantially related to the qualifications, functions, and duties of the licensee in question.
As used in this section, 'license' includes 'certificate,' 'permit,' 'authority,' and 'registration.'"
7. Section 4301 of the Code states in pertinent part:
“The board shall take action against any holder of a license who is guilty of unprofessional conduct or whose license has been procured by fraud or misrepresentation or issued by mistake. Unprofessional conduct shall include, but is not limited to, any of the following:”
(f) The commission of any act involving moral turpitude, dishonesty, fraud, deceit, or corruption, whether the act is committed in the course of relations as a licensee or otherwise, and whether the act is a felony or misdemeanor or not.
(I) The conviction of a crime substantially related to the qualifications, functions, and duties of a licensee under this chapter. The record of conviction of a violation of Chapter 13 (commencing with Section 801) of Title 21 of the United States Code regulating controlled substances or of a violation of the statutes of this state regulating controlled substances or dangerous drugs shall be conclusive evidence of unprofessional conduct. In all other cases, the record of conviction shall be conclusive evidence only of the fact that the conviction occurred. The board may inquire into the circumstances surrounding the commission of the crime, in order to fix the degree of discipline or, in the case of a conviction not involving controlled substances or dangerous drugs, to determine if the conviction is of an offense substantially related to the qualifications, functions, and duties of a licensee under this chapter. A plea or verdict of guilty or a conviction following a plea of nolo contendere is deemed to be a conviction within the meaning of this provision. The board may take action when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal or when an order granting probation is made suspending the imposition of sentence, irrespective of a subsequent order under Section 1203.4 of the Penal Code allowing the person to withdraw his or her plea of guilty and to enter a plea of not guilty, or setting aside the verdict of guilty, or dismissing the accusation, information, or indictment.
(g) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of this chapter or of the applicable federal and state laws and regulations governing pharmacy, including regulations established by the board or by any other state or federal regulatory agency."
REGULATORY PROVISION
8. California Code of Regulations, title 16, section 1770, states:
"For the purpose of denial, suspension, or revocation of a personal or facility license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions or duties of a licensee or registrant if to a substantial degree it evidences present or potential unfitness of a licensee or registrant to perform the functions authorized by his license or registration in a manner consistent with the public health, safety, or welfare."
COST RECOVERY
9. Section 125.3 of the Code provides, in pertinent part, that the Board may request the administrative law judge to direct a licentiate found to have committed a violation or violations of the licensing act to pay a sum not to exceed the reasonable costs of the investigation and
enforcement of the case, with failure of the licentiate to comply subjecting the license to not being renewed or reinstated. If a case settles, recovery of investigation and enforcement costs may be included in a stipulated settlement.
**FIRST CAUSE FOR DISCIPLINE**
(Substantially Related Criminal Conviction)
10. Respondent is subject to disciplinary action under section 490 and section 4301, subdivision (l) of the Code in conjunction with California Code of Regulations, title 16, section 1770 on the grounds of unprofessional conduct in that Respondent was convicted of a substantially related crime, as follows:
11. On or about May 24, 2012, Respondent pled nolo contendere to and was convicted of one misdemeanor count of violating Penal Code section 484(a) [theft] in the criminal proceeding entitled *People of the State of California v. Richard C. Hwang* (Super. Ct. of California, County of Los Angeles, 2012, Case No. 2SY02764). The court placed Respondent on probation for a period of three (3) years, with terms and conditions. The circumstances underlying the criminal conviction are, as follows:
12. On or about January 29, 2012, Redondo Beach Police Department Officers ("Officers") responded to a theft in progress at an Albertsons in Redondo Beach, California. Officers made contact with Respondent and Respondent told the Officers that he had stolen Rogaine from Albertsons. Officers observed two bulges in Respondent’s pants and removed two (2) bottles of Rogaine. Respondent admitted to having several bottles of stolen Head and Shoulders shampoo which he stole from an Albertsons in Gardena. Officers searched Respondent’s vehicle and recovered ten (10) bottles of Head & Shoulders shampoo in the back seat passenger side floorboard. While searching Respondent’s vehicle, Officers also located tin foil and rolled piece of stock paper, with black tar residue which resembled Heroin, on the driver’s side floorboard. Respondent admitted that he is addicted to Heroin and that he smokes Heroin.
///
SECOND CAUSE FOR DISCIPLINE
(Unprofessional Conduct: Act Involving Dishonesty)
13. Respondent is subject to disciplinary action under section 4301, subdivision (f) of the Code on the grounds of unprofessional conduct in that Respondent committed an act involving dishonesty when on or about January 29, 2012, Respondent took two (2) bottles of Rogaine from Albertsons without paying for it and possessed ten (10) stolen bottles of Head & Shoulders shampoo. The conduct is described in more particularity in paragraph 12 above, inclusive and hereby incorporated by reference.
THIRD CAUSE FOR DISCIPLINE
(Violation of Licensing Chapter)
14. Respondent is subject to disciplinary action under section 4301, subdivision (o) of the Code on the grounds of unprofessional conduct in that Respondent violated provisions of the licensing chapter. The violations are described in more particularity in paragraphs 11 through 13 above, inclusive and hereby incorporated by reference.
///
PRAYER
WHEREFORE, Complainant requests that a hearing be held on the matters herein alleged, and that following the hearing, the Board of Pharmacy issue a decision:
1. Revoking or suspending Pharmacy Technician Registration Number TCH 85004, issued to Richard C. Hwang;
2. Ordering Richard C. Hwang to pay the Board of Pharmacy the reasonable costs of the investigation and enforcement of this case, pursuant to Business and Professions Code section 125.3;
3. Taking such other and further action as deemed necessary and proper.
DATED: 6/10/13
VIRGINIA HEROLD
Executive Officer
Board of Pharmacy
Department of Consumer Affairs
State of California
Complainant
LA2013508773
51270419.doc |
THE MOVIE MAKER'S WORKSPACE:
TOWARDS A 3D ENVIRONMENT
FOR PRE-VISUALIZATION
by
Scott Clark Higgins
B.S., Mathematics
University of California, Los Angeles (1987)
Submitted to the Program in Media Arts and Sciences,
School of Architecture and Planning,
in Partial Fulfillment of the requirements of the degree of
MASTER OF SCIENCE
in Media Arts and Sciences
at the
Massachusetts Institute of Technology
September 1994
© Massachusetts Institute of Technology, 1994
All Rights Reserved
Author
Program in Media Arts and Sciences
August 5, 1994
Certified by
Glorianna Davenport
Associate Professor of Media Technology
Program in Media Arts and Sciences
Thesis Supervisor
Accepted by
Stephen A. Benton
Chairperson
Departmental Committee on Graduate Students
Program in Media Arts and Sciences
MASSACHUSETTS INSTITUTE
OF TECHNOLOGY
OCT 12 1994
2
THE MOVIEMAKER'S WORKSPACE:
TOWARDS A 3D ENVIRONMENT
FOR PRE-VISUALIZATION
by
Scott Clark Higgins
Submitted to the Program in Media Arts and Sciences,
School of Architecture and Planning
on August 5, 1994
in Partial Fulfillment of the requirements of the degree of
MASTER OF SCIENCE
in Media Arts and Sciences
at the
Massachusetts Institute of Technology
Abstract
This thesis explores problems related to the use of 3D computer graphics environments for cinematic pre-visualization. Traditional 3D environments are difficult for moviemakers to use both because they are slow and the interface does not provide the moviemaker with an appropriate language for creating camera views.
The Moviemaker's Workspace was developed to explore a knowledge based solution to this problem. Central goals of the system were to provide a cinematically acceptable interface, and to the greatest extent possible to speed up the blocking of characters and action on the set. The solutions were tested by simulating a pre-visualization of the motion picture *Casablanca*.
The thesis work implemented three aspects of a pre-visualization interface. First, the system transcodes the familiar cinematic language into computer graphics views. Second, the system makes use of 2D video objects to simulate 3D characters. Finally, the system has limited knowledge about styles of cinematic scenes.
Thesis Supervisor: Glorianna Davenport
Title: Associate Professor of Media Technology
4
THE MOVIEMAKER'S WORKSPACE:
TOWARDS A 3D ENVIRONMENT
FOR PRE-VISUALIZATION
by
Scott Clark Higgins
The following people served as readers for this thesis:
Reader
V. Michael Bove, Jr.
Associate Professor of Media Technology
Program in Media Arts and Sciences
Reader
Douglas Trumbull
President
Ridefilm Corporation
6
Many people have helped in the creation of this thesis. I wish to thank them for their inspiration, support and guidance.
Andy Hong and Eddie Elliott deserve credit for getting me to the Media Laboratory in the first place: Andy for first telling me about the Lab; and Eddie for actually handing me the application.
Glorianna Davenport for allowing me the opportunity to study at the Media Lab, and giving me the time, resources and support to pursue the research described in this document.
My readers V. Michael Bove, Jr. and Douglas Trumbull for taking the time from their busy schedules to offer suggestions and insightful comments.
My officemate of the past two years, Lee Morgenroth. May we both always be able to travel and create movies, especially the two together.
Special mentions go to Steven Drucker and Ryan Evans for always having an answer to my questions, from where to find a good cheap restaurant in the North End to the mysteries of UNIX.
The members of the Interactive Cinema group who were always helpful whether it was to answer a question, to discuss the latest cinematic opus or for lunch: Kevin Brooks, Betsy Brown, Stuart Cody, Eddie Elliott, Ryan Evans, Tinsley Galyean, Mark Halliday, Gilberte Houbart, David “Kungtrinity” Kung, Tim Kwan, Lee Morgenroth, Mike Murtaugh, Takeshi Nitta, James Seo, Cyrus Shaoul, David Tamés, Natalia Tsarkova, Koichi Yamagata and Erh-hung Yuan.
The undergraduate researchers who assisted me with coding: Andrew Beechum and Shu-Horng (Douglas) Shieh.
Several people outside of the Interactive Cinema group have also provided me with invaluable assistance along the way: Bruce Blumberg, Michael “Wave” Johnson, Renya Onasick and Louis Weitzman.
The cast and crew of the *Casablanca* shoot, for all their efforts and patience: Andrew Beechum, David Tamés, Natalia Tsarkova (Ilsa) and Craig White (Rick).
Stuart Ng at the USC Warner Bros. Archive, and Leith Adams and Jeremy Williams at Warner Bros. for their assistance in obtaining set diagrams from the film *Casablanca*.
My family, mom, dad and Stephanie, who first introduced me to moving images and have always supported in whatever bizarre adventure I have chosen to pursue.
Dena, who has put up with the past two years and the 2612 miles between us: thank you for everything. (A promotional consideration was paid to United Airlines and MCI Telecommunications during the duration of this thesis.)
## Contents
1. Introduction 11
- 3D Pre-Visualization 11
- Modeling 13
- Interaction and Interface 13
- Cinematic knowledge 14
- Reader’s Guide 15
2. Pre-Visualization 17
- What is pre-visualization? 17
- Why is pre-visualization useful? 18
Current Methods of Pre-Visualization 18
- Storyboards 19
- Camera plan views 21
- Models 22
- Animatics 22
- 3D computer graphics and computer aided design 22
Principles of Pre-Visualization 23
- Speed 23
- Usability 24
- Reusability 24
3. Moviemaker’s Workspace: An Overview 25
- 3D Pre-Visualization 25
- Why is 3D pre-visualization difficult to use? 26
Cinematic Language 27
The Environment 29
- Camera Plan View 31
- Edit window 32
- Framing Window 33
- System Architecture 34
4. Background and Related Work 35
Background 35
- Virtual cameras 35
- Some computer graphics definitions 37
Related Work 38
- Intelligent Cameras 38
- Automated presentation 39
- Cinematic Style in a Computer Graphics Environment 39
- 3D Modeling 40
5. Video Objects 41
Video Objects Defined 42
Segmentation 44
Trade-Offs 44
Video Object Production 46
Limitations of Video Objects 46
6. Camera Framing & Motion 49
Shooting Scripts 50
Camera Framing 51
Close-Up 53
Medium Shot 54
Full Shot 54
Long Shot / Establishing Shot 55
Gaze Vector 56
Point of View (POV) Shot 57
Two Shot 58
$180^\circ$ Rule 58
Over the Shoulder Shot 60
Triangle System 61
Camera Motion 62
Tracking shot 62
7. Cinema Languages 65
Master Scene Cinema Language 66
Master Scene Template 67
Interpersonal Cinema Language 69
Interpersonal Template 69
8. Future Directions 71
Gesture 71
Interactive movies 71
Structured video 71
Production and post-production tools 72
9. Conclusion 73
References 75
1. Introduction
Cinema is moving images and sounds. How a moviemaker\(^1\) controls those images and sounds determines the type of experience the viewer will have. There are a plethora of options a moviemaker has at almost any point in the story: where to place the camera, should it be moving or static, should the actors remain stationary or move about, what should be revealed to the viewer, what should remain out of sight, and where should the scene be shot, to name a few.
Many of these decisions are determined before shooting begins. Because of the time and expense required to create motion pictures, much effort is spent before shooting begins to organize and plan the production. The process of planning, designing and conveying of images, sequences and scenes before their actual production is called pre-visualization. This thesis is concerned with how images are shaped and controlled during pre-production, or the planning stage, and how a moviemaker can pre-visualize a motion picture.
Traditionally, most pre-visualizations have been created by hand; storyboards, models and plan diagrams are generally designed to communicate the moviemaker’s ideas to the production crew and as a tool for firming up a director’s vision. Many moviemakers have had to express their ideas to a storyboard artist before they could be shown to the rest of the crew. This form of communication has been the traditional dynamic for expressing a director’s vision.
3D Pre-Visualization
As the speed and usability of computers increases, the nature of this conversational dynamic is changing the motion picture industry. During the post-production phase,
---
\(^1\) I use the term moviemaker to connote any creator of moving images in all temporal-based media, including, but not limited to, celluloid, video and digital media.
the stage after shooting which is mainly concerned with editing, computers have been used to create special effects and to assist in video editing. They are currently beginning to impact the pre-production phase as a pre-visualization tool. These early computer-assisted pre-visualizations typically involve a 3D model of a set or location, providing the ability to interactively position a virtual camera anywhere within the environment. Characters, usually in the form of 3D models, are then added to create an animation. These emerging tools allow moviemakers to experiment with scenes before their actual production and to increase effective communication among the crew. As technology progresses from hand-crafted tools to digital ones, a new conversational dynamic or paradigm needs to be created for interfacing with these new digital pre-visualization and motion picture production tools. This thesis describes one such 3D pre-visualization tool, the Moviemaker’s Workspace, which serves as a preliminary step in the creation of a new conversational dynamic in pre-visualization.
An example of the utility of pre-visualization can be found in the film *Citizen Kane*. Gregg Toland, the cinematographer for *Citizen Kane*, writes: “The photographic approach to *Citizen Kane* was planned and considered long before the first camera turned (Toland 1971).” Not every film can be a *Citizen Kane* of course, but certainly most films can benefit from pre-visualization. The problem is putting the appropriate tools into the moviemaker’s hands. Most contemporary pre-visualization tools are designed to communicate the moviemaker’s ideas to the production team; they are not designed to enhance creativity by allowing the moviemaker to explore new visual possibilities.
3D pre-visualization provides the moviemaker with improved communication with the production team. It enables the moviemaker to show the crew exactly the images that are to be produced, with less hand waving in an attempt to convey a moving image. These new tools also allow for increased communication between the various phases of a motion picture. Information can not only be passed on to the production crew, but also be used to assist in post-production and viewing. Traditionally, each stage of a motion picture starts off from scratch, not making much use of the information gained and collected in prior stages. These digital tools will not only
allow later stages to reuse information, but the later stages can be engaged earlier in the process.
3D pre-visualization can give moviemakers new tools, but it is difficult to use. The process of creating an environment, called modeling, is time-consuming and complex, especially when modeling human actors. *Video objects* are presented as a method for creating realistic and computationally efficient human models. Current 3D systems are more concerned with how to display images from an environment than enabling users to create specific output.
**Modeling**
The first step in using a 3D pre-visualization is to create a geometric model of the environment to be viewed. One of the more complex tasks in modeling is creating accurate and realistic models of the human characters. Most current models are either too complex – the time to model and render such images is too long, or the model is not realistic – resembling a collection of polygons more than a human actor. The Moviemaker’s Workspace uses still and video imagery to simulate the likeness of an actor, while maintaining some 3D information. These objects, called *video objects*, will be described in chapter five.
**Interaction and Interface**
One advantage of 3D pre-visualization is the ability to explore an environment before its actual production. This interactivity is one of the most compelling reasons to use such a system. The user can reposition the camera, change an actor’s blocking or add a new light, then see the resultant picture as fast as the computer can render a new image. This ability to interact with a likeness of the set before it is built enables moviemakers to make more decisions during the initial phase of pre-production. Interaction is an essential element of 3D pre-visualization. It provides a main motivation for using this type of tool.
This dynamic will require new methods of interfacing with 3D computer graphics systems. Thus far, most current 3D computer graphics systems developed have concentrated on how to give the viewer the ability to see all possible images within the environment rather than focus on how the user can view a desired image. Users can typically move on-screen widgets with a mouse or manipulate external devices,
such as a joystick or a head-mounted display, to navigate the 3D environment. While these navigation methods are suitable for exploring an environment, they rarely prove useful when trying to view a particular element of the environment. These methods cannot easily give the viewer an image of a desired object in response to a user’s request to look at a particular item (e.g. “show me a view of the apple”). If the user wishes to view a particular object with a joystick, they must manipulate the joystick to find the object within the environment. Not only is this method time-consuming, it can be frustrating as the user attempts to maneuver the view such that the desired object is in the correct position.
However, given the relation of pre-visualization to motion picture production, it seems logical to map a language more familiar to moviemakers to traditional computer graphics terms. These new digital tools will be placed directly in the hands of those in creative positions. In terms of motion picture pre-visualization, these people include directors, cinematographers, production designers and editors. In order to take advantage of the expertise of these users, a pre-visualization system should operate within their language, the language of the cinema. Cinema has developed a language for describing and controlling moving images. There also exists a body of cinematic knowledge that these expert users possess.
**Cinematic knowledge**
It is desirable to break away from the reliance on computer terminology. The typical computer animation program still is filled with terms from or relating to the mathematical derivations of the viewing transformation: scale, B-spline, clipping plane, transform and Gouraud shading. Hence, the development of a language more familiar to moviemakers, the language of the cinema, is an appropriate choice (e.g. close-up). This idea began as a way to find a mapping between the language of computer graphics and cinema that would make the use of a computer graphics environment simpler for pre-visualization.
One solution to this problem of usability is to incorporate the moviemaker’s cinematic knowledge. This thesis is concerned with the encoding of cinematic knowledge to make simpler the process of creating and using 3D pre-visualization. Encoding cinematic knowledge is the process of giving the computer information on the process of motion picture production. By giving the system knowledge of cinema, intelligent suggestions can be offered to the user. Creativity and productivity can increase while using a pre-visualization tool. This cinematic knowledge can be codified into a cinematic-like language, similar to the one that already exists in the motion picture industry.
Reader’s Guide
Chapter 2 discusses the notion of pre-visualization, what is it used for and why is it currently difficult. Current methods of pre-visualization and principles of pre-visualization are also listed.
Chapter 3 describes the design principles and salient features of the Moviemaker’s Workspace. The use of a cinematic language for simplifying the process of using a 3D pre-visualization is also explored.
Chapter 4 discusses some relevant background details about computer graphics systems and related research, particularly in 3D computer graphics.
Chapter 5 concerns methods for creating 3D models, including a strategy for creating characters for a 3D environment called video objects.
Chapter 6 discusses the issue of interacting with a 3D pre-visualization and the development of the Moviemaker’s Workspace interface, which uses a cinematic language for camera framing and motion.
Chapter 7 explores the advantage of using a high-level cinematic languages, such as master scene, to assist in pre-visualization.
Chapter 8 points the way for possible future directions of research.
Chapter 9 draws some conclusions on this thesis.
2. Pre-Visualization
In essence, visualization involves making something visible. In terms of motion pictures, visualizing a scene involves planning the images to be recorded. For the past century artists have been hired to draw the details of a scene. These images are translated into set design, camera angles, blocking of the actors, and the behavior of the camera. This process can be either as simple as setting up miniature figures in the dirt and getting down to eye level with them; or as elaborate as a recent Sony Image Works visualization for Columbia Pictures *Striking Distance* (Sanders 1993). In the film, a car chase sequence was recreated in exact detail as a 3D animation before the scene was shot, and then the visualization was replicated almost frame by frame in the final filmic version.
**What is pre-visualization?**
Any pre-visualization involves a series of trade-offs. Should all the scenes in the movie be considered, or just a few key ones? How much background detail should be included in these models? How many props should be included in the pre-visualization? How many of the characters are needed; just the primary ones, or each character in every scene? These variables must be weighed against the needs of the movie’s production. Storyboards, plan diagrams, shooting scripts, models and photographs are all used for pre-visualization. Videotape from handheld cameras, storyboards recorded using a computer-controlled camera, as well as commercial and found footage can be edited together to form a proof-of-concept tape. This tape, often called an animatic, is used to visualize ideas in moving images. Animatics are often used as an aid for getting approval or financing for a project. Pre-visualization as a tool is most effective when it allows the moviemaker to quickly and efficiently visualize a scene. Time spent using a pre-visualization tool is critical. Generally it is not used to evaluate performance, but rather to consider the logistics of the production and to plan the process of shooting. Camera placement, selection of background details and proof-of-concept are typical uses for pre-visualization.
Pre-visualizations are particular to the task they are trying to solve. A special effects sequence often requires more planning and visualizing than does a dialogue between two seated characters. Each film has its own needs for pre-visualization, considering films can range from large-budget Hollywood films to independent films produced all over the world. All moviemakers have the need for pre-visualization, but they also are all limited by the production constraints of time and money. In a perfect world, all scenes could be completely pre-visualized. Unfortunately, the demands of most production cycles will not allow this degree of planning with the current pre-visualization tools. Currently only the most elaborate and difficult scenes warrant the expense, in both labor and cost, to create a 3D model of a particular scene.
**Why is pre-visualization useful?**
Pre-visualization is the ability to translate a moviemaker’s ideas into a usable format for sharing with other crew members and for finding creative solutions for cinematic situations. In creating a film, or any series of moving images, the creators are confronted with many challenges. Primarily, these include how to articulate the moviemaker’s vision to the production crew, and how to most effectively and efficiently design and orchestrate the images that viewers will see. To this end, pre-visualization is a planning tool for moviemakers that enhances creativity, allowing them to see new visual possibilities by experimenting with the camera’s behavior, as well as other variables of the environment. Pre-visualization can be used to evaluate the production’s cost by highlighting expensive scenes, and to illuminate methods of reducing cost. The more planning and pre-visualization done before shooting begins, the more likely the whole experience will be cohesive and meaningful. By allowing moving image creators to visualize a production environment, creators gain the ability to refine their output before production has begun. Pre-visualizing special effects scenes, which often must be shot in one take, are especially useful. With only one chance to capture the scene, all aspects of pre-visualization must be worked out in advance of production.
**Current Methods of Pre-Visualization**
The notion of pre-visualizing a scene that will eventually be recorded is not a new practice. People have been attempting to pre-visualize films since the earliest days of
cinema. This stage of visualization does not have to be complicated, digital or elaborate. However the process must meet the needs of the moviemaker. It should convey some idea of the scene to be recorded and communicate the requirements of the scene to the production team.
**Storyboards**
The traditional method for conveying a moviemaker’s vision is with storyboards. Storyboards typically show a series of hand-drawn, still images representing salient details from a scene or sequence of moving images. Storyboards attempt to convey the shot flow of a scene, as well as the set design and editing. They are the standard method for communicating ideas about the images to the production crew. But storyboards are limited in what they can represent. Storyboards can only hint at showing camera or character motion. The main drawback of storyboards for pre-visualization is the lack of interaction. They do not permit the moviemaker to easily explore different camera angles and positions.
Figure 2. Storyboard. Harold Michelson’s storyboards for *The Graduate* (Katz 1991).
Camera plan views
Camera plan views are a common method of diagramming a scene with complex camera movements. Typically, it is a plan view of a set with a denotation of camera positions, camera motion, if any, and field of view markings for each camera. Each camera is indicated in its actual position within the plan view of the set. Usually the field of view, and hence the focal length of the lens, is indicated by lines showing what part of the set will be in view. If there is any camera motion, it is usually indicated by lines showing the path that the camera will take. Alfred Hitchcock is famous for his detailed camera plan views of scenes from his films.
Figure 3. Camera Plan View. This drawing is a camera plan view of the cropdusting sequence in Alfred Hitchcock’s North by Northwest. The numbers refer to camera positions with the two lines in the shape of a V representing the field of view for that camera (Hitchcock 1988).
Models
Miniature models of complex sets are a useful method for visualizing a set in three dimensions. Models are costly and time-consuming to produce, but they do allow a type of interaction impossible in storyboards. The moviemaker and production personnel can view the model from various positions to get a better understanding of the spatial qualities of the set.
Animatics
Animatics have become a common method of pre-visualizing moving images. They may take many forms. One version is to record storyboard images onto videotape with the length of time for each storyboard image equal to the shot length. If one has access to a computer-controlled camera, simple moves can be made on the still images of the storyboard to give the effect of what the motion may ultimately look like. A simple type of animatic involves capturing footage on a consumer video camera. These images can then be edited together to create the pre-visualization. Another type of animatic, often called a rip-o-matic in the advertising realm, is to edit together portions of found footage. Often this found footage can include the competition’s commercials, portions of movies and footage from a consumer camera.
3D computer graphics and computer aided design
3D computer graphics and computer-aided design (CAD) programs have allowed computer-savvy moviemakers to create interactive visualizations. By creating a 3D model of a set and adding representations for the actors, moviemakers can move the system’s virtual camera anywhere in the environment. These systems are still relatively new and are just beginning to gain widespread use. Paramount Pictures recently created a 3D model of the Addams mansion for the film *Addams Family Values*. A model plane dog fight sequence was not shot for the movie based on using this computer-assisted pre-visualization. Examples of commercial 3D modeling and animation applications include programs from Alias, SOFTIMAGE, Vertigo and Wavefront on the Silicon Graphics (SGI) platform; and StrataVision 3d and Virtus on the Apple Macintosh platform. These systems not only permit the user to see the image from a specified camera, but they can enable the user to interactively reposition that camera. The user can change the lens, or field of view, for example, and see the result on the screen. Animations with moving characters enable the user
to view the scene in motion. Since the computer can represent the three dimensions of the set, a moviemaker using such a system can perform a similar function to the camera on the set: the transformation from the set’s three dimensions to the screen’s two dimensions. The power of 3D pre-visualization lies in its ability to perform this transformation and make changes before the set has actually been built or any decisions have been formalized.
**Principles of Pre-Visualization**
It is useful at this stage to list some of the basic principles of a creating a useful 3D pre-visualization system. As more of the tools for cinematic production become digital, the entire motion picture process is heading towards becoming completely digital. To deal with this change, we need a new set of criteria for digital motion picture production, particularly pre-visualization. For pre-visualization to be effective, it should allow for quick and inexpensive experimentation, improved communication between crew members, and less expenditure of both time and money. To meet these goals, the following lists key principles which a 3D pre-visualization system should have.
**Speed**
Speed is usually the first quality that a user notices about a system. How many frames per second can the system render? How quickly can it turn my ideas into moving images? For pre-visualization, speed is a paramount issue, as measured in both rendering speed and the system’s ability to allow the user to create a series of images. In an ideal world, a computer graphics system could render 24 (film), 25 (PAL and SECAM video) or 30 (NTSC video) frames per second without any artifacts. Currently, frame rates on these orders are only possible with the simplest of models and at relatively low resolutions – 640 x 480 pixels is a commonly used image size with eight bits per color channel. Film resolutions can be up to 4000 x 4000 with 12 bits per color channel. While a pre-visualization system does not need frame rates or resolution to match the final image, there will always be pressure for a pre-visualization to come as close as possible to the performance of the final format. Moviemakers will want to see images that match the final format as close as possible.
Usability
Closely aligned with the issue of speed is the system’s usability. Usability, for pre-visualization, is the ease with which a user can create the desired moving images, including both the creation of the model and any animation, as well as the manipulation of the objects and cameras in the environment. All these different stages are essential so that moviemakers can easily translate their ideas into moving pictures. 3D pre-visualization systems will also need to enable moviemakers to quickly turn their ideas into moving pictures. These systems will be judged by how fast the users can take an idea and show it to someone else.
Reusability
An advantage to having digital data is its ability to be reused in other domains. By creating a model of the set and an animation, that information can be used by other personnel and be reused in stages of production. One current problem in motion picture production is communicating visual ideas to other members of the production team. 3D pre-visualization will not only facilitate a clearer means of communicating these ideas, but it will enable other personnel to make simple suggestions by manipulating or reorganizing the digital data. With the assistance of computer networking, the production designer, for instance, can be updating the set, while the cinematographer is working out complex camera moves on the same model. This information can then be used during production, for example, to assist in staging complex motion-controlled camera moves. In post-production, the digital data can be used during the generation of special effects. At the viewing stage, this information can be employed by new forthcoming television platforms that take advantage of structured, or model-based video.
3. Moviemaker’s Workspace: An Overview
As digital tools enter into greater use in the motion picture production process, a new dynamic will be created for their use. For example, editors are currently making the transition from actually cutting film to using digital non-linear editing systems. There will be a corresponding change in how pre-visualizations, and motion pictures themselves, are created as well. Traditionally, most pre-visualizations have been created by hand. The new digital tools will replace some of the drawing done by hand with machines. There is a need to create a new conversational dynamic between the machine and the moviemaker.
The Moviemaker’s Workspace presents a system that begins to bridge this new conversational dynamic by merging computer animation and motion picture production. In the past, merging these processes has meant simply the ability to create any moving images in a computer graphics environment. The Moviemaker’s Workspace, on the other hand, merges these two by incorporating cinematic principles into a traditional computer graphics environment. The system also combines the usually separate stages of animation and editing. In this sense, the system can be thought of as a creative environment for mixing pre-production planning with functions usually reserved for production and post-production. The user is able to animate characters, blocking, during the same phase as they are able to create a simple edit.
3D Pre-Visualization
A natural extension of 3D pre-visualizations is to *edit* with the 3D animation scene before production has begun. As an editor, I have been in editing suites with clients who still have little idea of what shape they want the piece to take even after they are in the editing room. Part of pre-visualization is the ability to visualize shot flow, or editing, before production begins. With the appropriate tools, the editing process can be started well before production. Many current productions have editors working on
material during production. These editors are working the dailies, or rushes, as soon as they can get the material; occasionally, they are on the set during production. 3D pre-visualization will only accelerate this process as editing continues to be initiated earlier in the production process. The ability to visualize shot flow with moving images before production enables moviemakers to visualize new forms of shot flow that might not have been apparent with other forms of pre-visualization.
This editing ability can also impact the production process itself. Currently most time during actual production on a feature-length motion picture is spent on lighting, arranging and adjusting the lights. Every time the camera is moved for a new set-up, the lighting must be changed. The number of set-ups is directly proportional to amount of time spent during production. One method of reducing cost is to limit the number of set-ups and coverage. Coverage is the process of shooting more versions of a scene than necessary. As some editorial decisions can be made prior to production, the amount of coverage or variations of a scene can be reduced. By refining the pre-visualization and pre-production processes, time, and hence money, can be maximized during production.
**Why is 3D pre-visualization difficult to use?**
As mentioned in the introduction, these current 3D pre-visualization environments are difficult to use for two main reasons. First, creating the geometric models is both time-consuming and difficult. Further, the ease of manipulating the objects in the environment and controlling the virtual camera’s behavior causes another problematic element. The latter difficulties, manipulating the objects and controlling the camera, is referred to as the user’s interaction with the environment. A key ingredient of any pre-visualization is time – both the time necessary to create the environment and the time necessary to use the system for generating and investigating the desired images.
Making 3D models is still a time intensive task. A model with any object more complicated than simple cubes requires both advanced knowledge of the modeling application and time to develop a realistic environment. Most current CAD applications are designed for creating complex and detailed models for engineering, drafting or industrial design purposes. Accordingly they contain features to meet those needs. The interfaces are designed for engineering purposes. They are not
designed for the rapid prototyping of sets for pre-visualization. Once a suitable rendition of the set has been created, the essential tasks remain of adding characters and motion. In current cinematic pre-visualization, these tasks are usually left for an assistant because of the degree of difficulty and time required to create human models and the animation. Since most modeling and animation applications are concerned with giving their users every possible feature, they are not well suited for a task of pre-visualization. Cinematic pre-visualization has some particular tasks that it is trying to solve. In pre-visualization, the moviemaker has extensive knowledge of cinema and is concerned with creating a series of moving pictures rapidly. The 3D pre-visualization user is less concerned with every detail of the model. Ideally, the user should be able to create a basic representation of the set with animated characters easily.
**Cinematic Language**
Just because the raw tools have become available to pre-visualize a scene in 3D does not mean that moviemakers will use them. The effort and time to interact with a 3D pre-visualization is still formidable. The task that the Moviemaker’s Workspace seeks to address is to reduce this time and effort spent creating and using the environment so that more time can be spent on creative, not technical, tasks.
In pre-visualization for motion pictures, a moviemaker often has a specific shot of a particular character in mind (e.g. “a shot of Rick”). The issue then becomes how does the system show the user the appropriate image. It is no longer sufficient just to allow the user to manipulate various widgets to find a particular image. The user needs a higher level method for navigating the environment. The system should act as an agent for the user in positioning the virtual camera. It would process a user request (e.g. “show me a shot of Rick”), and return an appropriate image. The user should not have to manipulate the virtual camera to see a particular image; the system should be able to display it for the user.
Over the past century, moviemakers have created and refined a vocabulary and grammar for describing moving images. Since this language was designed for cinematic images, it is well suited as an interface for describing images in a 3D environment, especially for use by moviemakers. Computer graphics has matured to
a point where other languages can be built on top it as an interface for other uses. By using such a language, a moviemaker can easily manipulate a virtual camera by employing an already known language. If a moviemaker can ask the system for a specific shot of a particular character (e.g. “close-up of Rick), as opposed to having to manipulate various widgets to get a similar result, the moviemaker has saved time and frustration. This process of allowing a 3D pre-visualization system the ability to understand cinematic terms is referred to as encoding cinematic knowledge.
**Figure 4. Mapping Cinematic Terms to Computer Graphics Terms.**
This cinematic language can be used as a shorthand for moviemakers when using a 3D pre-visualization. This language also allows for fluid interaction with an environment and the rapid ability to test new ideas. The notion is to build an interface which suits both the task to be solved and the user who will interact with the system. In creating a pre-visualization tool for motion pictures, the interface should operate in the language of cinema.
The Environment
Figure 5. The Interface of the Moviemaker’s Workspace.
To demonstrate these ideas, the Moviemaker’s Workspace uses an animation of a scene from *Casablanca* as a sample environment. The scene takes place in Rick’s (Humphrey Bogart) apartment in Casablanca in which Ilsa (Ingrid Bergman) utters her famous line of “I tried to stay away.” The set was modeled from blueprints of the actual set and simulates pre-visualizing a scene. Blueprints were acquired from the Warner Bros. Archive, School of Cinema and Television, University of Southern California, for the purpose of realizing a pre-visualization of a major motion picture. For non-moviemakers, it is important to notice the degree of detail in this blueprint.
Figure 6. Blueprint for *Casablanca* Scene. Courtesy of Warner Bros., from the Warner Bros. Archive, School of Cinema and Television, University of Southern California.
The Moviemaker’s Workspace currently consists of four parts. All are designed to work together to allow for fast and simple pre-visualization. The parts are the camera plan view, timeline, the framing window and an output window, which displays the resultant images. The Moviemaker’s Workspace is a simple 3D computer graphics environment with many features specialized for pre-visualization. The following sections detail some salient features of the Moviemaker’s Workspace.
**Figure 7. Sample Output of the Moviemaker’s Workspace.**
**Camera Plan View**
“To translate scenes from script to pictures … we need solutions for the editorial problems that will arise in different situations. To achieve this we must control two things: 1) The distance from which we record the event 2) The motions of the subjects performing that event (Arijon 1976).” These two tasks, positioning the camera and moving the characters, are the main goals of the Moviemaker’s Workspace’s camera plan view. The camera plan view is an interactive version of a standard camera plan view of the set or location. The square boxes in figure 8 represent a camera’s position with the arrows representing the direction that the camera is facing. Similar to the Hitchcock’s camera plan diagram, the two lines on
either side of the arrow represent the field of view, and hence focal length, for that particular lens. The exact lens length can be read from the focal length slider.
**Figure 8. Camera Plan View.**
Unlike traditional camera plan views, this view enables the user to relocate the camera by *clicking* on the box representing the camera and placing it in the desired location. The output is updated as fast as the workstation can render the new image. A new camera can be created by *double-clicking* on the plan view where the user would like to place a new camera. The new camera is framed pointing towards the desired character and such that the top of the character’s head is centered near the top of the frame. The camera plan view also enables moviemakers to move the characters by simply placing the dot representing that character in the new location. The user can create a path for the character by drawing a path for the character to follow.
**Edit window**
The editing window contains a timeline that permits moviemakers to create simple edits. The units of the timeline are frame numbers, not time. The creation of a time-based computer animation rendering system is beyond the scope of this thesis. The Moviemaker’s Workspace uses a simple frame-based animation scheme. The user is
able to create a list of camera positions and the frames over which each camera position is valid. The color code in the timeline window matches the color of the camera in the camera plan view. In this manner, the user can create an edit in a manner similar to working with a non-linear edit system.
Figure 9. Editing Timeline.
Framing Window
The framing window allows the user to set-up new shots. It enables the user to navigate the environment by using the standard camera framing terms, such as close-up and long shot. Camera framings will be defined and discussed in chapter six. Rather than manipulating on-screen widgets, the user is able to generate a shot based on the size of the character desired. The user can also choose from various aspect ratios, the ratio of the width to the height of the image: standard 16mm, 35mm academy aperture and television (the screen’s width is 1.33 times the screen’s height, or 1.33:1); European wide screen (1.66:1); US wide screen (1.85:1); 70mm (2.2:1) and Panavision, anamorphic (2.35:1). All examples of the system output in this document are in 1.85:1. Moviemakes can also set the direction that the character to be viewed is facing, as well as the lens to be used.
Figure 10. Framing Window.
System Architecture
In the early 1990's, David Zeltzer, director of the Computer Graphics and Animation group at the Massachusetts Institute of Technology's Media Laboratory, began developing tools which would enable the eventual merging of 3D computer graphics and cinema. Under his direction, the group created the underlying architecture of the Moviemaker's Workspace. This technology includes 3d, the rendering environment used by the Moviemaker's Workspace (Chen 1992). 3d is an interactive computer graphics environment that handles many of the standard viewing transformations. 3d and computer graphics environments similar to it are just beginning to mature to the point where cinematic languages can be built on top of them to allow for pre-visualization.
3d has a built-in interpretive language, Tcl (tool command language) (Ousterhout 1994), and other built-in rendering and mathematical functions. Tcl is an embedable, interpretive, application-independent language. Tk (toolkit) is its companion object-oriented interface builder for X/Motif. The combination of these two tools has allowed for rapid prototyping of the Moviemaker's Workspace.
4. Background and Related Work
Moviemakers can take advantage of 3D computer graphics capabilities to create interactive pre-visualizations. In order to create a dynamic system for this use, we must first understand the fundamentals of a 3D computer graphics environment. A computer graphics environment is an interactive, graphically rendered display which is associated with a geometric model. In 3D pre-visualization, this geometric model represents the set or location. A basic function of a computer graphics environment is to display a 2D projection on the screen from a specified position in the 3D environment. In this sense, a computer graphics system performs a 3D to 2D transformation, similar in principle to the transformation that a film or video camera performs in a studio or on location. Hence this transformation or mapping is often called a virtual camera.
Background
Virtual cameras
The camera model that the Moviemaker’s Workspace system uses is a function of seven variables: world space position \((x, y, z)\), azimuth, pitch, roll, and field of view (fov). There are, of course, other camera variables: depth of field and motion blur, for example. The Moviemaker’s Workspace system uses an idealized camera, a pin-hole camera. With the camera aperture set to a pin-hole, the depth of field is infinite; everything is in focus. While this limitation does reduce the resolution of the final output, the resulting image is still a useful representation. To implement a camera model with depth of field would slow down the rendering speed of the system. The use of depth of field is a trade-off between performance and realism, a constant source of friction in creating a 3D pre-visualization. Motion blur, or a model of a camera’s shutter speed, was intentionally omitted from the model for similar performance reasons. Another variable of the virtual camera is the aspect ratio of the
screen image. The Moviemaker’s Workspace allows the user to choose from a range of standard aspect ratios.
**Figure 11. Virtual Camera Model.** (Drucker 1994).
Virtual cameras also have some other differences with their actual camera counterparts. Virtual cameras can move through walls. They also are not bound by the limitations of traditional camera support equipment, such as dollies and cranes. While some of these differences could prove to be disconcerting if actually filmed, virtual cameras offer the advantage of the ability to view a set from any location.
Many standard cinematic terms for moving a physical camera are elastic. Their definitions can change depending on who is using them or the situation in which they get used. In the computer graphics virtual camera model, some of the standard cinematic terms have been slightly altered for more precise definitions. The following table illustrates standard cinematic terms and the virtual camera equivalent.
| Term | Cinematic Definition\(^2\) | Computer Graphic Definition |
|--------|-------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|
| Pan | Movement of the camera from left to right or right to left around the imaginary vertical axis that runs through the camera. | Rotation of the virtual camera about its vertical axis. |
| Tilt | The camera [moves] up or down, rotating around the axis that runs from left to right through the camera head. | Rotation of the virtual camera about the axis running laterally through the camera head. |
| Roll | The movement of the camera around the axis that runs longitudinally from the lens to the subject. | Rotation of the virtual camera about the axis running through the lens. |
| Dolly | A shot taken from a moving dolly. Almost synonymous in general usage with tracking shot. | Translation of the virtual camera along the axis running laterally through the camera head. |
| Truck | Generally, any shot in which the camera moves from one point to another either sideways, in or out. | Translation of the virtual camera along the axis running through the lens. |
| Crane | A shot taken from a crane, a device resembling cherry pickers used by the telephone company to repair lines. | Translation of the virtual camera along the vertical axis. |
| Zoom | A shot using a lens whose focal length is adjusted during the shot. | Changing the field of view, or focal length, of the virtual camera. |
**Table 1. Cinematic and Computer Graphics Terms Compared.**
**Some computer graphics definitions**
Similar to the seven variables described above, the \(vp\), \(vn\) and \(vu\) can describe a virtual camera’s position and orientation in a computer graphics environment. The viewpoint (\(vp\)) is the position in world space in which the virtual camera is located; the x, y, and z of the virtual camera variables. The \(vp\) is analogous to the location of the film plane in a traditional motion film camera. The view normal (\(vn\)) is the direction the virtual camera is pointing. This can be computed from the azimuth and
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\(^2\) All cinematic definitions from (Monaco 1981).
pitch. The final term for defining the virtual camera is the view up (vu), or the direction of the up vector. The vu can be calculated from the azimuth, pitch and roll.\(^3\)
**Related Work**
**Intelligent Cameras**
Most 3D computer graphics systems allow the user to navigate through an environment by moving a virtual camera by means of some onscreen widget or an external device, such as a mouse. These methods are more concerned with how the user sees all possible views than how the user sees the one item that the user wants to view. Some recent research has been directed toward creating intelligent cameras, that is, a virtual camera that can find the position and orientation in the environment allowing the user to see the image that they wish to view.
The system described by Gleicher and Witkin (1992) allows the user to position the camera by dragging on a perspective view of the character on the screen. Instead of repositioning the character, the camera is moved so that the character is placed in the desired position. Blinn (1988) describes a method for keeping a foreground object (a spaceship) and a background object (a planet) both within the frame during a camera fly-by.
The CINEMA system permits procedural control of a virtual camera (Drucker 1992). It allows the user to create scripts, or software modules, for controlling a virtual camera within a computer graphics environment. CINEMA has two main weaknesses. First, the scripts that are created are not generalizable for other camera behaviors. Scripts in CINEMA do not permit the user to reuse portions of previous scripts to create new camera behaviors. Second, most moviemakers want more direct control of an environment than writing scripts allows.
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\(^3\) For a more complete discussion of these terms and the derivation of the standard computer graphics viewing transformation, see (Foley 1990).
Drucker has created a generalizable routine that maps a point within a 3D environment to a point on the screen. Drucker (1994) uses an optimization technique called feasible sequential quadratic programming (fsqp) that allows for general constraints on the desired behavior of the camera. This algorithm enables the system to present the viewer with an image based on user-definable parameters. Rather than having the user manipulate various widgets, the viewer can instruct the system to display a particular image or element of the environment.
**Automated presentation**
Automated presentations based on 3D models present the viewer with a continuous playout based on some user input. For example, automated presentations can be used to give a viewer information about using a particular piece of equipment. These systems generally make decisions about image framing, camera movement and the selection of material to be shown. Karp and Feiner (1990) developed ESPLANADE as a testbed for their rule-based automated presentations of animations. They incorporate such cinematic principles as multiple viewpoints and continuity. Other systems have been developed to display elements of a 3D illustration relying on design rules (Seligmann 1991). Though these presentations do not allow for user interaction, they do begin to emphasize the importance of presenting the user with visual information based on the user’s need or desire.
**Cinematic Style in a Computer Graphics Environment**
There have been some previous attempts to incorporate a cinematic style into a computer graphics system. Magneanat-Thalmann and Thalmann (1986) describe a system which incorporates cinematic terms such as panning and zooming into a model for a virtual camera for use in special effects generation. Others have created models for traditional optical camera variables such as motion blur and actual camera motion, such as camera head friction (Sturman 1989; Watchman 1989). This correspondence between cinematography and computer graphics terms is a necessary step to create a higher level language of the cinema in computer graphics.
These preceding methods modeled physical camera parameters. Alternatively, Lasseter (1987) attempts to draw upon traditional cinematic principles and apply them to computer animation. He discusses the use of traditional Disney 2D animation principles in computer animation. He lists many traditional animation
principles such as *squash and stretch, anticipation, slow in and out*, and *exaggeration* (Thomas 1981), and describes their adoption to the computer animation process. He describes both the use of these principles in service to furthering the story of the animation and how these techniques can be applied to computer graphics in particular as demonstrated in *Luxo Jr.*. Lasseter has not created a system that actually incorporates these animation principles, but he is one of the first researchers to list guidelines for good computer animations based on cinematic principles.
**3D Modeling**
One of the more difficult aspects of creating a 3D pre-visualization is creating the model. Many researchers are exploring methods for simplifying this process by using 2D images. Azarbayejani (1993) and Broida (1990) both describe systems for semi-automatically creating 3D models from video. Becker (1994) details a procedure for creating a model from 2D still images. Holtzman (1991) describes another technique for exacting 3D data from video information. These different model creation methods are beginning to simplify the process of creating a 3D model of a set or a location.
Creating realistic images that resemble the final output while still maintaining speed and usability is critical to the usefulness of 3D pre-visualization systems. The closer the pre-visualized images are to the final ones, the more powerful the pre-visualization can be. The balancing act in all pre-visualization is between speed, utility and high resolution reproduction of the desired images. Each project seeks its own balance between these goals. Certain details do remain constant: the need for faithful reproduction of the salient details and ease of use.
The single most important image in most cinematic storytelling is the human face – its expressiveness reveals much. Yet the human form, particularly the face, is one of the most difficult images to display in computer graphics. Finding methods for representing the human form is a current research topic in computer graphics. Photorealistic renderings of human forms require complex models and processor-intensive rendering. These models are typically on the order of 10,000+ polygons or surface patches. The models are also complex and time-consuming to produce. All of these factors limit the use of 3D models in pre-visualization. 3D models which are appropriate for pre-visualization are typically on the order of hundreds of polygons. Even if a 3D model of this resolution could be called up from a library, without taking time to create it, the image nonetheless suffers from poor reproduction. Such low polygon count models simply do not look like the actor that they are supposed to represent.
Since displaying the human form (particularly the face) is crucial to narrative film, finding a simple yet effective method for displaying the human form in a pre-visualized environment is critical. This thesis proposes to approximate the human form with video imagery. The introduction of video objects into the 3D environment were created to meet these requirements. Video objects make use of texture map memory available on computer graphics workstations. This memory can be used to paste images stored in the computer’s memory onto surfaces within a 3D
environment. Texture map memory is a simple method for creating realism in a 3D image in a computationally efficient manner. Using this form of memory, the Moviemaker’s Workspace can display images without having to compute the complex polygonal structures of standard 3D models. While texture map memory is still a relatively recent development in computer graphics workstations, its availability is increasing, especially in computer game-playing machines. 3DO’s game-playing machine, manufactured by Panasonic, has 1 MB of texture map memory, and forthcoming machines from Nintendo, Sony and Sega are expected to include texture map memory as well. With the rise of texture map memory in game-playing systems, greater use of this element in workstations and personal computers should follow.
**Video Objects Defined**
Video objects are a series of still images of an object recorded from multiple perspectives and stored as texture maps. In addition, each image has an appropriate matte, or alpha, channel stored as part of the video object, which only allows the relevant part of the texture map to be displayed. A video object also includes a normal, a vector representing the direction that the video object is facing. Video objects are typically created by rotating an object about its vertical axis and taking *snapshots* of the object at regular intervals. For example, in order to create a video
object of 8 images, these snapshots would be taken every 45 degrees. Within the 3D environment, a video object is texture mapped onto a four-sided polygon, which then can be scaled to the appropriate size. The polygon is rotated about its vertical axis such that it always faces the virtual camera.
The Moviemaker’s Workspace determines the appropriate image to display by computing the angle between the viewing angle (vn) and the normal of the video object. The system then rotates the polygon to face the virtual camera and composites the image whose angle most closely matches the angle between the vn and the normal into the 3D environment using the matte channel. A simple method for creating the matte channel is to place the object against a blue or green background and chroma key out, or remove the color from, the background to create the matte channel.
**Figure 13. Video Object.** The system computes the angle between the virtual camera’s viewing angle (vn) and the object’s normal, or direction that it is facing, and displays the resultant image. In this instance, that angle is $120^\circ$. Thus, the system displays the image which corresponds to $120^\circ$.
Since video objects are composed of pictures rather than polygons, they resemble their original subject more than 3D models. This advantage enables the system to produce images which more closely resemble the final output than low-resolution 3D models. This realism increases the value of the pre-visualization by displaying a more
detailed image. Using the traditional 3D models for human characters gives the moviemaker images filled with boxy creatures. Also video objects cost the rendering engine only one polygon to have to compute. Coupled with the employment of texture map memory, video objects give the user both increased realism and performance.
**Segmentation**
One limitation of video objects is that they have no inherent segmentation. For example, the system does not know where the shoulders of a video object are. To address this concern, a simple segmentation file is created for each video object, which becomes part of the video object. This segmentation file contains the position of the center of the top of the head, shoulders, waist, and bottom of the feet. This segmentation file proves valuable when creating different size shots of the video objects. With this information, for example, the system can display a head to toe shot of a video object.
**Trade-Offs**
Video objects require the creator to balance a series of decisions. Texture map memory is limited. So choosing the appropriate number of images and resolution is important for maximizing the texture map memory. The most common number of images used to create a video object is sixteen. These sixteen images allow the system to present enough images of the original object to convey a sense of the original object’s three-dimensionality. This type of image is often called 2 1/2 D, since it represents a 3D object with a series of 2D pictures. Another consideration is the size or resolution of the images. At 128 x 128 pixel size, a four channel (one eight bit channel for each of the red, blue, green and alpha channels) texture map takes up 64 Kilobytes. A series of sixteen such images requires one Megabyte (MB) of texture map memory.
A further consideration is whether the video object should convey motion. The video object can hold a series of images from each angle which, when displayed in succession, show the video object in motion. For example, to show a character
walking, the system could have a series of images taken from each angle with each individual image displaying a different phase of the character’s gait.
**Figure 14. Four Different Resolution Video Objects.** Clockwise from the upper left, the resolutions of the texture maps are 512, 384, 256 and 128 pixel squares.
This range of variables (size, number of angles and motion) provides the user of the Moviemaker’s Workspace with many options from which to choose the best fit for
the project. In testing, the 128 x 128 pixel texture maps are only good for showing the whole body. There is not enough resolution to see facial detail. The amount of facial detail required will vary from project to project, but in testing, detail is usually more important than motion. The test environment for the Moviemaker’s Workspace uses video objects of 512 x 512 pixels of 16 different angles. A 512 x 512 video object, for example, requires 2 MB per full-color image (1 MB for black and white) for a totaling 32 MB for a 16 image video object. This increase in resolution provides much clearer images, but it comes at the price of texture map memory.
**Video Object Production**
The creation of video objects is simple. The name video objects is a holdover from their original production method, where the images were digitized from video footage. In the first generation, a Hi8 video camera was used to capture a football player running in place in front of makeshift blue screen, plywood painted with chroma key blue. The background is easily removed in a graphics processing application. To increase the resolution of the video objects, 35mm film was then used as an acquisition medium. The 35mm film was transferred to PhotoCD for import into the digital environment. A digital camera would be an even simpler method of acquisition. As more video objects are used, a library of images will be created. This library can consist of not only pictures of characters standing, but also of characters engaging in various tasks, such as writing and jumping, or whatever action a character is required to perform.
**Limitations of Video Objects**
Video objects cannot display all views of the character they represent. Typically they are comprised of only sixteen different views. Each view then represents $22.5^\circ$ around the character, thus many different views are not included. If the user wishes to see a view in between one of these sixteen, it is simply not available. Also, video objects have no facility for handling shots from directly below or above. Since a shot from directly below is rarely used, this limitation does not hinder the usefulness of video objects. Video objects can display usable images for shots from above for all except
directly above the object. For video objects to display motion, they require large amounts of texture map memory.
The Moviemaker's Workspace
6. Camera Framing & Motion
MEDIUM SHOT OF MARIAN . . . POV INDY
AS MARIAN PUTS HER COLD SHOT GLASSES TO HEAD, A SHADOW LOOMS OVER HER.
INDY (offscreen)
Hello Marian
MARIAN
Indiana Jones. ([crosses] TO HIM) I always knew that you’d come walking through my door.\(^4\)
The preceding excerpt is from a modified shooting script from *Raiders of the Lost Ark* in which Indiana Jones (Indy) first meets Marian. A shooting script is a form of the script that has been approved by the director and producer and is used as a guide during production. It usually includes scene numbers, framing information, prop details and often character and camera movement. It is important to notice the primacy given to the camera framing, the size of the image’s main object. The first detail in describing the scene is the camera framing: “MEDIUM SHOT OF MARIAN.” Camera framings are a succinct way of describing the size of the primary object in an image. Most people are familiar with the basic descriptions of close-up, medium shot and long shot. If we add to this list close shot and full shot, we have
---
\(^4\) (Richards 1992).
what many people consider the five basic camera framings, or cuttings. These shot descriptions are elastic. Directors often speak of a long shot of a building or a close-up of a watch. In general, these terms are used to describe boundaries of the human figure. For example, a medium shot is usually considered to be a framing of an actor from slightly above the head to just below the waist. Even here the terms are elastic. One director’s medium shot will not exactly match another director’s. A medium shot can be relative to a series of shots where the term medium shot refers to the framing which is in between a closer shot and a longer one.
The traditional breakdown of a motion picture is into frames, shots and sequences. The fundamental visual element of motion pictures is a frame. A frame displays a state of an animation at a particular time. It is a single image, whether it is a single frame of motion picture film, a pair of interlaced video fields or a frame of computer animation. If the frames are displayed at a sufficient rate, the illusion of motion is achieved. For motion picture film, this rate is 24 frames per second (fps) for the recording of the image, and 25 or 30 fps for video. For projecting film, each image is then typically displayed twice for an effective rate of 48 fps. The most basic unit of expression in a cinematic language is the shot, a temporal stream of frames. A shot is defined as “consist[ing] of one or more frames generated and recorded contiguously and representing a continuous action in time and space (Davenport 1991).” Shots can be further grouped together to form a sequence. Terms such as close-up typically refer to both the image size of the primary object and to a shot, a series of frames, in which the primary object is framed in that manner. For the purpose of using shot framings in the Moviemaker’s Workspace, they refer to a framing of an individual frame.
**Shooting Scripts**
When one reads a shooting script, most people create images in their head to match the descriptions in the script. The form and language of a shooting script are designed to evoke moving images with words, making use of cinematic language. This use of language to describe moving pictures served as motivation for creating a cinematic language for navigating a 3D environment. The Moviemaker’s Workspace
attempts to allow the user to interface with the system using the language found in shooting scripts to describe both character and camera motions.
**Camera Framing**
The standard method for describing a shot is determined by its framing. Since much of the language of describing a shot is based on camera framings, it seems natural to start building a cinematic language on the basis of standard camera framings. In creating a pre-visualization, the Moviemaker’s Workspace system uses these shots as the basic units for creating a continuous playour. To create these fundamental elements, we need to develop a mapping between the general cinematic definition of a shot and the representation within the computer graphics environment.
The elastic cases of camera framing aside, there is some agreement on the general definitions for the camera framing of human figures. For use in the Moviemaker’s Workspace, the general agreement as defined by some elementary texts on filmmaking are used as a starting point for defining a method of generating camera framings (Arijon 1976; Katz 1991; Thompson 1993).
As discussed in chapter three, one of the goals of the Moviemaker’s Workspace system is to serve as an *assistant* in creating a pre-visualization. To this end, generating a camera position with the desired framing can be thought of a means of navigating a 3D environment. In this model, the user gives the system a request for a particular image (e.g. “close-up of Rick”). The system then applies an optimization routine to generate a virtual camera position which yields the desired image. The following sections detail some examples of applying this model of interaction to framing characters in a computer animation using standard cinematic terms.
Framing Heights
Extreme Close-up
Medium Close-up
Full Close-up
Wide Close-up
Close Shot
Medium Close Shot
Medium Shot
Medium Full Shot
Figure 15. Framing heights. (Katz 1991).
Close-Up
With the growth of television and its small picture area as compared to a projected film, the close-up (CU) has grown in importance. In Joseph V. Mascelli’s *The Five C’s of Cinematography*, he calls the close-up one of his five Cs. Close-ups are used to bring the viewer closer to emotions of the character. The standard definition of a close-up is a shot that encompasses the entire head with some room at the top of the screen above the top of head, called head room, and showing some of the shoulders. There are many different flavors of close-ups: extreme close-up, medium close-up, wide close-up and the close shot.
**Figure 16. Close-up.**
The Moviemaker’s Workspace permits the user to ask the system for any one of these different types of close-up for a particular character: close-up of Rick, for example. The system then performs an optimization function to find the appropriate position for the virtual camera. No system will ever be able to generate the exact image a moviemaker envisions, but this system presents the user with an approximate framing. The user can then make the more localized changes (e.g. pan and tilt) to find the desired framing.
Medium Shot
In the Golden Age of Hollywood, the medium shot was the standard shot. It is, like its name implies, halfway between a full shot and a close-up. The medium shot is close enough to show facial details and far enough away to show some body movement. There is much disagreement over the exact definition of the medium shot. This lack of precision is due to the elastic nature of such a name. According to most elementary filmmaking texts, a medium shot frames the character from the top of the head to somewhere just below the waist.
Figure 17. Medium Shot.
Full Shot
The full shot is a camera framing which shows the entire body from head to toe. This shot is ideally suited for showing a character’s body language and motion. Because of the rise of television and its reliance on close-ups, the full shot has fallen out of favor recently. When a full shot is used today, it is generally used as an establishing shot.
Figure 18. Full Shot.
Long Shot / Establishing Shot
In traditional Hollywood filmmaking begun by D. W. Griffith, the first shot in a scene would frequently be an establishing shot. This shot would set the geography and the people of a particular scene. The long shot is a shot of a character in which the viewer can see a significant portion of the background, similar to an establishing shot. The long shot is difficult to define in precise terms. Each scene has its own measure of the long shot. This elasticity makes it difficult to create a generalizable long shot. Typically, it frames a character from head to toe and reveals some significant portion of the background.
Figure 19. Long Shot.
Gaze Vector
The preceding definitions for static camera framings all had the actor staring directly at camera. All the actors were placed in the center of the frame. If the moviemaker wants to frame the actor such that they are looking somewhere other than directly at the camera, there are other basic framing guidelines which are applicable. In previous cases, the character’s gaze vector would be coming directly out of the screen toward the viewer. The gaze vector is the direction in which the actor is looking. For example, in figure 20, the actor is looking left. Once again, there are no universally agreed upon conventions for framing shots in relation to gaze vectors. “Conventions in western art favor portraits that position the human face slightly off center to avoid disturbing symmetrical compositions. The customary solution is to leave extra space on the side of the screen that the character is looking at and more space at the bottom of the frame than at the top (Katz 1991).” When the gaze vector is to the left, for instance as in figure 20, the character should be positioned in right half of the frame such the character is looking into the space on the left portion of the screen. The framing in figure 20 is a particularly useful shot. It has its own name: 3/4 shot. A
3/4 shot is a framing with a gaze vector of either left or right and the character’s eyes are looking $45^\circ$ away from directly at the camera.
**Figure 20. 3/4 Shot.**
When the user asks the Moviemaker’s Workspace system for shot framing with a given gaze vector and an angle of the character’s face relative to the camera, the system attempts to offer the user an image with the character at the given angle and facing in the appropriate direction.
**Point of View (POV) Shot**
Another type of shot is the point of view shot. Point of view (POV), as the name implies, is a shot framed from the viewpoint of a particular character. There are many different degrees of POV shots. At one end of the spectrum, there are literal POV shots. These shot are literally as if the camera were the character’s eyes. This type of shot is often called the subjective camera in traditional Hollywood language. The viewer feels as if they are in the scene as opposed to being an unseen viewer. Another type of POV shot is taken from just next to the character whose point of view is being represented. This shot gives the viewer the impression that “they are standing
cheek-to-cheek with the off-screen player (Mascelli 1965)." Point of view shot also has a more general meaning when it follows a shot of character looking off-screen. In this case, if the shot following the off-screen gaze has almost anything in it that the character could be looking at, the shot is also called POV. The Moviemaker's Workspace system can generate a literal POV shot of the desired character.
**Two Shot**
Another standard shot in narrative film is the two shot. As the name implies, the two shot is a shot of two characters. Similar to the standard static camera framings, the name two shot can be modified by a name for the image size. For instance, there are medium two shots (often abbreviated 2 MS) and long two shots (2 LS). The medium two shot was so popular among Hollywood filmmakers of the Golden Age that Europeans called it the American shot.
**Figure 21. Medium Two Shot**
**180° Rule**
One problem with creating a two shot is on which side of the characters to place the camera. In film and television, this problem has been solved by keeping the camera
on same side of the $180^\circ$ line, or variously called the axis of action or the center line. In a two character scene, the $180^\circ$ line is the line that can be drawn from one character to the other. In figure 22, the numbered cameras (1, 2, 3) are all on the same side of the $180^\circ$ line. The $180^\circ$ degree rule states that the moviemaker should always keep the camera on the same side of the $180^\circ$ line while the characters remain stationary. If a camera were to be placed on the other side of this line, as in position X, it would violate the $180^\circ$ rule. The $180^\circ$ rule is really a guideline rather than a rule. The reason the $180^\circ$ rule exists to maintain shot to shot continuity. In this example, when the camera is at position 1, 2 or 3, character A will always be on the left side of the screen. At position X, character A would be on the right side of the screen, thereby violating continuity. The rule ensures that there is a common space from shot to shot. It also ensures constant screen direction.\footnote{For a more thorough discussion of continuity, see (Bordwell 1990).}
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{image.png}
\caption{$180^\circ$ Rule. The cameras 1, 2, and 3 are all on the same side of the dotted line, the $180^\circ$ line. If a camera were placed at position X, it would disturb continuity. To preserve continuity, cameras are kept on the same side of the $180^\circ$ line (Bordwell 1990).}
\end{figure}
When giving the user a camera framing for a single shot, the system defaults to presenting the user a shot from directly in front of the character. In generating a two shot, the system has no such default. There are at least four different positions that the two characters could be in relation to each other: directly facing each other, facing away from each other, with one character’s back to the camera and side by side. The problem becomes how does the system define the canonical two shot. A simple solution to this problem is to find the framing with one character on each half of the frame. In terms of mapping each character to one part of the frame, the system attempts to map the left-gazing character onto the 1/3 line (the vertical line 1/3 the way across the frame from the left edge) and other character onto the 2/3 line, regardless of the direction the characters are facing. The system also ensures that the generated viewpoint is on the same side of the characters as the preceding camera.
**Over the Shoulder Shot**
Over the shoulders shots (OTS) are popular for interviews as they quickly establish the spatial relationship between the two characters. Arijon defines the screen position for two characters in an OTS as “the actor who speaks is given two-thirds of the screen space, and the interlocutor is given one third (Arijon 1976).” This translates into placing the dominant character on one of the 1/3 lines, depending on gaze vector direction, and the interlocutor centered between the other 1/3 line and the edge of the frame.
Figure 23. Over the Shoulder Shot.
Triangle System
The triangle system is a convention for camera placement. It proposes that there are three camera positions, all on the same side of the $180^\circ$ line, needed for a given scene. The triangle system can work for a wide range of scenes, from action scenes to single character scenes. Figure 24 shows a typical triangle set-up for a conversation. One camera is for a two shot, and the other two cameras are for close-ups of the individual characters. For dialogue scenes, the camera positions in this example are set-up for shot - reverse shot. The two cameras have similar framings of their respective characters. The framings are similar to facilitate smooth editing. There are other alternatives for these shots. They can be OTS, POV, profile or single shots depending on the requirements of the scene.
Camera Motion
The camera framing is a succinct method for describing a static camera framing, but there are also other types of shots. Most obvious are shots involving character motion and/or camera motion. Cinema has developed a language for describing these shots as well. Some of these terms were defined earlier in Table 1, such as dollying, trucking and craning.
Tracking shot
More complex moves are usually termed tracking, or traveling, shots. A tracking shot is generally any shot in which the camera moves. While this definition is broad, it can
still serve as an interface to any camera motion. For instance, the Moviemaker’s Workspace allows for multiple methods for creating tracking shots. The simplest method is a POV tracking shot. This type of shot a literal POV of a particular character. The shot tracks, or travels, with character as it moves through the environment. Another type of camera motion available to the user is a simple tracking shot. This shot will keep the direction that the character is facing to the camera constant over a range of frames. This simple tracking shot does not place any limits on the camera rotation speed. A more complex version of tracking is the ability to interpolate between camera positions. In the Moviemaker’s Workspace, the user can interpolate between two camera positions or draw a path for the virtual camera to take as the animation moves.
The Moviemaker’s Workspace
In pre-visualizing a scene, moviemakers are constantly trying to find tools which make it easier and faster to create visualizations. The Moviemaker's Workspace strives to give moviemakers a series of tools which will make the process of creating an interactive pre-visualization to meet these goals. The creation of a tool for framing a character is a first step towards the larger problem of encoding cinematic knowledge. The more understanding the system contains about the process of creating a movie, the more assistance the system can give in creating a pre-visualization. By giving the system knowledge of the production and post-production processes, it can begin to make smart suggestions and intelligent assumptions for the user. For instance, during production the director and director of photography (DP) generally attempt to create a type of communication that allows them to minimize needless discussion. There is an implicit understanding of cinematic knowledge that exists between the two. The more of this knowledge a pre-visualization system can encode, the more time can be directed towards more creative and problem solving tasks.
Over the past century of the cinema, many different forms of cinematic styles have emerged. These styles, often called languages, serve as a method for communicating ideas using the cinema as a medium of expression. As the cinema has grown, certain styles have dominated. That is, certain of these styles have succeeded in winning over many moviemakers to using them. These styles have many defining features: camera angles, camera placement, lighting, set design and editing. Of most importance to the Moviemaker's Workspace system are the camera angles and camera placement. If this positioning of the camera can be codified into a system, the Moviemaker's Workspace system could then give users a series of camera positions with framings that would match a particular cinema language.
When creating a motion picture, the moviemaker seeks to order a series of shots to create an effect in the viewer. In creating a 3D pre-visualization system, the system can create a series of shots in a given cinema language. Using standard elements from
a given cinema language, the system can present the user with a group of camera positions and framings in that particular cinema language. The general notion of encoding the standard definitions of cinema language allows the user to take advantage of the system's knowledge of these languages. Since many cinema languages can be classified by their camera positioning, a template can be created from each language's basic patterns, rhythms and tendencies.
**Master Scene Cinema Language**
D. W. Griffith is usually credited with developing what has become the most common language, certainly in Hollywood. This style is commonly called master scene language, after the establishing shot that typifies the language. A master scene usually is the one shot that records all the action in a single shot. The framing usually encompasses all of the relevant scenery and characters in a given scene. It is called a master scene because all other takes from the given scene are some portion of the master scene. Master scene language is defined by the successive takes of a scene which are shot with an establishing shot, a medium shot and a close-up. Each scene in the script is recorded in its entirety at successively closer framings. This over-recording allows the moviemaker more flexibility during editing, as each scene has been recorded in multiple framings. Originally this over-recording was done to allow the viewer to understand the scene better by overlapping the action with successively closer framings. This method of editing was quickly changed so as not to overlap the action, but the notion of recording the entire scene from many different positions has endured. It is favored by editors for the large range of choices that it affords the editor during the post-production process.
Master scene language also includes many other distinguishing features. One of the most obvious elements of master scene language is the repetition of shots, or camera framings. The standard pattern is long shot, followed by a medium shot and then a close-up. While this pattern is rarely employed today in that exact progression, it can still serve as a template for the Moviemaker's Workspace. Often in master scene language, there are repetitions in the order of camera positions. If each camera position is given a letter, then a typical pattern can be denoted by A-B-A, A-B-A, A-B-A.
Figure 25. Master Scene Example. In this plan view of a scene from William Wyler’s *Big Country*, Simmons, Connors, Ives and Peck are all actors. The three cameras used for this scene are denoted A, B and C. In the edited film, Wyler uses successively closer framings from each of these positions (Richards 1993).
Another typical pattern of master scene language that is often used during a conversation is a slightly different form of a progression. In this pattern, the scene begins with a two shot. It is followed by an over the shoulder shot and then a close-up. The close-up is the most important shot, and it usually coincides with an important line of dialogue. This type of shot is often called a *payoff shot*.
An invisible cut, which is an edit where the viewer is not aware of the change in camera position, is a common type of transition employed in master scene language. This transparency is achieved through both camera placement and editing. One of the most common methods of achieving an invisible cut is through camera positioning without sharp angles to draw attention to the camera angle. Placing the camera in the most natural position so as not to draw attention to it is an difficult issue. There is not universal agreement on the most natural position. But there are certain guidelines that can be followed.
**Master Scene Template**
In the Moviemaker’s Workspace, there is a template of camera framings for master scene language. This template attempts to encompass most tendencies of master
scene language. Since the most standard shot of master scene language is the establishing shot, it is natural that a long shot (LS) of the primary characters is included as a possible establishing shot. If the scene involves a conversation between two characters, the template also provides a medium two shot (2 MS), the American Shot. Other shots included in the template are the successively closer framings. Thus the template also includes medium shots of both characters, and both character’s over the shoulder shots at a medium framing (Med OTS) and a close-up (CU OTS). To allow for the payoff shot, the template also includes a close-up (CU) of each character.
This master scene template gives the user ten camera positions with possibly relevant framings. From just one instruction from the user to set-up a master scene template, the system generates these different camera positions. These camera positions are certainly more than the triangle system dictates is necessary, but the user can easily choose the appropriate ones. The user can then quickly create an edit of the scene using these suggested camera positions without having to navigate the 3D space to find these relevant positions and framings. Once the system has made these suggested
camera positions, the user can then easily make the more localized changes to the position for the exact framing to suit the moviemaker’s vision.
**Interpersonal Cinema Language**
Interpersonal cinema language (I-P) is another commonly used cinema language. The defining characteristic of the I-P is the single shot, a shot of just one character. By using single shots of the characters, the moviemaker casts the viewer as an offscreen character. This bond between viewer and subject is what gives interpersonal cinema language its strength. As with master scene cinema language, an establishing shot is often used to begin by setting the scene. Then I-P typically moves to a series of single shots, which do not necessarily duplicate literal point of view. Similar to master scene cinema language, I-P uses a repetition of shots. This repetition makes I-P an ideal candidate for a camera position template.
**Figure 27. Examples of Interpersonal (I-P) Framings.** These three shots are from Hitchcock’s *Vertigo*. From left to right, they are an establishing shot and two single shots.
**Interpersonal Template**
The Moviemaker’s Workspace creates an I-P template of camera positions that the user can call up at the press of a button. Currently the I-P template only is designed to work on a two character scene. Similar to the master scene template, the I-P template gives the user an establishing shot, a long shot. It also includes a medium two shot. The user can set the character’s gaze vector. The system presents the user with a full shot, medium shot and close-up of each character with the correct gaze vector.
Figure 28. Interpersonal (I-P) Template.
8. Future Directions
The Moviemaker’s Workspace is a first step in encoding cinematic knowledge into a computer system. There are many other steps in this process. One obvious direction is the encoding of simple guidelines of editing. Some examples might be setting up a master scene progression (long shot, medium shot, close-up), avoiding jump cuts, and selecting appropriate match cuts. Much like the Moviemaker’s Workspace can now assist in navigating the 3D environment, an editorial assistant can suggest a simple series of cuts for the user. Another simple progression on the already existing environment would be for the system to retain framing and motion information even if the characters are repositioned, such as a change in blocking.
**Gesture**
One of the more common methods of describing moving images is by waving and gesturing of hands. A stereotypical image of a film director is with hands and outstretched arms framing a shot. With advances in human computer interface technologies, a methodology could be created for using hand gestures in navigating the set and creating camera framings.
**Interactive movies**
The possibility of interactive motion pictures appears to be on the horizon. One early example is Interfilm’s *I’m Your Man*, which allowed viewers to make decisions in the playout of the movie by pressing buttons located in front of the theater’s seats. The use of 3D pre-visualization systems will become an even more critical element in creating these new forms of motion pictures.
**Structured video**
By working with the 3D data of the set before production, this data can not only be reused in other stages of production, but it also be used by new viewing paradigms. Structured video, or model-based video, is one such new paradigm that refers to the representation of moving images by its component parts. By representing each part of an image, such as background and characters, as a separate element, the system can
alter or change completely these elements based on a script. One such system, currently under development, is the Cheops architecture, a data-flow computer optimized for the realtime display of video (Bove 1991; Bove 1994). Using data from the pre-visualized set can aide such a system by providing 3D information for easier reconstruction of the model.
**Production and post-production tools**
The ability to reuse the data gathered in the pre-visualization phase during production and post-production can further assist the motion picture process. Computerized continuity systems, such as Slipstream (Lasky 1990), provide the ability to assist on the set with the details of maintaining continuity. By using data from pre-visualization, continuity systems can easily adapt changes as they occur during production. Editors can be adding actual footage to pre-visualize animatics to shape a motion picture as it is being shot. Post-production can benefit by using the 3D data to assist in compositing special effects.
As computers with the necessary graphics power, speed, and capabilities for interactive 3D pre-visualizations have become available, the nature of the production of motion pictures has undergone a subtle, yet definite, transformation. This transformation started in special effects generation. Computers first entered into motion picture production during the post-production processes. Where model makers used to build physical models, now we have 3D animators creating computer generated imagery instead. Where film editors used to cut and splice film, we now find them pushing buttons in front of digital non-linear editors. This technology will continue to modify the entire production cycle, including the pre-production phase. In fact, it already has for the more elaborate and complex action scenes. But it will also ultimately change the entire motion picture process as more and more of the aspects of production move into the digital domain. This change will include not only the recording of images, but also the ways in which viewers will interact with motion pictures.
While these new digital tools have created the possibility of 3D pre-visualization, they have not enabled moviemakers to simply explore such a space. This process of using a 3D pre-visualizations needs to leave the realm of computer graphics and enter into the domain of moviemaker. This transition is just beginning to occur. To facilitate this change, computer systems are in the process of becoming more cinematic. That is, these systems are encoding cinematic knowledge into the environment. The Moviemaker’s Workspace is a preliminary step in this process. It shows how using cinematic knowledge in a 3D system can aid a moviemaker in creating an animatic from a 3D pre-visualization. For example, it enables motion picture creators to navigate the 3D environment of the set using terms better suited for describing cinematic images: close-up, tracking shot and medium two shot.
The Moviemaker’s Workspace
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Dear Senator Bennett,
The Utah Tribal Leaders request full engagement and consultation with local and regional tribes in county-by-county land use planning and legislative processes that are underway. One or more native tribes occupied each county in the state for thousands of years, prior to pioneer immigration to the region. Because of this, the tribes of Utah each have strong cultural and spiritual ties, treaty rights, and interests in places throughout Utah that lie outside of reservation boundaries. If assistance is needed in defining which tribes have interests in which ancestral locations please contact Forrest Cuch, Director of the Utah Division of Indian Affairs.
Most tribal members continue to practice traditions and seek the solace of public lands as a source of strength in who they are. This letter is intended to inform decision makers of the interest and need for involving tribes in land use planning and legislative efforts concerning public lands. In addition to normal consultation procedures, the Utah Tribal Leaders request that the lead congressional office work directly with each tribe in these county processes.
The Utah Tribal Leaders is supportive of pursuing congressional legislation so long as individual tribes are involved early, their rights and interests are duly considered, and they are provided with sufficient time, and funding if needed, to define interests for themselves on public lands throughout the state.
On behalf of the Tribal Leaders of Utah,
Kenneth Maryboy,
Chairman, Utah Tribal Leaders
Kenneth Maryboy, Chairman, Utah Tribal Leaders Association, address, email
THE ANETH CHAPTER MOVES TO ACCEPT AND SUPPORT THE "UTAH NAVAJO SAN JUAN COUNTY LAND-USE LEGISLATIVE PROPOSAL" TO PROTECT NAVAJO RIGHTS AND INTERESTS ON FEDERAL LANDS FOR FUTURE GENERATIONS
WHEREAS:
1. Pursuant to 2 NTC Section 4002, The Aneth Chapter is a duly certified chapter of the Navajo Nation who has the power and authority to approve and rescind resolutions enacted thru its membership; and
2. Through the Established Plan of Operations, The Aneth Chapter delegates the authority to the Elected Chapter Officers to enact plans that are in the best interest of the community; and
3. The Aneth Chapter has the authority to act on behalf of its community to recommend, support, and approve community related projects; and
4. The Aneth Chapter has accept to support the announcement made by Utah State Senator, Bob Bennett on March 23rd, 2010, of the intention to pursue the creation of a Congressional Land-Use Bill that will likely result in the designation of wilderness, boundary and management changes to National Parks and Monuments and the zoning of different regions of the county for protection and development; and
5. Senator Bennett’s office has requested information from the Utah Navajo related to land use, natural resource use, and motorized access needs of the Utah Navajo community members; and
6. The Utah Navajo are in the process of creating a land plan to inform this and future land management processes in which the Tribe holds interests; and
7. The Aneth Chapter accepts and approves this request, which was presented before the Aneth Chapter Membership in which a legal quorum was present.
THE ANETH CHAPTER MOVES TO ACCEPT AND SUPPORT THE “UTAH NAVAJO SAN JUAN COUNTY LAND-USE LEGISLATIVE PROPOSAL” TO PROTECT NAVAJO RIGHTS AND INTERESTS ON FEDERAL LANDS FOR FUTURE GENERATIONS
NOW THEREFORE BE IT RESOLVED THAT;
1. The Aneth Chapter accepts and supports the “Utah Navajo Land-Use Proposal” submitted to Senator Bennett’s Office on August 18, 2010.
2. The Aneth Chapter supports the designation of a special management area (such as a National Conservation Area) in which the Navajo people’s interests in these landscapes are acknowledged and co-management, shared decision-making, and revenue sharing are explored.
3. The Aneth Chapter supports the designation of current road less areas in San Juan County, Utah as wilderness.
4. The Aneth Chapter community members will identify motorized access routes to ensure that routes currently used to access ceremonial, hunting, gathering, and firewood collecting sites are not disrupted by wilderness designation.
CERTIFICATION
We hereby certify that this forgoing resolution was duly considered by the Aneth Chapter Membership at a duly called meeting at which a quorum was Present and that an approval was passed with a vote of 26 in Favor, 3 Opposed And 2 Abstained this 17th Day, the Month of August, in the year 2010.
Motioned by: Mr. Davis Filfred
Seconded by: Mr. Robert Whitehorse
John Billie, Aneth Chapter President
Bill Todachennie, Aneth Chapter Vice-President
Brenda Brown, Aneth Chapter Secretary/Treasurer
Davis Filfred, Council Delegate
Kenneth Maryboy, Council Delegate
Mr. Juan Palma, *Utah State Director*
BLM Utah State Office
West 200 South, Suite 500
Salt Lake City, Utah 84101
Dear Mr. Palma,
This letter specifically addresses the request from Secretary of the Interior Ken Salazar to identify “crown jewel” lands administered by the Bureau of Land Management.
Modeled on the Washington County Bill, a lands-use legislative process was initiated in February 2010 by former Senator Bob Bennett in San Juan County, Utah. Given that roughly 20% of the county is within the Navajo Nation Reservation, that over 50% of the population are Native American and our centuries old and continued use of these lands; we initiated our own process to gather information on Navajo historic and current land values. Accompanying this letter is the book, *Diné Bikéyah*, describing this course of action.
The Navajo Nation is proposing the creation of the Diné Bikéyah National Conservation Area as it provides the best management approach for a diversity of uses and designations of the land, while directing resources towards priority cultural and natural resource protection issues.
To honor our deep history in this region, we are proposing that the Navajo Nation have a formal role in planning and managing the Diné Bikéyah National Conservation Area. Because we actively use and rely upon these lands, management of the area should incorporate Navajo input to effectively protect its diverse resources. Federal agencies will also benefit from Navajo contributions to better inform decision-making and increase resources for management.
Even though, at this time we cannot supply a definitive spatial reference for Secretary Salazar’s request we can identify areas of importance. We envision the Diné Bikéyah National Conservation Area containing all the contributing watersheds of the San Juan River in Utah. All BLM wilderness study areas and areas within the Citizen’s Red Rock Wilderness Bill within or bordering the Diné Bikéyah National Conservation Area should be legislated as wilderness. Furthermore, within this region are Cedar Mesa, Comb Ridge, Elk Ridge, Dark Canyon, Montezuma Canyon, and San Juan River that are of particular importance to Navajo
people, as well as, national treasures to all American citizens, therefore, they should be seriously considered by President Obama for National Monument designation.
Thanks to you Mr. Palma and Secretary Salazar. We look forward to discussing this important work with you in the near future.
Very Respectfully,
Ben Shelly, President
THE NAVAJO NATION
WHEREAS:
A. The Navajo have deep connections to their ancestral lands and continue to exercise their sustenance, social, ceremonial and spiritual traditions in support of their beliefs and practices across San Juan County;
B. Likewise many residents of San Juan County, many from early pioneer days, have similarly strong attachments to the land and their way of life;
C. The mountains, mesas and red rock canyons of San Juan County are landscapes of national and global significance for their archaeological, cultural, recreational, economic, scenic, wildlife and wilderness values;
D. Other natural resources of significance to the County include: minerals, vegetation for grazing, timber, water resources, etc;
E. These landscapes have been the subject of debate and uncertainty over their use and management;
F. San Juan County is a political subdivision of the State of Utah legally responsible for all planning decisions made in the County on behalf of its residents;
G. San Juan County, recognizes the interest that the Navajo Nation, as a Government with jurisdiction on the Navajo Portion of San Juan County, has on behalf of the Utah Navajo;
H. The Parties acknowledge that they have strong mutual interests in promoting sustainable management of public lands, and in the wellbeing of current and future San Juan County residents.
THEREFORE THE PARTIES AGREE AS FOLLOWS:
1 Objectives and Desired Outcomes
1.1 The Parties agree to work together in the spirit of mutual respect and cooperation to recognize and consider how to effectively manage the outstanding natural, cultural and recreational resources on state and federal lands in San Juan County, as well as the socio-economic conditions for the enhancement of the quality of life for all San Juan County residents.
1.2 To promote the objectives in section 1.1, the Parties agree to collaborate to further the following specific outcomes:
1.2.a Enhanced management of cultural and natural resources of importance to the Navajo, the County, and the general public;
1.2.b Enhanced opportunities for economic and cultural development on lands within San Juan County;
1.2.c Reduced conflict and increased certainty over land and resource management, including wilderness and access issues on public lands;
1.2.d Improved communication and collaboration between the Navajo and the County in the management of federal lands within the County;
1.2.e Enhanced access to financial resources to support long-term achievement of the above objectives and desired outcomes.
2 Scope of Collaboration
2.1 Over the next eighteen (18) months, the Parties will, according to an agreed schedule, meet to coordinate and collaborate in furtherance of the above objectives and on current issues and land planning efforts within or affecting the County. Each party will support these meetings with attendance appropriate to the agenda for each meeting. Issues will include:
2.1.a The design and establishment of a Joint San Juan County and Navajo Land Forum to oversee implementation of this MOA, including development of a timeline, budget, work plan, and congressional and state outreach and stakeholder engagement strategies;
2.1.b Development of options for federal policy and Congressional land use legislation to enhance conservation and sustainable development of San Juan County public lands;
2.1.c Review of County, state, federal and other planning efforts including County Master Plan;
2.1.d Discussion of possible SITLA/BLM land exchanges;
2.1.e Collaborative management arrangements to improve communication and coordination with federal and state agencies; and,
2.1.f Opportunities to collaborate on community development projects within San Juan County and on the Navajo Reservation in Utah.
3 Renewal of this Framework Agreement
3.1 At the conclusion of the term of this Agreement, the Parties will undertake an evaluation of outcomes and, based on this evaluation, may negotiate a renewal of this Framework Agreement to:
3.1.a Guide implementation of the recommendations resulting from this Framework Agreement; and,
3.1.b Address other matters of importance to the Parties.
4 General Provisions
4.1 Other than as expressly provided in this Memorandum of Agreement and any agreement reached pursuant to it, this Memorandum of Agreement does not create, recognize, define, deny, limit or amend any of the legal rights and responsibilities of the Parties.
4.2 This Memorandum of Agreement may be amended or renewed by written agreement of the Parties.
4.3 This Memorandum of Agreement will remain in effect for 18 months or until terminated by either or both of the Parties by written notice to the other, and such notice shall state the reason(s) for termination. Subject to available appropriations, both Parties shall honor funding commitments made prior to the date of termination.
IN WITNESS WHEREOF the Parties have executed this Memorandum of Agreement on the 4th day of December, 2012.
SIGNED on behalf of the Navajo Nation
Ben Shelly
President
Navajo Nation
Witness
SIGNED on the behalf of the Board of San Juan County Commissioners
Bruce Adams
Chairman, Board of Commissioners
Witness
Kenneth Maryboy
Vice Chair, Board of Commissioners
Witness
Phil Lyman
Commissioner
Witness
Dear
Utahns value their public lands. These lands support a range of uses, including recreation, solitude, wildlife habitat, and resource development. However, the history and management of the public lands in Utah is long on episodes of contention and conflict, and short on examples of compromise and consensus. For decades, unsettled land-use designations have fueled distrust and acrimony. Much of the debate has centered on a false choice between multiple-use or land conservation. I reject this either-or proposition. Conservation and multiple-use can coexist. They each have an important role in making Utah a healthy, inviting, and thriving state. The long-term success of Utah depends on both balanced conservation and responsible development.
The existing gridlock and land ownership pattern has created countless problems between state and federal interests. Nearly 120 years after statehood, most Utah landholdings (school trust lands) still exist as a checkerboard pattern of isolated square-mile sections surrounded by federal lands. The small size of the individual state school sections and their location within the federal estate preclude the state from effectively managing its lands or from realizing their full potential for the school trust, the purpose for which the lands were originally granted.
After observing and participating in the public lands debate for many years, I believe we are in the midst of a paradigm shift. There is a growing consensus that a more reasonable, balanced use of the public lands can be achieved in Utah. Through conversations with county and state officials, conservation groups, industry, and the public, I believe Utah is ready to move away from the tired arguments of the past. We have a unique window of opportunity to end the gridlock and bring resolution to some of the most challenging land disputes in the state. The time has come for a sensible reassessment of land management and ownership patterns in Utah.
In order to strike an appropriate balance between conservation and responsible development, and to create greater certainty for the citizens of Utah, I am pleased to announce that I am initiating a process to develop federal legislation that seeks to address many of the issues that have plagued public land management in eastern Utah. The intent of this letter is to formally request comments from interested parties on public lands issues that are important to their respective organizations in this region of the state.
In order for your organization to play a meaningful role in this process, I ask that you provide a written, prioritized list of public land designations it wishes addressed – including wilderness, other land designations, or other considerations. Priorities should not be limited to land designations: additional legislative proposals or priorities you would like to see addressed in the prospective bill should also be included. Given the significant scope of this process, each individual item that is submitted, whether it is wilderness or some other designation, must have a unique overall ranking to help my office understand your priorities.
The benefits of land conservation and multiple-use are well-known and obvious. Your organization’s list of priorities will help inform and shape the discussion with our county partners as we attempt to craft legislation that will help accomplish the appropriate balance of conservation and multiple-use on Utah’s public lands and help sustain and elevate our quality of life for generations to come.
Utah is blessed with unparalleled landscapes, recreational opportunities, and world-class natural resources. This effort will be both time-consuming and challenging – but it’s worth it. I look forward to working with you as we move into the next phase of this critically important endeavor. I ask that you please provide your list of priorities via email to Fred Ferguson in my Washington, D.C. office (email@example.com) no later than March 15, 2013.
Sincerely,
Rob Bishop
Member of Congress
Monticello, Utah. On August 9, 2013, Navajo Nation and Utah Diné Bikéyah representatives offered their vision for Navajo ancestral and federal public lands within San Juan County. At the request of Utah Congressman Rob Bishop, the 1.9 million acre Diné Bikéyah National Conservation Area that includes wilderness designations and co-managed areas was presented to an open house convened at the San Juan County Courthouse in Monticello, Utah.
“For the Navajo, to collaborate in the management of the Diné Bikéyah National Conservation Area ensures that these lands will be managed in a manner that protects our deep interests,” Fred White, Executive Director, Navajo Nation Department of Natural Resources.
Congressman Bishop, on February 15, 2013, seeking input, notified environmental, industry, local government and Utah Diné Bikéyah representatives of his intent to develop a lands bill for Eastern Utah. In addition to the San Juan County Open House, Bishop’s staff scheduled similar information gathering meetings throughout eastern Utah. Whereas, legislative processes have been initiated before to resolve the debate over public lands and wilderness protection in San Juan County, organizers have never before included the Navajo in these discussions.
“Contrary to the beliefs of many, southeastern Utah was not an empty place waiting to be inhabited by settlers or discovered as a playground, but rather it was our home and for many Paiute and Ute people as well. We all, as well as others like the Hopi and Zuni, maintain strong ties to this place now called San Juan County, Utah”, Mark Maryboy, Utah Diné Bikéyah Director and Former San Juan County Commissioner.
In response to 2010 legislative efforts by former Utah Senator Bennett the Navajo Nation and Utah Diné Bikéyah began to identify priority areas for wilderness and other land-use designations. Interviews and mapping exercises with Navajo Elders and Medicine Men were conducted to identify important cultural areas and a biological assessment was completed to map wildlife habitats. The resulting maps were combined to determine the boundaries of the Diné Bikéyah National Conservation Area.
San Juan County possesses some of the largest contiguous wilderness in the continental US, however no formal designations have yet been achieved. It is widely recognized that no Utah lands bill will be successful unless it originates from the affected County. Unlike other Utah counties, the Navajo Nation may have the potential to achieve a critical mass of support: the Navajo Reservation covers over 20% of the land base in the County; Navajos represent over half its resident population; a Navajo, Kenneth Maryboy, holds one of the three local Commissioner positions,
and Navajo actively use these public lands for hunting, gathering and ceremonial purposes.
At the end of 2012, the Navajo Nation and the San Juan County Commission entered into an agreement to jointly undertake a land planning process. The joint planning agreement includes a commitment to produce a land-use plan that identifies specific land use designations within San Juan County. Since its inception regular meetings have occurred between the parties’ representatives to identify common interests and to assist with Representative Bishop’s efforts.
The stated goals proposed for the Diné Bikéyah National Conservation Area are: 1) provide clear management toward the protection of cultural and biological resources over other land-uses; 2) increase funding allocation to improve management of resources for this region; 3) create a process that recognizes the legitimate interests of the Navajo on federal land; and 4) provide a means of incorporating the extensive and valuable knowledge of the Navajo into land management decisions.
Additional information, background material, photos and maps are available on the Utah Diné Bikéyah web site: http://www.utahdinebikeyah.org/utah-navajo.html
Contacts:
Frederick H. White, Executive Director, Navajo Nation Division of Natural Resources,
firstname.lastname@example.org, (928) 871-6594
Mark Maryboy, Director of Utah Diné Bikéyah, email@example.com, (435) 630-7488
Utah Diné Bikéyah Board Members: Jonah Yellowman, Dorothy Redhorse, Mark Maryboy, Leonard Lee, and Chairman Willie Grayeyes.
Navajo Nation Proposed
Diné Bikéyah National Conservation Area
Navajo Program (Dec 2018)
- Proposed National Conservation Area
- Proposed National Monument
- Cultural and Heritage Areas
- Navajo Nation Protected Areas
- Navajo Nation Proposed Areas
- Other protected lands
- Private lands
- State lands
- Tribal lands
- Urbanized areas
- Non-Indian areas
- Designated relocation
Scale: 1 inch = 3 miles
Source: USGS 7.5-Minute Quadrangle Maps, 2016
Diné Bikéyah Conservation Area
The Utah Diné Bikéyah, in cooperation with the Navajo Nation, is proposing the creation of the Diné Bikéyah National Conservation Area within Navajo ancestral land in southeastern Utah. The 1.9 million acre conservation area includes wilderness designations, as well as a comanagement relationship to ensure the sustainable continuation of culturally important activities.
Background
Diné Bikéyah is the land of the Navajo People. Diné Bikéyah exists as a physical being, and within the hearts of all Navajo, as it has nurtured and sustained life since the beginning of existence. The Navajo, who reside in what is now the State of Utah, wish to communicate to other fellow Utah and American citizens their deep connections and commitments to these lands. These perspectives expressed are not new, but they have rarely been voiced beyond Navajo people. As many continue to argue about the fate and appropriate use of these lands, they continue to be desecrated and dishonored. Therefore, the Navajo have chosen to share their Elders’ wisdom, as there is so much hanging in the balance for future generations.
Contrary to the beliefs of many, southeastern Utah was not an empty place waiting to be inhabited by Mormon settlers or discovered as a playground for city people, but rather it was the home to Navajo and many Paiute and Ute people as well. Each of these tribes, as well as others like the Hopi and Zuni, maintain strong ties to this region now called San Juan County, Utah. Furthermore, several distinct civilizations over thousands of years were here before all others, and their uniquely intact archaeological record is sacred to all Native American people and of great significance to American history.
The beautiful expanse of land between the four sacred mountains, Mount Blanca, Mount Taylor, San Francisco Peaks, and Mount Hesperus is the Navajo’s place of origin. Here spiritual traditions are rooted. Today, the Navajo continue to rely on and utilize these public lands for practicing ceremonies, gathering herbs and firewood, hunting for game, rejuvenating spirits, and caretaking of sacred places. Oral traditions, stories, spring from the canyons and mountains of San Juan County.
Every Navajo child learns about the legendary Chief Manuelito who was born north of Cedar Mesa in a Diné village at Bears Ears. His bravery and leadership rescued many Navajo from being captured by the United States government, earning him a strong place in history. Likewise, many Navajo are tied to the region north of the San Juan River as their ancestors also resided here. Presently administered by the Bureau of Land Management and the US Forest Service, this area is open to livestock grazing, hunting, mineral exploration, and all forms of motorized use, all with no recognition for its significance to Diné People. The voice of the Diné must be heard and be reestablished as effective stewards for these lands.
Unfortunately, the Washington DC decision makers, environmental groups, or even many other residents of San Juan County do not understand or appreciate how Navajo people view public land or utilize its resources. The historical relationship between the Navajo and the United States and Utah governments has not often been favorable. There are very few examples where outcomes have been respectful of Diné perspectives, or to the desires of the people.
International Human and Indigenous Rights
Globally, there is a growing recognition of the pragmatic and ethical necessities to recognize the rights of indigenous populations and to fully involve them in processes of land use planning and management. The Declaration on the Rights of Indigenous Peoples, adopted by the United Nations in 2007 and recently signed by President Obama, calls for indigenous peoples’ participation in all decisions that affect our lives; recognizes subsistence rights and rights to lands, territories and resources; outlaws discrimination against indigenous peoples and defends the right to remain distinct and to pursue visions of economic and social development.
In America, Native Americans occupy a unique legal position, as American citizens, entitled to the same legal rights and protections under the Constitution as all other citizens enjoy, as well as members of self-governing tribes. Native Americans are descendants of peoples who possessed their own inherent rights. These rights are of particular importance with respect to decisions regarding public land management designations that may permanently affect the use of and access to these lands. Vast portions of federal and state public lands constitute the ancestral territories of Native American tribes. These lands remain sacred and in many cases economically, culturally, and spiritually vital to the tribes. The Government of the United States has an obligation, both legal and moral, to involve tribes in major decisions affecting access and use.
Over the last few decades, the US government has taken important measures to ensure that Native Americans’ claims on public lands are recognized, especially where designations impose restrictions on the general citizenry, as is the case in wilderness and similar types of protected areas. Thus, international treaties, precedence, and US policy support the participation and co-management arrangements that the Diné people are now seeking.
Wilderness and Ecological Values
Wilderness designations or the presence or absence of roads have been central to the debate over land management in San Juan County. Even though the Wilderness Act does not mention native people, its inherent restrictive measures do ensure protection from development and recreation impacts better than other federal land classifications.
Another priority is the Navajo’s ability to access areas for hunting, gathering, ceremonial, and spiritual reasons. Therefore, the continued use of select roads is very important to Diné People, while many existing roads that are facilitating damage should be decommissioned. This effort is largely characterized as describing and mapping areas that are important for Navajo cultural reasons. It should be understood that much of Navajo culture evolved and stems from the animals that share this land, as the land cannot be separate from the animals it supports. Because the land-use debate in San Juan County has focused so much on the presence or absence of roads, many other important land-use factors have been ignored. The Navajo are hopeful that the discussions can be broadened to better include a greater suite of ecological values.
Utah Navajo Land Planning Process
To identify Navajo interests on public lands within San Juan County this proposal was developed based on a series of interviews and mapping exercises with Utah Navajo Elders and Medicine Men. Additionally, available data sets on wildlife habitats within the county were collected and a biological assessment was completed. The resulting interview and biological assessment maps were combined and analyzed to best determine the boundaries of the Diné Bikéyah National Conservation Area.
Protection of the rich cultural heritage sites within San Juan County is a top priority for the Navajo. Diné Elders speak clearly and consistently about their desires for a voice in determining land management in San Juan County. Development, recreation, and grazing impacts are negatively affecting cultural sites and land uses of the Diné people. Federal agencies have not been able to protect these resources alone. Therefore, stronger policies, and the means by which the Navajo can assist with monitoring and enforcement activities are needed.
**San Juan County Land Planning Process**
Legislative processes both past and present have been initiated to resolve the debate over public lands and wilderness protection in San Juan County. However, organizers have not included Navajo in these discussions. Therefore in response to recent legislative efforts the Utah Diné Bikéyah and the Navajo Nation collaborated to gather cultural information, ecological condition, development threats, and wildlife habitat data sets, whereby they could be assembled and utilized to identify priority areas for wilderness, National Conservation Areas, National Monuments and other Congressional and administrative land-use designations.
Even though San Juan County possesses some of the largest tracts of contiguous wilderness in the continental US, no protection has been achieved. This is largely because it is widely recognized that no land plan will be brought before Congress by the Utah congressional delegation unless that plan originates from the affected County. Building such local constituency is very challenging in Utah. However, unlike other counties in Utah, the Navajo Nation has the potential to be the catalyst to achieve this critical mass of support: the Navajo control over 20% of the land base in San Juan County; Navajos represent over half the resident population; a Navajo individual holds one of the three local Commissioner positions, and Navajos actively use public lands for hunting, gathering and ceremonial purposes.
Consequently, at the end of 2012, the Navajo Nation and the San Juan County Commission entered into an agreement to jointly undertake a land planning process. The joint planning agreement includes a commitment to produce a land-use plan that identifies specific land use designations within San Juan County.
In April of 2013 the Navajo Nation presented to the San Juan County Commissioners and to Utah Congressional representatives the 1.9 million acre Diné Bikéyah National Conservation Area as their formal position for the negotiations. As the negotiations with the County and Congressional representatives continue, the Navajo remain optimistic a successful outcome is possible. However, in the event of these negotiations failing, both the Navajo Nation and Utah Diné Bikéyah have agreed to pursue a National Monument designation.
Diné Bikéyah National Conservation Area
The Navajo Nation and Utah Diné Bikéyah are proposing the creation of the Diné Bikéyah National Conservation Area extending north along the border of the Navajo Reservation to the southern boundary of Canyonlands National Park. A National Conservation Area provides the best management approach to this region, as it allows for a diversity of uses and designations of the land, while directing resources towards priority management issues, such as cultural and natural resource protection.
The goals proposed for the Diné Bikéyah National Conservation Area are: 1) provide clear management prioritization toward the protection of cultural and biological resources over other land-uses; 2) increase funding allocation to improve management of resources for this region; 3) create a process that recognizes the legitimate interests of the Navajo on federal land; and 4) provide a means of incorporating the extensive and valuable knowledge of the Navajo into land management decisions.
Navajo Role
To honor the deep history and continuing interests of the Navajo Nation in this region, the Nation is proposing to have a formal role in planning and managing the Diné Bikéyah National Conservation Area. Because the Navajo actively use and rely upon these lands, management of the area should incorporate Navajo input to effectively protect the diverse resources encompassed by the National Conservation Area.
For the Navajo, the opportunity to collaborate in the management of the Diné Bikéyah National Conservation Area ensures that these lands will be managed in a manner that protects their deep interest in San Juan County. Federal agencies will also benefit from Navajo contributions to planning and management through more diverse input informing decision-making, and increased resources for management and enforcement.
Conclusion
Diné people have long been observers in the debate over management of public lands in southwestern Utah. This is not because they do not care, or do not want to play an active role in the stewardship of these lands and natural resources. Simply, no one asked. This is the time to share Navajo concerns and to help maintain these lands in their natural state for generations to come. The Navajo have centuries of knowledge that has been passed down, and collectively they have an obligation to see that the beauty, sacredness, and abundance of life of these lands is restored and maintained.
The Native American history in San Juan County is of global significance. The era of looting, vandalism, and wanton development should now end. Native people must have a role in protecting these sites. Their perspectives will improve the future management of these lands through ancient values and conservation practices informed by native wisdom of tribes that have occupied this landscape for millennia. Navajo People believe this path forward with lead to healthier lands and stronger people and communities throughout San Juan County.
May 21, 2013
Dear Commissioners Adams and Lyman,
Thank you for your active involvement in the Navajo Nation and San Juan County joint land planning process. The Utah Diné Bikéyah Board met on May 14th, and reviewed the plan provided to Mark Maryboy. We look forward to receiving the details of a County plan along with an accompanying map to further discuss our mutual goals at our next Joint Planning meeting. I understand that Nick Sandburg and Mike Taylor have set this date for June 18th but the location is currently still unknown.
Since our meeting on April 17th, the Utah Diné Bikéyah Board of Directors also learned that in despite of our explicit responses on April 17th, County representatives continue to criticize and question the Navajo’s ability to lead the development of our vision for our ancestral lands. These comments and attempts to undermine our legitimacy must stop if we are to continue working together.
Good working relations are based on respect and common interests. Round River repeatedly demonstrates respect for our decisions and has provided us with the research, advice, and information we desire in a professional manner. We respect the expertise they provide us, just as they respect our leadership of this work. The County’s persistence in challenging RRCS’ role is unsettling and threatens our ability to move forward.
At our next meeting, we intend to listen and discuss the opinions you share with us. We also ask that you listen to and understand why we are asking for the things in our proposal. We hope we can develop a shared position to forward to Congressman Bishop in the coming weeks/months and that moving forward, we can have a productive relationship with San Juan County.
With Respect,
Willie Grayeyes, Chair, Utah Diné Bikéyah
August 12, 2013
RE: Decorum at San Juan County Open House
Dear Congressmen Bishop and Chaffetz,
We appreciate the commitment you have shown in working with the Utah Diné Bikéyah to craft legislation for the public lands in San Juan County that would take into account Navajo traditions and uses of these lands. We have spent much time over many months meeting and talking with Utah Navajos in order to craft the Diné Bikéyah proposal, which we have shared with you. Similarly, we have met often with you and your staff, and we value the professional working relationship that we have formed over these past months.
It is precisely because of the close working relationship with you that we were surprised and disturbed by your failure to step up and admonish those that were making disparaging remarks that were aimed at Navajos at the San Juan Open House meeting, Friday, August 9. These spiteful remarks were insulting and painful to Navajos. Such remarks serve only to perpetuate the racism that lingers in San Juan County. As our elected officials, your failure to step up and uphold appropriate decorum at the meeting could be viewed as your acquiescence in such behavior and attitude.
Navajos and members of the Utah Dine` Bikeyah board attended the San Juan County Open House in order to continue the discussion with you regarding Navajo interests in the use and management of the public lands in San Juan County. We attended this meeting in good faith, anticipating that other residents of San Juan County would do the same, in order to make progress on a potential public lands bill for San Juan County.
At the Open House meeting, Utah Navajos expressed their desire to conserve and protect the public lands used traditionally by Navajos, in a respectful manner. We noted that we have used these lands since the beginning of time, for food, medicine, dry wood collection for cooking and heating, and for traditional Navajo ceremonial purposes, and that we continue to do so. Although we have been removed and relocated to the Navajo Nation south of the San Juan River, we consider much of the public lands in San Juan County to be The Peoples’ land, Diné Bikeyah.
Navajos make up approximately 50% of the population in San Juan County, and we revere these lands as our homelands. Sadly, there is a long history of racial injustices to the Utah Navajos, at the county, state and federal levels. Putting these injustices aside, we have entered into this public lands process in good faith, and we have expressed our interest to you in continuing to participate in the process, and to continue building on the relationships we have formed with you and your staff. However, we ask for your assurances that future meetings and discussions will be respectful of everyone’s interests, including that of the Navajo.
Sincerely,
Willie Grayeyes
Mark Maryboy
Copy: Kenneth Maryboy, Bruce Adams, Phil Lyman
WWW.UTAHDINEBIKEYAH.ORG
July 9, 2014
Bruce Adams, Chairman
San Juan County Commission
Post Office Box 9
Monticello, UT 84535
Phone: 435-587-3225
Re: Request for San Juan County endorsement of Dine Bikéyah conservation proposal
Dear Chairman Adams,
The Navajo Nation and the Utah Dine Bikéyah (UDB) organization have been engaged in Joint Planning on land and natural resource management with San Juan County for the past eighteen months. As you know, the Joint Planning MOA has expired and we have not yet discussed whether, or how to move forward. UDB Board Members met last week to determine how best to continue to advance its proposal to protect the proposed Dine Bikéyah National Conservation Area. UDB’s preferred course of action is to work cooperatively with the County, but the slow pace of progress and lack of detailed plans from San Juan County are causing us to question this approach.
In order to inform UDB’s path forward, we request either a letter of support from the San Juan Commissioners endorsing the components and boundaries of the Dine Bikéyah proposal; or a written description of the extent of County support for the Navajo position. We request a written response by August 15, 2014. While we prefer to work with the County and the Utah Congressional delegation to advance our proposal, we reserve the right to pursue other methods of conservation such as a National Monument designation through the Antiquities Act.
UDB has worked hard to interview elders, collect data, research policies, and understand the desires of San Juan County government and stakeholders. We have presented detailed maps and positions for San Juan County to consider and have shown you our interests on the ground. To date, we have seen little from San Juan County indentifying official areas of support and/or conflict with our proposal. Furthermore, the San Juan Commission has yet to articulate any substantive proposal for conservation of public lands and resources important to the Navajo.
The original goal of the Joint Planning MOA was to develop a shared vision for public land management in San Juan County. The UDB Board remains interested in this model, however we also recognize there are other paths forward to reach our goals. We are open to additional discussions and information sharing prior to August 15th, but we must receive an
understanding of the County’s position by this date to assess the likelihood of achieving our long-term conservation outcomes. UDB views its conservation proposal as necessary to protecting Navajo culture, traditional lands, and for ensuring that the needs of the Navajo and other Tribes are met over the long-term. We are encouraged to hear that SJC has formed a Lands Committee to make recommendations on the Dine Bikeyah proposal and other conservation efforts, but do not know the status of this undertaking.
In other developments, UDB became an IRS approved charitable organization this week and has hired a part-time staff to help the organization realize its independence and better carry out its mission. We realize that it will take time to establish ourselves, but are excited to play a leadership role among Utah Navajo people to better advance the educational and land management priorities as we move forward.
Regardless of the path forward for Joint Planning, UDB values the stewardship roles and ties to these public lands we share with other County residents. We hope you decide to join us in advancing this vision with a letter of support, and look forward to your reply.
Sincerely,
Willie Grayeyes
Chairman, Utah Dine Bikeyah
Cc: Honorable Rob Bishop, US House of Representatives, Fred White, Director of Navajo Nation Division of Natural Resources, Cody Stewart, Governor’s Energy Advisor, State of Utah
September 19, 2014
Secretary Sally Jewell
Department of Interior
1849 C Street, N.W.
Washington DC 20240
Via email: firstname.lastname@example.org; email@example.com
Dear Secretary Jewell,
I am writing to you to express the concerns of the Utah Dine Bikéyah Board of Trustees about Governor Herbert’s recent comments regarding national monuments in Utah. If you are not familiar with these comments, here is the link for your information:
http://utahpolicy.com/index.php/features/today-at-utah-policy/3503-herbert-no-new-national-monument-in-utah
While there is much talk of the promise of the Bishop legislative initiative, from the Navajo perspective, we have seen little to no recognition of our proposal for how public lands should be managed. We have diligently conducted outreach and held meetings to show and explain our painstakingly researched proposal for a 1.9 million acre national conservation area or national monument. We have been in regular contact with Rep. Bishop’s staff, other Congressional staff, as well as county officials. Yet almost eighteen months after unveiling our proposal, we have seen no maps from the county, Rep. Bishop’s office, or other stakeholders. Further, we have no clear idea of substantive problems or agreements local, state or federal politicians may have about our proposal.
Given that we have been the most transparent, early participants in this effort, we are disappointed that our efforts have been largely ignored to date. While I am sure that Governor Herbert does not speak for you, his words are giving a false impression to Navajo and other Utahns who want to see this landscape protected by a national conservation area or national monument. I believe it is important that you clarify publicly that he does not speak for you. This is important both for the integrity of the Bishop process and for retaining legitimate tools like the Antiquities Act to protect lands of such vital importance to our Navajo heritage.
Though we continue to participate in the Bishop process, our current unsatisfactory experience causes us grave concern that this effort is merely a distraction. We have had no contact with Utah Senators or their staff that indicate they are working on similar legislation or that they will work to get Bishop legislation through the Senate. We want permanent protection, and recognize the Senate must be involved if it is to happen legislatively.
Thank you for addressing our concerns as we work to be good partners in a difficult, flawed process to date.
On Behalf of the staff and Board of Trustees,
Willie Grayeyes, Chairman
Utah Dine Bikeyah Organization
Cc: President Ben Shelley, Navajo Nation
Sharilene Jeff, Executive Director, Navajo Nation Division of Natural Resources
| Comments | Alternative or Proposal |
|----------|-------------------------|
| 33 | Lands Council Alternative A |
| 2 | Lands Council Alternative B |
| 93 | Lands Council Alternative C (some proposed additional protected areas) |
| 24 | San Juan Alliance Proposal (includes some who noted Alt. A as second choice) |
| 300 | Dine Bikeyah Proposal - includes petition of 246 signatures (21 with comments; 194 SJC residents, 52 likely non-SJC residents w/out-of-county/state mailing addresses); 97 comment letters + 7 likely non-SJC resident comments + 2 unsigned/unaddressed comments; and 9 verbal comment transcripts |
| 1 | Greater Canyonlands NCA (The Nature Conservancy) |
| 1 | Red Rock Wilderness |
| 1 | All Share and Get Along |
| 1 | No preference until details of legislative narrative worked out |
| 1 | Any proposal should be as limited as possible and no road closures |
| 10 | No Bill [continue current management; or Alt. A if pushed (2); no road closures] |
| 467 | Total (may include some duplicate comments from same commenter) |
| | Three resolutions supporting Dine Bikeyah efforts (Navajo Utah Commission, Navajo Mountain Chapter, and Oljato Chapter) |
| 5 | Additional non-resident comments supporting various alternatives or proposals |
Bruce Adams, Chairman
San Juan County Commission
Post Office Box 9
Monticello, UT 84535
Re: Congressman Bishop’s Land-Use Initiative
Dear Chairman Adams,
Unfortunately, we were not able to resolve anything during our phone discussion yesterday. I was surprised to learn what different views we each hold on this planning process to date. I want to communicate that UDB still wants to work with San Juan County, however if the San Juan County Commission does not want to work with us please let us know.
We have been working on this land plan for almost five years, yet despite our efforts we have made little progress toward identifying components of a shared proposal between the Navajo Nation and San Juan County. After the MOA expired in June we wrote a letter to you stating that we need to see progress on this front (by August 15th) if we are to stay engaged. San Juan County never responded (See letter dated July 9th, 2014.) We were told last week that the San Juan County Commission does not know whether to move forward or how despite what UDB understood to be an agreement to meet in December to try and develop a shared proposal to advance according to Congressman Bishop’s timeline.
While we were in Washington DC this week we did not say that Navajo people have “never been included” in land planning in SJC. I feel as if they have, but Navajo Nation officials and the UDB Board Members are frustrated by the lack of progress made thus far and by the inconsistent treatment of the Navajo proposal (We understood on October 6th that the Navajo Nation proposal would be Alternative D.) What we told Casey Snider and Colton Miles on Tuesday is that the legislative path remains our preferred path forward, and we need to see progress in the near term to understand if this path is viable. The UDB Board and Navajo Nation officials are open to meeting with San Juan County to try and negotiate a shared position as we set out to do more than two years ago.
Sincerely,
Gavin Noyes
Executive Director
January 30th, 2015
The Honorable Rob Bishop
United States House of Representatives
123 Cannon House Office Building
Washington, D.C. 20515
Re: Eastern Utah Public Lands Initiative
Dear Congressman Bishop,
Congratulations on your recent appointment as Chairman of the House Natural Resources Committee in the 114th Congress. This is a significant accomplishment and I look forward to working with you and your staff in the months ahead to advance the Utah Eastern Public Lands Initiative and other important bills. As you are aware the Navajo Nation has been a leader in bringing local people together in San Juan County and has presented your office with a proposal to protect the cultural interests of the Diné on federal lands in southeastern Utah.
To best support this legislative process, the Navajo Nation is seeking clarity on next steps for working with your office, San Juan County, and others to ensure that Navajo positions are well represented in the final bill. Support continues to grow among Navajo communities, Utah Chapter House officials, and among other Tribes for protection of the Bear’s Ears region. This proposal includes the establishment of a 1.9 million acre National Conservation Area, wilderness areas, and a model agreement for collaborative management between land management agencies, the Navajo Nation, and other Native American Tribes. Prior to the drafting of legislation I would like to present and discuss collaborative management language to your office as this component is of high interest for inclusion in the final bill.
Navajo Nation officials hope the legislative process in San Juan County is successful and we request feedback from your office on when and how to move forward. Please contact me at your earliest convenience and also include Gavin Noyes, Executive Director of Utah Diné Bikéyah (UDB). UDB holds a Memorandum of Understanding with the Navajo Division of Natural Resources to represent Diné community interests in this project and UDB should be included in all communications and discussions as we move forward.
Thanks for your efforts to advance this important legislation and for your commitment to including the voice of Diné People as we move forward.
Sincerely,
Sharilene Jeff, Executive Director, Navajo Nation Division of Natural Resources
Cc: Congressman Jason Chaffetz, Secretary Sally Jewell, Governor Gary Herbert, and SJCCommission Chair Phil Lyman
Utah Diné Bikéyah Message to SJC Lands Council
February 3rd, 2015
I. Project Background
a. 5 years ago this month Senator Bennett started this lands process
b. We have followed all protocols and have shown respect to all involved
c. SJC and the NN had an MOA to develop a shared proposal
d. UDB represents the Navajo Nation through an MOU
e. We gave SJC commissioners our proposal in April, 2013
f. We have not yet seen a County position
II. Bear’s Ears Proposal- Entire purpose is to protect cultural resources
a. 1.9 million acre NCA
b. Collaborative Management
i. Firewood Access
ii. Sacred Sites
iii. Cultural Education/ Tourism
c. Wilderness Designations
III. Navajo Community Support
a. UDB held 8 Town Hall Meetings in November across reservation
b. Diné expressed broad support for Bear’s Ears protection
c. Over 400 comments submitted to SJC
d. UDB detailed all issues including chainsaws, atv’s, bulldozers and wildlife. Navajo people want an NCA/ NM and wilderness
IV. Path Forward
a. Prefer to work together
b. We hope to see some kind of protection by the end of Obama’s term
c. UDB is here to stay and we are committed to working for the long-term good of San Juan County on conservation, education, and jobs
UDB Position- We want to sit down with SJC to describe in detail why this proposal meets the needs of Utah Navajo People and develop a shared proposal.
Questions-
1) When can UDB meet with SJC?
2) When can UDB meet with the UT delegation?
3) What is the Path Forward?
a. We have asked Congressional staff to facilitate the negotiation process. Will there be a negotiation?
b. If so, what is the role of the NN?
February 4, 2015
Dear Public Lands Initiative Participants,
The Utah Public Lands Initiative (PLI) has transformed the way local communities confront federal land management issues in Utah. February 15 will mark the three-year anniversary of this multi-county, grassroots planning process. The goal then was to bring land-use certainty, economic development, land conservation, and enhanced land management models to eastern Utah counties. We’re pleased to report that our goals are still very much attainable and we are on track to move forward in the near future.
A coalition of counties, tribal leaders, and over 120 different interest groups has crafted more than 60 detailed proposals outlining each group’s desired land-management outcomes. Our offices have hosted nearly 1,000 meetings, driven over 50,000 miles, and spent countless hours digesting maps, bill language, and broad-ranging policy proposals. Our county partners have also led local working groups, lands councils, and public meetings to assist their efforts in identifying areas and policies that merit consideration in PLI.
The next step in the process will involve the release of a map and a legislative proposal. The draft map and proposal will be crafted by our offices and released to the public on March 27, 2015. The draft map and proposal will include areas and policy provisions that have been discussed over the past three years. The draft will attempt to incorporate the ideas and recommendations of the various participating entities including counties, tribes, the State of Utah, conservation organizations, SITLA, and others interest groups.
Our offices will give deference to local zones of agreement and consensus where they exist. In areas where consensus has not been reached, our offices will do our best to minimize local impacts. We recognize that some groups may oppose the draft proposal and while we welcome comments and the opportunity to address these concerns, we realize it’s impossible to achieve 100% consensus.
Thank you for your participation in PLI. Virtually all local officials, interest group leaders, and members of the public have participated in good-faith and want to see PLI succeed. We would not be on the cusp of a paradigm shift of this magnitude without each of these people and their efforts. Thank you.
Sincerely,
Rob Bishop
Member of Congress
Orrin Hatch
U.S. Senator
Jason Chaffetz
Member of Congress
Mike Lee
U.S. Senator
Chris Stewart
Member of Congress
Mia Love
Member of Congress
The Honorable Rob Bishop
United States House of Representatives
123 Cannon House Office Building
Washington, D.C. 20515
Re: Bear’s Ears Proposal and Public Lands Initiative
Dear Congressman Bishop,
On February 12th, President Shelley of the Navajo Nation asked Governor Herbert for support in advancing the Bear’s Ears proposal during the Native American caucus in Salt Lake City. The governor’s advice was to get our proposal to you and Congressman Chaffetz as soon as possible.
As you are aware, planning around the Public Lands Initiative has been moving at a fast pace in San Juan County for the past several weeks. Based on recommendations of your staff, Utah Diné Bikéyah (UDB) has been trying in earnest to re-engage with the San Juan County Commission and understand the path forward for advancing the Navajo proposal through these channels. This process remains uncertain. The Navajo Nation and UDB’s main concerns at this point are that we still have no clarity on the path forward despite a rapidly approaching deadline of March 27th. We still have no understanding of the level of support we have from Commissioners for the Bear’s Ears proposal, nor do we know when they might take a position. As a result, we would like to work directly with your office to ensure that Navajo needs are understood and included in the draft map and legislation you are preparing.
Toward this goal we want to meet to discuss key elements of the Navajo proposal and provide you details that are currently under development.
Items we are prepared to discuss now and deliver to you in the coming weeks include:
1) Draft Collaborative Management legislative language
2) Definition of “Nahodishgish” and Wilderness recommendation boundaries within NCA
3) Amendment of the NCA boundary to accommodate Ute Mtn Ute Tribe request in Cottonwood Wash
Thank you for your consideration of the Bear’s Ears proposal and please let us know when you are available to meet.
Sincerely,
Willie Grayeyes
Chairman, Utah Dine Bikeyah
Cc: Congressman Jason Chaffetz, Senator Orrin Hatch, Senator Mike Lee, Secretary Sally Jewell, and Governor Gary Herbert
Honorable Jason Chaffetz
U.S. House of Representatives
Washington, DC 20515
Dear Congressman Chaffetz,
Thank you for taking the time to talk by phone with Utah Diné Bikéyah (UDB) representatives on Tuesday about the Bears Ears proposal and the legislative process in San Juan County. I am disappointed to hear that legislation is no longer being considered for the summer Congressional session given the many deadlines that we have been working hard to meet. We understand the desire to get legislation “done right,” rather than “done fast,” but we are also concerned that the new legislative timeline will burden this bill with the politics of a presidential campaign that may get in the way of its success. I hope we are wrong.
We understand the complexities involved, but if possible we would like to learn by early September the extent to which the Bears Ears proposal will likely be included in the legislative package. We are particularly interested in the external National Conservation Area boundary, the wilderness designations, and the creation of a role for Tribes in collaboratively managing the area. These are important benchmarks for us to understand in the context of the many detailed interests we hold in the region.
Like you, we are frustrated that we still do not know how far apart the San Juan County Commissioner position is from UDB’s position. We were pleased to hear that the San Juan County proposal boundaries have gotten larger, however we have no evidence that this is the case because they have not yet taken a position. It has been more than three years since the Navajo submitted its proposal and we have never seen a response from the County nor had a meaningful negotiation to understand how far apart these proposals are. The past four attempts at negotiating an agreement have not produced anything of substance that we are aware. At the most recent meeting neither UDB nor the Tribes were invited to attend and we were told that the SJC Commissioners did not require any further information from us to make its final decision.
You also commented on the importance of the San Juan Citizens Committee’s proposal and the work it has done over the past year. Commissioner Phil Lyman formed this committee around the same time he began planning his ATV ride into Recapture Canyon and his role is problematic because of his anti-federal stance toward land management. By its own admission this committee has failed to include meaningful, or representative participation from Native Americans yet the
Commissioners seem inclined to follow this group’s lead. UDB does not hold any ill-will toward commissioner Lyman, but his actions reflect attitudes that exist in San Juan County that threaten sacred sites and the human heritage that we are trying to protect. Native Americans make up 53% of San Juan County citizens and UDB believes their voices should also be reflected in the Public Lands Initiative process.
When UDB set out to engage in the Bennett process and later in the Bishop process we followed all of the protocols that were in place according to both US and Navajo protocol. We sought support from Chapter Houses to develop a plan, we engaged Utah Navajo elders in establishing our vision, we entered into an MOU with the Navajo Nation, we launched joint planning through an MOA between SJC and the NN, we engaged the Chapter Houses and NN Council in developing our proposal, we sought input and kept government officials well informed, we are engaging other Tribes to ensure that their needs are included, and we continue to conduct traditional ceremonies to ensure we are moving forward correctly. This has required a great deal of effort on our part, and it is the reason that I feel an obligation to advance the cultural values held by Native Americans for this landscape and ensure protections are put in place that will serve future generations of Americans.
As we mentioned on the phone Ute, Navajo, Hopi, Zuni, Cochiti, and other Native American Tribes maintain oral histories that link them to the Bears Ears landscape. These are not myths or legends, but these stories passed down by elders represent the oral archives of entire nations. The archaeological record corroborates these histories further. I feel strongly that these Native American Tribes be included in the process and outcomes of this legislative process. This diversity of people who have occupied this landscape is an integral piece of the human story and these individuals deserve to be part of its future.
Thank you again for the opportunity to share our opinions and desires for this region and we look forward to meeting with you again soon.
Sincerely,
Mark Maryboy
Board Member
Utah Diné Bikéyah
WWW.UTAHDINEBIKEYAH.ORG
August 5th, 2015
Honorable Rob Bishop
Honorable Jason Chaffetz
U.S. House of Representatives
Washington, DC 20515
RE: Native American Tribes Request Involvement in Congressman Bishop’s Public Lands Initiative
Dear Representatives Rob Bishop and Jason Chaffetz,
Elected officials from the Navajo Nation, Hopi, Zuni, and Ute Mountain Ute Tribes met on June 30th and July 16th to discuss the proposed Bears Ears National Conservation Area/ National Monument. We are aware that San Juan County advanced a proposal to your office and despite multiple attempts to work with San Juan County and your offices over recent years, we are concerned about how Tribes and the Bears Ears proposal are being considered in your legislative process. The undersigned Native American Tribal governments request inclusion of the Bears Ears proposal, as well more intensive engagement with Utah tribes, and engagement of Tribes outside of Utah in the discussion of legislation.
The lands within the Bears Ears conservation proposal are shared ancestral lands of more than one dozen tribes, and are sacred to Native Americans throughout the Southwest; they need to be permanently protected. As you are aware, twenty-five Tribes have endorsed protection for the Bears Ears area and surrounding lands as a means of protecting a wide range of cultural resources on public lands in San Juan County. As we have before, we request inclusion of the full Bears Ears proposal as a National Conservation Area or National Monument in your legislation. Such a designation must identify conservation of the area’s irreplaceable cultural resources as the primary purpose, and include strong conservation standards including a full mineral withdrawal while allowing Native American traditional uses to continue. Our Tribes have a strong interest in the area and are also seeking a formal role in the collaborative management of this landscape with the Federal agencies.
Congress and the Federal Government hold a federal trust responsibility in their relationship to tribal governments and as such we request that the Bears Ears Inter-Tribal
Coalition be included in legislative negotiations impacting our ancestral lands prior to introduction of draft legislation. It is not sufficient to consult only with Tribal governments that hold reservation lands in San Juan County (Ute Mountain Ute, Navajo Nation, and San Juan Paiute). These Tribes, of course, need to be at the table, but it is equally important to be inclusive of the Hopi, Zuni, Apache, Pueblo, and Paiute and Ute Nations that lie outside of San Juan County, since we do have strong interests and deep connections to these public lands that transcend beyond political state boundaries. We appreciate the willingness of federal officials from the Departments of Interior and Agriculture to respond to Tribes’ recent request to discuss the Bears Ears landscape and hope that your offices will similarly engage Tribal governments in your process.
Despite more than two years of dialogue with local stakeholders, we are concerned that the Public Lands Initiative Process and San Juan County have thus far failed to reach out to, consult, and respond to feedback from Tribes within or outside of Utah. For example, six Navajo Chapter Houses in Utah and the overwhelming majority of San Juan County residents that weighed in during the County’s public comment period endorsed the Bears Ears conservation proposal. Despite this local support, the County’s proposal ignores tribal input. Worse still, Tribes from outside of Utah have been afforded no opportunity to provide feedback or engage in the process. In order for Tribes to consider supporting any legislation that affects our ancestral lands, we must first be engaged. We invite you to present at one of the monthly Inter-tribal Coalition meetings so that we can meet elected official to elected official, or we can schedule a separate time.
We desire engagement in your legislative effort, but due to the lack of inclusion of Native voices in San Juan County we have also been briefing federal agencies on Native American conservation desires for the region. Tribes want protection of the Bears Ears conservation proposal regardless of how it happens, but are concerned at the lack of involvement of Tribes in the Public Lands Initiative thus far. We hope that you will engage the Bears Ears Coalition of Tribes in developing your legislation and that you introduce a bill that provides strong protection for the full Bears Ears National Conservation Area / National Monument proposal in short order. We request that you give Tribes the opportunity to work with you towards meaningful conservation legislation on an accelerated timeline.
Thank you for your prompt attention to this matter. We look forward to your response.
Sincerely,
Alfred Lomahquahu, Jr. Co-Chair, Bears Ears Inter-Tribal Coalition, Vice-Chairman, Hopi Tribe
Eric Descheenie, Co-Chair, Bears Ears Inter-Tribal Coalition, Office of the President and Vice President The Navajo Nation
August 25, 2015
Hon. Rob Bishop
Hon. Jason Chaffetz
U.S. House of Representatives
Washington, DC 20515
RE: Bears Ears Conservation Proposal and Bishop Public Lands Initiative
Dear Representatives Bishop and Chaffetz,
Thank you for including Utah Diné Bikéyah (UDB) and Native American Tribes in the Public Lands Initiative (PLI). UDB has been working respectfully and collaboratively with all parties to protect the Bears Ears landscape for more than five years now. We are concerned that despite this effort that is widely supported by a majority of Utah Navajo, the Bears Ears proposal was ignored by San Juan County officials when it advanced its legislative request to your offices. We hope that you will correct this omission prior to releasing draft legislative language.
Specifically, we are concerned by the following aspects of SJC’s proposal:
1) Less than 50% of the areas we identified as culturally important areas were included. Critical lands that need protection include: Beef Basin, the Abajo mountains, Elk Ridge, Dark Canyon, White Canyon, Red Canyon, Nokai Dome, the confluence of the San Juan River, Cottonwood Wash, Arch Canyon, Tank Mesa, Posey Wilderness areas (adjacent to Canyons of the Ancients National Monument), and the La Sal Mountains.
2) Expansive swaths of SJC that were proposed for conservation were later designated “Energy Zones” by SJC and the Utah State legislature. Encroachment of the SJC Energy Zone on our proposal is not acceptable.
3) Cultural activities such as firewood collection, hunting, and herb collection are not explicitly protected in SJC’s proposal.
4) Hard release language regarding wilderness and the Antiquities Act was included which is something UDB will oppose.
Between February, 2010 and April, 2013 UDB worked collaboratively with San Juan County officials through the Navajo Nation’s Joint Planning process to develop a shared plan for land conservation, economic development, and improved communications among local people. Our experience was disappointing for its lack of results, but it also exposed prejudices that plagued the process and outcomes. As we have done before, we are asking for your help to ensure that local Native American voices are included in the draft Public Lands Initiative (PLI) legislative language.
At its outset UDB understood the PLI’s stated aim was to bring together Utah Navajos, Utes, and other San Juan County residents in a transparent, inclusive process to determine the future of public lands in the county. Unfortunately, so far the process has failed to meaningfully include the perspectives of Native People.
There were several failures of process and Native American representation along the way including the following:
a. San Juan County never responded to the Bears Ears proposal that was formally presented by UDB and the Navajo Nation on April 17th, 2013 in Monument Valley at The View Hotel. UDB representatives answered questions from state and Congressional officials for more than 2 hours during this meeting, yet received no response. (See letter from UDB to SJC 7/9/14)
b. The overwhelming majority of San Juan County respondents (64%) voted for approving Bears Ears as a National Conservation Area. SJC officials never acknowledged the public results or tried to understand this local desire prior to approving “Alternative B” that received less than 1% (2 votes) of local support. (See San Juan County’s public lands bill comments tally 12/8/14)
c. San Juan County Commissioners and the Utah State Legislature passed HB 393\(^1\) in 2015 that undermined major portions of the Bears Ears proposal by designated it as an “Energy Zone” without consulting Tribes or informing UDB. This bill aims to streamline development and declares grazing, energy and mineral development to be the “highest and best use” of public lands.
d. Negotiations between the SJC Citizen Lands Council, UDB, and the Navajo Nation failed to produce any results. Furthermore at the final meeting neither UDB nor the Tribes were invited to attend and were told that the SJC Commissioners did not require any further information to make its final decision. (Letter from UDB to Chaffetz 7/8/15) The Bears Ears proposal was not even considered by the Commissioners when it voted despite the overwhelming citizen support.
e. SJC Commissioner Phil Lyman represents a significant problem that UDB is trying to correct in San Juan County in the desecration of sacred sites. (Letter from UDB to Chaffetz 7/8/15) It is frustrating to see a local leader convicted of conspiracy and driving on closed public lands divide Native and non-Native community members, federal and state officials, and conservation and development interests by forcing everyone to choose a side for or against his actions. Commissioner Lyman could not have been expected to lead a fair process in SJC, yet at this late date no one has held him or other SJC officials accountable to the purported standards of the PLI.
f. UDB was treated very inconsistently by SJC. Sometimes SJC officials expressed a high degree of cooperation and willingness to work together, and at other times officials criticized UDB’s proposal.
You have heard about UDB’s experiences working with SJC officials for a long time. Now that the burden of representing all Utahns rests on your shoulders, we ask that you please rise to the occasion and come up with a bill that is inclusive of Native American interests. In this spirit, we very respectfully ask you to include the full Bears Ears proposal in your legislation to ensure the needs of the majority of people in SJC are met.
The Utah Diné Bikéyah organization has been advancing the Bears Ears Conservation proposal in accordance with the MOU it holds with the Navajo Nation Division of Natural Resources and resolutions it holds with Utah’s seven Chapter Houses. We have an all Native Board of Directors with representation from each of the seven Chapter Houses and the White Mesa Ute community in
\(^1\) Legislative language can be found at: http://le.utah.gov/~2015/bills/static/HB0393.html
Utah. UDB has obtained resolutions of support from six of seven Chapter Houses in Utah, the Navajo Utah Commission, the Navajo Nation Council, and 25 tribal governments that endorse designating Bears Ears as either a National Conservation Area or National Monument with significant wilderness designations. UDB has built up its grassroots support at the community level by providing updates at Chapter House meetings, convening spiritual leaders at ceremonies, hosting townhall meetings, tabling at events and fairs, speaking at senior centers, and holding community meetings in the homes of UDB Board Members. The Navajo Chapter House resolutions of support represent approximately 6,000 residents living in San Juan County, Utah and the governments of twenty five tribal nations represent hundreds of thousands of additional U.S. citizens.
Finally, after years of briefing Tribal governments on the conservation needs of local Native people in SJC, UDB invited Tribes that share ancestral lands in SJC to adopt the Bears Ears proposal as their own to request this area be protected for future generations. In July, these Tribes formally organized themselves as the Bears Ears Inter-Tribal Government Coalition. As you look to meaningfully engage Tribes and Native interests in the PLI, please reach out to the Bears Ears Inter-Tribal Government Coalition to arrange a formal meeting in a government to government format. Eric Descheenie and Alfred Lomahquahu are the coalition Co-chairs and can be reached at:
Eric Descheenie: firstname.lastname@example.org
Alfred Lomahquahu: email@example.com
We also ask that you continue to meet with UDB so that we can communicate the needs and desires of grassroots people in San Juan County as the upcoming legislation comes together. Thanks for your attention to this matter and persistence in pursuing a legislative outcome that works for all Utahns and Americans.
Sincerely,
Willie Grayeyes, Chairman of the Board
Utah Diné Bikéyah |
Branching Poisson Process Modelling for Reliability Analysis of Repairable Mechanical System
Nicolas La Roche-Carrier\textsuperscript{1}, Guyh Dituba Ngoma\textsuperscript{1}, Yasar Kocaefe\textsuperscript{2} and Fouad Erchiqui\textsuperscript{1}
\textsuperscript{1}School of Engineering, University of Quebec in Abitibi-Témiscamingue, 445 Boulevard de l’Université, Rouyn-Noranda, Canada.
\textsuperscript{2}Department of Applied Sciences, University of Quebec in Chicoutimi, 555 Boulevard de l’Université, Chicoutimi, Canada
Keywords: Reliability, Modelization, Branching Poisson Process (BPP), Non-homogeneous Poisson Process (NHPP).
Abstract: In a series of mechanical system maintenance it is possible to observe failures, sometimes intermittent, which cause series of unsuccessful repair attempts before the correct fault is detected and the repair is effective. Unsuccessful repairs performed for the same failure are not negligible and must be taken into account for the reliability analysis. To solve this type of problem, the model proposed is the branching Poisson process (BPP). This process is the representation of a primary failure that triggers one or more subsidiary failures. A summary and an adaptation for the resolution of the branching Poisson with failures time of repairable mechanical system were highlighted including some clarification regarding the steps of resolution implemented.
1 INTRODUCTION
The reliability is the probability of a system performing its purpose correctly without defects according to the given conditions within a certain time (Barlow and Proschan, 1965). It plays an important role in accomplishing the steps leading to improved maintenance. The understanding of its concepts is essential in order to model the system state and to find an acceptable maintenance scenario. A mechanical system is said repairable if it is possible to restore its primitive qualities when it fails (Ascher and Feingold, 1984). When the failure system occurs at a specific age, maintenance is carried out to restore its initial qualities. These maintenance actions can affect the overall behavior of the system and involve its operation due to variable maintenance resources such as human errors, parts quality and preventive action performance (Procaccia et al., 2011).
Four stochastic processes are commonly cited to analyze the reliability of repairable systems: the renewal process (RP), the homogeneous Poisson process (HPP), the non-homogeneous Poisson process (NHPP) and the branching Poisson process (BPP) (Ascher and Feingold, 1984; Garmabaki et al., 2015). The renewal process is an arrival process whose intermediate intervals (times of failure) are positive, independent and identically distributed data (Barlow and Proschan, 1965). The random feature of the renewal process supposes that maintenance has restored the initial primitive qualities to the system, so that it can be considered new and the assumption “as good as new” is applicable. With this process, it is then possible to use conventional statistical techniques to evaluate reliability functions. The HPP is a particular case of the renewal process in which the failure times are i.d.d. whose interarrival distribution is closely related to the exponential distribution (Tobias and Trindade, 2012). The NHPP applies when the “as bad as old” assumption is considered and the reliability has not been improved since the last failure (Barlow and Hunter, 1960). The repair action is just enough to make the system operational again and the failure intensity function remains the same or worse as last maintenance before, which, over time, will degrade the integrity of the system. The BPP is implemented when the failure times are identically distributed but are not independent. This article is focused on this specific Poisson process using a case study. This process is poorly documented in the literature on reliability analysis: it is often referred like a milestone in the process of analyzing failure data, but hardly applied since it is very common that failure data are independent.
2 MATHEMATICAL FORMULATION
This section summarizes the theory and the model adaptation of branching Poisson process from references (Lewis, 1964a; Lewis, 1964b; Cox and Lewis, 1966; Rigdon and Basu, 2000). In addition, some clarifications are provided in relation with the established model.
2.1 Branching Poisson Theory
The process is characterized by random variables $Z_1, Z_2, \ldots, Z_k$ defined as the times between the primary failures (i.e. time to the $k^{th}$ primary event) and the random variables $Y_1, Y_1 + Y_2, \ldots, Y_1 + \ldots + Y_{r+1}$ defined as the times between the subsidiary failures and triggered by primary failures (i.e. time to the $s^{th}$ subsidiary event). If the term $H(t)$ is the expected number of subsidiary failures in the finite renewal process, then for a time interval $[0,t]$, the contribution of the $k^{th}$ event in the subsidiary process for the expected number of events is:
$$\mathbb{E}\left[N^{(k)}(t)\right] = \int_0^t H(t-z)f_k(z)dz$$ \hspace{1cm} (1)
where $f_k(t)$ denote the probability density function of primary events. In the time interval $[0,t]$, the expected number of failures $\mathbb{E}\left[N^{(0)}(t)\right]$ of the complete process is the sum of the primary failures number and the cumulative sum of the subsidiary failures number from the $k^{th}$ event.
$$\mathbb{E}\left[N^{(0)}(t)\right] = \mathbb{E}[N(t)] + \sum_{k=1}^{\infty} \mathbb{E}\left[N^{(k)}(t)\right]$$
$$= M_\pm(t) + \int_0^t H(t-z) \left[\sum_{k=1}^{\infty} f_k(z)\right] dz$$ \hspace{1cm} (2)
where $M_\pm(t)$ is the expected number of primary events in $[0, t]$. By definition:
$$m_\pm(t) = \frac{dM_\pm(t)}{dt} = \sum_{k=1}^{\infty} f_k(t)$$ \hspace{1cm} (3)
Then, Equation (2) becomes:
$$\mathbb{E}\left[N^{(0)}(t)\right] = M_\pm(t) + \int_0^t H(t-z)m_\pm(t)dz$$ \hspace{1cm} (4)
If the primary process is considered a Poisson process, then the probability density function is equal $f_\lambda(t) = \lambda \exp(-\lambda t)$ and the expected number of events of the primary process becomes $M_\pm(t) = \lambda t$. The expected number of events $M(t)$ of the complete process is thus obtained:
$$M(t) = \mathbb{E}\left[N^{(0)}(t)\right] = \lambda t + \lambda \int_0^t H(t-z)dz$$ \hspace{1cm} (5)
The rate of occurrence of failures function or the intensity function $m(t)$ of the complete process is defined by:
$$m(t) = \frac{dM(t)}{dt} = \lambda [1 + H(t)]$$ \hspace{1cm} (6)
If the number of subsidiary $S$ failures is known, the expected number of events $\mathbb{E}[H(t)|S]$ should tend to $S$ since all subsidiary failures are required to occur (Rigdon and Basu, 2000). Applying the limit to $H(t)$:
$$\lim_{t \to \infty} H(t) = \mathbb{E}(S)$$ \hspace{1cm} (7)
From Equation (6), the intensity function for the branching Poisson process is:
$$\lim_{t \to \infty} m(t) = \lim_{t \to \infty} \lambda [1 + H(t)] = \lambda [1 + \mathbb{E}(S)]$$ \hspace{1cm} (8)
2.2 Branching Poisson Modelling
The principle of the branching Poisson modelling is to represent the main process from occurrence of the primary failures and the process from occurrence of the subsidiary failures, which is dependent on the main process. Some probability functions are applicable to modeling the first order of branching Poisson like the exponential and the gamma distributions. The objective is to compare the empirical reliability function $R_{n_0}$ with the theoretical data modeled by the reliability function $R_T(t)$, which defines the branching Poisson process. Validation of the model adopted are done by comparing the reliability functions on a logarithmic scale (Lewis, 1964a). The logarithmic definition of empirical reliability function $R_{n_0}$ of $i$ for the $j^{th}$ failure is:
$$\ln R_{n_0}(i) = \ln \left(1 - \frac{i}{n_0 + 1}\right)$$ \hspace{1cm} (9)
where $n_0$ is the number of failures. According to the branching Poisson process, the reliability function $R_T(t)$ of the time between failure $t_i$ is given by:
$$R_T(t) = \frac{[1 + aR_T(t)]}{(1 + a)} \cdot E_1$$
where
$$E_1 = \exp \left(-\lambda t - \lambda a \int_0^t R_T(u)du\right)$$ \hspace{1cm} (10)
where \( R_T(t) \) is the reliability function of the subsidiary process (exponential or gamma) and the parameter \( a = \mathbb{E}(S) \) is the expected number of subsidiary failures. The probability density function \( f_T(t) \) of the branching Poisson process is defined by:
\[
f_T(t) = \frac{\left[ \lambda + af_T(t) + 2\lambda aR_T(t) + \lambda a^2 R_T^2(t) \right]}{(1+a)} . E_1
\]
(11)
where \( f_Y(t) \) is the probability density function of the subsidiary process. For a time \( t \gg \mathbb{E}(Y) \), \( R_T(t) \to 0 \) and \( \int_0^t R_Y(u)du \to \mathbb{E}(Y) \) (Karyagina et al., 1998).
By substituting \( b = \mathbb{E}(Z)/\mathbb{E}(Y) = 1/(\lambda \mathbb{E}(Y)) \) and applying the logarithm to the reliability function \( R_T(t) \) from equation (10), the next equation is formed:
\[
\ln R_T(t) \approx \ln(1+a) - \frac{a}{b} - \lambda t
\]
(12)
The term \( \lambda \) is estimated as the slope of the straight line on the tail of the distribution \( \ln R_{n_0}(i) \) (if the slope is obvious for the sample). The tail of the distribution is defined from the point of truncation, i.e. where there is a decrease in the occurrence of subsidiary failures data. This truncation point is arbitrary and is determined with the values generated with Equation (9). The term \( a \) is according to the intensity function from Equation (8):
\[
a = \frac{\mathbb{E}(Z)}{\mathbb{E}(T)} - 1
\]
(13)
where \( \mathbb{E}(T) \) is the expected value of the interarrival times \( t \) and \( \mathbb{E}(Z) = 1/\lambda \) is the expected value of the times adjusted to the tail of the distribution \( \ln R_{n_0}(i) \).
If the term \( a \) is small (\( a < 1 \)), then the resulting curve will be very close to the logarithm of the homogeneous Poisson distribution (Karyagina et al., 1998). The term \( b \) of Equation (12) is the intercept of line fitted to the tail of the distribution \( \ln R_{n_0}(i) \). The expected value \( \mathbb{E}(Y) \) for the subsidiary distribution \( \{Y_i\} \) is given by:
\[
\mathbb{E}(Y) = \frac{\mathbb{E}(Z)}{b}
\]
(14)
The failure rate \( z_T(t) \) of the branching Poisson process is the ratio of the probability density function on the reliability function.
\[
z_T(t) = \frac{f_T(t)}{R_T(t)}
\]
(15)
The probability density function \( f_Y(t) \) for the exponential function is:
\[
f_Y(t) = \beta \exp(-\beta t)
\]
(16)
where \( \beta = 1/\mathbb{E}(Y) \) is the intensity parameter. Determined from the integral of \( f_Y(t) \), the reliability function of the subsidiary process \( R_T(t) \) for the exponential function is:
\[
R_Y(t) = \exp(-\beta t)
\]
(17)
From Equations (10) and (17), the logarithm of the reliability function for an exponential function \( R_T(t) \) is given by:
\[
\ln R_T(t) = \ln \left[ \frac{[1+a \exp(-\beta t)]}{(1+a)} . E_2 \right]
\]
where
\[
E_2 = \exp \left[ -\lambda t - \lambda a \left( \frac{1-\exp(-\beta t)}{\beta} \right) \right]
\]
(18)
If the choice of the distribution for \( \{Y_i\} \) is a gamma function, then the probability density function \( f_Y(t) \) is (Hogg and Craig, 1978):
\[
f_Y(t) = \frac{\beta^k t^{k-1} \exp(-\beta t)}{\Gamma(k)}
\]
(19)
where \( \Gamma \) is the gamma function, \( \beta = k/\mathbb{E}(Y) \) is the intensity parameter and \( k \) is the shape parameter. The cumulative distribution function \( F_Y(t) \) of gamma function is defined by (Abramowitz and Stegun, 1972):
\[
F_Y(t) = \frac{1}{\Gamma(k)} \int_0^t \left[ (\beta t)^{(k-1)} \exp(-\beta t) \right] dt
\]
(20)
If the parameter \( k \) is a strictly positive integer, then the cumulative distribution function follows the Erlang distribution (Papoulis, 1991):
\[
F_Y(t) = 1 - \exp(-\beta t) \sum_{u=0}^{k-1} \left[ \frac{(\beta t)^u}{u!} \right]
\]
(21)
The reliability \( R_Y(t) \) for the gamma distribution is:
\[
R_Y(t) = 1 - F_Y(t) = \exp(-\beta t) \sum_{u=0}^{k-1} \left[ \frac{(\beta t)^u}{u!} \right]
\]
(22)
From Equations (10) and (22), the model adapted to a logarithm reliability function for a gamma function \( R_T(t) \) is given by:
\[
\ln R_T(t) = \ln \left[ \frac{1 + a \exp(-\beta t) \sum_{v=0}^{k-1} \left( \frac{(\beta t)^v}{v!} \right)}{(1 + a)} \cdot E_3 \right]
\]
where
\[
E_3 = \exp \left[ -\lambda t - ab \left\{ 1 - \exp \left( -\frac{kt}{E(Y)} \right) \right\} E_4 \right]
\]
\[
E_4 = \sum_{v=0}^{k-1} \left[ \left( \frac{t}{E(Y)} \right)^v \frac{k^{v-1}(k-v)}{v!} \right]
\]
(23)
### 3 RELIABILITY ANALYSIS PROCESS
In the reliability analysis process for repairable system, the first step is to verify if the independence hypothesis of the failure data is respected. If the hypothesis validation is not confirmed then classical statistical techniques cannot be applied and it is necessary to use the non-homogeneous Poisson process (Ascher and Feingold, 1984). Independent data implies that there is no trend: each failure is independent of the previous or the next failure. Identical distributions indicate that data come from the same probability distribution. If the process is free of trends, the application of the dependency test will specify whether the data follow a renewal process or a branching Poisson process. The detection and the analysis of dependency can be realized with the correlation coefficient (Lewis, 1964a). If there is acceptance of the hypothesis which accepts the existence of correlation between data, it is possible to model the failures by the branching Poisson process. The process to analyze the reliability of repairable system with applicable tests is presented in Figure 1.
#### 3.1 Trend and Dependence Tests
After the collection, sorting and classification of the chronological failures data, the trend evolution can be examined with hypothesis testing methods. Since some trend tests have a greater sensitivity to the number of events, it is preferable to apply different investigations to validate the same assumption of resolution. In this study, the Laplace test and Military Handbook test (MIL-HDBK-189) are effective hypothesis methods to validate the null hypothesis of homogenous Poisson process (HPP), in order to verify non-trend behavior. The Laplace test compares the mean value of the observed data with the midpoint of the interval and a trend is observed in the data when the mean value of the failure time moves away from the central point. The Laplace test statistic criterion for testing \( H_0 \) (HPP) against \( H_1 \) (NHPP) is based on the normality of the variable \( Z_L \) with the significance level \( \alpha \). The test, with the number of failures \( \tilde{n} \), the occurrence of failures time \( t_i \) and the time interval of observation \([T_a, T_b]\), is given by (Kvaløy and Lindqvist, 1998):
\[
Z_{L[T_a,T_b]} = \frac{\sum_{i=1}^{\tilde{n}} t_i - \frac{1}{2}\tilde{n}(T_b + T_a)}{(T_b - T_a)\sqrt{\tilde{n}/12}}
\]
(24)
The MIL-HDBK-189 test compares a null hypothesis test \( H_0 \) associated to a HPP against the alternative hypothesis \( H_1 \) associated to a NHPP (U.S. Department of Defense, 1981). The test is distributed according to a chi-squared distribution with \( 2\tilde{n} \) degree of freedom with the significance level \( \alpha \). The statistic with the number of failures \( \tilde{n} \) and the occurrence of failures time \( t_i \), is defined for a time interval of observation \([T_a, T_b]\) as follows (Stephens, 2012):
\[
MH = 2 \sum_{i=1}^{\tilde{n}} \ln \left( \frac{T_b - T_a}{t_i - T_a} \right)
\]
(25)
When the situation gives opposite hypothesis validation for the trend tests, then the Cramér-von Mises goodness-of-fit test can be used to confirm
the assumption for the trend. This test verifying the null hypothesis $H_0$ associated to a NHPP against the alternative hypothesis $H_1$ associated to a rejection of NHPP and when the statistic’s value $C_M^2$ is greater than the critical value, then the hypothesis $H_0$ is rejected at the significance level $\alpha$ chosen. This statistic is expressed in this form (Crow, 1990):
$$C_M^2 = \frac{1}{12M} + \sum_{i=1}^{M} \left( Z_i^\beta - \frac{(2i-1)}{2M} \right)^2$$
where $M = n$, $Z_i = t_i / T$, $T$ is the total time on the test, $\beta$ is the shape parameter from the NHPP, defined by the power law model (Rigdon and Basu, 2000):
$$\beta = -\frac{n-1}{\sum_{i=1}^{n} \ln \left( \frac{T}{t_i} \right)}$$
The dependency between observed data can be found by the correlation test. In this paper, the numerical analysis of the dependence is given with the Pearson correlation coefficient (Cox and Lewis, 1966).
$$r_k = \frac{\text{Cov}(X_i, X_{i+k})}{\text{Var}(X)}$$
where $k$ is the time lag. $\text{Var}(X)$ is the variance of the $X$, $\text{Cov}(X, X_{i+k})$, $\sigma(X_i)$ and $\sigma(X_{i+k})$ are respectively the covariance and the standard deviations of the quantitative variables $X_i$ et $X_{i+k}$. The test rejection criterion is based on the null hypothesis $H_0$ which admits an absence of correlation and the alternative hypothesis $H_1$ which admits the existence of correlation. The test calculating the variable $t_0$ and comparing it to the value of the significance level $\alpha$ from the Student’s $t$-distribution (Vaurio, 1999).
4 RESULTS AND DISCUSSION
4.1 Data Collection
The data selected come from a mechanical repairable system of Load-Haul-Dump vehicle, more precisely from the powertrain system (transmission, parking brakes, gear box, drive lines front axle and rear axle), and represented by the recorded time between failures (TBF). These failures can be examined and evaluated for the applicability of the BPP. In some industrial context, it is not possible to take the failure data since the beginning of the procedure: a series of events was taken between two times of the system operation. The initial time interval $T_o$ corresponds to the first observation time of failure. Since the failures are censored by time, the time $T_b$ corresponds to the final recording time. Table 1 shows the failures time and the operating age range.
| $n_o$ | $t_i$ (h) | $n_o$ | $t_i$ (h) |
|-------|-----------|-------|-----------|
| 1 | 11 977 | 16 | 13 820 |
| 2 | 12 450 | 17 | 13 867 |
| 3 | 12 513 | 18 | 13 917 |
| 4 | 12 654 | 19 | 14 042 |
| 5 | 12 844 | 20 | 14 075 |
| 6 | 13 066 | 21 | 14 240 |
| 7 | 13 165 | 22 | 14 500 |
| 8 | 13 280 | 23 | 14 933 |
| 9 | 13 380 | 24 | 15 275 |
| 10 | 13 394 | 25 | 15 369 |
| 11 | 13 440 | 26 | 15 635 |
| 12 | 13 479 | 27 | 16 625 |
| 13 | 13 515 | 28 | 16 729 |
| 14 | 13 525 | 29 | 17 380 |
| 15 | 13 605 | 30 | 17 400 |
$T = T_b = 18 000$
4.2 Analysis of Times Between Failures
The failures trend was validated with three methods: the Laplace test, the Military Handbook test (MIL-HDBK-189) and the Cramér-von Mises test. Table 2 illustrates the trend tests performed on failures data. It is possible to notice that the null hypothesis $H_0$ which admits a homogeneous Poisson process is rejected by the Laplace test, but accepted by the Military Handbook test. With the application of the third test, the Cramér-von Mises goodness-of-fit test, it is possible to settle on this dilemma. The execution of this last test demonstrates that the null hypothesis $H_0$ is rejected, which admits a rejection of the non-homogeneous Poisson process. Then, the results favor the assumption that failures data are without trend and identically distributed.
The next step is the correlation verification between failures. The dependency test was calculated with a two lag parameters ($k = 1$ and $k = 2$) and the correlation coefficients maximum between $r_1$ and $r_2$ was considered.
By analyzing the test results shown in Table 3, it is obvious that the null hypothesis $H_0$ which admits a lack of correlation ($r = 0$) is rejected since the value of $t_0$ is greater than the critical value. In this case, failures data follow a BPP.
Table 2: Computed value for trend tests.
| Rejection of null hypothesis $H_0$ at 5 % level of significance | Laplace | Rejected | p-value |
|---------------------------------------------------------------|---------|----------|---------|
| | | (.2.68 < -1.96) | 0.007 |
| MIL-HDBK-189 | Not rejected | (79.08 > 68.45 > 43.19) | 0.788 |
| Cramér-von Mises | Rejected | (0.6-32 > 0.217) | |
Table 3: Computed value for dependency test.
| Rejection of null hypothesis $H_0$ at 5 % level of significance | $r_1$ | $r_2$ | p-value | Rejected |
|-----------------------------------------------------------------|------|------|---------|----------|
| | 0.04 | 0.38 | 0.04 | (0.219 > 0.205) |
4.3 Application of the BPP
The definition of the failure intensity depends on the subsidiary distribution $\{Y_i\}$ and the distribution $S$. With some initial assumptions, the distribution of $\{Y_i\}$ and the parameters associated with the BPP can be estimated from the failure data. As seen in Figure 2, the chart of the logarithmic reliability function $\ln R_T(t)$ was done initially with the plotting of the empirical values represented by the function from equation (9). From these empirical values, the tail of the distribution has been defined from the point truncation, chosen arbitrarily. The truncation point was selected at interarrival time $t = 250 \text{ h}$ from where there is a decrease on the number of events representing the subsidiary failures. This new plot is represented by the tail distribution on the chart. With the tail distribution line, it is possible to estimate the parameters from the branching Poisson model. The main parameters of the BPP model, like expected values from processes, are available in Table 4.
Table 4: Parameters estimation of BPP.
| $\lambda$ [slope] | Intercept | E(Z) | a | b | E(Y) | $\beta$ |
|-------------------|-----------|------|-------|-------|------|--------|
| 0.00263 | -0.9308 | 380 | 1.1 | 5.82 | 65 | 0.01533|
Then, the logarithm of the reliability from BPP model, according to the exponential and gamma distributions ($k = 2$), was calculated and represented on Figure 2. Also, it has been added the curve of the reliability function represented by HPP model. As shown in Figure 2, it is obvious that the gamma distribution applied to the BPP model does not fit well with failures data. Moreover, since the curve $\ln R_T(t)$ is concave upward, it is possible to rule out the gamma function ($k > 1$) for the distribution of $\{Y_i\}$ (Lewis, 1964a).
In this case study, the branching Poisson process with an exponential distribution is the best model according to failures data. Figures 3 and 4 present respectively the reliability function $R_T(t)$ and the probability density function $f_T(t)$ modeling the BPP process from the repairable mechanical system.
The smaller value of $E(Y)$ compared to mean between failures $1/\lambda$ of the main process is consistent; before the source of the system failure is located and adequately repaired, there is a probability that unsuccessful maintenance events can reduce system operation after attempting a failure repair. Calculated by the parameter $a$, the higher intensity function from the mechanical system could be predominantly due to a series of imperfect
repairs. For this case, it is better to wait for more maintenance data to validate if an improvement from the mechanical system is visible and validate if the stochastic process that defines the failures is then a renewal process. Otherwise, it will be necessary to consider modifying the maintenance policy by implementing more preventive action in order to follow up and repair the state of the system. However, beyond the reality of imperfect maintenance, the correlation between data can come from anomalies may be related to insufficient data collection or other situations not representative of the failure process.
5 CONCLUSION
In this study, the reliability and the probability density from repairable mechanical system were evaluated. The correlation test accepts the assumption of dependency for failures data and thereby, they follow a branching Poisson process. This process could be modeled from the graph based on a logarithmic scale and the equations defined in mathematical formulation section. For practical purposes, the estimated parameters of first order properties from the modeling are sufficient to give an interpretation of the branching process Poisson followed by the failure data. Given the verification of the Branching Poisson process model from the mechanical system, the interest remains in the value of the failure rate $\lambda$ and the efficiency of the system repair $E(S)$. Then, the main utility of the branching Poisson process is that it can be used to give a physical interpretation of the deviation for the time between failures.
ACKNOWLEDGMENT
The authors are grateful to support of the Natural Sciences and Engineering Research Council of Canada (NSERC) and the Fonds de recherche du Québec - Nature et technologies (FRQNT).
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Detection of Phosphorus and Nitrogen Deficiencies in Corn Using Spectral Radiance Measurements
S.L. Osbourne
*University of Nebraska - Lincoln*
James S. Schepers
*University of Nebraska - Lincoln*, firstname.lastname@example.org
D. Francis
*University of Nebraska - Lincoln*
Michael R. Schlemmer
*University of Nebraska - Lincoln*, email@example.com
Follow this and additional works at: [http://digitalcommons.unl.edu/agronomyfacpub](http://digitalcommons.unl.edu/agronomyfacpub)
Part of the [Plant Sciences Commons](http://digitalcommons.unl.edu/agronomyfacpub/7)
Osbourne, S.L.; Schepers, James S.; Francis, D.; and Schlemmer, Michael R., "Detection of Phosphorus and Nitrogen Deficiencies in Corn Using Spectral Radiance Measurements" (2002). *Agronomy & Horticulture -- Faculty Publications*. Paper 7.
[http://digitalcommons.unl.edu/agronomyfacpub/7](http://digitalcommons.unl.edu/agronomyfacpub/7)
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Detection of Phosphorus and Nitrogen Deficiencies in Corn Using Spectral Radiance Measurements
S. L. Osborne,* J. S. Schepers, D. D. Francis, and M. R. Schlemmer
ABSTRACT
Applications of remote sensing in crop production are becoming increasingly popular due in part to an increased concern with pollution of surface and ground waters due to over-fertilization of agricultural lands and the need to compensate for spatial variability in a field. Past research in this area has focused primarily on N stress in crops. Other stresses and the interactions have not been fully evaluated. A field experiment was conducted to determine wavelengths and/or combinations of wavelengths that are indicative of P and N deficiency and also the interaction between these in corn (*Zea mays* L.). The field experiment used a randomized complete block design with four replications using a factorial arrangement of treatments in a conventional continuous corn system. The treatment included four N rates (0, 67, 134, and 269 kg N ha\(^{-1}\)) and four P rates (0, 22, 45, and 67 kg P ha\(^{-1}\)). Spectral radiance measurements were taken at various growth stages in increments from 350 to 1000 nm and correlated with plant N and P concentration, plant biomass, grain N and P concentration, and grain yield. Reflectance in the near-infrared (NIR) and blue regions was found to predict early season P stress between growth stages V6 and V8. Late season detection of P stress was not achieved. Plant N concentration was best predicted using reflectance in the red and green regions of the spectrum, while grain yield was estimated using reflectance in the NIR region, with the particular wavelengths of importance changing with growth stage.
NITROGEN is the most limiting nutrient in production of nonleguminous crops in central Nebraska and the Great Plains. As cropping practices become more intensive, other nutrients will likely become limiting as well. The second most limiting nutrient for corn production is often P. Current methods for estimating the amount of P available to growing crops include soil sampling or in-season plant sampling, both of which can be costly and labor intensive. The use of remote sensing techniques to estimate nutrient status could decrease the amount of labor needed for sampling, and could reduce the cost associated with sampling and analysis.
Destructive tissue testing is a common way to assess crop N and P status. Nondestructive methods have been developed to monitor crop N status. Blackmer and Schepers (1994) found that the chlorophyll meter was a useful method of monitoring corn N status, compared with measuring leaf N concentration, which requires destructive sampling. While the chlorophyll meter is a good indicator of in-season N status, the technique requires time and labor for data collection. The use of remote sensing could help eliminate the need for extensive field sampling while still providing a good detection of deficiencies.
Remote sensing is simply obtaining information about an object, area, or phenomenon by analyzing data acquired by a device that is not in contact with the object, area, or phenomenon (Lillesand and Kiefer, 1987). Recently, researchers have evaluated remote sensing techniques for estimating the N status of growing crops by determining the appropriate wavelength or combination of wavelengths to characterize crop N deficiency. Blackmer et al. (1994) stated that light reflectance near 550 nm (green) was best for separating N treatment differences, and could be used to detect N deficiencies in corn. Everitt et al. (1985) studied the relationship of plant leaf N concentration and leaf reflectance from 500 to 750 nm, concluding that buffalo grass (*Buchloe dasygena* Poaceae) receiving no fertilizer N had highest reflectance readings. Walburg et al. (1982) demonstrated that N treatments affected reflectance in both the red and near-infrared (NIR) regions of the spectrum, with red reflectance increasing and NIR reflectance decreasing for N-deficient corn canopies. Blackmer et al. (1996) reported that reflected radiation near 550 and 710 nm was better for detecting N deficiencies compared with reflectance at other wavelengths. They found that a ratio of the 550 to 600 nm band to the 800 to 900 nm band could distinguish between N treatments in irrigated corn canopies. Stone et al. (1996) demonstrated that total...
plant N could be estimated by using spectral radiance measurements at the red (671 nm) and NIR (780 nm) wavelength. They calculated a plant-N-spectral-index for the amount of fertilizer N required to correct in-season N deficiency in winter wheat (*Triticum aestivum* L.). Yoder and Pettigrew-Crosby (1995) estimated total N and chlorophyll content using reflectance. They found that for fresh plant samples, the log transform of 1/reflectance in the short-wave infrared band was the best predictor of N content and that the visible bands were the best predictors of chlorophyll content.
There has been limited research investigating the potential of using remote sensing techniques to detect P and other nutrient deficiencies. Milton et al. (1991) grew soybean [*Glycine max* (L.) Merr.] plants in hydroponic solutions at three P concentrations and measured weekly changes in leaf spectral reflectance. They found that P-deficient plants had a higher reflectance in the green and yellow portions of the spectrum and did not show the normal shift of the red edge (chlorophyll absorption band at 680 nm). Al-Abbas et al. (1974) found that absorption at 830, 940, and 1100 nm was lower for P- and Ca-deficient corn leaves, whereas leaves deficient in S, Mg, K, and N had higher absorption in these wavelengths. Work by Masoni et al. (1996) found that Fe, S, Mg, Mn deficiencies decreased absorption and increased reflectance and transmittance in corn, wheat, barley (*Hordeum vulgare* L.) and sunflower (*Helianthus annuus* L.) leaves. They also noted that mineral deficiency affected leaf concentration of other elements in addition to the deficient element, with nutrient concentrations varying according to species and deficiency level. Sembiring et al. (1998) found that by using a covariate of 435 nm, a 695/405 nm ratio was a good indication of P uptake by bermudagrass [*Cynodon dactylon* (L.) Pers.].
The objectives of this experiment were to determine wavelengths and/or combinations of wavelengths that are indicative of P and N stresses independently and the interaction between these using hyperspectral data in irrigated corn.
**MATERIALS AND METHODS**
A continuous irrigated corn experiment was conducted on a Hord silt loam (fine-silty, mixed, mesic Prairie Haplustolls) located at the Management Systems Evaluation Area (MSEA) project near Shelton, NE. The production system utilized conventional tillage with a linear drive irrigation system. Total irrigation amounts were 200.8 mm during 1997 and 115.2 mm during 1998. Growing conditions during 1997 and 1998 were similar with respect to average daily temperature and growing degree days, but rainfall amount was different between the 2 yr with 247 mm for 1997 compared with 457 mm in the 1998 season. The seeding rate was 74 000 plants ha\(^{-1}\) with Pioneer brand hybrid 3225 planted on 1 May 1997 and 4 May 1998. Initial surface soil test characteristics are reported in Table 1.
| Depth | pH | Organic matter | NO\(_3\)-N | P | Zn | K |
|-------|----|----------------|------------|---|----|---|
| Surface | 6.5 | 1.8 | 21.5 | 7.0 | 1.44 | 493 |
The experimental design was a randomized complete block design with four replications. The treatment design was a four \(\times\) four factorial arrangement. Nitrogen was applied as NH\(_4\)NO\(_3\) at rates of 0, 67, 134, and 269 kg N ha\(^{-1}\), and P was applied as triple superphosphate at rates of 0, 22, 45, and 67 kg P ha\(^{-1}\). Phosphorus and a split application of N at one-half the N rate was applied preplant and incorporated. The second split N application at one-half the N rate was topdressed at V2. Treatments were applied to the same experimental areas both growing seasons. Plots were 9.14 by 15.24 m with 0.76 m row spacing. ‘Guardsman’ [dimethenamid (2-chloro-N-[(1-methyl-2-methoxy)ethyl]-N-(2,4-dimethyl-thien-3-yl)-acetamide) + atrazine (2-chloro-4-ethylamino-6-isopropylamino-s-triazine)] 53.2% a.i. were applied to all plots at a rate of 3.5 L ha\(^{-1}\) in early May. Phenology data according to Ritchie et al. (1997) were recorded weekly from 1 June until the end of August.
Hyperspectral reflectance measurements were collected from 350 to 1000 nm (1.4 nm intervals) with a Personal Spectrometer II manufactured by Analytical Spectral Devices\(^1\) (Boulder, CO). A typical vegetation spectral curve with corresponding color reflected by at each wavelength is illustrated in Fig. 1. Six canopy measurements were taken randomly at a height of 3 m above the canopy with a 15° field of view throughout each plot. Spectral measurements were collected 19 June and 15 July in 1997; and 19, 24, and 29 June and 20 July in 1998. Sampling dates were 19 June and 15 July in 1997; and 19 June and 20 July in 1998. Spectral measurements collected 19 June 1997 were collected without consideration for row position within the field of view. Spectral measurement collected after 19 June 1997 were collected by centering the field of view over a row to minimize the presence of soil. All readings were averaged to obtain a representative reading for the entire plot. Canopy measurements were taken on cloud-free days at ±2 h from solar noon. All measurements were transformed into percent reflectance using a Spectralon\(^1\) reference panel (Labsphere, Sutton, NH) for determining total reflected incoming radiation. Panel measurements were taken before initial canopy readings and repeated approximately every 15 min.
Integrating sphere measurements were collected on 17
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\(^1\) Mention of trade name or proprietary products does not indicate endorsement of USDA and does not imply its approval to the exclusion of other products that may also be suitable.
and 23 June and 29 July in 1997 on the 269 kg N ha\(^{-1}\) rate for the four different P treatments. Integrating sphere measurements were collected on 10 random uppermost collared leaves. Leaves were placed in a Ziploc bag and stored on ice until measurements were performed. Three spot readings per leaf were taken on the upper and underside of the leaf surface. Spectral measurements were taken by attaching the radiometer to an E-60-1 External Integrating Sphere manufactured by Lutron Inc. (Lincoln, NE). External Integrating Sphere is a self-contained light source that collects spectral measurements on a 1-cm diameter circle of the leaf without interference from external light and/or environmental conditions. All readings taken from the plots were averaged and transformed to percent reflectance using a barium sulfate reference to obtain one representative reading per plot.
Spectral readings were collected throughout the growing season and averaged over 5-nm intervals to decrease the amount of data for analysis. Analysis of variance and single-degree-of-freedom contrasts were performed, using the GLM procedure in SAS (SAS Inst., 1988). Regression was performed, using the REG procedure in SAS (SAS Inst., 1988), on all data to develop multiple regression equations for predicting plant N and P concentration, biomass, grain yield, and grain N and P concentration.
Aboveground biomass sampling was performed throughout the growing season by taking 12 randomly selected plants from the east quarter of the plots. Whole plants were weighed and ears were separated once distinguishable. Sampling dates were 19 June, 15 July, and 29 July, and 6 and 20 July in 1998. Whole plants were chopped with a chopper-shredder in the field to facilitate subsampling. Subsamples were weighed, oven-dried at 50°C, and then reweighed for water content. Leaf samples collected for integrating sphere measurements were saved for nutrient analysis. Leaf samples and ear samples were also oven-dried at 50°C before weighing. All samples were ground with a Wiley Mill to pass a 2-mm sieve. Nitrogen concentration was determined on all samples using dry combustion (Scheepers et al., 1989) and P concentration using energy dispersive x-ray fluorescence (Knudsen et al., 1981). Total dry matter per plot was calculated by combining the ear and total vegetative matter dry weights. Grain yield was estimated by hand harvesting 3.05-m row length from each of the four middle rows. Ears were shelled and water content determined. Grain samples were oven-dried at 50°C, ground, and analyzed as described above for biomass samples. Grain yield per plot was calculated and corrected to 155 g moisture kg\(^{-1}\).
**RESULTS AND DISCUSSION**
**In-Season Biomass and Grain Harvest**
A significant linear and/or quadratic response to applied N was observed for all sampling dates for N content, grain yield, and biomass (Table 2–4). A significant biomass response to applied P in late June of 1997 and 1998 was observed (Tables 2 and 3). Later season biomass sampling in July did not exhibit a significant response to applied P. Biomass production increased with increasing N rate for the second growing season, while increasing N rate decreased P content (Table 3). Plots receiving no N had a higher P content compared with the N fertilized plots for all sampling dates. This could be due to the reduction in growth from an N deficiency. The response to applied N was greater for 1998 compared with 1997. There was a 26% increase in biomass production for the 269 kg N ha\(^{-1}\) rate compared with the 0 kg N ha\(^{-1}\) rate for the June 1997 sampling date, whereas the 1998 June sampling date had a 232% increase in biomass. Differences in biomass sampling for late July did not exhibit the same variation between the 2 yr. The 1997 sampling had an increase of 26% compared with 105% increase in 1998. This increase in
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**Table 2. Analysis of variance, N and P rates means, and single degree of freedom contrasts for biomass, N, and P concentration by sampling date, 1997.**
| Source | df | Biomass | N | P |
|--------|----|---------|---|---|
| | | 20 June | 15 July | 20 June | 15 July | 20 June | 15 July |
| | | Mg ha\(^{-1}\) | g kg\(^{-1}\) | | | | |
| Rep | 3 | 0.018 | 1.218 | 0.0811* | 0.0443 | 0.0001 | 0.0025 |
| N rate | 3 | 0.072** | 5.740** | 1.1195** | 0.9220** | 0.0008* | 0.0022 |
| Linear | 1 | 0.003** | 16.247** | 2.767** | 2.1125** | 0.0028 | 0.0030 |
| Quadratic | 1 | 0.001 | 6.261** | 0.3585* | 0.6540** | 0.0013 | 0.0014 |
| LOF | 1 | 0.012 | 0.246 | 0.2358* | 0.0004 | 0.0009 | 0.0002 |
| P rate | 3 | 0.078** | 1.172 | 0.1151 | 0.0587 | 0.0007* | 0.0025 |
| Linear | 1 | 0.003** | 5.553 | 0.2575 | 0.1691 | 0.0013 | 0.0017 |
| Quadratic | 1 | 0.054* | 0.001 | 0.0826 | 0.0026 | 0.0010 | 0.0031 |
| LOF | 1 | 0.010 | 0.002 | 0.0052 | 0.0043 | 0.0008 | 0.0027 |
| N rate × P rate | 9 | 0.010 | 0.099 | 0.0193 | 0.0286 | 0.0001 | 0.0015 |
| Error | 45 | 0.009 | 0.757 | 0.0535 | 0.0227 | 0.0002 | 0.0009 |
| SED | 0.067 | 0.615 | | | | | |
| N rate, kg ha\(^{-1}\) | 0 | 0.61 | 4.02 | 2.83 | 1.45 | 0.27 | 0.23 |
| | 67| 0.63 | 4.72 | 3.29 | 1.76 | 0.25 | 0.24 |
| | 134| 0.71 | 5.37 | 3.33 | 1.94 | 0.26 | 0.25 |
| | 269| 0.77 | 5.08 | 3.56 | 1.97 | 0.26 | 0.25 |
| P rate, kg ha\(^{-1}\) | 0 | 0.57 | 4.52 | 3.40 | 1.85 | 0.26 | 0.22 |
| | 22| 0.66 | 4.71 | 3.23 | 1.80 | 0.24 | 0.25 |
| | 45| 0.76 | 4.93 | 3.20 | 1.74 | 0.26 | 0.24 |
| | 269| 0.72 | 5.04 | 3.18 | 1.72 | 0.26 | 0.24 |
* Significant at the 0.05 probability level.
** Significant at the 0.01 probability level.
† df, degrees of freedom; LOF, lack of fit; SED, standard error of the difference between two equally replicated means.
Table 3. Analysis of variance, N and P rates means, and single degree of freedom contrasts for biomass, N, and P concentration by sampling date, 1998.
| Source | df | Biomass | N | P |
|------------|----|---------|---|---|
| | | Mg ha⁻¹ | | g kg⁻¹ |
| | | Mean squares | | |
| Rep | 3 | 0.007 | 8.173 | 0.2468 | 0.0245 | 0.0113 | 0.0047 |
| N rate | 3 | 1.149** | 164.9345** | 2.1441** | 0.9972** | 0.0681** | 0.0219** |
| Linear | 1 | 3.208** | 457.095** | 5.5337** | 2.9505** | 0.1020** | 0.0366** |
| Quadratic | 1 | 0.166** | 26.684* | 0.8396** | 0.0136 | 0.1003** | 0.0290** |
| LOF | 1 | 0.074 | 11.457 | 0.0367 | 0.0278 | 0.0021 | 0.0001 |
| P rate | 3 | 0.166** | 7.061 | 0.3229** | 0.0155 | 0.0069 | 0.0063** |
| Linear | 1 | 0.349** | 6.505 | 0.9497** | 0.0410 | 0.0131 | 0.0178** |
| Quadratic | 1 | 0.148* | 13.828 | 0.0173 | 0.0049 | 0.0024 | 0.0007 |
| LOF | 1 | 0.002 | 0.828 | 0.0019 | 0.0084 | 0.0064 | 0.0006 |
| N rate × P rate | 9 | 0.042 | 5.436 | 0.1352 | 0.0401 | 0.0024 | 0.0008 |
| Error | 45 | 0.023 | 5.792 | 0.0621* | 0.0226 | 0.0031 | 0.0015 |
| SED | | 0.107 | 1.702 | 0.1762 | 0.1063 | 0.0394 | 0.0274 |
Treatment means
| N rate, kg ha⁻¹ | 0 | 67 | 134 | 269 |
|-----------------|---|----|-----|-----|
| | 0.28 | 1.99 | 0.84 | 0.40 | 0.27 |
| | 7.38 | 1.94 | 1.05 | 0.29 | 0.22 |
| | 11.19 | 2.12 | 1.16 | 0.25 | 0.20 |
| | 12.31 | 2.73 | 1.44 | 0.27 | 0.21 |
| P rate, kg ha⁻¹ | 0 | 22 | 45 | 269 |
|-----------------|---|----|----|-----|
| | 0.47 | 2.37 | 1.15 | 0.29 | 0.21 |
| | 10.66 | 1.14 | 0.27 | 0.22 |
| | 11.67 | 2.11 | 1.12 | 0.23 | 0.21 |
| | 11.42 | 2.05 | 1.08 | 0.32 | 0.25 |
* Significant at the 0.05 probability level.
** Significant at the 0.01 probability level.
† df, degrees of freedom; LOF, lack of fit; SED, standard error of the difference between two equally replicated means.
growth corresponds to a decrease in plant P concentration with the plants having the higher biomass exhibiting the lower concentration due to dilution.
Grain yield increased by 29% in 1997 and 92% in 1998 for the 67 kg N ha⁻¹ rate over the 0 kg N ha⁻¹ rate (Table 4). There was no significant difference in grain yield between the 134 and 269 kg N ha⁻¹ rates in 1997; in 1998 the 269 kg N ha⁻¹ rate had a significantly higher yield. Small yield differences in 1997 could be attributed to high residual soil nitrate levels before initiating the experiment. Response to applied P was only observed between the 0 and 22 kg P ha⁻¹ rates, with the three
Table 4. Analysis of variance, N and P rates means, and single degree of freedom contrasts for grain yield, N, and P concentration, 1997 and 1998.
| Source | df | Grain yield | N | P |
|------------|----|-------------|---|---|
| | | Mg ha⁻¹ | | g kg⁻¹ |
| | | Mean squares | | |
| Rep | 3 | 1.34+ | 0.85 | 0.0165 | 0.0040 | 0.0143 | 0.0002 |
| N rate | 3 | 29.96** | 143.40** | 0.1084** | 0.3161** | 0.0033 | 0.0012* |
| Linear | 1 | 4.86** | 34.91** | 0.2362** | 0.8212** | 0.0040 | 0.0018* |
| Quadratic | 1 | 39.49** | 38.55** | 0.0360 | 0.0860** | 0.0040 | 0.0018* |
| LOF | 1 | 5.71** | 0.02 | 0.0299 | 0.0246** | 0.0021 | 0.0001 |
| P rate | 3 | 2.51** | 0.24 | 0.0652 | 0.0036 | 0.0035 | 0.0044** |
| Linear | 1 | 11.59** | 0.56 | 0.0001 | 0.0088 | 0.0069 | 0.0059** |
| Quadratic | 1 | 4.48** | 0.05 | 0.0153 | 0.0016 | 0.0033 | 0.0048** |
| LOF | 1 | 0.44 | 0.10 | 0.0001 | 0.0003 | 0.0001 | 0.0027** |
| N rate × P rate | 9 | 0.66 | 1.64 | 0.0110 | 0.0014 | 0.0043 | 0.0056 |
| Error | 45 | 0.73 | 0.59 | 0.0175 | 0.0035 | 0.0027 | 0.0029 |
| SED | | 0.60 | 0.59 | 0.0935 | 0.0418 | 0.0367 | 0.0381 |
Treatment means
| N rate, kg ha⁻¹ | 0 | 67 | 134 | 269 |
|-----------------|---|----|-----|-----|
| | 9.12 | 3.30 | 1.05 | 0.94 | 0.41 | 0.18 |
| | 11.73 | 6.33 | 1.08 | 0.88 | 0.40 | 0.18 |
| | 11.98 | 8.55 | 1.20 | 0.99 | 0.37 | 0.18 |
| | 11.88 | 10.25 | 1.21 | 1.19 | 0.39 | 0.20 |
| P rate, kg ha⁻¹ | 0 | 22 | 45 | 269 |
|-----------------|---|----|----|-----|
| | 10.30 | 6.93 | 1.15 | 0.97 | 0.38 | 0.16 |
| | 11.38 | 7.05 | 1.12 | 0.99 | 0.37 | 0.20 |
| | 11.52 | 7.20 | 1.12 | 1.00 | 0.39 | 0.19 |
| | 11.50 | 7.25 | 1.15 | 1.00 | 0.41 | 0.20 |
* Significant at the 0.05 probability level.
** Significant at the 0.01 probability level.
† df, degrees of freedom; LOF, lack of fit; SED, standard error of the difference between two equally replicated means.
higher rates having a similar response in both years (Table 4).
**Hyperspectral Readings**
Integrating sphere measurements were collected only to distinguish between differenced P treatments; therefore, readings were limited to the 269 kg N ha\(^{-1}\) treatment for the 1997 growing season. Regression analysis for the first two samplings (17 and 23 June) resulted in significant multiple regression equations for predicting P concentration, while the third sampling date (28 July) did not provide a significant equation for predicting total P (Table 5). At this time early season visual P deficiency symptoms were no longer present. Reflectance wavelengths used for predicting P concentration were in the NIR (730 and 930 nm) region of the spectrum for the 17 June sampling with an \(R^2 = 0.68\) (Table 5). According to Linquist and Kiefer (1984), a decrease in the NIR region of the spectrum is due primarily to the internal structure of the plant leaves. Jacob and Lawlor (1991) found that the initial effect of P stress on corn, wheat, and sunflower was an increase in the number of smaller cells per unit of leaf area compared with a nonstressed plant. Such an increase in the number of cells would suggest that NIR reflectance might be important for predicting P content of plants. Analysis of data from the second sampling date identified blue reflectance as an important segment for predicting P content in the leaves. Reflectance at 440 and 445 nm was significant in predicting P with an \(R^2 = 0.61\) (Table 5). Under P stress, increases anthocyanin production causing a purple discoloration in the leave margins (Marchner, 1995). At V6 growth stage, purpling at the leave margins in the P stressed plots was observed. Salisbury and Ross (1978) stated that anthocyanin strongly absorbs in the green region while reflecting in the blue or red region of the spectrum, coinciding with the greater reflectance at 440 and 445 nm. Boliol and Jay (1993) characterized the colorimetric features of modern roses in relation to anthocyanin content, finding that petals containing large amounts of anthocyanin exhibited an increased reflectance between 400 to 580 nm compared with petals containing less anthocyanin. Further analysis of reflectance at these two wavelengths showed that reflectance was significantly higher at 440 nm for the 67 kg P ha\(^{-1}\) compared with the 22 and 45 kg P ha\(^{-1}\) rates at the 0.05 probability level (Fig. 2). Reflectance at 445 nm decreased with increasing P rates, which explains the difference in the sign of the coefficient for the 440 and 445 nm segments (Fig. 2 and Table 5). Reflectance for the 0 kg P ha\(^{-1}\) rate had a higher reflectance from 435 to 460 nm.
Canopy measurements taken during 1997 and 1998 included both plant and soil reflectance. Therefore, during the growing season as the canopy closed, there was progressively less soil visible to interact with the canopy reflectance. Unlike the integrating sphere measurements, analysis of canopy measurements included all treatments. Therefore, prediction of N concentration was with and without the presence of P stress, and prediction of P concentration was with and without the presence of N stress. Stepwise regression for estimating plant N and P and total biomass was performed on those dates corresponding to a plant sampling dates. During the 1997 growing season, there were no significant multiple regression equations developed for predicting P or N content for the June sampling (Table 6). The equation for predicting total biomass was statistically significant (\(R^2 = 0.43\)), but was not considered to be a very good indicator of total biomass. Data from the 15 July sampling provided a better prediction of total biomass with an \(R^2 = 0.68\) (Table 6). One of the factors that could have contributed to the inability to predict P and N content or biomass for the June 1997 sampling date was the method by which the readings were collected. The field of view for the fore-optic was not strictly centered over the row at all times; therefore, the readings could have contained a greater proportion of soil background compared with vegetation. After the 19 June 1997 sampling, the fore-optic was centered over the row to minimize the amount of soil present. The July 1997 sampling resulted in an equation for predicting N concentration in the plant using reflectance in the red and NIR region of the spectrum with an \(R^2 = 0.81\) (Table 6). Different researchers have used reflectance or developed indices using reflectance at these wavelengths to identify N stress (Walburg et al., 1982; Blackmer et al., 1996; and Stone et al., 1996).
Overall, the 1998 growing season resulted in a greater ability to predict N and P content and biomass due to the larger response to applied fertilizers. Prediction of plant P was best for the June sampling date using reflectance in the blue and NIR regions with an \(R^2 = 0.61\) (Table 6). Reflectance in these regions is attributed to internal cell structure and the presence of anthocyanin in the P stressed plots compared with the nonstressed
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**Table 5. Regression equations by sampling date for predicting P concentration from integrating sphere hyperspectral data at the 269 kg N ha\(^{-1}\) N rate.**
| Date | Growth stage | \(R^2\) | P concentration, g kg\(^{-1}\) |
|---------------|--------------|---------|--------------------------------|
| 17 June 1997 | V6 | 0.68 | \(y = 0.082 - 0.031 \times R_{730} + 0.027 \times R_{930}\) |
| 23 June 1997 | V7–V8 | 0.61 | \(y = 0.304 + 0.148 \times R_{440} - 0.160 \times R_{445}\) |
| 29 July 1997 | V9–V11 | No significant equation |
\(^{\dagger} R_2\): reflectance data collected at the specified wavelengths, ±2.5 nm.
Table 6. Regression equations for predicting biomass, N, and P concentration from canopy hyperspectral data by sampling date.
| Date | Growth stage | $R^2$ | Biomass, kg ha$^{-1}$ |
|------------|--------------|-------|------------------------|
| 19 June 1997 | V6 | 0.43 | $y = 705 - 1030 \times R_{86} + 860 \times R_{86} - 37 \times R_{86}$ |
| 15 July 1997 | V14–VT | 0.63 | $y = 528 + 2461 \times R_{86} + 2316 \times R_{86} - 1343 \times R_{86} + 4447 \times R_{86} - 4087 \times R_{86} + 93 \times R_{86}$ |
| 19 June 1998 | V5–V7 | 0.87 | $y = 709 - 1122 \times R_{86} - 2536 \times R_{86} + 1612 \times R_{86} - 1877 \times R_{86} + 1836 \times R_{86} + 364 \times R_{86}$ |
| 20 July 1998 | V14–R1 | 0.68 | $y = 1038 - 14239 \times R_{86} + 35473 \times R_{86} + 15347 \times R_{86} + 25107 \times R_{86} + 20295 \times R_{86}$ |
| Date | Growth stage | $R^2$ | N concentration, g kg$^{-1}$ |
|------------|--------------|-------|-------------------------------|
| 19 June 1997 | V6 | No significant equation |
| 15 July 1997 | V14–VT | 0.81 | $y = 0.764 - 4.844 \times R_{86} + 2.577 \times R_{86} + 1.698 \times R_{86} + 0.734 \times R_{86} + 0.427 \times R_{86} - 0.373 \times R_{86}$ |
| 19 June 1998 | V5–V7 | 0.78 | $y = 1.232 + 1.936 \times R_{86} - 1.343 \times R_{86} + 1.431 \times R_{86} - 5.802 \times R_{86} + 2.647 \times R_{86} + 1.529 \times R_{86}$ |
| 20 July 1998 | V14–R1 | 0.64 | $y = 0.822 + 0.232 \times R_{86} - 0.244 \times R_{86} + 0.0401 \times R_{86}$ |
| Date | Growth stage | $R^2$ | P concentration, g kg$^{-1}$ |
|------------|--------------|-------|-------------------------------|
| 19 June 1997 | V6 | No significant equation |
| 15 July 1997 | V14–VT | No significant equation |
| 19 June 1998 | V5–V7 | 0.61 | $y = 0.623 - 0.219 \times R_{86} + 0.305 \times R_{86} + 0.428 \times R_{86} - 0.184 \times R_{86} - 0.241 \times R_{86}$ |
| 20 July 1998 | V14–R1 | 0.36 | $y = 0.285 - 0.022 \times R_{86} - 0.06 \times R_{86}$ |
† $R_z$: reflectance data collected at the specified wavelengths, ±2.5 nm.
plots. As previously mentioned, the ability to predict P later in the season was not very effective. Difference in positive and negative regression equations coefficient for wavelengths can be explained by slope shifts in the reflectance spectra at each particular wavelength for the different P levels. The ability to predict biomass was better in 1998 than 1997 while predicting N content was best for the 15 July 1997 sampling. The July sampling date in 1997 was the only date with a significant equation; both sampling dates in 1998 had significant equations for predicting N content. Prediction of N concentration was accomplished using reflectance in a number of different regions of the spectrum including chlorophyll absorption, green, red, and NIR for the June sampling ($R^2 = 0.78$) (Table 6). The equation for the July sampling used primarily reflectance in the NIR region, which could be attributed to differences in biomass at this growth stage. At this particular sampling date, the low N treatments were at a late vegetative growth stage (V13) while the high N treatments were in a reproductive stage (R1). Plants from the low N treatment were also visibly less vigorous compared with those from the high N treatments. Prediction of total biomass was best for the June sampling with an $R^2 = 0.87$ whereas the July sampling had an $R^2 = 0.68$. Reflectances for these equations were composed of the different reflectance wavelengths for predicting plant N and P content (Table 6).
Stepwise regression was performed to estimate grain yield, and grain N and P content using the hyperspectral data for all sampling dates (Table 7). Prediction of grain yield was best using the 1998 data with $R^2 > 0.84$ and the best date in 1998 was 20 July. Data collected on 19 June 1997 exhibited difficulties in predicting any of the
Table 7. Regression equations for predicting grain yield, and grain N, and P from canopy hyperspectral data by measurement collection date.
| Date | Growth stage | $R^2$ | Grain yield, Mg ha$^{-1}$ |
|------------|--------------|-------|--------------------------|
| 19 June 1997 | V6 | 0.34 | $y = 14.836 + 7.985 \times R_{86} - 7.416 \times R_{86}$ |
| 15 July 1997 | V14–VT | 0.78 | $y = 6.83 + 2.470 \times R_{86} - 1.770 \times R_{86} + 7.812 \times R_{86} - 9.229 \times R_{86} + 5.061 \times R_{86} - 3.724 \times R_{86}$ |
| 19 June 1998 | V5–V7 | 0.88 | $y = 9.765 - 7.326 \times R_{86} + 7.770 \times R_{86} - 8.180 \times R_{86} + 6.418 \times R_{86} + 0.184 \times R_{86}$ |
| 24 June 1998 | V6–V8 | 0.84 | $y = 5.933 - 8.750 \times R_{86} + 4.487 \times R_{86}$ |
| 29 June 1998 | V8–V11 | 0.89 | $y = 4.823 - 13.804 \times R_{86} + 11.790 \times R_{86} - 0.903 \times R_{86} - 1.721 \times R_{86} - 0.480 \times R_{86} - 0.114 \times R_{86}$ |
| 20 July 1998 | V14–R1 | 0.90 | $y = 4.410 - 0.713 \times R_{86} + 1.408 \times R_{86} + 1.107 \times R_{86} - 1.972 \times R_{86}$ |
| Date | Growth stage | $R^2$ | N concentration, g kg$^{-1}$ |
|------------|--------------|-------|-------------------------------|
| 19 June 1997 | V6 | No significant equation |
| 15 July 1997 | V14–VT | 0.37 | $y = 0.974 - 0.425 \times R_{86} + 0.521 \times R_{86} + 0.016 \times R_{86}$ |
| 19 June 1998 | V5–V7 | 0.84 | $y = 0.699 + 0.286 \times R_{86} + 0.573 \times R_{86} - 1.76 \times R_{86} + 1.216 \times R_{86} - 1.438 \times R_{86} + 1.138 \times R_{86}$ |
| 24 June 1998 | V6–V8 | 0.85 | $y = 0.758 - 0.524 \times R_{86} + 1.147 \times R_{86} - 1.010 \times R_{86} - 0.862 \times R_{86} + 0.601 \times R_{86} - 0.674 \times R_{86}$ |
| 29 June 1998 | V8–V11 | 0.78 | $y = 1.034 + 0.287 \times R_{86} - 0.513 \times R_{86} + 0.462 \times R_{86} - 0.477 \times R_{86} + 0.311 \times R_{86} + 0.075 \times R_{86}$ |
| 20 July 1998 | V14–R1 | 0.82 | $y = 0.884 + 0.760 \times R_{86} - 0.973 \times R_{86} + 0.277 \times R_{86} - 0.099 \times R_{86} + 0.054 \times R_{86}$ |
| Date | Growth stage | $R^2$ | P concentration, g kg$^{-1}$ |
|------------|--------------|-------|-------------------------------|
| 19 June 1997 | V6 | No significant equation |
| 15 July 1997 | V14–VT | No significant equation |
| 19 June 1998 | V5–V7 | 0.20 | $y = 0.203 - 0.005 \times R_{86} + 0.003 \times R_{86}$ |
| 24 June 1998 | V6–V8 | 0.41 | $y = 0.283 + 0.287 \times R_{86} + 0.287 \times R_{86} + 0.573 \times R_{86} - 0.399 \times R_{86} - 0.067 \times R_{86} + 0.002 \times R_{86}$ |
| 29 June 1998 | V8–V11 | No significant equation |
| 20 July 1998 | V14–R1 | No significant equation |
† $R_z$: reflectance data collected at the specified wavelengths, ±2.5 nm.
three variables due probably to the collection method mentioned previously. Only the first two sampling dates in 1998 resulted in a statistically significant equation for predicting grain P. The ability to predict grain N was better for 1998 than 1997 in part due to the greater response to applied N in 1998. The wavelengths of reflectance important for predicting N occurred throughout the spectrum and changed throughout the growing season. These differences could be due to differences in the amount of soil background present, difference in growth stages, or a number of other factors. The wavelengths used to predict total biomass and grain yield were a combination of the wavelengths important for predicting N and P content of the plant.
CONCLUSIONS
The study demonstrated hyperspectral data can be used for estimating N and P concentration, biomass, and grain yield under the presence of a combination of nutrient stresses. Prediction of plant P was best in the early growth stages (before V8) using reflectance in the blue (440 and 445 nm) and NIR (730 and 930 nm) regions, while N concentration could be predicted throughout the growing season. Important reflectance wavelengths for predicting N content, biomass, and grain yield changed with sampling date, possibly due to the differences in percentage ground cover and growth stage. There was a greater response to applied N in the second year of the study with greater differences in yield and nutrient concentration between N rates. Effect of applied P was only between the 0 kg P ha\(^{-1}\) and the 22 kg P ha\(^{-1}\), with no differences between the three highest P rates. Estimation of grain yield was best accomplished by using spectral data from the late July sampling date. Reflectance wavelengths used to estimate grain yield were a combination of those used to estimate N and P content for each particular growth stage. Reflectance in the near-infrared (NIR) and blue regions was found to predict early season P stress between growth stages V6 and V8. Late-season detection of P stress was not achieved. Plant N concentration was best predicted using reflectance in the red and green regions of the spectrum, while grain yield was estimated using reflectance in the NIR region, with the particular wavelengths of importance changing with growth stage.
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Scientific Disagreements and the Diagnosticity of Evidence: How Too Much Data May Lead to Polarization
Matteo Michelini\textsuperscript{1}, Javier Osorio\textsuperscript{2}, Wybo Houkes\textsuperscript{1}, Dunja Šešelja\textsuperscript{1,3}, Christian Straßer\textsuperscript{2}
\textsuperscript{1}Philosophy & Ethics Group, Technical University of Eindhoven, Atlas 9.328, 5600 MB Eindhoven, Netherlands.
\textsuperscript{2}Faculty of Philosophy and Letters, Autonomous University of Madrid, Campus de Cantoblanco, C. Francisco Tomás y Valiente 1, 28049 Madrid, Spain.
\textsuperscript{3}Institute for Philosophy II, Ruhr Universität Bochum, Universitätsstraße 150, 44801 Bochum, Germany.
Correspondence should be addressed to email@example.com
Journal of Artificial Societies and Social Simulation 26(4) 5, 2023
Doi: 10.18564/jasss.5113 Url: http://jasss.soc.surrey.ac.uk/26/4/5.html
Received: 18-11-2022 Accepted: 11-04-2023 Published: 31-10-2023
Abstract: Scientific disagreements sometimes persist even if scientists fully share results of their research. In this paper we develop an agent-based model to study the impact of diverging diagnostic values scientists may assign to the evidence, given their different background assumptions, on the emergence of polarization in the scientific community. Scientists are represented as Bayesian updaters for whom the diagnosticity of evidence is given by the Bayes factor. Our results suggest that an initial disagreement on the diagnostic value of evidence can, but does not necessarily, lead to polarization, depending on the sample size of the performed studies and the confidence interval within which scientists share their opinions. In particular, the more data scientists share, the more likely it is that the community will end up polarized.
Keywords: Diagnostic Value of Evidence, Scientific Disagreement, Polarization
This article is part of a special section on "Opinion Dynamics: 20 years later", guest-editors: Guillaume Deffuant, Andreas Flache, Rainer Hegselmann, & Michael Mäs
Introduction
1.1 Scientific disagreements and controversies are commonly considered crucial for the advancement of scientific ideas (Longino 2002, 2022; Solomon 2007). Yet, they may also lead to fragmented or polarized scientific communities, with scientists unable to reach consensus on issues that may be of social relevance and pertinent to policy guidance. While the exchange of information across a scientific community can help to bring everyone on the same page, disagreement may persist even if evidence is shared, as shown for instance by the limited success of so-called consensus conferences (Stegenga 2016).
1.2 One possible explanation for such persistent disagreements is that scientists differ in how significant they consider the same experimental result, i.e. they differ in how diagnostic they take the results to be relative to a given research hypothesis. The reason is that scientists may interpret experiments on the basis of different background assumptions, methodologies or theoretical commitments. In a well-known case in the history of science, Ignaz Semmelweis observed that the incidence of puerperal fever could be drastically cut by washing his hands. Semmelweis’ observations conflicted with the established scientific opinions of the time and his ideas were rejected by the medical community. While Semmelweis assigned a high diagnostic value to his observations regarding the hypothesis that handwashing reduced the mortality ratio, the scientific community assigned a comparatively low value.
1.3 A related factor that might lead to persistent scientific disagreements is that scientists tend to learn and adjust their background beliefs and methods primarily through communication with like-minded peers. As a result, even if the community extensively shares available evidence, divergent ways of interpreting evidence may persist and contribute to persisting disagreements. Moreover, it raises the question whether the amount of available evidence in such a community impacts the emergence of polarization.
1.4 In this paper we develop an agent-based model (ABM) to examine the above ideas, viz. to tackle the hypothesis that a scientific community can become polarized if scientists disagree on the diagnosticity of their experimental results in spite of fully sharing the available evidence. For this purpose, we study opinion dynamics in a community of Bayesian agents who are trying to determine whether to accept or reject a certain hypothesis. Throughout their inquiry, scientists are exposed to the same evidence and treat evidence as certain, but they assign different significance to the available evidence.
1.5 Our ABM is based on bandit models, commonly used in simulations of scientific communities (Zollman 2007, 2010; O’Connor & Weatherall 2018). In particular, agents (modeled as Bayesian updaters) face a one-armed bandit, representing a certain scientific hypothesis, and they try to determine whether to accept it or to reject it. Throughout their research, agents acquire evidence and exchange information about the diagnostic value (modeled in terms of the Bayes factor) that they ascribe to evidence. While the exchange of gathered evidence is modeled in terms of batches of data that may vary in size, the exchange concerning the diagnostic value of evidence is modeled in terms of the bounded confidence model (Hegselmann & Krause 2002, 2006; Douven & Hegselmann 2022). In this way we represent scientists who have a ‘bounded confidence’ in the opinions of their peers, so that they exchange their views on the diagnostic force of evidence only with those who have sufficiently similar beliefs about the world as they do.
1.6 Our results show that an initial disagreement on the diagnostic value of evidence can, but does not necessarily, lead to polarization in a scientific community, depending on the sample size of the performed studies and the confidence interval within which scientists share their opinions. These findings shed light on how different ways of interpreting evidence affect polarization in scenarios in which no detrimental epistemic factors are present, such as biases, deceptive information, uneven access to evidence, uncertainty about evidence etc.
1.7 The paper is structured as follows. We start with the Theoretical Background where we provide a brief overview of related models, focusing on those that study scientific disagreements and polarization. Next, in the Model Description we present our ABM in terms of the ODD protocol (Grimm et al. 2020). In the Results section we present our main findings, and we perform an uncertainty and sensitivity analysis. The Discussion situates our results into the broader literature on ABMs studying opinion dynamics in epistemic communities, while Conclusion addresses some open lines for further research. The two appendices present a mathematical analysis of one aspect of our model and a more detailed description of the model in the ODD format.
Theoretical Background
2.1 Opinion dynamics in truth-seeking communities has long been studied by means of computer simulations. From the early work of Hegselmann & Krause (2006), following their pioneering (2002) model as well as related work by Deffuant et al. (2002), a range of ABMs have been used to examine conditions under which a community of rational agents may polarize. While Hegselmann & Krause (2006) showed that polarization can emerge if some agents form beliefs by disregarding evidence from the world and by instead considering only what they learn from others with sufficiently similar views, others have looked into communities in which all agents form their beliefs on the basis of evidence coming from the world. For example, Singer et al. (2017) show how polarization can emerge in a community of deliberating agents who share reasons for their beliefs, but who use a coherence-based approach to manage their limited memory (by forgetting those reasons that conflict with the view supported by most of their previous considerations). Olsson (2013) demonstrates how polarization can emerge over the course of deliberation if agents assign different degrees of trust to the testimony of others, depending on how similar views they hold. O’Connor & Weatherall (2018) show how a community of scientists who share not only their testimony, but unbiased evidence, can become polarized if they treat evidence obtained by other scientists, whose beliefs are too different from their own, as uncertain. Moreover, ABMs examining argumentative exchange such as those by Mas & Flache (2013) and Kopecky (2022) demonstrate how a community of deliberating agents can polarize due to specific argumentative dynamics.
2.2 In this paper, we explore similar scenarios to those outlined above with one substantial difference: agents can assign different *diagnostic values* to the evidence in view of which they evaluate the hypotheses at stake. In scientific inquiry, a collection of data is evidence for a given hypothesis insofar as there is an epistemic background
that makes it possible to trace a connection between the data and the hypothesis (Longino 2002). For this reason, “researchers must combine their theoretical viewpoint with the questions at hand to evaluate whether a particular data set is, in fact, evidential” (Morey et al. 2016). In other words, the different ways in which evidence is interpreted feed back into how strong a subject may believe in a given hypothesis. The fact that the diagnosticity of evidence is relative to the epistemic background of a reasoner is familiar from non-scientific contexts: while the observation of a wet street may convince one person that it rained, it will not convince another person who assumes that streets tend to be regularly cleaned. In the context of scientific reasoning, background assumptions and methodological standards may similarly affect the interpretation of evidence, and may in turn lead scientists to different beliefs and different preferred theories. Therefore, the diagnostic value of a piece of evidence is at the core of scientific disagreements and their structural dynamics.
2.3 As mentioned above, we model our agents as Bayesian reasoners. This means that their beliefs are represented by probability functions. After receiving a piece of evidence $e$ the belief of an agent in a hypothesis $H$ is updated according to Bayes’ theorem to obtain the posterior belief $P(H|e)$ as a function of her prior beliefs. The diagnosticity of $e$ plays a central role for this, as can be seen in the following reformulation of Bayes’ theorem in terms of odds:
$$\frac{P(H|e)}{P(\neg H|e)} = \frac{P(e|H)}{P(e|\neg H)} \times \frac{P(H)}{P(\neg H)}$$
(1)
2.4 Clearly, the posterior odds for $H$ is, among others, a function of the prior odds for $H$. Additionally, it is a function of the likelihood ratio, also known as the Bayes factor (Morey et al. (2016)). It determines the diagnosticity of the given evidence $e$ for $H$ (Hahn & Horinkx 2016). Consider our example from above with an agent observing the wet streets under the hypothesis that it rained. For her, $P(e|\neg H)$ will be very low and $P(e|H)$ very high, leading to a high diagnosticity of the wet streets for rain. In contrast, our second agent, who assumes the streets are regularly cleaned, may have a similar high $P(e|H)$, but also a high $P(e|\neg H)$ in view of his assumption of an alternative explanation. The diagnosticity he assigns to $e$ for $H$ will be comparatively low. In general, a diagnostic value above (resp. below) 1 indicates that $e$ is positively (resp. negatively) diagnostic of $H$, while if it is 1 $e$ is statistically irrelevant for $H$.
2.5 Taking this point of departure, we now introduce our model.
Model Description
3.1 In this section we present our model in accordance with the ODD protocol (Grimm et al. 2020). We focus on selected elements, to provide a clear overview of the model without getting lost in technicalities. The full description of the model in the ODD format can be found in Appendix B. The code is available at: https://www.comses.net/codebase-release/3b729700-837d-4d62-a41c-366a37ced7e5/.
Purpose and main pattern of the model
3.2 The present model is an abstract ABM designed for theoretical exploration and hypotheses generation. As mentioned in the Introduction, our main aim is to explore the relationship between disagreement over the diagnostic value of evidence and the formation of polarization in scientific communities.
3.3 The model represents a scientific community in which scientists aim to determine whether hypothesis $H$ is true, where we assume that agents are in a world in which $H$ is indeed true. To this end, scientists perform experiments, interpret data and exchange their views on how diagnostic of $H$ the obtained evidence is. Our model captures two notions of disagreement: on the one hand, a disagreement on the hypothesis $H$, and on the other hand, a disagreement on the diagnostic value of value of evidence for $H$.
3.4 The model features two different entities: the agents, who represent the scientists, and the environment (or observer), which describes the scientific problem at stake and keeps track of time. In every turn of the model, the scientific community gathers a new piece of evidence about the disputed hypothesis $H$. Each piece of evidence is fully shared and registered in the state variable *evidence* of the environment. The variable collects all the results up to that point and hence represents the state of the art concerning the evidence for $H$. In addition, the environment keeps track of the time, i.e. of the number of steps that have been performed up to that point. The scientists are characterized by the diagnostic value they assign to evidence and their degree of confidence in hypothesis $H$, which are tracked by two state variables.\(^2\) When $\text{agent-belief} = 0.99$ the agent *fully supports* $H$, whereas if $\text{agent-belief} < 0.01$, the agent *fully rejects* $H$. The state-variables of scientists and environment are respectively summarized in Tables 1 and 2.
| Variable | Variable-Type | Meaning |
|---------------------------|---------------------|-------------------------------------------------------------------------|
| ticks (built-in NetLogo function) | integer, dynamic | the number of steps performed, which represents the passing of time |
| evidence | array of integers, dynamic | the number of successes obtained in the previous experiments over a certain number of trials (until the one observed in the present step. See the notation for ones in Paragraph 3.14) |
Table 1: State Variables for Environment.
| Variable | Variable-Type | Meaning |
|------------------------|---------------------|-------------------------------------------------------------------------|
| agent-belief | [0, 1], dynamic | the probability an agent assigns to hypothesis $H$ |
| agent-diag-value | [0, 1], dynamic | the diagnostic value an agent assigns to the output 1 of a data point of an experiment (see Paragraph 3.15) |
Table 2: State Variables for Each Scientist.
Process overview
3.5 Each step of the simulation has the following schedule.
1. A new piece of evidence becomes available in the scientific community, following the creation of an experiment submodel. The value is added to the state variable evidence of the environment.
2. Each agent executes the belief-update process based on the evidence that has been produced so far. Consequently, for each agent, the agent-belief variable is updated.
3. Agents go through the influence-each-other process. They update their agent-diag-value variable, based on the state variables of the agents they are connected with.
4. Every agent who changed the value for agent-diag-value in the last step reevaluates all available evidence. In particular, each agent executes the process of belief-update based on all the evidence that has been produced so far.
5. Ticks and observations are updated. The environment also checks if the stop condition is fulfilled.
3.6 The simulation stops when either
- 5000 steps have been performed or
- every agent either fully supports $H$ or fully rejects $H$.
The second condition represents the effective termination of the debate, i.e. a situation in which every scientist in the community has drawn a definitive conclusion on hypothesis $H$, and no further communication within the community will lead to further change. See Section Stability Of The Results for a justification of the first condition.
3.7 Our schedule is meant to represent the process of scientific inquiry, in which scientists continuously obtain potentially relevant evidence through experimentation, evaluate this evidence, and discuss with other members of the community on the basis of their background assumptions, i.e. their diagnostic values. Step 1 represents the publication of new evidence, e.g., in a paper, which will be read and evaluated by all scientists in Step 2. Subsequently, Step 3 may be taken to represent a discussion which scientists could have at a conference.\textsuperscript{3} Finally, in Step 4 a scientist who has changed her mind with respect to the interpretation of evidence, reevaluates the evidence that the community has produced so far.
3.8 While the simulation runs, we collect the values for the state variables (Tables 1 and 2) of both environment and scientists. Finally, once the simulation has ended, we observe if the community has reached a \textit{correct consensus}, a \textit{wrong consensus} or \textit{polarization} (intended as a state in which neither wrong consensus nor correct consensus are the case). Since our model is stochastic, we report the frequency of each of these outcomes for a certain parameter combination over 500 runs. In particular, we evaluate a certain parameter combination with respect to the frequency with which a consensus is generated.
\section*{Initialization}
3.9 Initialization of the model is divided in two phases, corresponding to the setup of the scientific community (i.e. the agents and the features of their behaviour) and the setup of the scientific problem the agents face. We start with the latter.
3.10 As mentioned in Section 3.1, the scientists face the problem of deciding whether or not hypothesis $H$ is true in the world in which they conduct their experiments (which we assume is the case). To inform their decision, scientists perform experiments with a certain sample size. For each data point of the sample, they distinguish between an output of type 1 and an output of type 0 (1 and 0 are mutually exclusive) as the outcome of the experiment. Such experiments are used to determine whether $H$ or $\neg H$ is more likely. Consequently, in the initialization, we set up $P(1|H)$ and $P(1|\neg H)$.
3.11 We assume that $P(1|H) = 0.5$, i.e. that if $H$ is the true state of the world (as it is), in the long run half of the data points will be of type 1 and half of type 0. Then, we assume that $P(1|\neg H) \in [0.55, 1)$, and we take the distance $d = P(1|\neg H) - P(1|H)$ to correspond to the difficulty of the problem at stake. The smaller $d$ is, the more likely $H$ and $\neg H$ are to yield a similar outcome, and the harder it is to decide which one of the two is responsible for the data on the basis of an experiment.
3.12 To set up the scientific community, we create $N$ agents, where $N$ can take up any value in $[5, 100]$. The state variable \textit{agent-belief} for each agent is set to 0.5, representing that scientists enter the debate without prior commitment to $H$ over $\neg H$. We assume that each agent is aware of the correct value for the probability of obtaining an output 1 from $\neg H$ (that is $P_i(1|\neg H) = P(1|\neg H)$ for each $i$). Yet, at the same time, we consider the possibility for agents to assign to $P_i(1|H)$ a value different from $P(1|H)$. The value $P_i(1|H)$ is captured by the state variable \textit{agent-diag-value} which is drawn for each agent from a uniform distribution $U(P(1|H) - \lambda, P(1|H) + \lambda)$, with $\lambda \in [0, 0.5]$. This implies that
- agents may have different diagnostic values, and that
- agents may interpret evidence in a ‘wrong’ way.
Here, $\lambda$ represents the initial dispersion of agents’ background assumptions: we do not assume that agents assign the correct diagnostic value to evidence, but that it is very likely that the average computed over all the assigned diagnostic values is close to $P(1|H)$. In this, our model assumes a form of ‘wisdom of the crowd’ since the average value of the initial diagnostic values of all agents is closer to the real value than most of the individual initial values themselves.
Three other parameters are necessary to define the way agents interact and perform experiments (see Table 3), which will be explained in Section 3.13.
Submodels
3.13 Our model has three main submodels.
Creation of an experiment
3.14 At the beginning of each round, an experiment is performed and the result is made available to every agent. An experiment $e$ consists of a number $k$ of outputs of type ‘1’ (which we will call “ones”, from now on) over a number of trials $n$: $k$ is drawn from a binomial distribution with number of trials $n = DP$, and probability $p = P(1|H)$ of producing a success. This representation of scientific experimentation has been used extensively in the philosophical approach to modelling scientific communities (Zollman 2007; O’Connor & Weatherall 2018). The number of trials for experiment $DP$ is a parameter in the interval $[5, 100]$.
Belief update
3.15 An agent may be presented with the outcomes of one or more experiments. In both cases, they update their belief through classical Bayesian updating. Let $e_1, \ldots, e_m$ be the pieces of evidence the agent inspects and let $P_i^k(H)$ represent the belief before inspecting piece $e_{i+1}$. The value $P_i^k(H)$ corresponds to the state variable agent-belief$^k$ before the update, and $P_i^{k+1}(H)$ to the state variable agent-belief after the update. The agent’s degree of belief after having observed $e_{i+1}$ is computed as follows:
$$P_i^{k+1}(H) = P_i^k(H|e_{i+1}) = \frac{P_i^k(H) \cdot P_i^k(e_{i+1}|H)}{P_i^k(e_{i+1})} = \frac{P_i^k(H) \cdot P_i^k(e_{i+1}|H)}{P_i^k(H) \cdot P_i^k(e_{i+1}|H) + P_i^k(\neg H) \cdot P_i^k(e_{i+1}|\neg H)}. \quad (2)$$
3.16 Consequently, if an agent inspects $m$ pieces of evidence: $P_i^m(H) = P_i^{m-1}(H|e_m) = P_i^{m-2}(H|e_m \land e_{m-1}) = \ldots = P_i^0(H|e_1 \land e_2 \land e_m)$. As we are dealing always with the same binomial distribution, $P_i^m(H)$ is equal to $P_i^0(H|E)$, where $E$ is an experiment with $k = k_1 + \ldots + k_m$ ones in $n = n_1 + \ldots + n_m$ trials. Importantly, in performing the update, the agent also employs $P_i^k(e_{i+1}|H)$ and $P_i^k(e_{i+1}|\neg H)$, which are respectively the likelihood that agent $i$ assigns to hypothesis $H$ of producing evidence $e_{i+1}$, and the likelihood that agent $i$ assigns to hypothesis $\neg H$ of producing evidence $e_{i+1}$. These two values can be computed as follows. If $e_{i+1}$ contains $k$ ones over $n$ trials, then:
$$P_i^k(e_{i+1}|H) = \binom{n}{k} \left(P_i(1|H)\right)^k \left(1 - P_i(1|H)\right)^{n-k}, \quad (3)$$
and
$$P_i^k(e_{i+1}|\neg H) = \binom{n}{k} \left(P_i(1|\neg H)\right)^k \left(1 - P_i(1|\neg H)\right)^{n-k}. \quad (4)$$
3.17 Here, $P_i(1|H)$ corresponds to the value of the state variable agent-diaq-value at the moment in which the update is performed. It represents the likelihood an agent assigns to obtaining a success in the experiment given that $H$ is true. By contrast, we take $P_i(1|\neg H) = P(1|\neg H)$ to be equal for all agents and consider it a parameter of the model: agents disagree over the relationship between 1 and $H$, but not over the relationship between 1 and $\neg H$.
Influence each other
3.18 After updating their beliefs on the basis of evidence, agents proceed to influence each other, by going through two phases:
- choosing with whom to communicate (the ‘influencers’); and
- updating the variable agent-diaq-value based on the influencers’ values for the variable agent-diaq-value.
3.19 Agent $i$ chooses the set $I_j$ of influencers such that $j \in I_j$ iff
$$(\text{agent-diaq-value}_i - \text{agent-diaq-value}_j) \leq \phi \quad \text{and} \quad (\text{agent-belief}_i - \text{agent-belief}_j) \leq \epsilon. \quad (5)$$
This means that an agent $j$ influences $i$ iff the opinions of the two agents are sufficiently similar in terms of 1) diagnostic value of evidence, and 2) degree of belief in $H$. The values $\phi \in [0, 1]$ and $\epsilon \in [0, 1]$ are parameters that are fixed when the model is initialized, and represent, respectively, the willingness to discuss with people with different diagnostic values, and different beliefs. Notably $i \in I_s$. Once the set $I_s$ has been defined, the influence of the chosen agents is represented by assigning a new value for $agent-diag-value$ of $i$, denoted as $agent-diag-value_i^{t+1}$. This is computed as follows:
$$agent-diag-value_i^{t+1} = \frac{\sum_{j \in I_s} agent-diag-value_j^t}{|I_s|},$$
(6)
where $agent-diag-value_j^t$ is the value for the state variable of agent $j$ prior to being influenced. The new value for the state variable of agent $i$ is obtained by averaging all the values for the same state variable of all the influencers.
This submodel employs the mechanism from the bounded confidence model, as first proposed by Hegselmann & Krause (2002) and then extended in many other instances of the opinion dynamics literature (Douven & Hegselmann 2022; Hegselmann & Krause 2006). As in these models, we also use a homophily-biased type of influence (Flache et al. 2017) to represent scientists’ interactions, as it is reasonable to assume that scientific discussions happen more often among like-minded scientists. In particular, we introduce two conditions that need to be fulfilled for agent $i$ to engage in discussion with agent $j$: agent $i$ needs to be close enough to $j$ both in terms of background assumptions and of factual beliefs (expressed in parameters $\phi$ and $\epsilon$ respectively). Furthermore, scientists are influenced by other scientists by being pulled closer to their diagnostic values: this represents the way an agent modifies her background assumptions to get closer to those of whom she discussed with.
| Factor | Description | Value Range |
|------------|--------------------------------------------------|-------------|
| $P(1|¬H)$ | Probability of outcome 1 given ¬$H$ | 0.55 - 1 |
| $\epsilon$ | Agents’ threshold for belief | 0 - 1 |
| $\phi$ | Agents’ threshold for diagnostic value | 0 - 1 |
| $\lambda$ | Initial dispersion of agents’ background assumptions | 0 – 0.5 |
| $N$ | Number of agents | 50 - 100 |
| $DP$ | Data points per experiment | 5 - 100 |
Table 3: Model parameters and value range of our model.
A brief summary on agents’ behaviour
We summarize the core mechanisms of the model by discussing how scientists may end up fully supporting $H$ and what could prevent them from doing so. Given the design of the model, at every point in time, agents may be well-prepared or ill-prepared, based on their diagnostic values. Well-prepared agents are those who, when inspecting new evidence, are more likely to update their beliefs such that they become more confident in $H$; ill-prepared agents are those for whom this is not the case. More precisely, we say that $i$ is well-prepared iff $l_1 < P_i(1|H) < l_2$, where $l_1, l_2$ are thresholds that depend on $P(1|H)$ and $P(1|¬H)$. In particular, in our case $l_2 = P(1|¬H)$ and $l_1 = 1 - P(1|¬H)$.\(^4\) Consider an example.
**Example 1.** Suppose $P(1|H) = 0.5$, $P(1|¬H) = 0.7$ and the community is formed of four agents with the following diagnostic values: $P_1(1|H) = 0.1$, $P_2(1|H) = 0.5$, $P_3(1|H) = 0.6$, $P_4(1|H) = 0.8$. So it is clear that 2 and 3 are well prepared whereas 1 and 4 are not. On the other hand, the fact that 2 and 3 are well prepared does not mean that they are always likely to land on a posterior extremely different from that of 1 and 4. Indeed, depending on the number of ones and the number of data points, the difference may be bigger or smaller.\(^5\) This is illustrated in Figure 1.
3.23 The group of ill-prepared agents can be further subdivided into two groups: those whose diagnostic value is too low (we shall call them low-ill-prepared scientists), and those whose diagnostic value is too high (high-ill-prepared scientist). Formally, $i$ is low-ill-prepared iff $l_1 > P_i(1|H)$ and, $i$ is high-ill-prepared iff $l_2 < P_i(1|H)$. Indeed, the closer an agent’s diagnostic value is to $P(1|H)$, which is the correct value, the more likely she is to successfully evaluate the evidence. An agent only ends up fully supporting $H$ if she updates her beliefs on a substantial number of data points while being well-prepared. In our process of agents influencing each other, agents affect each other’s diagnostic values and thus preparedness for the evidence; therefore, in our model, this process is crucial for the community to reach true consensus.
4 Results
4.1 This section is divided in three parts. First, we elaborate on the way we collect our data. Then, we present an overview of the impact of different parameters, and finally, in the last part we focus on the role of evidence with respect to $\epsilon$, $\phi$ and $\lambda$.
Stability of the results
4.2 As mentioned above, our simulation stops when either 5000 steps have been performed or everybody either supports $H$ or rejects $H$. We observe that the first condition obtains before the second one only in around six runs out of a thousand of them. In those runs, it is always the case that an agent $i$ assigns to $P_i(1|H)$ a value very close to $P_i(1|-H)$, and consequently, $i$ would be able to make up her mind about $H$ only if exposed to a very large amount of data. The reason why we impose a 5000 steps limit is that waiting for this to happen would drain computational resources while adding little to none to our results: removing the limit in terms of steps would not change any of our main results.
4.3 We mainly look at the frequency of an outcome (i.e. correct consensus, wrong consensus, polarization), over 500 runs for a certain parameter combination. In fact, at around 500 runs the value for the frequency becomes stable, as can be seen in Figure 2. In order to provide a reader with the statistical variations of this measure, we include the standard error in the plots we present in the next sections.
Reaching consensus
4.4 In this section we give an overview of how different factors impact the ability of the community of reaching a correct consensus, i.e. how the frequency of correct consensus changes. Before starting, it is worth noting that wrong consensus has a very low frequency ($< 0.05$) in the entire parameter space with the exception of a very small segment that is analysed in the next section. Consequently, whenever the frequency of correct consensus is low, the frequency of polarization is high and vice-versa.
4.5 First of all, we observe that the further $P(1|¬H)$ goes from 0.5 the more likely the community is to reach correct consensus. Indeed, the larger the distance between $P(1|¬H)$ and $P(1|H)$, the more likely agents are to start well-prepared and influence other agents to end up fully supporting H. Similarly, we observe that increasing the number of agents tends to slightly increase the frequency of a correct consensus: when more agents are initialized the average diagnostic value is more likely to be found close to the real one. As these two patterns are obtained in any other parameter combination, we only present results that are obtained with $N = 50$ and $P(1|¬H) = 0.6$. We choose $N = 50$ and $P(1|¬H) = 0.6$ as these two values present the community with a fair epistemic challenge, such that reaching a consensus is not too easy, but also not too hard. Every pattern that we highlight in the rest of the results can be observed for almost any other value of $N$ and $P(1|¬H)$, although its impact may be more or less pronounced. We now turn to analyse the role of $\phi$, $\epsilon$, $DP$ and $\lambda$. Figure 3 shows how the frequency of correct consensus changes with respect to the four main parameters.
4.6 Notably, the frequency of correct consensus increases as $\phi$ and $\epsilon$ increase, while it decreases as $\lambda$ decreases, which is in line with our expectations. When $\lambda$ increases, agents are more likely to start with a diagnostic value that is further away from the correct one, i.e. $P(\neg H)$. Thus, fewer agents will be well-prepared in inspecting evidence, and more will be prone to reject $H$. By contrast, increasing $\phi$ or $\epsilon$ increases the frequency with which agents influence each other and thereby increases the frequency of correct consensus. This is the result of the following two features of our model.
1. More discussion leads to more situations in which agents’ diagnostic values are aligned.
2. Given the design of our model, the correct diagnostic value is never too far from the initial average of diagnostic values of all agents.
4.7 As a consequence of these two features, the more agents are able to influence each other’s diagnostic values, the more likely they are to get closer to the correct diagnostic value and become well-prepared. Again, this reflects the idea, well-entrenched among social epistemologists, that discussion and participation are fundamental for scientific communities to be epistemically successful. This result is also in line with any homophily-based bounded confidence model (Flache et al. 2017): the larger the confidence levels of the agents ($\phi$ and $\epsilon$ in our case), the less frequently a community will be polarized.
The impact of evidence
4.8 Having established the importance of communication in the model in this way, we turn to another focus point: the impact of evidence and the sample size of batches in which it is gathered. We first explore a section of parameter space which we consider particularly interesting, viz. $\phi \in [0.2, 0.4]$, and then we discuss how the results obtained there generalize for $\phi \in [0, 1]$. In general, we present the plots for our results only when $\lambda > 0.2$, as we already indicated that when $\lambda < 0.2$ correct consensus is almost always reached (Figure 3).
More evidence, fewer friends
4.9 The interval $\phi \in [0.2, 0.4]$ is particularly interesting since it represents a case in which scientists may be willing to talk with others who have different beliefs about $H$, though they are not able to fruitfully interact with those who hold too different diagnostic values (given their background assumptions or methodological standards).
In Figure 4 it can be seen that, if the number of data points produced per round increases, the frequency of correct consensus in the community decreases. This result obtains for most values of $\epsilon$, $\lambda$, and $P(1|H)$ if $\phi \in [0.2, 0.4]$. The explanation of this phenomenon is worth considering in some detail. For this, compare two simplified scenarios.
**Example 2.** Three scientists are ready to investigate a scientific problem: one starts her investigation well-prepared (Section 3.2.1); let her name be Wilma. The other two have background assumptions that make them ill-prepared for the problem at stake. One of them, Luke, assigns to $P(1|H)$ a lower value than the correct one; the other one, Heidi, assigns a higher value. Now, assume that these scientists individually inspect the outcomes of a big experiment with many data points. Although they interpret the data differently, for each of them this experiment gives ample reason to change their confidence in $H$: Heidi and Luke lower their confidence in $H$ substantially, while Wilma increases hers. The upshot is that later, when meeting at a conference, they do not talk with each other: Wilma is too confident in $H$ to discuss with people who take $\neg H$ to be more likely, and Heidi and Luke, although they think similarly of $H$, do not speak because of their difference in background assumptions. Consequently, none of them changes their diagnostic values, leaving Luke and Heidi equally ill-prepared for the next round of experimental data. After a number of such rounds, Wilma will fully support $H$ while Heidi and Luke will fully reject it. Hence, they will end up polarized.
**Example 3.** In the same setting, the three scientists are exposed to fewer data points. Now, Luke and Heidi lower their confidence in $H$ only slightly, whereas Wilma increases hers slightly. Then, when they meet at the conference, the difference in background assumptions still prevents Luke and Heidi from interacting, but Wilma interacts with both. As a result, Luke increases his diagnostic value, while Heidi decreases hers. This leaves Luke and Heidi minimally less ill-prepared for the next round of experimental data, since their diagnostic values will be closer to the correct one (Section 3.2.1); potentially, all three will be well-prepared. In the new round of data, the process is repeated, increasing the chance that Luke and Heidi become well-prepared: once all three of them agree on the (correct) diagnostic value, they are guaranteed to end up supporting $H$.
In short, exposure to fewer data points prevents scientists from radicalizing their positions in terms of $H$, and consequently, increases the likelihood of a fruitful interaction that leads them to correcting their diagnostic values. In fact, if a consensus will be reached, the agents’ diagnostic values start to get relevantly closer to the
correct one already in the third step (Figure 5, on the right). Conversely, in runs that do not result in the community reaching the correct consensus, the average distance from the correct diagnostic value remains large, and stabilizes at some point: here, ill-prepared agents only interact with other ill-prepared agents, and thus never correct their diagnostic values. Still, even in those cases, agents continue to influence and be influenced by other agents: the number of unique diagnostic values decreases regardless of the final outcome (Figure 5, on the left).
**Figure 5:** On the left the average number of unique diagnostic values is plotted against the passing of time (ticks). On the right the average distance from the correct value $P(1|H)$ of each agent’s diagnostic value is plotted against the passing of time (ticks). In both cases, the mean is obtained by grouping the runs with respect to their final outcome: polarization, correct consensus and wrong consensus. The measures are obtained with by running our model 10000 times with $\lambda = 0.5$, $\phi = 0.3$, $\epsilon$ randomly drawn from the uniform distribution between 0 and 1, and $DP$ randomly drawn between 5 and 100, and then dividing each run based on the final outcome.
4.12 In addition, note that in Figure 4, the largest difference is between 5 and 25 data points. This is a consequence of Bayesian updating: the difference between the prior and the posterior belief (that is, $|P^t_i(H) - P^{t+1}_i(H)|$) increases drastically when going from 5 to 25 data points, and hardly at all when going from 75 to 100 data points.
4.13 So far, we observed that access to less evidence tends to facilitate correct consensus, and we explained why: with fewer data points, agents are less likely to radicalize their positions such that it disrupts their communication with scientists who are well-prepared for the evidence. Yet, reducing the number of data points has negative side effects. These are represented in Figure 6 and Figure 7.
Figure 6: The frequency of a wrong consensus for a community of agents is plotted against the number of data points of every experiment. The colours represent the different values for $\epsilon$, and the subplots the different values for $\lambda$. Notably, $\phi = 0.3$. The measures for the frequency are obtained over 1000 runs per parameter combination. The small areas around the lines indicate the standard errors over the measures.
Figure 7: The average time for a run is plotted against the number of data points of every experiment. The colours represent the different values for $\epsilon$, the subplots the different values for $\lambda$. We let $\phi = 0.3$. The measures for the frequency are obtained over 1000 runs per parameter combination. The small areas around the lines indicate the standard errors over the measures.
Having fewer data points may, in certain cases, increase the amount of time needed to reach consensus as well as the frequency of wrong consensus. The first feature is easily explained: even well-prepared agents need a certain number of data points to move their confidence in $H$ towards full rejection or full support. With fewer data points at each step, more steps are needed.
The emergence of wrong consensus is more interesting, as it is also specific of these parameter combinations. In general, similarly to correct consensus, wrong consensus becomes more frequent, because with less data points agents tend to discuss more and consequently they tend to converge more on the same diagnostic values. Yet, why does the community mostly converge on correct consensus and only sometimes on a wrong one? In Section 3.2.1 we mentioned that agents can be divided into three groups, based on their diagnostic values: the well-prepared, the low-ill-prepared and the high-ill-prepared. In correct-consensus runs, interactions between scientists from different groups lead to the formation of a new larger group, which consists of only well-prepared agents. This is because the scientists that were well-prepared already in the beginning interact equally with both other groups, and possibly also the other groups interact with each other, converging on the average diagnostic value (which is also the correct one). Conversely, in wrong-consensus runs, it is most likely that the group of well-prepared agents interacts with only one group of ill-prepared agents, e.g. because a piece of evidence has pushed these two groups closer to one another in terms of beliefs. As a result, the group of well-prepared agents is absorbed by one of the ill-prepared ones, fostering the division in two groups: both ill-prepared. In fact, runs that end in a wrong consensus typically feature a division of agents into two groups with respect to their diagnostic values (Figure 5). This is a marked difference from correct-consensus runs, which typically feature only one group. Such a mechanism explains why the frequency of wrong consensus increases only when $\lambda$ is quite high and $\epsilon$ is quite low. On the one hand, when $\epsilon$ is low, it is more likely for well-prepared scientists to interact only with members of one group of ill-prepared ones, whereas the more $\epsilon$ increases, the more likely agents are to include in their group of influencers scientists from both sides. On the other hand, the higher $\lambda$ the larger are the groups of ill-prepared agents, which makes it easier for them to move the well-prepared ones away from their diagnostic values.
For a better understanding of the role evidence plays in the model, it is worth examining the frequency of wrong consensus with respect to the data points that are available to the agents. Indeed, the results indicate that decreasing the number of data points may also have a harmful effect by increasing the chances of getting a wrong consensus. However, note that neither the spread nor the strength of this correlation (between number of data points and correct consensus) is comparable to those of the correlation between number of data points and correct consensus. The latter obtains for almost any parameter value (given that $\phi \in [0.2, 0.4]$) and may drastically diminish the chances of a correct consensus [e.g. in the case of $\epsilon = 0.3$ and $\lambda = 0.375$ of Figure 4], whereas the former only obtains for low values of $\epsilon$ and high ones of $\lambda$, and often generates marginal effects (increasing the number of data points never decreases the frequency of wrong consensus by more than 0.5).
**More evidence, same friends: Broadening the parameter space**
In the previous section, we highlighted the results obtained for $\lambda = 0.3$. Those results indicate that increasing the number of data points decreases the frequency of a correct consensus, i.e. they are negatively correlated. However, this negative correlation does not generalize. Consider Figure 8: given that $\lambda$ is not too low, a strong correlation between the two is present only when $\phi \in [0.2, 0.4]$.
4.18 The reason is the following. If the number of data points is low enough (indicatively lower than 20), the mechanism described in paragraph 4.7 obtains: the agents remain close enough in terms of beliefs, and by doing so they manage to discuss and converge on a value that is close enough to the correct diagnostic value. If the number of data points is high, initially nothing changes with respect to the mechanism we already described: both groups of ill-prepared agents substantially revise their beliefs in the direction of supporting $\neg H$, and the group of well-prepared ones moves towards $H$. However, if $\phi$ is low, agents coming from the (low)ill-prepared group and the (high)ill-prepared group do not talk, while if $\phi$ is high, they can influence each other. This leaves them arriving at the average of their diagnostic values, which happens to be closer to the correct value. We consider this result as an extreme consequence of our assumption of a ‘wisdom of the crowd’.
4.19 In addition, other patterns can be noted in Figure 8. When $\phi$ or $\epsilon$ is very low, the number of data points has hardly any effects, since agents fail to interact or only interact with scientists whose diagnostic values are already close to theirs. Similarly, when $\epsilon$ is very high, it is highly likely that agents will influence each other early on in the simulation regardless of the amount of evidence, and consequently, the number of gathered data points won’t have a significant impact. For very similar reasons, a correlation between wrong consensus and number of data points is never present for $\phi$ outside of the interval $[0.2, 0.4]$.
**Sensitivity analysis**
4.20 We performed a variance-based global sensitivity analysis in order to reveal the complex ways in which input factors influence the model outcome.\textsuperscript{7} Since we are exploring the relationship between disagreement over the diagnostic value of evidence and the epistemic performance of a community of scientists, the main output of interest is the frequency of correct consensus within the community. The results of the model are conditional on several factors, out of which six are selected as input parameters with a discrete uniform distribution. Table 3 summarizes the selection of the model parameters and the value range for each of them. A single computational experiment (4,860,000 simulations) with a full factorial design was carried out.
4.21 It is worth mentioning that the average value for the frequency of correct consensus is 0.78 (SD = 0.4) over all parameters values. The results of the experiment are shown in Figure 9. The highest first-order index is $\lambda$ (23% of total variance), followed by $P(1 \sim H)$ (14%). Factors $N$ and $DP$ have the lowest value, meaning that their contribution to the variability of the output is minimal when considered in isolation. Therefore, the generation of a correct consensus within a scientific community is predominantly driven by the initial dispersion of agents’ background assumptions. In sum, all first-order indices amount to only 35% of the frequency of correct consensus variability, which is the percentage of the output variance that can be explained by examining the factors individually. The remaining 65% of variability is to be attributed to complex factor interrelation. Every factor significantly contributes to the model’s complex behavior, as higher-order indices show. This suggests that the frequency of correct consensus within a scientific community is a matter of a complex, interrelated set of factors.
Discussion
5.1 In this section we compare our results with some related findings and discuss their more general implications.
5.2 As mentioned above, our approach to modeling epistemic communities is similar to network epistemology bandit models, such as those by Zollman (2007), Zollman (2010). A well-known finding from these models is the so-called Zollman effect, according to which a high degree of information flow in a scientific community may impede the formation of a correct consensus. Since our results also highlight factors that may impede the formation of a correct consensus in communities that fully share evidence, one may wonder how they relate to Zollman’s findings.
5.3 On the one hand, in Zollman’s model, scientists do not disagree on the diagnostic value of evidence and increasing the sample size of experiments is strictly beneficial (Rosenstock et al. 2017). Our model qualifies these insights. We show that if scientists disagree on the diagnosticity of evidence, larger amounts of data points produced by experiments may lead to lower correct consensus rates. On the other hand, our results are consistent with the Zollman effect in the sense that the underlying mechanism leading the community away from the correct consensus is an initial spread of misleading information. In Zollman’s model this is caused by dense social networks, while in our model by agents misinterpreting large amounts of evidence.
5.4 The fact that in our model larger sample sizes lead to less successful inquiry in case agents disagree on how they interpret data, does not imply that scientists should conduct studies of a smaller sample size. Indeed, there are very good reasons, independent of those discussed in this paper, why large-scale studies are beneficial. Rather, our results suggest that, given that large-scale studies are typically beneficial, one might have to take additional measures to preempt problematic scenarios illustrated above.\(^8\) For instance, such a precautionary measure could include taking into account the presence of a peer-disagreement as a ‘higher-order evidence’ which lowers one’s confidence in one’s current belief on the matter (Henderson 2022; Friedman & Šešelja 2022). Moreover, the scientific community could introduce measures encouraging discussion among disagreeing scientists on the diagnosticity of the evidence (for example, by organizing conferences targeting such issues).
5.5 Indeed, our results also highlight that reducing the sample size may not always have positive effects. As a lower number of data points increases the cohesiveness of the community, it may also increase the chances of a wrong consensus. Although the conditions for this to happen are very specific, such a finding exemplifies the duality of a cohesive community. In most of the cases, a cohesive community is effective: scientists together increase their confidence in the correct answer. Yet, if such cohesion is obtained around the wrong way of interpreting evidence, all scientists may end up supporting the wrong hypothesis.
5.6 It is worth noting that this model carries some limitations. First, it is reasonable to assume that in scientific practice, at least some disagreements arise from the fact that scientists don’t use the same methods. For instance, in the model developed by Douven (2019), some agents use Bayes’ rule to update while others use probabilistic versions of inference to the best explanation that change their degrees of belief. In our model, we take all agents to be Bayesian updaters. While it is true that other methods of belief updating would be worth exploring, for our initial model we decided to use the standardized Bayesian updating approach. Second, an ideal scenario would involve the simulation and the analysis of random choices for \(P(1|H)\) and \(P(1|\neg H)\) (in the model we assume that \(P(1|\neg H) \in [0.55, 1)\), see Section Initialization). This is not addressed in the present paper because of computational tractability reasons. If the value of \(P(1|\neg H)\) is too close to \(P(1|H)\), agents need very large amounts of evidence to either support or reject \(H\), which requires simulations to run for a very long time. The implementation in NetLogo and consequent slow execution makes our model unsuitable for studying this ideal scenario.
6 Conclusion
6.1 In this paper we introduced an ABM for studying scientific polarization in a community whose members may diverge in the way they interpret the available evidence. Agents in the model represent scientists who are trying to decide whether a certain hypothesis \(H\) is true. To this end, they perform Bayesian belief updates after receiving experimental results. Since they consider evidence to different degrees diagnostic of \(H\), their belief updates may also diverge, even if based on the same experiments. Moreover, through discussions on their background assumptions, they can influence each other and either converge on a common diagnostic value for the evidence, or remain divided on this issue. Our results indicate that, in general, the more willing the agents are to discuss their background assumptions, the more likely the community is to reach a correct consensus. This is in line with the results that have usually been obtained in opinion dynamics models based on a homophily type of influence (Flache et al. 2017). Furthermore, our results also suggest that increasing the sample size of experiments may be detrimental to the community, since for certain parameter combinations, it drastically decreases the chances of achieving a correct consensus. Yet, at the same time, decreasing the sample size of experiments may not always be beneficial: under specific parameters a decrease in sample size can make a wrong consensus more likely. In light of these features, our model fills a gap in the literature on scientific polarization since it shows how polarization can emerge even if agents fully share evidence and don’t discount any of the gathered data, but treat all evidence as equally certain.
6.2 Since the current model is exploratory, it leaves room for further enhancements and variations. For instance, it would be interesting to examine the robustness of our results once the ‘wisdom of the crowd’ assumption is relaxed so that agents do not start with diagnostic values, the average of which is close to the correct one. Moreover, examining potential mitigating mechanisms (such as measures mentioned in the previous Section) would be a way of investigating the question: how can we improve the performance of a community whose members disagree on the diagnosticity of the evidence?
Acknowledgments
We would like to thank the anonymous referees of this paper, the participants of the Social Simulation (SSC) Conference (12-16 September 2022 | University of Milan, Italy), the participants of the European Network for the Philosophy of the Social Sciences (ENPOSS) Congress (21-23 September 2022 | University of Málaga, Spain) and Soong Yoo for their comments and suggestions. This research was supported by the Ministerio de Economía y Competitividad (grant number FFI2017-87395-P) and by the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) – project number 426833574.
Appendix A: Mathematical Analysis
In this section, we briefly explain how the division in well-prepared and ill-prepared agents is obtained.
An agent $i$ is well-prepared in case its expected posterior value for $H$ is greater than .5. The expected posterior value in $H$ for $i$ at time point $t$ is computed by a function $\exp : [0, 1] \mapsto [0, 1]$, which takes as an input the diagnostic value $P_i^t(1|H)$ of agent $i$. In particular, for a given diagnostic value $x$ and for a single draw from the probability distribution $P(\cdot|H)$ the expected posterior value is obtained as follows:
$$\exp(x) = P(1|H) \cdot P_i^t(H) \cdot x \cdot \frac{1}{P_i^t(H) \cdot x + P_i^t(-H) \cdot P(1|-H)} + \frac{P_i^{t+1}(H|1)}{P_i^{t+1}(H|0)} \cdot P(0|H) \cdot P_i^t(H) \cdot (1 - x) \cdot \frac{1}{P_i^t(H) \cdot (1 - x) + P_i^t(-H) \cdot (1 - P(1|-H))}.$$
Assuming a prior $P_i^t(1|H)$ of .5, the equation $\exp(x) = .5$ has two solutions, $l_1 = 1 - P(1|-H)$ and $l_2 = P(1|-H)$. In other words, an agent whose diagnostic value $P_i^t(1|H)$ is strictly in the interval $(l_1, l_2)$ has an expected posterior credence in $H$ of greater than .5, otherwise at most .5. The same applies to experiments of sample sizes greater than 1, since such experiments can be equivalently modeled by iterative single draws. We also note that all agents start the simulation with a prior of .5 and whenever the diagnostic value is updated (as a result of a social exchange), all previous experimental results get reevaluated with a prior of .5. It is therefore sufficient to determine the solution of $\exp(x)$ with a prior of .5.
Appendix B: ODD Protocol
This section presents the model according to Grimm et al. (2020) ODD protocol. As a consequence, the terms and notions we employ here to describe our model are intended in the way Grimm et al. (2020) define them.
Purpose and main pattern of the model
Scientific disagreement is a widespread and well-known phenomenon studied in the history and philosophy of science. Sometimes, disagreements become persistent and difficult to tackle due to differences in methodologies, research protocols and background assumptions, giving rise to a disagreement on the evidential weight of a given corpus of data. One of the possible outcomes of these disagreements is a polarized scenario, in the sense of a fragmented community of scientists in which two or more subgroups are generated and in which none of these subgroups are willing to collaborate with each other, even when the corpus of data is shared among the parties.
The present model is an abstract model designed for theoretical exploration and hypothesis generation. In particular, the main aim is to explore the relationship between disagreement over the diagnostic value of evidence and polarization formation in scientific communities.
The model is suitable for studying this question because it allows for the representation of central elements of scientific inquiry in a community whose members may disagree about the diagnostic value of the evidence.
1. The agents are Bayesian reasoners, which means that they comply with the standards of epistemic rationality. At the same time, we can represent them as assigning different diagnostic value to the available evidence.
2. The process of inquiry is represented in terms of agents making random draws from the probability distribution that stands for the objective probability of success of $H$. The difficulty of the research problem is represented in terms of the difference between $P(e|H)$ and $P(e|-H)$, which form the agents’ background assumptions in view of which they update their beliefs.
3. The epistemic success of the community is measured in terms of the consensus of the community on $H$. Such a representation of epistemic success allows for plausible assumptions about scientific inquiry, such as:
- The success of the community is negatively correlated with the difficulty of the scientific problem,
- The success of the community is positively correlated with the initial precision of scientists.
**Entities, state variables, and scales**
**Entities**
The model features two different entities: the agents, who represent the scientists, and the environment (or observer), which describes the scientific problem at stake and keeps track of time. In every turn of the model, the scientific community gathers a new piece of evidence about the disputed hypothesis $H$. Each piece of evidence is fully shared and registered in the state variable *evidence* of the environment. The variable collects all the results up to that point and hence represents the state of the art concerning the evidence for $H$. In addition, the environment also keeps track of the time, i.e. of the number of steps that have been performed up to that point.
On the other hand, the scientists are characterized by the diagnostic value they assign to evidence and their degree of confidence in hypothesis $H$, which are tracked by two state variables. A formal account of these two state variables (and their use) is given in Section Submodels Submodels. When $\text{agent-belief} > 0.99$ the agent *fully supports* $H$, whereas if $\text{agent-belief} < 0.01$, the agent *fully rejects* $H$. The state-variables of scientists and environment are respectively summarized in Tables 4 and 5 respectively.
| Variable | Variable-Type | Meaning |
|---------------------------|------------------------|-------------------------------------------------------------------------|
| ticks (built-in NetLogo function) | integer, dynamic | the number of steps performed, which represents the passing of time |
| evidence | array of integers, dynamic | the number of ones in all the previous experiments (until the one observed in the present step) |
Table 4: State Variables for Environment.
| Variable | Variable-Type | Meaning |
|------------------------|---------------|-------------------------------------------------------------------------|
| agent-belief | [0, 1], dynamic | the probability an agent assigns to hypothesis $H$ |
| agent-diag-value | [0, 1], dynamic | the diagnostic value an agent assigns to the output 1 of a data point of an experiment (see Sections Submodels and 1.2) |
Table 5: State Variables for Scientists.
**Scales**
As the model is purely exploratory and theoretical, we do not draw any correspondence between the state variables and real scale. However, intuitively, every tick corresponds to the finding of new evidence with respect to the scientific problem.
Process overview
Each step of the simulation has the following schedule.
1. A new piece of evidence becomes available in the scientific community, following the creation of an experiment submodel. The value is added to the state variable evidence of the environment.
2. Each agent executes the belief-update process based on the evidence that has been produced so far. Consequently, for each agent, the agent-belief variable is updated.
3. Agents go through the influence-each-other process. They update their agent-diag-value variable, based on the state variables of the agents they are connected with.
4. Every agent who has changed the value for agent-diag-value in the last step reevaluates all available evidence. In particular, each agent executes the process of belief-update based on all the evidence that has been produced so far.
5. Ticks and observations are updated. The environment also checks if the stop condition is fulfilled.
The simulation stops when either
- 5000 steps have been performed or
- every agent either fully supports $H$ or fully rejects $H$.
The second condition represents the effective termination of the debate, i.e. a situation in which every scientist in the community has drawn a definitive conclusion on hypothesis $H$, and no further communication within the community will lead to further change. See Section Stability Of The Results for a justification of the first condition.
Our schedule is meant to represent the process of scientific inquiry, in which scientists continuously obtain potentially relevant evidence through experimentation, evaluate this evidence, and discuss with other members of the community on the basis of their background assumptions, i.e. their diagnostic values. Step 1 represents the publication of new evidence, e.g., in a paper, which will be read and evaluated by all scientists in Step 2. Subsequently, Step 3 may be taken to represent a discussion which scientists could have at a conference.\footnote{9} Finally, in Step 4 a scientist that has changed her mind with respect to the interpretation of evidence, reevaluates the evidence that the community has been produced so far.
Design concepts
Basic principles
This model addresses a well known problem in social epistemology, i.e. how scientific polarization originates. Yet, although few theoretical models have already been proposed to account for this phenomenon (O’Connor & Weatherall 2018; Pallavicini et al. 2018; Singer et al. 2017), the present one tackles the question from a novel perspective. Its basic principle is that although scientists may be exposed to the same evidence, they may interpret it differently, and, hence, reach different conclusions. In particular, it may be the case that certain scientists assign a more correct value to the relevance of a certain piece of evidence with respect to a certain hypothesis than others. Our model explores the consequences of this very simple observation for the formation of consensus.
This model is composed of two submodels (Section Submodels) that are taken from the existing formal literature on opinion dynamics and formal philosophy of science. On the one hand, the way scientists interact when discussing their diagnostic values is regulated through a (slightly modified) bounded confidence model (Hegselmann & Krause 2002). Scientists discuss their diagnostic values only with scientists who have a similar belief in terms of the hypothesis $H$ and in terms of diagnostic value itself (this is Step 3 of Section Process overview). On the other hand, the way agents update their beliefs with respect to new evidence is treated in a Bayesian framework. This is inspired by the way scientists are represented in many formal models on the social organization of science (Zollman 2007, 2010).
Emergence
The key outcome of the model is the frequency with which the community reaches a correct consensus, and how it is brought about from the internal mechanism. A correct consensus may emerge in two different cases. On the one hand, it can be the case that the agents all start interpreting evidence adequately, and, consequently, just by observing the data points that are produced the agents all end up supporting $H$. On the other hand, it may be the case that some agents have a diagnostic value which would make them move towards rejecting $H$ when observing data. In this case, a correct consensus is brought about by the fact that agents may influence each other on their diagnostic values and the agents with a correct enough diagnostic value pull on their side the other agents.
Adaptation
The scientists have one adaptive behavior: deciding who to discuss their diagnostic values with. The decision is taken following the rules described in Section Submodels and based on the values for $\phi$ and $\epsilon$. In this sense, it is an indirect objective-seeking procedure. In particular, this choice affects the agent-variable *agent-diag-value*, and it is taken based on the agent’s actual variables *agent-diag-value* and *agent-belief*. The agent can choose between all the other agents and selects a subset of them to discuss. An agent lets another agent influence herself if
1. the Euclidean distance between the values for the state variable *agent-belief* of the two agents is below the tolerance threshold *epsilon* (a model parameter), and
2. the Euclidean distance between the values for the state variable *agent-diag-value* of the two agents is below the tolerance threshold *phi* (a model parameter).
By doing so, an agent is influenced only by agents who have opinions similar enough to hers, i.e. she selects the agents she considers acceptable and let them influence her. The influence process takes place to modify the state variable *diagnostic value* following the submodel *influence process*.
Objectives
As no adaptation mechanism is direct objective-seeking, no objective needs to be specified.
Learning
There is no learning involved in this model.
Prediction
There is no process of prediction in this model.
Sensing
All agent knows their own agent variables. They use them extensively when updating them in processes of belief update (see Section Process overview). They know these values accurately. In addition, for each agent variable (*agent-belief* and *agent-diag-value*), an agent knows whether for each other agent the distance between her value and the other agent’s value is lower than a certain threshold; agents use this information when choosing who to discuss their diagnostic values with (see Section Adaptation). Also in this case, the comparison is carried out accurately.
Scientists know their agent-variables as they use those variables to represent their confidence in a certain hypothesis and to interpret evidence. Moreover, it is reasonable to assume that scientists sense what are the agent-variables of other agents as they interact with them. One can imagine the process of discussion as an exchange of information from both sides after which a decision is made on whether or not to let the other side influences you.
**Interaction**
Agents interact with each other during the discussion phase. In particular, an agent interacts at every turn only with the other agents that, in that turn, satisfy certain requirements (see Section Adaptation). In particular, if agents $i$ and agent $j$ interact then they interact *directly*. The interaction consists in the modification of the agents’ diagnostic value based on the values of the agents they interact with. The rationale for the mechanism is explained in Section Adaptation.
**Stochasticity**
Two processes make use of stochastic mechanisms. First, the initialization of agents use a random number generator to assign to each agent a value $agent\text{-}diag\text{-}value$. In particular, every time a new agent is generated a value for $agent\text{-}diag\text{-}value$ is drawn from a uniform distribution (see Section 7?). The reason for this is that scientists may have different diagnostic values. Secondly, the *creation of a new experiment* uses a random mechanism: the number of successes for each experiment is generated by a binomial distribution with probability $P(1|H)$ and number of trials as the parameter for the total number of data points. In this case, stochasticity represents the fact that when performing an experiment different outputs are possible and they are possible with a probability that depends on the underlying state of the world.
**Collectives**
There is no collective in the model.
**Observation**
The observations that are collected step by step by the model are shown in Table 6.
| Observation Name | Observation-Type | Meaning |
|------------------|------------------|---------|
| beliefs | vector of real values between [0, 1] | vector that contains the values of state-variable $agent\text{-}belief$ for every agent. |
| diag-values | vector of real values between [0, 1] | vector that contains the values of state-variable $agent\text{-}diag\text{-}value$ for every agent. |
Table 6: Measures Observed.
In addition, when the simulation ends, from these two measures we compute what we call the *collective result*, i.e. the outcome in terms of consensus of a run: “correct-consensus”, “wrong-consensus” and “polarization”. The first corresponds to a case in which every agent fully supports $H$, the second to every agent fully rejecting $H$, and the third one to any other configuration. Finally, we observe the frequency of these three different outputs over one hundred runs for every parameter combination. We call $T-freq$, $W-freq$ and $P-freq$ the values for these frequencies.\(^{10}\) The simulation ends when every agent either fully supports $H$ or fully rejects $H$. We evaluate the final result only in terms of factual beliefs (i.e. of the state variable $agent\text{-}belief$) because that is the only way a scientific community is asked to provide an opinion.
Although we did perform some exploratory analysis using observations collected at different time steps, our main focus is on the frequency of those three final outputs.
**Initialization**
Initialization of the model is divided in two phases, corresponding to the setup of the scientific community (i.e. the agents and the features of their behaviour) and the setup of the scientific problem the agents face. We start with the latter.
As mentioned in Section Purpose and main pattern of the model, the scientists face the problem of deciding whether or not hypothesis $H$ is true in the world in which they conduct their experiments (where we assume
that \( H \) is true). To inform their decision, scientists perform experiments with a certain sample size. For each data point of the sample, they distinguish between an output of type 1 and an output of type 0 (1 and 0 are mutually exclusive) as the outcome of the experiment. Such experiments are used to determine whether \( H \) or \( \neg H \) is more likely. Consequently, in the initialization, we fix the values of \( P(1|H) \) and \( P(1|\neg H) \).
We assume that \( P(1|H) = 0.5 \), i.e. that if \( H \) is the true state of the world (as it is), in the long run half of the data points will be of type 1 and half of type 0. Then, we assume that \( P(1|\neg H) \in [0.55, 1] \), and we take the distance \( d = P(1|\neg H) - P(1|H) \) to correspond to the difficulty of the problem at stake.\(^{11}\) The smaller \( d \) is, the more likely \( H \) and \( \neg H \) are to yield a similar outcome, and the harder it is to decide which one of the two is responsible for it on the basis of an experiment.
To set up the scientific community, we create \( N \) agents, where \( N \) can take up any value in \([5, 100]\). The state variable agent-belief for each agent is set to 0.5, representing that scientists enter the debate without prior commitment to \( H \) over \( \neg H \). We assume that each agent is aware of the correct value for the probability of obtaining an output 1 from \( \neg H \) (that is \( P_i(1|\neg H) = P(1|\neg H) \) for each \( i \)). Yet, at the same time, we consider the possibility for agents to assign to \( P_i(1|H) \) a value different from \( P(1|H) \). The value \( P_i(1|H) \) is captured by the state variable agent-diag-value which is drawn for each agent from a uniform distribution \( U(P(1|H) - \lambda, P(1|H) + \lambda) \), with \( \lambda \in [0, 0.5] \). This implies that
- agents may have different diagnostic values, and that
- agents may interpret evidence in a ‘wrong’ way.
Here, \( \lambda \) represents the initial dispersion of agents’ background assumptions: we do not assume that agents assign the correct diagnostic value to evidence, but that it is very likely that the average computed over all the assigned diagnostic values is close to \( P(1|H) \). In this, our model assumes a form of ‘wisdom of the crowd’, since if all agents would assign the average value of their initial diagnostic values, most of them would be closer to the real value.
Three other parameters are necessary to define the way agents interact and perform experiments (see Table 3), which will be explained in Section Submodels.
**Submodels**
Our model has three main submodels.
**Creation of an experiment**
At the beginning of each round, an experiment is performed and the result is made available to every agent. An experiment \( e \) consists of a number \( k \) of outputs of type ‘1’ (which we will call “ones”, from now on) over a number of trials \( n \): \( k \) is drawn from a binomial distribution with number of trials \( n = DP \), and probability \( p = P(1|H) \) of producing a success. This representation of scientific experimentation has been used extensively in the philosophical approach to modelling scientific communities (Zollman 2007; O’Connor & Weatherall 2018). The number of trials for experiment \( DP \) is a parameter in the interval \([5, 100]\).
**Belief update**
An agent may be presented with the outcomes of one or more experiments. In both cases, they update their belief through classical Bayesian updating. Let \( e_1, \ldots, e_m \) be the pieces of evidence the agent inspects and let \( P^t_i(H) \) represent the belief before inspecting piece \( e_{t+1} \). The value \( P^t_i(H) \) corresponds to the state variable agent-belief before the update, and \( P^{t+1}_i(H) \) to the state variable agent-belief after the update. The agent’s degree of belief after having observed \( e_{t+1} \) is computed as follows:
\[
P^{t+1}_i(H) = P^t_i(H|e_{t+1}) = \frac{P^t_i(H) \cdot P^t_i(e_{t+1}|H)}{P^t_i(e_{t+1})} = \frac{P^t_i(H) \cdot P^t_i(e_{t+1}|H)}{P^t_i(H) \cdot P^t_i(e_{t+1}|H) + P^t_i(\neg H) \cdot P^t_i(e_{t+1}|\neg H)}. \tag{7}
\]
Consequently, if an agent inspects \( m \) pieces of evidence: \( P^m_i(H) = P^{m-1}_i(H|e_m) = P^{m-2}_i(H|e_m \land e_{m-1}) = \cdots = P^0_i(H|e_1 \land \cdots \land e_m) \). As we are dealing always with the same binomial distribution, \( P^{m}_i(H) \) is equal to
$P^0_i(H|E)$, where $E$ is an experiment with $k = k_1 + \cdots + k_m$ ones in $n = n_1 + \cdots + n_m$ trials. Importantly, in performing the update, the agent also employs $P^0_i(e_{l+1}|H)$ and $P^0_i(e_{l+1}|\neg H)$, which are respectively the likelihood that agent $i$ assigns to hypothesis $H$ of producing evidence $e_{l+1}$, and the likelihood that agent $i$ assigns to hypothesis $\neg H$ of producing evidence $e_{l+1}$. These two values can be computed as follows. If $e_{l+1}$ contains $k$ ones over $n$ trials, then:
$$P^0_i(e_{l+1}|H) = \binom{n}{k} (P_i(1|H))^k (1 - P_i(1|H))^{n-k},$$
and
$$P^0_i(e_{l+1}|\neg H) = \binom{n}{k} (P_i(1|\neg H))^k (1 - P_i(1|\neg H))^{n-k}.$$
Here, $P_i(1|H)$ corresponds to the value of the state variable $agent-diag-value$ at the moment in which the update is performed. It represents the likelihood an agent assigns to obtaining a success in the experiment given that $H$ is true. By contrast, we take $P_i(1|\neg H) = P^*(1|\neg H)$ to be equal for all agents and consider it a parameter of the model: agents disagree over the relationship between 1 and $H$, but not over the relationship between 1 and $\neg H$.
**Influence each other**
After updating their beliefs on the basis of evidence, agents proceed to influence each other, by going through two phases:
- choosing with whom to communicate (the ‘influencers’); and
- updating the variable $agent-diag-value$ based on the influencers’ values for the variable $agent-diag-value$.
Agent $i$ chooses the set $I_i$ of influencers such that $j \in I_i$ iff
$$(agent-diag-value_i - agent-diag-value_j) \leq \phi \quad \text{and} \quad (agent-belief_i - agent-belief_j) \leq \epsilon.$$
This means that an agent $i$ influences $j$ iff the opinions of the two agents are sufficiently similar in terms of 1) diagnostic value of evidence, and 2) degree of belief in $H$. The values $\phi \in [0, 1]$ and $\epsilon \in [0, 1]$ are parameters that are fixed when the model is initialized. Notably $j \in I_i$. Once the set $I_i$ has been defined, the influence of the chosen agents is represented by assigning a new value for $agent-diag-value$ of $i$, denoted as $agent-diag-value_i^{t+1}$. This is computed as follows:
$$agent-diag-value_i^{t+1} = \frac{\sum_{j \in I_i} agent-diag-value_j^t}{|I_i|},$$
where $agent-diag-value_j^t$ is the value for the state variable of agent $j$ prior to being influenced. The new value for the state variable of agent $i$ is obtained by averaging all the values for the same state variable of all the influencers.
This submodel employs the mechanism from the *bounded confidence model*, as first proposed by Hegselmann & Krause (2002) and then extended in many other instances of the opinion dynamics literature (Hegselmann & Krause 2002, 2006). As in these models, we also use a homophily-biased type of influence (Flache et al. 2017) to represent scientists’ interactions, as it is reasonable to assume that scientific discussions happen more often among like-minded scientists. In particular, we introduce two conditions that need to be fulfilled for agent $i$ to engage in discussion with agent $j$: agent $i$ needs to be close enough to $i$ both in terms of background assumptions and of factual beliefs (expressed in parameters $\phi$ and $\epsilon$ respectively). Furthermore, scientists are influenced by other scientists by being pulled closer to their diagnostic values: this represents the way an agent modifies her background assumptions to get closer to those of whom she discussed with.
The bounded-confidence framework by Hegselmann and Krause has also been applied to a related question concerning the impact of different epistemic norms, guiding disagreeing scientists, on the efficiency of collective inquiry (Douven 2010; De Langhe 2013).
A formal account of these two state variables (and their use) is given in Appendix B.
See Theoretical Background for a more detailed justification.
Appendix A explains how values $l_1$, $l_2$ are obtained
See Section Results for some more information.
This is not the case when $\lambda$ is very low, as in that case, almost no agent is ill-prepared, and so it is very likely that even if the ill-prepared discuss with each other, they are not able to become well-prepared.
This method yields two relevant measures: first-order sensitivity indices (S) and total-order sensitivity indices (ST). First-order sensitivity indices show the individual, fractional contribution of each factor to output variance; total-order sensitivity indices show the overall contribution of each factor along with the interaction of the other factors (Ligmann-Zielińska et al. 2020). The sum of the first-order indices gives the fractional output variance that is explained by the individual factors. The remaining value is the fractional output variance that is explained by factor interactivity.
Of course, since our model is highly idealized, any such normative point is conditional on the model being validated as representative of an actual scientific community.
See Theoretical Background for a more detailed justification.
See Section Stability of the results.
One may wonder why we did not choose $[0.51, 1)$ instead of $[0.55, 1)$ as the interval for $P(1|¬H)$. The reason for this is mainly of computational nature. If the value of $P(1|¬H)$ is too close to $P(1|H)$, agents need very large amounts of evidence to either support or reject $H$, which requires simulations to run for very long time.
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Zollman, K. J. (2010). The epistemic benefit of transient diversity. *Erkenntnis*, 72(1), 17–35 |
Classical-realistic analysis of entangled systems have lead to retrodiction paradoxes, which ordinarily have been dismissed on the grounds of counter-factuality. Instead, we claim that such paradoxes point to a deeper logical structure inherent to quantum mechanics, which is naturally described in the language of weak values, and which is accessible experimentally via weak measurements. Using as an illustration, a gedanken-experiment due to Hardy [1], we show that there is in fact an exact numerical coincidence between a) a pair of classically contradictory assertions about the locations of an electron and a positron, and b) the results of weak measurements of their location. The internal consistency of these results is due to the novel way by which quantum mechanics "resolves" the paradox: first, by allowing for two distinguishable manifestations of how the electron and positron can be at the same location; either as single particles or as a pair; and secondly, by allowing these properties to take either sign. In particular, we discuss the experimental meaning of a negative number of electron-positron pairs.
A gedanken-experiment due to Hardy [1] provides a beautiful illustration of the sort of retrodiction "paradoxes" arising in connection with quantum mechanical entanglement. To refute the possibility of Lorentz-invariant elements of reality, he shows that in a two-particle Mach-Zehnder interferometer, realistic trajectories inferred from one particle's detection are in direct contradiction with the trajectories inferred from the other particle's detection. Thus he derives a paradoxical inference in which an electron and a positron in some way manage to "be" and "not to be" at the same time and at the same location.
A widespread tendency to "resolve" the Hardy and similar paradoxes has been to point out that implicit in such paradoxes is an element of counter-factual reasoning, namely, that the contradictions arise only because we make inferences that do not refer to results of actual experiments. Had we actually performed the relevant measurements, we are told, then standard measurement theory predicts that the system would have been disrupted in such a way that no paradoxical implications would arise. [2].
In this Letter our claim is that one shouldn't be so quick in throwing away counter-factual reasoning; though indeed counter-factual statements have no observational meaning, such reasoning is actually a very good pointer towards interesting physical situations. We intend to show, without invoking counter-factual reasoning, that the apparently paradoxical reality implied counter-factually has in fact new, experimentally accessible consequences. These observable consequences become evident in terms of weak measurements, which allow us to test - to some extent - assertions that have been otherwise regarded as counter-factual.
The main argument against counter-factual statements is that if we actually perform measurements to test them, we disturb the system significantly, and in such disturbed conditions no paradoxes arise. Our main point is that if one doesn't perform absolutely precise measurements but is willing to accept some finite accuracy, then one can limit the disturbance on the system. For example, according to Heisenberg's uncertainty relations, an absolutely precise measurement of position reduces the uncertainty in position to zero $\Delta x = 0$ but produces an infinite uncertainty in momentum $\Delta p = \infty$. On the other hand, if we measure the position only up to some finite precision $\Delta \hat{x} = \Delta$ we can limit the disturbance of momentum to a finite amount $\Delta \hat{p} \geq \hbar/\Delta$. We use such limited disturbance measurements to experimentally test the paradoxes implied by the counter-factual statements. What we find is that the paradox is far from disappearing - the results of our measurements turn out to be most surprising and to show a strange, but very consistent structure.
The line of reasoning presented in our paper is very closely related to the one suggested by Vaidman [3].
Let us now describe Hardy's paradox. Hardy's gedanken-experiment is a variation on the concept of interaction-free measurements (IFM) first suggested by Elitzur and Vaidman [4], consisting of two "superposed" Mach-Zehnder interferometers (MZI)(see Fig 1), one with a positron and one with an electron. Consider first a single interferometer, for instance that of the positron (labeled by +). By adjusting the arm lengths, it is possible
to arrange specific relative phases in the propagation amplitudes for paths between the beam-splitters $BS1^+$ and $BS2^+$ so that the positron, entering the interferometer as described in fig.1, can only emerge towards the detector $C^+$. However, the phase difference can be altered by the presence of an object, for instance in the lower arm, in which case detector $D^+$ may be triggered. In the usual IFM setup, this is illustrated by the dramatic example of a sensitive bomb that absorbs the particle with unit probability and subsequently explodes. In this way, if $D^+$ is triggered, it is then possible to infer the presence of the bomb without “touching” it, i.e., to know both that there was a bomb and that the particle went through the path where there was no bomb.
**FIG. 1.** Hardy’s gedanken-experiment
Now, in the double MZI setup, things are arranged so that if each MZI is considered separately, the electron can only be detected at $C^-$ and the positron only at $C^+$. However, because there is now a region where the two particles overlap, there is also the possibility that they will annihilate each other. We assume that this occurs with unit probability if both particles happen to be in this region\(^1\). According to quantum mechanical rules, the presence of this interference-destroying alternative allows for a situation similar to that of the IFM in which detectors $D^-$ and $D^+$ may click in coincidence (in which case, obviously, there is no annihilation).
But then suppose that $D^-$ and $D^+$ do click. Trying to “intuitively” understand this situation leads to paradox. Based on the interferometers setup, we should infer from the clicking of $D^-$ that the positron must have gone through the overlapping arm; otherwise nothing would have disturbed the electron, and the electron couldn’t have ended in $D^-$. Conversely, the same logic can be applied starting from the clicking of $D^+$, in which case we deduce that the electron must have also gone through the overlapping arm. But then they should have annihilated, and couldn’t have reached the detectors. Hence the paradox.
Alternatively, one could try the following line of reasoning. From the clicking of $D^-$ we infer that the positron must have gone through the overlapping arm; otherwise nothing would have disturbed the electron, and the electron couldn’t have ended up in $D^-$. Furthermore, from the fact that there was no annihilation we also deduce that the electron must have gone through the non-overlapping arm. Conversely, from the clicking of $D^+$ we deduce that the electron is the one which went through the overlapping arm and the positron went through the non-overlapping arm. But these two statements are contradictory. A paradox again.
All the above statements about the positions of the electron and positron are counter-factual, i.e. we haven’t actually measured the positions. Suppose however that we try to measure, say, the position of the electron, for example by inserting a detector $D_O$ in the overlapping arm of the electron MZI. We find that, indeed, the electron is always in the overlapping arm - the detector $D_O$ always clicks - in accordance with our previous counterfactual statements [10]. However, $D_O$ disturbs the electron and the electron could end up in the $D^-$ detector even if no positron were present! Hence, when we actually measure the position of the electron, we can no longer infer from a click at $D^-$ that a positron should have traveled through the overlapping arm of the positron MZI in order to disturb the electron. The paradox disappears.
Let us now however measure the positions of the electron and positron in a more “gentle” way, such that we do not totally disturb the physical observables which do not commute with position. To do this we will follow von Neumann’s theory of measurement.
Suppose we want to measure an observable $\hat{A}$. Consider a test particle described by the canonical position $\hat{Q}$ and conjugate momentum $\hat{P}$ which we couple the system via the interaction Hamiltonian
$$H_I = g(t) \hat{P} \hat{A}. \tag{1}$$
The time dependent coupling constant $g(t)$ describes the switching “on” and “off” of the interaction. For an impulsive measurement we need the coupling to be strong and short; we take $g(t)$ to be non-zero only for a short time around the moment of interest, $t_0$ and such that $\int g(t)dt = g > 0$. During the time of measurement we can neglect the effect of the free hamiltonians of the system and of the measuring device; the evolution is then governed by the interaction term and is given by the unitary operator
$$\hat{U} = e^{-ig\hat{P}\hat{A}}. \tag{2}$$
\(^1\)Of course, we are describing here a gedanken-experiment. In reality the cross section for electron-positron annihilation is very small. We can however arbitrarily increase the annihilation probability by arranging the electron-positron to cross their paths many times. Also, we note that while we are interested in eliminating the electron-positron pair out of the interferometers when the electron and the positron happen to be in the overlapping arms, the actual process by which we do this is irrelevant for us. Annihilation is only one such process; scattering will do as well. For more realistic implementations see “Note added” at the end of the paper.
In the Heisenberg picture we see that the effect of the interaction is to shift the pointer $\hat{Q}$ by an amount proportional to the value of the measured observable $\hat{A}$, i.e. $\hat{Q} \rightarrow \hat{Q} + g\hat{A}$; in effect $\hat{Q}$ acts as a “pointer” indicating the value of $\hat{A}$. The uncertainty in the reading of the pointer is given by $\Delta Q$, the initial uncertainty of $\hat{Q}$.
In the Schroding picture the state of the measured system and measuring device becomes
$$|\Psi\rangle\Psi_{MD}(Q) \rightarrow e^{-ig\hat{P}\hat{A}}|\Psi\rangle\Psi_{MD}(Q) =$$
$$= \sum_i |A = a_i\rangle\langle A = a_i|\Psi\rangle\Psi_{MD}(Q - ga_i),$$
where $\Psi_{MD}(Q)$ is the initial state of the measuring device. For an ideal measurement we must know precisely the initial position of the pointer; for example $\Psi_{MD}(Q) = \delta(Q)$. Such a state is however unphysical; as a good approximation for an ideal measurement we can take a gaussian
$$\Psi_{MD}(Q) = \exp(-\frac{Q^2}{\Delta^2}).$$
When the uncertainty $\Delta$ in the initial position of the pointer is much smaller than the difference in the shifts of the pointer corresponding to different eigenvalues $a_i$, the measurement approaches an ideal measurement - the final state of the pointer (after tracing over the state of the measured system) is a density matrix representing a series of peaks, each corresponding to a different eigenvalue $a_i$, and having probability equal to $|\langle A = a_i|\Psi\rangle|^2$.
However, as discussed in the introduction, we want to reduce the disturbance caused by the measurement on the measured system. We can reduce it arbitrarily by reducing the strength of the interaction $g$. In this regime the measurement becomes less precise since the uncertainty $\Delta$ in the initial position of the pointer becomes larger than the difference in the shifts of the pointer $ga_i$, corresponding to the different eigenvalues. Nevertheless, even in the limit of very weak interaction the measurement can still yield valuable information - the final state of the measuring device is almost unentangled with the measured system and approaches a gaussian centered around the average value $\bar{A} = \langle \Psi|\hat{A}|\Psi\rangle$, namely $\Psi_{MD}^{final} \approx \exp(-\frac{(Q-\bar{A})^2}{\Delta^2})$. We need however to repeat the measurement many times to be able to locate the center.
There is one more element we have to add. In our example we are only interested in the results of the measuring interaction in the cases in which the electron and positron finally reached the detectors $D^-$ and $D^+$. To account for this we have to make a “post-selection”, i.e. to project the state (4) of the system and measuring device after the interaction on the post-selected state $|\Phi\rangle$ (which in our case represents the electron and positron detected at $D^-$ and $D^+$). Thus the final state of the measuring device, given the initial state $|\Psi\rangle$ and the final state $|\Phi\rangle$ is (omitting normalization constants) given by
$$\Psi_{MD}(Q) \rightarrow \langle \Phi|e^{-ig\hat{P}\hat{A}}|\Psi\rangle\Psi_{MD}(Q) =$$
$$= \sum_i \langle \Phi|A = a_i\rangle\langle A = a_i|\Psi\rangle\Psi_{MD}(Q - ga_i).$$
As shown by Aharonov et al. [5] in the weak regime the effect of post-selection is very surprising. The final state of the measuring device (7) is
$$\exp(-\frac{(Q - gA_w)^2}{\Delta^2}),$$
which describes the pointer shifted to a surprising value, $A_w$, called the “weak value” of the observable $\hat{A}$ and given by
$$A_w = \frac{\langle \Phi|\hat{A}|\Psi\rangle}{\langle \Phi|\Psi\rangle}.$$
Note that in contrast to ordinary expectation values, weak values can lie outside the range of eigenvalues of $\hat{A}$ and are generally complex! Their real and imaginary parts are given by the corresponding effects on the pointer $\hat{Q}$ and its conjugate $\hat{P}$ respectively.
The above behaviour of the measuring device may look strange indeed; we want to emphasize however that there is nothing strange about the measurement itself - it is an ordinary, standard measurement of $\hat{A}$, only that the coupling $g$ with the measured system is made weaker. In fact, it can be shown that any external system, that interacts linearly with an observable $\hat{A}$ of a pre- and post-selected system, will react, in the limit that the coupling is sufficiently small, as if the value of $\hat{A}$ is $A_w$. (For a detailed description of how weak values arise, and their significance see [6]).
Finally and most importantly, in the weak regime different measurements do not disturb each other so non-commuting variables $\hat{A}$ and $\hat{B}$ can be measured simultaneously and they yield the same weak values $A_w$ and $B_w$ as when measured separately.
Let us investigate now Hardy’s paradox by using weak measurements. Let us label the arms of the interferometers as “overlapping”, O, and “non-overlapping”, NO. The state of the electron and positron, after passing through $BS1^-$ and $BS1^+$ is
$$\frac{1}{\sqrt{2}}(\text{O}_p + \text{NO}_p)\times\frac{1}{\sqrt{2}}(\text{O}_e + \text{NO}_e).$$
The detectors $C^+$ and $D^+$ measure the projectors on the states $\frac{1}{\sqrt{2}}(\text{O}_p + \text{NO}_p)$ and $\frac{1}{\sqrt{2}}(\text{O}_p - \text{NO}_p)$ respectively, and similarly for the detectors $C^-$ and $D^-$. Each interferometer is so arranged that the free propagation doesn’t add any supplementary phase difference between the arms; if it were not for the electron-positron interaction, the detectors $D^-$ and $D^+$ would never click.
We are interested in measuring the electron and positron when they traveled in the interferometers beyond the moment when they could have annihilated; we
are interested in the cases when annihilation didn’t occur. The state at this moment becomes
\[ |\Psi\rangle = \frac{1}{\sqrt{3}} |NO\rangle_p|O\rangle_e + \frac{1}{\sqrt{3}} |O\rangle_p|NO\rangle_e + \frac{1}{\sqrt{3}} |NO\rangle_p|NO\rangle_e, \]
(11)
which is obtained from (10) by projecting out the term \(|O\rangle_p|O\rangle_e\) corresponding to annihilation. We take this as our initial state.
We further restrict ourselves to the final state representing the simultaneous clicking of \(D^-\) and \(D^+\), i.e. we post-select
\[ |\Phi\rangle = \frac{1}{2} \left( |NO\rangle_p - |O\rangle_p \right) \left( |NO\rangle_e - |O\rangle_e \right). \]
(12)
From the overlap of \(|\Psi\rangle\) and \(|\Phi\rangle\) we can see that this final possibility is indeed obeyed with probability 1/12.
What we would like to test are question such as “Which way does the electron go?”, “Which way does the positron go?”, “Which way does the positron go when the electron goes through the overlapping arm?” etc.. In other words, we would like to measure the single-particle “occupation” operators
\[ \hat{N}_{NO}^+ = |NO\rangle_p\langle NO|_p \quad \hat{N}_O^+ = |O\rangle_p\langle O|_p \]
\[ \hat{N}_{NO}^- = |NO\rangle_e\langle NO|_e \quad \hat{N}_O^- = |O\rangle_e\langle O|_e \]
(13)
which tell us separately about the electron and the positron and also the pair occupation operators
\[ \hat{N}_{NO,NO}^{+, -} = \hat{N}_O^+ \hat{N}_O^- \quad \hat{N}_{O,NO}^{+, -} = \hat{N}_O^+ \hat{N}_{NO}^- \]
\[ \hat{N}_{O,O}^{+, -} = \hat{N}_O^+ \hat{N}_O^- \quad \hat{N}_{NO,NO}^{+, -} = \hat{N}_{NO}^+ \hat{N}_{NO}^- \]
(14)
which tell us about the simultaneous locations of the electron and positron. We note a most important fact, which is essential in what follows: the weak value of a product of observables is not equal to the product of their weak values. Hence, we have to measure the pair occupation operators independently from the single-particle occupation numbers [3].
Since we will be performing weak measurements of these observables, i.e. using probes which interact weakly with the electron-positron system and produce only limited disturbance, we can perform all these tests simultaneously. We will show that the results of our measurements echo, to some extent, the counter-factual statements, but go far beyond that. They are now true observational statements and, if anything, they are even more paradoxical. Indeed, using the definition of the weak value (9) and the pre- and post-selected states (11, 12) we obtain
\[ N_{Ow}^- = 1, \quad N_{Ow}^+ = 1 \]
(15)
\[ N_{NOw}^- = 0, \quad N_{NOw}^+ = 0 \]
(16)
\[ N_{O,NOw}^{+, -} = 0 \]
(17)
\[ N_{O,NOw}^{+, -} = 1, \quad N_{NO,NOw}^{+, -} = 1 \]
(18)
\[ N_{NO,NOw}^{+, -} = -1. \]
(19)
What do all these results tell us?
First of all, the single-particle occupation numbers (15) are consistent with the intuitive statements that “the positron must have been in the overlapping arm otherwise the electron couldn’t have ended at \(D^-\)” and also that “the electron must have been in the overlapping arm otherwise the positron couldn’t have ended at \(D^+\)”. But then what happened to the fact that they could not be both in the overlapping arms since this will lead to annihilation? Quantum mechanics is consistent with this too - the pair occupation number \(N_{O,NOw}^+ = 0\) shows that there are zero electron-positron pairs in the overlapping arms!
We also feel intuitively that “the positron must have been in the overlapping arm otherwise the electron couldn’t have ended at \(D^-\), and furthermore, the electron must have gone through the non-overlapping arm since there was no annihilation”. This is confirmed by \(N_{O,NO}^{+, -} = 1\). But we also have the statement “the electron must have been in the overlapping arm otherwise the positron couldn’t have ended at \(D^-\) and furthermore the positron must have gone through the non-overlapping arm since there was no annihilation”. This is confirmed too, \(N_{NO,Ow}^{+, -} = 1\). But these two statements together are at odds with the fact that there is in fact just one electron-positron pair in the interferometer. Quantum mechanics solves the paradox in a remarkable way - it tells us that \(N_{NO,NOw}^{+, -} = -1\), i.e. that there is also minus one electron-positron pair in the non-overlapping arms which brings the total down to a single pair!
Finally, the intuitive statement that “The electron did not go through the non-overlapping arm since it went through the overlapping arm” is also confirmed - a weak measurement finds no electrons in the non-overlapping arm, \(N_{NOw}^- = 0\). But we know that there is one electron in the non-overlapping arm as part of a pair in which the positron is in the overlapping arm, \(N_{O,NO}^+ = 1\): how is it then possible to find no electrons in the non-overlapping arm? The answer is given by the existence of the minus one electron-positron pair, the one with the electron and positron in the non-overlapping arms, which contributes a further minus one electron in the non-overlapping arm, bringing the total number of electrons in the non-overlapping arm to zero:
\[ N_{NOw}^- = N_{O,NOw}^{+, -} + N_{NO,NOw}^{+, -} = 1 - 1 = 0. \]
(20)
We can now in fact go one step further. Above we have computed the weak values by brute force. However, the weak values obey a logic of their own which allows us to deduce them directly. We will now follow this route since
it will help us to get an intuitive understanding of these apparently strange results. Our method is based on two rules of behavior of weak values:
a) Suppose that between the pre-selection (preparing the initial state) and the post-selection we perform an *ideal*, (von Neumann) measurement of an observable $\hat{A}$, and that we perform no other measurements between the pre- and post-selection. Then if the outcome of this ideal measurement (given the pre- and post-selection) is known with *certainty*, say $\hat{A} = a$ then the weak value is equal to this particular eigenvalue, $A_w = a$.
This rule provides a direct link to the counterfactual statements. It essentially says that all counterfactual statements which claim that something occurs with certainty, and which can actually be experimentally verified by *separate* ideal experiments, continue to remain true when tested by weak measurements. However, given that weak measurements do not disturb each other, all these statements can be measured simultaneously.
b) The weak value of a sum of operators is equal to the sum of the weak values, i.e.
$$\hat{A} = \hat{B} + \hat{C} \quad \Rightarrow \quad A_w = B_w + C_w \quad (21)$$
Let us return now to Hardy’s example. As we will show, the complete description of what occurs is encapsulated in the three basics counterfactual statements which define the paradox:
- The electron is always in the overlapping arm.
- The positron is always in the overlapping arm.
- The electron and the positron are never both of them in the overlapping arms.
To these counterfactual statements correspond the following *observational* facts [10]:
- In the cases when the electron and positron end up at $D^-$ and $D^+$ respectively, if we measure $\hat{N}_O^-$ in an ideal, von Neumann way, and this is the only measurement we perform, we always find $\hat{N}_O^- = 1$.
- In the cases when the electron and positron end up at $D^-$ and $D^+$ respectively, if we measure $\hat{N}_O^+$ in an ideal, von Neumann way, and this is the only measurement we perform, we always find $\hat{N}_O^+ = 1$.
- In the cases when the electron and positron end up at $D^-$ and $D^+$ respectively, if we measure $\hat{N}_{O,O}^{+-}$ in an ideal, von Neumann way, and this is the only measurement we perform, we always find $\hat{N}_{O,O}^{+-} = 0$.
The above statements seem paradoxical but, of course, they are valid only if we perform the measurements separately; they do not hold if the measurements are made simultaneously - this is the essence of how counterfactual paradoxes are usually avoided. Rule (a) however says that when measured weakly all these results remain true, that is, $N_{Ow}^- = 1$ $N_{Ow}^+ = 1$, $N_{OOw}^{+-} = 0$ and can be measured simultaneously.
All other results follow from the above. Indeed, from the operator identities
$$\hat{N}_O^- + \hat{N}_{NO}^- = 1 \quad (22)$$
$$\hat{N}_O^+ + \hat{N}_{NO}^+ = 1 \quad (23)$$
we deduce that
$$N_{Ow}^- + N_{NOw}^- = 1 \quad (24)$$
$$N_{Ow}^+ + N_{NOw}^+ = 1 \quad (25)$$
which in turn imply the single particle occupation numbers $N_{NOw}^- = 0$ and $N_{NOw}^+ = 0$. The operator identities
$$\hat{N}_O^- = \hat{N}_{O,O}^{+-} + \hat{N}_{NO,O}^{+-} \quad (26)$$
$$\hat{N}_O^+ = \hat{N}_{O,O}^{+-} + \hat{N}_{O,NO}^{+-} \quad (27)$$
lead to
$$N_{Ow}^- = N_{O,Ow}^{+-} + N_{NO,Ow}^{+-} \quad (28)$$
$$N_{Ow}^+ = N_{O,Ow}^{+-} + N_{O,NOw}^{+-} \quad (29)$$
which in turn imply the pair occupation numbers $N_{NO,Ow}^{+-} = 1$ and $N_{O,NOw}^{+-} = 1$.
Finally
$$\hat{N}_{O,O}^{+-} + \hat{N}_{NO,O}^{+-} + \hat{N}_{O,NO}^{+-} + \hat{N}_{NO,NO}^{+-} = 1 \quad (30)$$
leads to
$$N_{O,Ow}^{+-} + N_{NO,Ow}^{+-} + N_{O,NOw}^{+-} + N_{O,NOw}^{+-} = 1 \quad (31)$$
from which we obtain $N_{NO,NOw}^{+-} = -1$.
Let us now turn to the question of how to perform the weak measurements described above. First of all, we note that, as discussed earlier, an important property of weak measurements, is that what are usually mutually disturbing measurements, “commute” in this limit, i.e., they no longer disturb each other and can be performed simultaneously. Hence, in principle, the whole set of predictions (15-19) for the single and pair occupation numbers can be experimentally verified simultaneously. But as we have also mentioned before, this comes for a price - the measurements are necessarily imprecise. How imprecise? It can be easily seen that for the measurements considered here (where the measured operators have only two distinct eigenstates), the weak regime is obtained when the shift of the pointer is smaller than the uncertainty $\Delta Q$
Thus in a single experiment we obtain little information about the value of the weak values. That is, every single measurement may yield an outcome which may be quite far from the weak value (the spread of the outcomes around the weak value is large). Nevertheless, by repeating the measurements (i.e. performing a large number of independent measurements on identically prepared systems), $A_w$ can be determined to any desired accuracy [8]. (A different, improved version of the weak measurements will be discussed later in the paper.)
The single particle occupation can be inferred by a weak measurement of the charge along each arm. For example by sending a massive charged test particle close enough to the relevant path (but sufficiently distant from others) and then using the induced transverse momentum transfer as a pointer variable. The weakness condition is met by preparing the test particle to be in a localized state in the transverse direction, and hence ensuring that momentum transfer is small enough. The measurement must be repeated many times. Finally, after measuring the momentum transfer in each experiment, one evaluates the mean of the result of the separate trials, which is taken to stand for the weak value [8].
In each experiment one can simultaneously also measure the pair occupation operator by introducing a weak interaction between the electron and the positron. For instance to observe $N_{NO,NO}^-$, we let the non-overlapping trajectories pass through two boxes, just before they arrive to the final two beam splitters. The electron and positron are temporarily captured in the boxes and then released. This will not modify the experiment, provided that no extra phases are generated while the particles cross the boxes. Now suppose that the boxes are connected by a very rigid spring of natural length $l$. While the electron and positron pass through the boxes the relative deviation in the equilibrium length of the spring produced by the electrostatic force between the two boxes will be
$$\frac{\delta l}{l} = \frac{F_{e,p}}{Kl} \simeq -\frac{e^2}{Kl^2} N_{NO,NO}^{+, -},$$ \hspace{1cm} (32)
where $K$ is the spring constant. The relative shift in the equilibrium position plays the role of the pointer variable with the ratio $g = e^2/Kl^3$ as a dimensionless coupling constant. In other words, when an electron-positron pair is present in the boxes, due to their electrostatic attraction the spring will be compressed. On the other hand, if only the electron, or only the positron, or none of them is present in the boxes, then here is no electrostatic force and the spring is left undisturbed. In the weak regime however, we will observe a systematic stretching of the spring! This is indicative of a negative pair occupation $N_{NO,NO}^-$ which implies an electrostatic repulsion between the two boxes.
In the above set-up the measuring devices have to be quite imprecise in order to ensure that they do not disturb each other, and therefore the experiment has to be repeated many times to learn the weak values. A different version of the experiment allows us however to measure all weak values with great precision in one single experiment. To achieve this we send through the interferometers a large number $\mathcal{N}$ of electron positron pairs, one after the other. We shall now consider only the case in which all $\mathcal{N}$ electrons end up at $D^-$ and all $\mathcal{N}$ positrons end at $D^+$. The probability for this to happen is exponentially small. However, when this happens, a counterfactual reasoning similar to Hardy’s original one tells us that all electrons must have gone through the overlapping arm, all positrons must have also gone through the overlapping arm, but there were no electron-positron pairs in the overlapping arms. Suppose now that we measure weakly the total number of electrons which go through the overlapping arm. (We do this by bringing a test charged particle near the overlapping arm, and letting it interact with all the electrons which pass, one after the other, through the arm.) As can easily be seen, the weak value of the total number of electrons in the overlapping arm is $(N_{tot})_w = \mathcal{N}$. Simultaneously we use other measuring devices to measure the weak value of the total number of positrons and electron-positron pairs in the different arms, and so on. It is now the case however [9], [5] that the measurements no longer need to be very imprecise in order not to significantly disturb each other. Indeed, the disturbance caused by one measurement on the others can be reduced to an almost negligible amount, by allowing an imprecision not greater than $\sqrt{\mathcal{N}}$. But a $\sqrt{\mathcal{N}}$ error is negligible compared to the total number $\mathcal{N}$ of electrons and positrons. Thus a single experiment\footnote{Note that since the electrostatic energy is invariant under a reversal of signs in the charges, this “negativeness” is not the same thing as charge conjugation.} is now sufficient to determine all weak values with great precision. There is no longer any need to average over results obtained in multiple experiments – whenever we repeat the experiment, the measuring devices will show the very same values, up to an insignificant spread of $\sqrt{\mathcal{N}}$. In particular, the measuring device which measures the total number of electron-positron pairs which went through the non-overlapping arms shows that this number is equal to $-\mathcal{N} \pm \sqrt{\mathcal{N}}$.
**Conclusion**
In the present paper we suggested a new set of gedanken-experiments in connection with Hardy’s setup. We find that these experiments yield strange and surprising outcomes. As they are experimental results, they are here to stay - they cannot be dismissed as mere illegitimate statements about measurements which have
\footnote{We refer, of course, to a “successful” experiment, i.e. one in which all electrons ended up at $D^-$ and all positrons at $D^+$}
not been performed, as it is the case with the original counter-factual statements. Whatever one’s ultimate view about quantum mechanics, one has to understand and explain the significance of these outcomes.
Although the outcomes of the weak measurements suggest a story which appears to be even stranger than Hardy’s original one (existence of a negative number of particles, etc.) the situation is in fact far better. The weak values obey a simple, intuitive, and, most important, self-consistent logic. This is in stark contrast with the logic of the original counter-factual statements which is not internally self-consistent and leads into paradoxes. Strangeness by itself is not a problem; self-consistency is the real issue. In this sense the logic of the weak values is similar to the logic of special relativity: That light has the same velocity in all reference frames is certainly highly unusual, but everything works in a self consistent way, and because of this special relativity is rather easy to understand. We are convinced that, due to its self-consistency, the weak measurements logic will lead to a deeper understanding of the nature of quantum mechanics.
**Note added** Very recently K. Moelmer has suggested a practical way of realizing a version of the gedanken-experiment described here, using ion trap techniques [12].
**Acknowledgements** We thank A. C. Elitzur, S. Dolev and L. Vaidman for discussions. Y. A. and B.R. acknowledge the support from grant 471/98 of the Israel Science Foundation, established by the Israel Academy of Sciences and Humanities, and NSF grant PHY-9971005.
**Appendix**
In our logical derivation of the weak values we started from the three basic statements which define Hardy’s paradox, namely that when measured separately we find with certainty that $\hat{N}_O^- = 1$, $\hat{N}_O^+ = 1$ and $\hat{N}_{O,O}^- = 0$. These three statements represent the minimal information which contains the entire physics of the problem thus this derivation is, in a certain sense, the most illuminating. It is useful however to give yet another derivation.
We note that in fact we know, with certainty (in the sense of rule (a)) quite a number of things. Apart from $\hat{N}_O^- = 1$, $\hat{N}_O^+ = 1$ and $\hat{N}_{O,O}^- = 0$ we also have $\hat{N}_{NO}^- = 0$, $\hat{N}_{NO}^+ = 0$, $\hat{N}_{NO,O}^- = 1$ and $\hat{N}_{O,NO}^- = 1$ (see [10]). Thus all the corresponding weak values can be obtained directly by applying rule (a).
Deducing the weak value of the last pair occupation number, $\hat{N}_{NO,NOw}^{+, -}$, is however more delicate. Indeed, if we perform an ideal measurement of $\hat{N}_{NO,NO}^{+, -}$ we do not obtain any certain answer. We obtain $\hat{N}_{NO,NO}^{+, -} = 0$ with probability $\frac{1}{2}$ and $\hat{N}_{NO,NO}^{+, -} = 1$ with probability $\frac{1}{2}$ [10]. Rule (a) therefore does not apply. $\hat{N}_{NO,NOw}^{+, -}$ however can be deduced using the additivity property of the weak values, together with the fact that we know that there is only one single electron-positron pair. Indeed, from
$$\hat{N}_{O,O}^{+, -} + \hat{N}_{NO,O}^{+, -} + \hat{N}_{O,NO}^{+, -} + \hat{N}_{NO,NO}^{+, -} = 1$$
using additivity and the weak values calculated above we obtain
$$\hat{N}_{NO,NOw}^{+, -} = 1 - \hat{N}_{O,NO}^{+, -} - \hat{N}_{NO,OW}^{+, -} - \hat{N}_{O,NOw}^{+, -} = -1.$$
---
[1] L. Hardy, Phys. Rev. Lett. **68**, (1992), 2981.
[2] There is an extensive literature about different aspects of counterfactual reasoning in quantum mechanics. See for example B. D’Espagnat *Veiled Reality*, chapt. 11, (Addison-Wesley), (1995); A. Shimony and H. Stein, “On quantum non-locality, special relativity and counterfactual reasoning” in *Space-Time, Quantum Entanglement and Critical Epistemology: Essays in Honor of John Stachel*, A. Ashtekar et al. (eds.), Kluwer, 2000; H. Stapp, Am. J. of Phys. **65** 300 (1997) and Am. J. of Phys. **66** 924 (1998); W. Unruh, Phys. Rev. **A 59** 126 (1999).
[3] L. Vaidman, Phys. Rev. Lett 70, (1993,) 3369; Found. of Phys. 26, (1996), 895.
[4] A. C. Elitzur and L. Vaidman *Foundations of Physics* **23**, (1993), 987.
[5] Y. Aharonov, L. Vaidman, Phys. Rev. **A 41**, (1990), 11; J. Phys. **A 24**, (1991), 2315.
[6] Y. Aharonov, S. Popescu, D. Rohrlich and L. Vaidman, Phys. Rev. A 48, (1993) 4084.
[7] A first order approximation in the shift of the pointer of the final state of the measuring device (7) yields immediately the weak value.
[8] A. Botero and B. Reznik, *Phys. Rev. A* **61**, (2000), 050301(R).
[9] Y. Aharonov, D. Z. Albert, A. Casher and L. Vaidman, Phys. Lett. A **124**, 199 (1987)
[10] The probability $P(\hat{A} = a_i ; \Psi, \Phi)$ that a von Neumann measurement of an observable $\hat{A}$ yields the value $\hat{A} = a_i$ given that the initial state of the system is $|\Psi\rangle$ and given that a final measurement (performed after the measurement of $\hat{A}$ ) finds the system in the state $|\Phi\rangle$ is given by $P(\hat{A} = a_i ; \Psi, \Phi) = \frac{|\langle \Phi | P_{\hat{A} = a_i} |\Psi\rangle|^2}{\sum_k |\langle \Phi | P_{\hat{A} = a_k} |\Psi\rangle|^2}$ where $P_{\hat{A} = a_k}$ is the projection operator on the subspace $\hat{A} = a_k$, and the sum in the denominator is taken over all eigenvalues of $\hat{A}$, i.e. over all possible outcomes of the measurement of $\hat{A}$. Here the numerator represents the joint probability $P(\Phi, \hat{A} = a_i ; \Psi)$ that starting from $|\Psi\rangle$ one obtains $\hat{A} = a_i$, and that the subsequent measurement finds the system in the state $|\Phi\rangle$ while the denominator represents the overall probability $P(\Phi; \hat{A}, \Psi)$ to find the system in the state $|\Phi\rangle$, given that $\hat{A}$ was measured. See [11].
[11] Y. Aharonov, P. G. Bergmann and J. L. Lebowitz, Phys. Rev. 134, B1410, (1964).
[12] K. Moelmer, private communication. |
AN ACT relating to public health; authorizing public and private schools to obtain and maintain an albuterol inhaler and certain other devices under certain conditions; requiring certain training relating to the storage and use of an albuterol inhaler; requiring public and private schools, to the extent feasible, to develop a comprehensive action plan relating to symptoms of an asthmatic attack; authorizing certain providers of health care to issue an order for an albuterol inhaler and certain other devices to a public or private school; and providing other matters properly relating thereto.
Legislative Counsel’s Digest:
Existing law requires each public school, including, without limitation, each charter school, to obtain an order from a provider of health care to acquire and maintain auto-injectable epinephrine at the public school for use in treating anaphylaxis. (NRS 386.870) Existing law also authorizes private schools to obtain and maintain auto-injectable epinephrine under similar circumstances. (NRS 394.1995) Section 3 of this bill requires each public school, including, without limitation, each charter school, to obtain an order from a provider of health care to maintain one albuterol inhaler and not less than two spacers or holding chambers designed for use with that albuterol inhaler at the school for the treatment of an asthmatic attack. Section 9 of this bill similarly authorizes a private school to maintain these devices.
Existing law authorizes certain providers of health care, including physicians, osteopathic physicians, physician assistants and advanced practice registered nurses, to issue an order for auto-injectable epinephrine to be maintained at a public or private school for the treatment of anaphylaxis. (NRS 630.374, 632.239, 633.707) Sections 11, 12 and 14 of this bill similarly authorize physicians, osteopathic physicians, physician assistants and advanced practice registered nurses to issue an order for one albuterol inhaler and no less than two spacers or holding chambers designed for use with that albuterol inhaler to be maintained at a public or private school for the treatment of an asthmatic attack.
Existing law requires each public and private school, if a private school elects to maintain auto-injectable epinephrine at the school, to provide certain training relating to the storage and administration of auto-injectable epinephrine. (NRS 386.870, 394.1995) Existing law also requires each public and private school, to the extent feasible, to develop a comprehensive action plan relating to anaphylaxis, including, without limitation, the signs and symptoms of this condition. (NRS 386.875, 394.1997) Section 1 of this bill authorizes a school nurse or other designated employee of a public or private school to possess and administer a dose of albuterol from an albuterol inhaler if the school nurse or other employee has received training in the proper storage and use of an albuterol inhaler. Section 6 of this bill also requires a charter school to designate a school nurse or other employee of the school who is authorized to administer a dose of albuterol from an albuterol inhaler. Sections 6, 7 and 9 of this bill require that training relating to the storage and administration of a dose of albuterol from an albuterol inhaler must be provided to certain authorized employees of a public or private school. Sections 5 and 10 of this bill additionally require that each public school and private school, to the extent feasible, develop a comprehensive action plan relating to asthmatic attacks.
Section 7 of this bill requires the chief nurse of a school district to provide certain coordination and training relating to albuterol inhalers to schools within the district. Section 13 of this bill provides that a nurse is not subject to disciplinary action for administering a dose of albuterol from an albuterol inhaler pursuant to a valid order issued by a provider of health care pursuant to sections 11, 12 or 14. Sections 11, 12 and 14 also provide immunity from liability to a physician, osteopathic physician, physician assistant and advanced practice registered nurse, except in cases of gross negligence, for certain actions relating to the acquisition, possession, provision and administration of a dose of albuterol from an albuterol inhaler maintained by a school. Section 15 of this bill also provides immunity to a pharmacist who dispenses an albuterol inhaler or spacers or holding chambers designed for use with that albuterol inhaler to a school.
THE PEOPLE OF THE STATE OF NEVADA, REPRESENTED IN SENATE AND ASSEMBLY, DO ENACT AS FOLLOWS:
Section 1. Chapter 454 of NRS is hereby amended by adding thereto a new section to read as follows:
A school nurse or other employee of a public or private school who is designated pursuant to section 3, 6 or 9 of this act to administer a dose of albuterol from an albuterol inhaler to a pupil may possess and use an albuterol inhaler maintained by the school if the school nurse or other employee has received training in the proper storage and use of an albuterol inhaler as required by section 3, 6 or 9 of this act.
Sec. 2. Chapter 386 of NRS is hereby amended by adding thereto the provisions set forth as sections 3, 4 and 5 of this act.
Sec. 3. 1. Each public school, including, without limitation, each charter school, shall obtain an order from a physician, osteopathic physician, physician assistant or advanced practice registered nurse pursuant to NRS 630.374, 632.239 or 633.707, as applicable, for one albuterol inhaler and not less than two spacers or holding chambers designed for use with that albuterol inhaler to be maintained at the school. If an albuterol inhaler maintained by the public school is depleted or expires, the school must discard the inhaler and obtain an additional inhaler to replace the depleted or expired inhaler. If an albuterol inhaler maintained by the public school is used by a pupil, the school must obtain an additional spacer or holding chamber to replace the used device and either:
(a) Discard the spacer or holding chamber used to administer the dose of albuterol; or
(b) Label the spacer or holding chamber used to administer the dose of albuterol for the future use of the same pupil who was administered the dose of albuterol.
2. An albuterol inhaler maintained by a public school pursuant to this section may be administered:
(a) At a public school other than a charter school, by a school nurse or any other employee of the public school who has been designated by the principal or other administrator in consultation with the school nurse and has received training in the proper storage and use of an albuterol inhaler pursuant to NRS 391.291; or
(b) At a charter school, by an employee designated pursuant to section 6 of this act who has received training in the proper storage and use of an albuterol inhaler as required pursuant to section 6 of this act.
3. A school nurse or other designated employee of a public school may use an albuterol inhaler maintained at the school to administer a dose of albuterol to a pupil who has been diagnosed with asthma by a provider of health care on the premises of the public school during regular school hours whom the school nurse or other designated employee reasonably believes is experiencing an asthmatic attack.
4. A public school may accept gifts, grants and donations from any source for the support of the public school in carrying out the provisions of this section, including, without limitation, the acceptance of an albuterol inhaler, spacer or holding chamber from a manufacturer, distributor or wholesaler of such devices.
Sec. 4. 1. Each public school shall ensure that an albuterol inhaler maintained at the school pursuant to section 3 of this act is stored in a designated, secure location that is unlocked and easily accessible.
2. Each school district shall establish a policy for the schools within the district, other than charter schools, regarding the proper handling and transportation of albuterol inhalers.
3. Not later than 30 days after the last day of each school year, each school district and charter school shall submit a report to the Division of Public and Behavioral Health of the Department of Health and Human Services identifying the number of doses of an albuterol inhaler that were administered to pupils pursuant to section 3 of this act at each public school within the school district or charter school, as applicable, during the school year.
Sec. 5. Each public school, including, without limitation, each charter school, shall, to the extent feasible, develop a comprehensive action plan concerning symptoms of an asthmatic attack, which must include, without limitation, information relating to:
1. The triggers that may cause an asthmatic attack;
2. Ways to avoid triggers that may cause an asthmatic attack;
3. The signs and symptoms of a person experiencing an asthmatic attack, including, without limitation, an assessment of whether the administration of a dose of albuterol from an albuterol inhaler is necessary;
4. How to access an albuterol inhaler when necessary, including, without limitation, the location of an albuterol inhaler that is maintained at the public school pursuant to section 3 of this act;
5. The method of administering a dose of albuterol from an albuterol inhaler that is maintained at the public school pursuant to section 3 of this act; and
6. Medical care that should be received after the administration of a dose of albuterol from an albuterol inhaler.
Sec. 6. Chapter 388A of NRS is hereby amended by adding thereto a new section to read as follows:
1. Each charter school shall designate a school nurse or other employee of the school who is authorized to administer a dose of albuterol from an albuterol inhaler pursuant to section 3 of this act.
2. Each charter school shall ensure that each employee so designated receives training in the proper storage and use of an albuterol inhaler.
3. The governing body of a charter school shall establish a policy for the charter school regarding the proper handling and transportation of albuterol inhalers.
Sec. 7. NRS 391.291 is hereby amended to read as follows:
391.291 1. The provision of nursing services in a school district by school nurses and other qualified personnel must be under the direction and supervision of a chief nurse who is a registered nurse as provided in NRS 632.240 and who:
(a) Holds an endorsement to serve as a school nurse issued pursuant to regulations adopted by the Commission; or
(b) Is employed by a state, county, city or district health department and provides nursing services to the school district in the course of that employment.
2. A school district shall not employ a person to serve as a school nurse unless the person holds an endorsement to serve as a school nurse issued pursuant to regulations adopted by the Commission.
3. The chief nurse shall ensure that each school nurse:
(a) Coordinates with the principal of each school to designate employees of the school who are authorized to administer auto-injectable epinephrine and to use an albuterol inhaler; and
(b) Provides the employees so designated with training concerning the proper storage and administration of auto-injectable epinephrine and the proper storage and use of an albuterol inhaler.
Sec. 8. Chapter 394 of NRS is hereby amended by adding thereto the provisions set forth as sections 9 and 10 of this act.
Sec. 9. 1. A private school may obtain an order from a physician, osteopathic physician, physician assistant or advanced practice registered nurse pursuant to NRS 630.374, 632.239 or 633.707, as applicable, for one albuterol inhaler and not less than two spacers or holding chambers designed for use with that albuterol inhaler to be maintained at the school. If an albuterol inhaler maintained by the private school is depleted or expires, the school must discard the inhaler and may obtain an additional inhaler to replace the depleted or expired inhaler. If an albuterol inhaler maintained by the private school is used by a pupil, the school must obtain an additional spacer or holding chamber to replace the used device and either:
(a) Discard the spacer or holding chamber used to administer the dose of albuterol; or
(b) Label the spacer or holding chamber used to administer the dose of albuterol for the future use of the same pupil who was administered the dose of albuterol.
2. An albuterol inhaler maintained by a private school pursuant to this section may be used by a school nurse or any other employee of the school who has been designated by the principal or other administrator of the private school, in consultation with a school nurse, if applicable, and has received training in the proper storage and use of an albuterol inhaler.
3. A school nurse or other designated employee may use an albuterol inhaler maintained at the school to administer a dose of albuterol to a pupil who has been diagnosed with asthma by a provider of health care on the premises of the private school during regular school hours whom the school nurse or other trained employee reasonably believes is experiencing an asthmatic attack.
4. If an albuterol inhaler is maintained at the private school, the school shall ensure that:
(a) The albuterol inhaler is stored in a designated, secure location that is unlocked and easily accessible.
(b) Each employee designated by the governing body of the private school pursuant to this section receives training in the proper storage and use of an albuterol inhaler.
5. The governing body of a private school that maintains an albuterol inhaler shall establish a policy for the school regarding the proper handling and transportation of albuterol inhalers.
Sec. 10. The governing body of each private school shall, to the extent feasible, develop a comprehensive action plan concerning symptoms of an asthmatic attack, which must include, without limitation, information relating to:
1. The triggers that may cause an asthmatic attack;
2. Ways to avoid triggers that may cause an asthmatic attack;
3. The signs and symptoms of a person experiencing an asthmatic attack, including, without limitation, an assessment of whether the administration of a dose of albuterol from an albuterol inhaler is necessary;
4. How to access an albuterol inhaler when necessary, including, without limitation, the location of an albuterol inhaler within the private school, if an albuterol inhaler is maintained at the private school pursuant to section 9 of this act;
5. The method of administering a dose of albuterol from an albuterol inhaler, if an albuterol inhaler is maintained at the private school pursuant to section 9 of this act; and
6. Medical care that should be received after the administration of a dose of albuterol from an albuterol inhaler.
Sec. 11. NRS 630.374 is hereby amended to read as follows:
630.374 1. A physician or physician assistant may issue to a public or private school an order to allow the school to obtain and
maintain auto-injectable epinephrine at the school, regardless of whether any person at the school has been diagnosed with a condition which may cause the person to require such medication for the treatment of anaphylaxis.
2. A physician or physician assistant may issue to an authorized entity an order to allow the authorized entity to obtain and maintain auto-injectable epinephrine at any location under the control of the authorized entity where allergens capable of causing anaphylaxis may be present, regardless of whether any person employed by, affiliated with or served by the authorized entity has been diagnosed with a condition which may cause the person to require such medication for the treatment of anaphylaxis.
3. A physician or physician assistant may issue to a public or private school an order to allow the school to obtain and maintain one albuterol inhaler and not less than two spacers or holding chambers designed for use with that albuterol inhaler at the school, regardless of whether any person at the school has been diagnosed with a condition which may cause the person to require such medication for the treatment of an asthmatic attack.
4. An order issued pursuant to subsection 1, 2 or 3 must contain:
(a) The name and signature of the physician or physician assistant and the address of the physician or physician assistant if not immediately available to the pharmacist;
(b) The classification of his or her license;
(c) The name of the public or private school or authorized entity to which the order is issued;
(d) The name, strength and quantity of the drug authorized to be obtained and maintained by the order; and
(e) The date of issue.
5. A physician or physician assistant is not subject to disciplinary action solely for issuing a valid order pursuant to subsection 1, 2 or 3 to an entity other than a natural person and without knowledge of a specific natural person who requires the medication.
6. A physician or physician assistant is not liable for any error or omission concerning the acquisition, possession, provision or administration of auto-injectable epinephrine maintained by a public or private school or authorized entity pursuant to an order issued by the physician or physician assistant pursuant to subsection 1 or 2 not resulting from gross negligence or reckless, willful or wanton conduct of the physician or physician assistant.
7. A physician or physician assistant is not liable for any error or omission concerning the acquisition, possession, provision or administration of a dose of albuterol from an
albuterol inhaler, spacer or holding chamber maintained by a public or private school pursuant to an order issued by the physician or physician assistant pursuant to subsection 3 not resulting from the gross negligence of the physician or physician assistant.
8. As used in this section:
(a) “Authorized entity” has the meaning ascribed to it in NRS 450B.710.
(b) “Private school” has the meaning ascribed to it in NRS 394.103.
(c) “Public school” has the meaning ascribed to it in NRS 385.007.
Sec. 12. NRS 632.239 is hereby amended to read as follows:
632.239 1. An advanced practice registered nurse may issue to a public or private school an order to allow the school to obtain and maintain auto-injectable epinephrine at the school, regardless of whether any person at the school has been diagnosed with a condition which may cause the person to require such medication for the treatment of anaphylaxis.
2. An advanced practice registered nurse may issue to an authorized entity an order to allow the authorized entity to obtain and maintain auto-injectable epinephrine at any location under the control of the authorized entity where allergens capable of causing anaphylaxis may be present, regardless of whether any person employed by, affiliated with or served by the authorized entity has been diagnosed with a condition which may cause the person to require such medication for the treatment of anaphylaxis.
3. An advanced practice registered nurse may issue to a public or private school an order to allow the school to obtain and maintain one albuterol inhaler and not less than two spacers or holding chambers designed for use with that albuterol inhaler at the school, regardless of whether any person at the school has been diagnosed with a condition which may cause the person to require such medication for the treatment of an asthmatic attack.
4. An order issued pursuant to subsection 1, [or] 2 or 3 must contain:
(a) The name and signature of the advanced practice registered nurse and the address of the advanced practice registered nurse if not immediately available to the pharmacist;
(b) The classification of his or her license;
(c) The name of the public or private school or authorized entity to which the order is issued;
(d) The name, strength and quantity of the drug authorized to be obtained and maintained by the order; and
(e) The date of issue.
5. An advanced practice registered nurse is not subject to disciplinary action solely for issuing a valid order pursuant to subsection 1, or 2 or 3 to an entity other than a natural person and without knowledge of a specific natural person who requires the medication.
6. An advanced practice registered nurse is not liable for any error or omission concerning the acquisition, possession, provision or administration of auto-injectable epinephrine maintained by a public or private school or authorized entity pursuant to an order issued by the advanced practice registered nurse pursuant to subsection 1 or 2 not resulting from gross negligence or reckless, willful or wanton conduct of the advanced practice registered nurse.
7. An advanced practice registered nurse is not liable for any error or omission concerning the acquisition, possession, provision or administration of a dose of albuterol from an albuterol inhaler, spacer or holding chamber maintained by a public or private school or authorized entity pursuant to an order issued by the advanced practice registered nurse pursuant to subsection 3 not resulting from the gross negligence of the advanced practice registered nurse.
8. As used in this section:
(a) “Authorized entity” has the meaning ascribed to it in NRS 450B.710.
(b) “Private school” has the meaning ascribed to it in NRS 394.103.
(c) “Public school” has the meaning ascribed to it in NRS 385.007.
Sec. 13. NRS 632.347 is hereby amended to read as follows:
632.347 1. The Board may deny, revoke or suspend any license or certificate applied for or issued pursuant to this chapter, or take other disciplinary action against a licensee or holder of a certificate, upon determining that the licensee or certificate holder:
(a) Is guilty of fraud or deceit in procuring or attempting to procure a license or certificate pursuant to this chapter.
(b) Is guilty of any offense:
(1) Involving moral turpitude; or
(2) Related to the qualifications, functions or duties of a licensee or holder of a certificate,
in which case the record of conviction is conclusive evidence thereof.
(c) Has been convicted of violating any of the provisions of NRS 616D.200, 616D.220, 616D.240 or 616D.300 to 616D.440, inclusive.
(d) Is unfit or incompetent by reason of gross negligence or recklessness in carrying out usual nursing functions.
(e) Uses any controlled substance, dangerous drug as defined in chapter 454 of NRS, or intoxicating liquor to an extent or in a manner which is dangerous or injurious to any other person or which impairs his or her ability to conduct the practice authorized by the license or certificate.
(f) Is a person with mental incompetence.
(g) Is guilty of unprofessional conduct, which includes, but is not limited to, the following:
(1) Conviction of practicing medicine without a license in violation of chapter 630 of NRS, in which case the record of conviction is conclusive evidence thereof.
(2) Impersonating any applicant or acting as proxy for an applicant in any examination required pursuant to this chapter for the issuance of a license or certificate.
(3) Impersonating another licensed practitioner or holder of a certificate.
(4) Permitting or allowing another person to use his or her license or certificate to practice as a licensed practical nurse, registered nurse, nursing assistant or medication aide - certified.
(5) Repeated malpractice, which may be evidenced by claims of malpractice settled against the licensee or certificate holder.
(6) Physical, verbal or psychological abuse of a patient.
(7) Conviction for the use or unlawful possession of a controlled substance or dangerous drug as defined in chapter 454 of NRS.
(h) Has willfully or repeatedly violated the provisions of this chapter. The voluntary surrender of a license or certificate issued pursuant to this chapter is prima facie evidence that the licensee or certificate holder has committed or expects to commit a violation of this chapter.
(i) Is guilty of aiding or abetting any person in a violation of this chapter.
(j) Has falsified an entry on a patient’s medical chart concerning a controlled substance.
(k) Has falsified information which was given to a physician, pharmacist, podiatric physician or dentist to obtain a controlled substance.
(l) Has knowingly procured or administered a controlled substance or a dangerous drug as defined in chapter 454 of NRS that is not approved by the United States Food and Drug Administration, unless the unapproved controlled substance or dangerous drug:
(1) Was procured through a retail pharmacy licensed pursuant to chapter 639 of NRS;
(2) Was procured through a Canadian pharmacy which is licensed pursuant to chapter 639 of NRS and which has been recommended by the State Board of Pharmacy pursuant to subsection 4 of NRS 639.2328;
(3) Is marijuana being used for medical purposes in accordance with chapter 453A of NRS; or
(4) Is an investigational drug or biological product prescribed to a patient pursuant to NRS 630.3735 or 633.6945.
(m) Has been disciplined in another state in connection with a license to practice nursing or a certificate to practice as a nursing assistant or medication aide - certified, or has committed an act in another state which would constitute a violation of this chapter.
(n) Has engaged in conduct likely to deceive, defraud or endanger a patient or the general public.
(o) Has willfully failed to comply with a regulation, subpoena or order of the Board.
(p) Has operated a medical facility at any time during which:
(1) The license of the facility was suspended or revoked; or
(2) An act or omission occurred which resulted in the suspension or revocation of the license pursuant to NRS 449.160.
→ This paragraph applies to an owner or other principal responsible for the operation of the facility.
(q) Is an advanced practice registered nurse who has failed to obtain any training required by the Board pursuant to NRS 632.2375.
(r) Is an advanced practice registered nurse who has failed to comply with the provisions of NRS 453.163 or 453.164.
2. For the purposes of this section, a plea or verdict of guilty or guilty but mentally ill or a plea of nolo contendere constitutes a conviction of an offense. The Board may take disciplinary action pending the appeal of a conviction.
3. A licensee or certificate holder is not subject to disciplinary action solely for administering auto-injectable epinephrine pursuant to a valid order issued pursuant to NRS 630.374, 632.239 or 633.707.
4. A licensee or certificate holder is not subject to disciplinary action solely for administering a dose of albuterol from an albuterol inhaler pursuant to a valid order issued pursuant to NRS 630.374, 632.239 or 633.707.
5. As used in this section, “investigational drug or biological product” has the meaning ascribed to it in NRS 454.351.
Sec. 14. NRS 633.707 is hereby amended to read as follows:
633.707 1. An osteopathic physician or physician assistant may issue to a public or private school an order to allow the school to obtain and maintain auto-injectable epinephrine at the school,
regardless of whether any person at the school has been diagnosed with a condition which may cause the person to require such medication for the treatment of anaphylaxis.
2. An osteopathic physician or physician assistant may issue to an authorized entity an order to allow the authorized entity to obtain and maintain auto-injectable epinephrine at any location under the control of the authorized entity where allergens capable of causing anaphylaxis may be present, regardless of whether any person employed by, affiliated with or served by the authorized entity has been diagnosed with a condition which may cause the person to require such medication for the treatment of anaphylaxis.
3. An osteopathic physician or physician assistant may issue to a public or private school an order to allow the school to obtain and maintain one albuterol inhaler and not less than two spacers or holding chambers designed for use with that albuterol inhaler at the school, regardless of whether any person at the school has been diagnosed with a condition which may cause the person to require such medication for the treatment of an asthmatic attack.
4. An order issued pursuant to subsection 1, 2 or 3 must contain:
(a) The name and signature of the osteopathic physician or physician assistant and the address of the osteopathic physician or physician assistant if not immediately available to the pharmacist;
(b) The classification of his or her license;
(c) The name of the public or private school or authorized entity to which the order is issued;
(d) The name, strength and quantity of the drug authorized to be obtained and maintained by the order; and
(e) The date of issue.
5. An osteopathic physician or physician assistant is not subject to disciplinary action solely for issuing a valid order pursuant to subsection 1, 2 or 3 to an entity other than a natural person and without knowledge of a specific natural person who requires the medication.
6. An osteopathic physician or physician assistant is not liable for any error or omission concerning the acquisition, possession, provision or administration of auto-injectable epinephrine maintained by a public or private school or authorized entity pursuant to an order issued by the osteopathic physician or physician assistant pursuant to subsection 1 or 2 not resulting from gross negligence or reckless, willful or wanton conduct of the osteopathic physician or physician assistant.
7. An osteopathic physician or physician assistant is not liable for any error or omission concerning the acquisition, possession, provision or administration of a dose of albuterol from
an albuterol inhaler, spacer or holding chamber maintained by a public or private school or authorized entity pursuant to an order issued by the osteopathic physician or physician assistant pursuant to subsection 3 not resulting from the gross negligence of the osteopathic physician or physician assistant.
8. As used in this section:
(a) “Authorized entity” has the meaning ascribed to it in NRS 450B.710.
(b) “Private school” has the meaning ascribed to it in NRS 394.103.
(c) “Public school” has the meaning ascribed to it in NRS 385.007.
Sec. 15. NRS 639.2357 is hereby amended to read as follows:
639.2357 1. Upon the request of a patient, or a public or private school or an authorized entity for which an order was issued pursuant to NRS 630.374, 632.239 or 633.707, a registered pharmacist shall transfer a prescription or order to another registered pharmacist.
2. A registered pharmacist who transfers a prescription or order pursuant to subsection 1 shall comply with any applicable regulations adopted by the Board relating to the transfer.
3. The provisions of this section do not authorize or require a pharmacist to transfer a prescription or order in violation of:
(a) Any law or regulation of this State;
(b) Federal law or regulation; or
(c) A contract for payment by a third party if the patient is a party to that contract.
4. A pharmacist is not liable for any error or omission concerning the acquisition, possession, provision or administration of auto-injectable epinephrine, a dose of albuterol from an albuterol inhaler or a spacer or holding chamber that the pharmacist has dispensed to a public or private school or authorized entity pursuant to an order issued pursuant to NRS 630.374, 632.239 or 633.707 not resulting from gross negligence or reckless, willful or wanton conduct of the pharmacist.
5. As used in this section, “authorized entity” has the meaning ascribed to it in NRS 450B.710.
Sec. 16. The provisions of NRS 354.599 do not apply to any additional expenses of a local government that are related to the provisions of this act.
Sec. 17. This act becomes effective on July 1, 2017. |
STIPULATION OF SETTLEMENT
Plaintiffs Jacqueline Young, Latheda Wilson, and Deaf-REACH ("Plaintiffs") and Defendant the District of Columbia Housing Authority ("DCHA") (collectively "the Parties") hereby agree and stipulate that the above-captioned civil action shall be settled and dismissed on the following terms.
I. BACKGROUND
1. On May 7, 2013, Plaintiffs filed this action against DCHA seeking declaratory and injunctive relief as well as compensatory damages for violations of Section 504 of the Rehabilitation Act ("Section 504"), 29 U.S.C. § 794, the Americans with Disabilities Act ("ADA"), 42 U.S.C. § 12132, and the Fair Housing Act, 42 U.S.C. § 3604. More specifically, Plaintiffs alleged that DCHA failed to provide sign-language interpreters and equal access to DCHA's programs and services to them and other individuals who are deaf or have hearing impairments.
II. AFFIRMATIVE RELIEF
A. Equal Access for Plaintiffs
2. Defendant DCHA hereby agrees to:
a. Provide equal access to its programs, services, benefits, and activities to Plaintiffs Young and Wilson, and individuals who use Deaf-REACH’s services in connection with DCHA;
b. Ensure that its communications with Plaintiffs Young and Wilson, and individuals who use Deaf-REACH’s services in connection with DCHA are as effective as communications with hearing individuals;
c. Reasonably modify its policies, practices, and/or procedures where the modifications are necessary to avoid discrimination against or ensure equal access to Plaintiffs Young and Wilson, and individuals who use Deaf-REACH’s services, and would not fundamentally alter the nature of the programs, services, or activities.
3. In order to ensure Plaintiffs’ equal access to its programs, services, benefits, and activities, DCHA agrees to implement the Policy described below.
B. Adoption and Implementation of Policy
4. Within sixty (60) days after the effective date of this Stipulation, DCHA shall adopt and fully implement the policy attached hereto as Attachment A, which will govern its interactions with individuals who are deaf or have hearing impairments.
5. Should DCHA propose to alter the policy attached hereto as Attachment A, DCHA shall first notify Plaintiffs’ counsel and provide Plaintiffs’ counsel a copy of the proposed changes. If Plaintiffs’ counsel does not deliver written objections to Defendant within thirty (30) calendar days of receiving the proposed changes, the changes may be effected. If Plaintiffs’ counsel
makes objections to the proposed changes within such thirty (30) calendar-day period, the specific changes to which Plaintiffs’ counsel objects shall not be effected until the objections are resolved.
C. Notice and Training
6. Within ten (10) business days of effective date of this Stipulation, DCHA shall apprise its employees and agents of its adoption and implementation of the policy attached as Attachment A and disseminate the policy to them.
7. DCHA’s training of employees as described in Attachment A is ongoing and is being completed in conjunction with the U.S. Department of Housing and Urban Development. All training shall be completed by June 30, 2015.
III. MONETARY RELIEF
8. DCHA shall make a total payment of three hundred fifty thousand dollars ($350,000) in compensation for all damages, attorneys’ fees, and costs related to the claims brought by Plaintiffs. The payment described in this paragraph shall be made out to “Relman, Dane & Colfax, PLLC” and sent within ten (10) business days of the effective date of this Order to Megan Cacace, Relman, Dane & Colfax, PLLC, 1225 Nineteenth Street NW, Suite 600, Washington, D.C. 20036.
9. Upon receipt of the payment described above, Plaintiffs and DCHA shall exchange signed releases in the form of Attachments B and C.
IV. REPORTING
10. DCHA shall provide the following information to Plaintiffs’ counsel within 90 calendar days of the effective date of this Order:
a. certification of DCHA’s institution of the procedure for the provision of auxiliary aids and services described in Section III.C of Attachment A,
b. copies of the notices described in Sections III.A.2 and III.A.3 of Attachment A,
c. certification of installation of the VR1 system described in Section III.C.6 of Attachment A,
d. a copy of DCHA’s training attendance records described in Section III.D.2 of Attachment A,
e. a copy of the Auxiliary Aid and Service Log described in Section III.E.1 of Attachment A with personally identifiable information redacted.
11. Six (6) months after the effective date of this Order, DCHA shall serve on Plaintiffs’ counsel an update with respect to items (d) and (e) above, along with a description of any efforts to update DCHA’s capacity for tracking requests for and the provisions of auxiliary aids and/or accommodations as described in Section III.E.2 of Attachment.
V. EFFECTIVE DATE
12. This Stipulation is effective immediately upon its entry by the Court.
VI. COMPLIANCE & DISMISSAL
13. If either Party believes that the other is in breach of this Stipulation, that Party shall notify the other of the alleged breach. The other Party shall have thirty (30) days to cure the breach. During the thirty-day period, the Parties shall endeavor in good faith to resolve informally any differences regarding interpretation of and compliance with this Stipulation prior to bringing such matters to the Court for resolution. To that end, prior to seeking judicial action regarding this Stipulation, the Parties agree to meet and confer to resolve their differences.
Should these efforts prove unavailing after thirty (30) calendar days, either Party may seek relief before the Court.
14. In the event that any Party contends that there has been a failure by the other Party, whether willful or otherwise, to perform in a timely manner any act required by this Stipulation or otherwise to act in conformance with any provision thereof, that Party may move this Court to impose any remedy authorized by law or equity.
15. Plaintiff’s shall sign and deliver to DCHA a Stipulation of Dismissal with Prejudice:
a. No later than one hundred eighty (180) days after the effective date of this Stipulation, so long as there is no outstanding or unresolved dispute under paragraphs 13 or 14 above; or
b. In the event there is an unresolved or outstanding dispute under paragraphs 13 or 14 at the time the 180-day period expires, the above-referenced Stipulation of Dismissal shall be filed within five (5) business days following the resolution (whether by agreement of the Parties or order of the Court) of the last remaining dispute;
16. DCHA shall promptly sign and file the Stipulation of Dismissal with Prejudice and file it with the Court, and such filing shall constitute a dismissal of the above-captioned action with prejudice under Fed. R. Civ. P. 41 (a)(1)(A)(ii). The Parties agree that the Court shall retain jurisdiction to enforce the terms of this Stipulation.
VII. TIME FOR PERFORMANCE, INTERPRETATIONS AND DEFINITIONS
17. Any time limits for performance imposed by this Order may be extended by mutual agreement of the Parties without approval by the Court provided that such agreement is in writing.
18. This Stipulation constitutes the entire agreement among the Parties and supersedes and renders void all prior agreements, written or oral, among the Parties. In the event any provision or term of this Stipulation is determined to be or is rendered invalid or unenforceable, all other provisions and terms of the Stipulation shall remain unaffected to the extent permitted by law.
19. This Stipulation has been entered into by the Parties solely for the purpose of settling disputed claims without protracted legal proceedings and avoiding the expense and risk of such litigation. This Stipulation is not intended and shall not be deemed an admission by either party of the merit or lack of merit of the opposing party’s claims or defenses. Without limiting the generality of the foregoing, this Stipulation does not constitute and shall not be construed as an admission that DCHA violated any laws, regulations, or any of Plaintiffs’ rights, or as an admission of any contested fact alleged by Plaintiffs in connection with this case. The Plaintiffs may not use this Stipulation as evidence or otherwise in any civil or administrative action against DCHA or any of its present or former employees or agents, either in their official or individual capacities, except for proceedings necessary to implement or enforce its terms.
20. The terms of this Stipulation may not be modified or amended, and no provision hereof shall be deemed waived, except by a written instrument signed by the Party to be charged with the modification, amendment, or waiver.
21. The Parties acknowledge that the preparation of this Stipulation was collaborative in nature, and so agree that any presumption or rule that an agreement is construed against its drafter shall not apply to the interpretation of this Stipulation.
22. The section headings in this Stipulation have been inserted for convenience only, and shall not affect any interpretation of its terms.
23. Each party agrees to take such actions and to execute such additional documents as may be necessary or appropriate to fully execute and implement the terms of this Stipulation.
24. Any notice required or permitted to be given under this Stipulation shall be in writing and shall be delivered by hand, or transmitted by e-mail, addressed as follows or as each party may subsequently specify by written notice to the other:
If to Plaintiffs: Megan Cacace
Relman, Dane & Colfax, PLLC
1225 Nineteenth St., NW, Ste. 600
Washington, DC 20036
email@example.com
If to DCHA: Alex M. Chintella
Douglas & Boykin PLLC
1850 M Street, NW, Ste. 640
Washington, DC 20036
firstname.lastname@example.org
20. This Stipulation may be executed in two or more counterparts, each of which shall be deemed to be an original and all of which together shall be deemed to be one and the same agreement. A facsimile or other duplicate of a signature shall have the same effect as a manually executed copy.
21. This Stipulation, and the referenced Releases (Attachments B and C) shall be governed by the laws of the District of Columbia, without regard to the choice-of-law rules utilized in that jurisdiction, and by the laws of the United States.
22. Upon execution by the Parties, this Stipulation shall be binding upon and inure to the benefit of the Parties and their respective heirs, personal representatives, administrators, successors, and assigns. Each signatory represents and warrants that he or she is fully authorized to enter into this Stipulation.
For Defendant:
Adriamne Todman
Executive Director
District of Columbia Housing Authority
Frederick A. Douglas, DC Bar 197897
Curtis A. Boykin, DC Bar 444120
Alex M. Chintella, DC Bar 976029
DOUGLAS & BOYKIN PLLC
1850 M Street NW, Ste. 640
Washington, DC 20036
202.776.0370
202.776.0975 (fax)
Counsel for Defendant
For Plaintiffs:
Jennifer I. Klar (D.C. Bar No. 479629)
Michael Allen (D.C. Bar No. 409068)
Megan Cacace (D.C. Bar No. 981553)
Ryan C. Downer*
RELMAN, DANE & COLFAX PLLC
1225 19th Street, NW, Suite 600
Washington, D.C. 20036
Tel: (202) 728-1888
Fax: (202) 728-0848
Chinh Q. Le (D.C. Bar No. 1007037)
Julie H. Becker*
Rachel A. Rintelmann*
LEGAL AID SOCIETY OF THE DISTRICT OF COLUMBIA
1331 H Street, NW, Suite 350
Washington, D.C. 20005
Tel: (202) 628-1161
Fax: (202) 727-2132
Counsel for Plaintiffs
*Admitted pro hac vice.
For Defendant:
Adrianne Todman
Executive Director
District of Columbia Housing Authority
Frederick A. Douglas, DC Bar 197897
Curtis A. Boykin, DC Bar 444120
Alex M. Chintella, DC Bar 976029
DOUGLAS & BOYKIN PLLC
1850 M Street NW, Ste. 640
Washington, DC 20036
202.776.0370
202.776.0975 (fax)
Counsel for Defendant
For Plaintiffs:
Jacqueline Young
Latheda Wilson
Sarah Brown
Executive Director
Deaf-REACH
Jennifer I. Klar (D.C. Bar No. 479629)
Michael Allen (D.C. Bar No. 409068)
Megan Cacace (D.C. Bar No. 981553)
Ryan C. Downer*
RELMAN, DANE & COLFAX PLLC
1225 19th Street, NW, Suite 600
Washington, D.C. 20036
Tel: (202) 728-1888
Fax: (202) 728-0848
Chinh Q. Le (D.C. Bar No. 1007037)
Julie H. Becker*
Rachel A. Rintelmann*
LEGAL AID SOCIETY OF THE DISTRICT OF COLUMBIA
1331 H Street, NW, Suite 350
Washington, D.C. 20005
Tel: (202) 628-1161
Fax: (202) 727-2132
Counsel for Plaintiffs
*Admitted pro hac vice.
SO ORDERED on this 28th day of February, 2015.
[Signature]
UNITED STATES DISTRICT JUDGE
ATTACHMENT
A
Attachment A
Services for the Deaf and Hard of Hearing
I. Policy
In accordance with the requirements of Section 504 of the Rehabilitation Act of 1973 (Section 504), the Fair Housing Act, and Title II of the Americans with Disabilities Act of 1990 ("ADA"), the District of Columbia Housing Authority (DCHA) will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities. The purpose of this policy is to ensure compliance with Section 504, the Fair Housing Act, the ADA, and other applicable federal and District laws and their implementing regulations with respect to persons who are deaf or hard of hearing. DCHA shall protect the rights of persons who are deaf or hard of hearing and who may require auxiliary aids and/or services provided by DCHA to participate fully in DCHA’s benefits, activities, and programs. DCHA is committed to providing these aids and services in a timely manner to ensure effective communication and equal opportunity for persons who are deaf or hard of hearing. DCHA shall strive to ensure that the provision of services meets acceptable standards of translation and interpretation.
II. Definitions
1. The term “auxiliary aids and services” includes qualified interpreters provided either on-site, relay interpreters, TTY, or through video remote interpreting (“VRI”) services; written materials; exchange of written notes; accessible electronic and information technology; or other effective methods of making aurally delivered information available to individuals who are deaf or hard-of-hearing.
2. The term “deaf” refers to persons who are deaf or hard of hearing. The term “hard of hearing” includes persons who have a hearing impairment and who may or may not primarily use visual aids for communication and may or may not use auxiliary aids.
3. The term “qualified interpreter” means an interpreter who, via VRI service or an on-site appearance, is able to interpret effectively, accurately, and impartially, both receptively and expressively, using any necessary specialized vocabulary. Qualified interpreters include, but are not limited to, American-Sign-Language interpreters.
4. The term “resident” shall be broadly construed to include any individual who is requesting or receiving housing services from DCHA through public housing or any other DCHA-owned or DCHA-managed housing.
5. The term “participant” shall be broadly construed to include any individual who is requesting or receiving housing services from DCHA through the Housing Choice Voucher Program, or any other housing program administered by DCHA.
6. The term “client” shall include both “participants” and “residents” as defined above.
7. The term “Frontline Employee” or “Frontline Staff” is defined as an employee of DCHA who has direct contact with the public on a regular basis, and any other employee that DCHA determines should receive training under this section.
III. Procedures
A. The Office of the ADA/504 Program
1. The Office of the ADA/504 Program (“ADA Office”) shall manage the DCHA ADA Program and report directly to the Deputy Executive Director for Operations. The ADA Office will ensure compliance with Section 504 of the Rehabilitation Act, the Fair Housing Act, the Americans with Disabilities Act, and other applicable federal and District laws, including Office policy and procedures, quality assurance for auxiliary aids, and assuring that the ADA Office is up to date on the location and operation of equipment needed for effective communication with clients. The ADA Office will design the delivery and evaluation of mandatory training programs for DCHA employees on DCHA’s responsibility to provide
effective communication to disabled clients. The contact information for the ADA Office is:
ADA/504 Program Coordinator
The Office of the ADA/504 Program
District of Columbia Housing Authority
1133 North Capital Street, NE Washington, DC 20002-7599
Phone: (202)535-2737
TTY: (202)855-1234
Fax: (202) 535-1258
Email: email@example.com
2. DCHA will maintain postings that conform substantially to Exhibit A and identify the ADA Coordinator and contact information for the ADA Office. The postings will include notice of rights afforded persons with disabilities and notice of nondiscrimination placed in conspicuous locations in DCHA headquarters, including the main lobby at 1133 North Capitol Street, NE, Washington, DC, as well as in the public lobby of each DCHA public housing development. The same notice will also be posted on DCHA’s website.
3. The following notice will also be included as an insert in application packages, briefing materials, correspondence regarding scheduled meetings or appointments with DCHA personnel, and recertification packages: “Sign language interpreters will be provided upon request. If DCHA has already determined that you need an interpreter, it will arrange one for each scheduled appointment. If not, please notify the Office of the 504/ADA Program at (202) 535-2737 or at firstname.lastname@example.org to request an interpreter. Please allow at least three (3) business days to make the necessary arrangements.” This notice will also be placed in conspicuous locations, including the main lobby at 1133 North Capitol Street, NE, Washington, DC, in DCHA public housing developments, and on DCHA’s website. The following notice will be included in notices of inspection sent to clients: “Sign-language interpreters will be provided upon request. Please notify the Office of the ADA/504 Program at (202) 535-2737 or at email@example.com to request an interpreter. Please allow at least three (3) business days to make the necessary arrangements.”
4. DCHA will explore ways to use video to provide information and disseminate notices in DCHA buildings and on DCHA’s website.
B. Confidentiality
It is the policy of DCHA to ensure that all client records and information be kept confidential and protected from public or unauthorized disclosure. Client information collected, created, and/or maintained by or on behalf of DCHA shall only be released in accordance with the federal and District privacy and confidentiality laws and regulations.
C. Provision of Auxiliary Aids and Services
1. Appropriate Auxiliary Aids and Services. DCHA will provide to deaf or hard-of-hearing clients any appropriate auxiliary aids and services that are necessary for effective communication.
2. General Assessment. When a DCHA staff member is made aware of a client who is deaf or hard of hearing, the staff member will refer the client to the ADA Office. The determination of appropriate auxiliary aids or services, and the timing, duration, and frequency with which they will be provided, will be made by the ADA Office in consultation with the person with a disability. The assessment made by DCHA will take into account all relevant facts and circumstances, including, for example, the individual’s communication skills and knowledge, and the nature and complexity of the communication at issue. Primary consideration will be given to the communication preferences of the person with a disability. See Exhibit B. Video Remote Interpreting (VRI) services will be provided to the client during the General Assessment. However, if VRI is not sufficient to provide means of effective communication for the client, then arrangements will be made for the general assessment to be conducted with an interpreter present.
3. Other Means of Communication. Between the time an interpreter, VRI, or other auxiliary aid is requested by the client, and the time such aid is provided, DCHA personnel may continue to try to communicate with the deaf or hard-of-hearing client regarding his or her request for an auxiliary aid to the same extent as they would with a hearing person. This provision in no way lessens DCHA’s obligation to provide qualified interpreters in a timely manner as described below.
4. **Provision of Interpreters in a Timely Manner.**
a. **Scheduled Interpreter Requests.** A “scheduled interpreter request” is a request for an interpreter made three (3) or more business days before the services of the interpreter are required. For scheduled interpreter requests, DCHA personnel will make a request for an interpreter to the ADA office or, where DCHA personnel receive an interpreter request from a client, DCHA personnel will refer that request to the ADA Office. The ADA Office will complete the Sign-Language-Interpreter Request Form and forward to the staffing contractor. The ADA Office will confirm the appointment date, time, and location with the client in a manner designated by the client. Once it is determined during the General Assessment that a sign-language interpreter is the appropriate auxiliary aid for a client, DCHA personnel will automatically submit a sign-language interpreter request to the ADA/504 Office in accordance with the Sign Language Interpreter Request Process (Exhibit B) when scheduling any future appointment (except for inspections) with that client.
b. **Non-scheduled Interpreter Requests.** A “non-scheduled interpreter request” means a request for an interpreter made by a deaf or hard-of-hearing client less than three (3) business days before the client’s appearance at DCHA, such as a request made by a client who arrives on a walk-in day. In such circumstances, a qualified interpreter will be provided by VRI as soon as practicable. In the event that the client or staff member determines that a VRI interpreter is not providing effective communication, and an on-site qualified interpreter is required, the ADA Office will reschedule the participant’s appointment within three (3) business days.
c. **Reasonable efforts to Schedule an Interpreter.** The ADA Office will contract with staffing vendors for qualified sign-language interpreter services. In the event that DCHA’s interpreter-staffing contractors cannot provide an interpreter within three (3) business days, the ADA Coordinator will attempt to identify available interpreters through the District of Columbia Office of Disability Rights or any interpreters or interpreting agencies identified as potential sources and request their services. In the event that the ADA Office is unable to obtain an interpreter within the three (3) day period, the ADA Coordinator will inform the participant or resident of
the efforts taken to secure a qualified interpreter, and follow up on reasonable suggestions for alternate sources of qualified interpreters, such as contacting a qualified interpreter known to that participant. The ADA Office will document the efforts made to schedule an interpreter.
5. **On-staff interpreter.** If feasible, based on the demand for services, DCHA will investigate the possibility of utilizing and training current DCHA employees to become certified American-Sign-Language interpreters in order to provide additional support to the ADA Office on a part-time or need be basis.
6. **Video Remote Interpreting (VRI).** DCHA will install a VRI system to provide immediate access to interpreting services in a variety of situations including DCHA’s walk-in days. When using VRI services, DCHA shall ensure that it provides:
(a) Real-time, full-motion video and audio over a dedicated high-speed, wide-bandwidth video connection or wireless connection;
(b) A sharply delineated image that is large enough to display the interpreter’s face, arms, hands, and fingers, and the participating individual’s face, arms, hands, and fingers, regardless of his or her body position;
(c) A clear, audible transmission of voices; and
(d) Adequate training to users of the technology and other involved individuals so that they may quickly and efficiently set up and operate the VRI.
If, based on the circumstances, VRI is not providing effective communication after it has been provided or is not available due to circumstances outside of DCHA’s control, DCHA will provide an on-site interpreter in accordance with the timetable set forth above.
7. **Restricted Use of Certain Persons to Facilitate Communication.** DCHA generally will not rely on an adult friend or family member of the individual with a disability to interpret, unless the individual with a disability affirmatively requests that the adult friend or family member interpret, the accompanying adult agrees to provide such assistance, and reliance on that adult for such assistance is appropriate under the circumstances. DCHA will not rely on a minor child to interpret.
D. Training
1. **Training of DCHA Personnel.** DCHA will provide regularly scheduled, mandatory, in-service training to all DCHA personnel that interact with the public, participants and residents, and all other employees with responsibility for ensuring that this Policy is implemented and/or supervising DCHA personnel that interact with the public, participants, and residents in their implementation of this Policy. New hires will be required to review training materials as part of their orientation. The training will address the needs of deaf and hard-of-hearing clients and will include the following objectives:
(a) to promptly identify communication needs of clients who are deaf or hard of hearing;
(b) to make requests for interpreters to the ADA Office when scheduling an appointment with a client identified in WIZARD as needing an interpreter;
(c) to refer clients making unscheduled requests to the ADA Office as quickly as possible in order to secure qualified interpreter services or VRI services, as appropriate;
(d) to use, when appropriate, pictographic information regarding the availability of assistance through the ADA Office;
(e) to understand that it is DCHA’s obligation to ensure effective communication with clients who are deaf;
(f) to provide ongoing training regarding DCHA policies and procedures regarding deaf and hard-of-hearing clients;
(g) to provide information regarding methods of communicating with clients who are deaf or hard of hearing, or who have dual sensory impairments or other disabilities; and
(i) to provide training regarding methods of effective communication and the proper use of auxiliary aids.
2. **Training Attendance Records.** DCHA will maintain confirmation of training conducted, which will include the names and respective job titles of the attendees, as well as the date and time of the training session.
3. **Provision of Policy.** All trainees will receive a copy of its Sign-Language Interpreter Request Process, attached as Exhibit B.
E. Tracking
1. **Auxiliary Aid and Service Log.** DCHA will maintain a log documenting requests for auxiliary aids and services. The log will include the time and date the request was made (including those made by DCHA staff on behalf of a client identified as requiring an interpreter), the name of the deaf or hard-of-hearing client, the time and date of the scheduled appointment (if a scheduled appointment was made), the nature of the auxiliary aid or service provided, and the time and date the appropriate auxiliary aid or service was provided. If no auxiliary aid or service was provided, the log will contain a notation explaining why the auxiliary aid and service was not provided. The log is maintained by the ADA Office. All requests for interpreters or other auxiliary aids received by DCHA personnel (including those made to personnel at the reception desk or by phone) shall be communicated to the ADA Office in accordance with the Sign Language Interpreter Request Process (Exhibit B).
2. **Web-based tracking.** DCHA will explore updates in its technology use for tracking, including procurement of a centralized, web-based electronic tracking program that will track and monitor all requests for accommodations (including requests for interpreters and auxiliary aids) throughout DCHA. Any system adopted will be used to monitor responses and the provision of services and accommodations.
F. Internal Administrative Review
1. **Internal Administrative Review.** DCHA’s internal administrative review procedure provides for the prompt and equitable resolution of requests for administrative review contesting ADA Coordinator determinations or otherwise challenging DCHA’s provision of auxiliary aids and services.
2. **Who can File.** Any client who disagrees with the ADA Coordinator’s determination or who claims that DCHA has failed to provide effective
communication may request an administrative review in writing with the DCHA Office of Fair Hearings (“OFH”).
3. **Contents of Filing.** The request for an administrative review must be in writing and must contain the name and address of the person filing it. The request for an administrative review must also state the action taken and what action the client desires to be taken by DCHA.
4. **Time for Filing.** To protect the clients’ rights, all requests to OFH for a hearing should be filed as soon as possible but not later than the following:
a. Public Housing Clients – Twelve (12) months after the date of the ADA Coordinator’s determination letter or the last instance in which DCHA is alleged to have failed to provide effective communication.
b. Non-Public Housing Clients – Thirty-Five (35) days after the date of the ADA Coordinator’s determination letter or the last instance in which DCHA is alleged to have failed to provide effective communication.
5. **Process for adjudication.** A request for administrative review made by a public housing client shall be considered a grievance filed pursuant to 14 D.C.M.R. Chapter 63. A request for administrative review made by a non-public housing client shall be considered a request for Informal Hearing filed pursuant to 14 D.C.M.R. Chapter 89.
6. **Other remedies.** Any request for administrative review alleging a failure to provide appropriate auxiliary aids will be promptly referred to the ADA Coordinator for informal resolution. The filing or lack thereof of a request for an administrative review with DCHA OFH does not prevent the client from pursuing any other legal remedies available to redress violations of Section 504 of the Rehabilitation Act, the Fair Housing Act, and the Americans with Disabilities Act and other applicable federal and District laws and their implementing regulations with respect to persons who are deaf or hard of hearing.
Exhibit A to Attachment A
Notice under Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act – ADA
In accordance with the requirements of Section 504 of the Rehabilitation Act of 1973 (Section 504) and Title II of the Americans with Disabilities Act of 1990 ("ADA"), the District of Columbia Housing Authority (DCHA) will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities.
Effective Communication: DCHA will generally provide, upon request, appropriate aids and services leading to effective communication for qualified persons with disabilities so they can participate equally in the DCHA programs, services, and activities. Aids and services may include qualified sign language interpreters, documents in Braille, large print and other ways of providing accessible communications to persons who have speech, hearing, vision or other disabilities.
Modifications to Policies and Procedures: DCHA will make reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy its programs, services, and activities.
DCHA will not place a surcharge on a particular individual with a disability or a group of individuals with disabilities to cover the cost of providing auxiliary aids, services or reasonable modifications of policies or programs.
Anyone who requires an auxiliary aid or service for effective communication, or a modification of policies or procedures to participate in a program, service, or activity of DCHA, should contact Carolyn Punter, ADA/504 Coordinator, as soon as possible but no later than 72 hours before the scheduled event, meeting, program or activity.
Complaints that a program, service, or activity of DCHA is not accessible to persons with disabilities should be directed to the ADA Coordinator.
ADA/504 Coordinator
The ADA/504 Coordinator is responsible for coordinating the efforts of the DCHA to comply with Section 504 and ADA and investigating any concerns or complaints regarding access to DCHA programs, services or activities. Carolyn Punter has been designated as the ADA Coordinator and can be contacted at:
District of Columbia Housing Authority
1133 North Capital Street, NE
Washington, DC 20002-7599
Phone: (202)535-2737
TTY: (202)855-1234
Fax: (202) 535-1258
Email: firstname.lastname@example.org
Exhibit B to Attachment A
SIGN LANGUAGE INTERPRETER REQUEST PROCESS
When to request an interpreter
1. A sign-language interpreter should be requested at least three (3) business days in advance of a meeting, discussion, training, or event involving a hearing-impaired client when a sign-language interpreter is necessary to effectively communicate the information in the meeting, discussion, training, or event.
2. Do not ask the client to bring his/her own interpreter; do not rely on adult companions or family members as interpreters unless affirmatively requested by the client and agreed to by the companion or family member. Always inform the client that DCHA can provide an interpreter. Never rely on a minor to interpret.
3. For DCHA events, and meetings, etc., DCHA and its Departments will provide a mechanism for hearing impaired individuals to request interpreters in order to participate in the meetings or events. Fliers, handouts, posters, banners and web postings for events, meetings, etc., should include the following statement:
“Sign language interpreters will be provided upon request. If DCHA has already determined that you need an interpreter, it will arrange one for each scheduled appointment. If not, please notify the Office of the ADA/504 Program at (202) 535-2737 or at email@example.com to request an interpreter. Please allow at least three (3) business days to make the necessary arrangements.”
Note: Client requesters do not have to fill out the Request for Reasonable Accommodation form when requesting sign language interpreter services.
Process
1. All requests for sign-language-interpreter services are coordinated and scheduled by the District of Columbia Housing Authority (DCHA) ADA Office. Requests can be made as follows:
a. When scheduling an appointment (except for an inspection) with a client identified as requiring a sign-language interpreter in WIZARD, inform the ADA Office of the date, time, individual, and nature of the meeting.
b. Requests made directly from the client (such as on a walk-in day) should be referred to the ADA Office.
c. Employee/Department requesting service should contact the ADA Office to request sign language interpreter services.
i. E-mail preferred: firstname.lastname@example.org
ii. Fax: (202) 535-1258
d. The ADA Office will complete the Sign Language Interpreter Request form and forward to Graham Staffing to schedule a sign language interpreter.
Note: Please allow at least three (3) business days in advance of the event (we will attempt to arrange interpreters on shorter notice, but cannot guarantee their availability).
e. Upon confirmation of scheduled service from Graham Staffing or DCHA’s American Sign Language Contractor, an appointment will be scheduled for the client. The client will be notified of the appointment date, time and location. The DCHA Employee/Department requesting service will be notified via e-mail.
2. If DCHA cancels the event or meeting with less than three (3) business days’ notice, the department making the request may be required to pay part of or all of the cost of the interpreter. If the client cancels the meeting or event, there is no cost to the client.
3. If an interpreter has been scheduled, and fails to arrive at the scheduled time, contact the ADA Office immediately.
Questions?
Contact the Office of ADA/504 Program
Carolyn Punter: (202) 535-2737 or email@example.com
ATTACHMENT
B
Attachment B
FULL AND FINAL RELEASE OF CLAIMS BY PLAINTIFFS
In consideration for the Parties’ agreement to the terms of the Stipulation entered into in the case of *Young, et al. v. DCHA*, Case No. 1:13-cv-00652-CKK, United States District Court, District of Columbia, I, [Signature], hereby fully release and forever discharge DCHA, along with its past and present insurers, attorneys, related companies, principals, predecessors, successors, assigns, affiliates, partners, directors, officers, agents, employers, shareholders, subsidiaries, employees, heirs, executors, and administrators and any persons acting under their respective direction or control from any and all claims, legal, equitable, or otherwise that I may have against them relating to allegations in the Complaint through the date I sign this release, including claims for damages (both compensatory and punitive), costs, fines, and attorneys’ fees, with the exception of any action regarding enforcement of the above-referenced Stipulation.
Executed this _____ day of ____________________, 2015.
[Signature]
Print Name
Attachment B
FULL AND FINAL RELEASE OF CLAIMS BY PLAINTIFFS
In consideration for the Parties’ agreement to the terms of the Stipulation entered into in the case of Young, et al. v. DCHA, Case No. 1:13-cv-00652-CKK, United States District Court, District of Columbia, I, Jacqueline Young, hereby fully release and forever discharge DCHA, along with its past and present insurers, attorneys, related companies, principals, predecessors, successors, assigns, affiliates, partners, directors, officers, agents, employers, shareholders, subsidiaries, employees, heirs, executors, and administrators and any persons acting under their respective direction or control from any and all claims, legal, equitable, or otherwise that I may have against them relating to allegations in the Complaint through the date I sign this release, including claims for damages (both compensatory and punitive), costs, fines, and attorneys’ fees, with the exception of any action regarding enforcement of the above-referenced Stipulation.
Executed this ______ day of ____________________, 2015.
Jacqueline Young
Print Name
Attachment B
FULL AND FINAL RELEASE OF CLAIMS BY PLAINTIFFS
In consideration for the Parties’ agreement to the terms of the Stipulation entered into in the case of *Young, et al. v. DCHA*, Case No. 1:13-cv-00652-CKK, United States District Court, District of Columbia, I, Sarah Brown hereby fully release and forever discharge DCHA, along with its past and present insurers, attorneys, related companies, principals, predecessors, successors, assigns, affiliates, partners, directors, officers, agents, employers, shareholders, subsidiaries, employees, heirs, executors, and administrators and any persons acting under their respective direction or control from any and all claims, legal, equitable, or otherwise that I may have against them relating to allegations in the Complaint through the date I sign this release, including claims for damages (both compensatory and punitive), costs, fines, and attorneys’ fees, with the exception of any action regarding enforcement of the above-referenced Stipulation.
Executed this ______ day of ____________________, 2015.
[Signature]
Sarah Brown
Print Name
ATTACHMENT
C
Attachment C
FULL AND FINAL RELEASE OF CLAIMS BY DEFENDANT
In consideration for the Parties’ agreement to the terms of the Stipulation entered into in the case of *Young, et al. v. DCHA*, Case No. 1:13-cv-00652-CKK, United States District Court, District of Columbia, DCHA does hereby fully release and forever discharge Jacqueline Young, Latheda Wilson, and Deaf-REACH, along with their past and present insurers, attorneys, related companies, principals, predecessors, successors, assigns, affiliates, partners, directors, officers, agents, employers, shareholders, subsidiaries, employees, heirs, executors, and administrators and any persons acting under their respective direction or control from any and all claims, legal, equitable, or otherwise that DCHA may have against them relating to allegations in the Complaint through the date this release is signed, including claims for damages (both compensatory and punitive), costs, fines, and attorneys’ fees, with the exception of any action regarding enforcement of the above-referenced Stipulation.
Executed this ______ day of ____________________, 2015.
[Signature]
Adrianne Todman
Executive Director
District of Columbia Housing Authority |
1. Call to Order
2. Roll Call
| Topic | Leader | Time | Action |
|------------------------------|----------|-------|--------|
| Call To Order | | | |
| Person (s) to be Heard | | 3 min | |
| Consent Agenda, April 15, 2020 | Chair | 1 min | |
| Approval of Minutes –February 19 Minutes (No March meeting) | Chair | 2 min | |
| Mission Moment: Kristie Nelson, Virtual Librarian, review of google analytics | Nelson | 15 Min | |
| Bond Update | Cole | 10 min| |
| Library Board Workplan Review | Chair | 10 min| |
| Staff Updates Director Report | Cole | 20 min| Discussion |
| Next Board Meeting | | | |
| • May 20, 2020, 5:30-7, Virtual Meeting | | | |
| Board Comments and Adjourn | | | |
X=Present, E=Excused, U=Unexcused, PH=Phone
Municipality of Anchorage
Library Advisory Board
Minutes
Date: February 19, 2020
Location: Loussac Board room
| Board Members | Staff |
|---------------|-------|
| Nancy Hemsath, Chair | Jonathan Bittner | Mary Jo Torgeson, Director |
| Jamie Lang, Vice Chair | Sarah Switzer | |
| Cristy A. Willer, Sect’y, arr. 6:00 | Wei Cheng | |
| Barbara Jacobs | Lucy Flynn O’Quinn | Guests |
| Lourdes Linato-Crawford | | |
| Retreat. | Information / Findings / Conclusions / Recommendations |
|----------|--------------------------------------------------------|
| Call to Order | 5:38 p.m. |
| Person to be heard | None. |
| Mission Moment | None. |
| Consent Agenda | • Agenda approved (Sarah/Lo).
• Minutes of 1.15.20 approved (Lo/Wei). |
| Discussion/Action Items | Discussion | Action |
|-------------------------|------------|--------|
| 1. LAB Work Plan. Board requested revisions in the Draft Work Plan regarding the order of goals. | 1. Revisions attached. |
| 2. Proposition 7 Bond. Mary Jo distributed talking points and fact sheet. | 2. Tell Mary Jo how many will be visiting Assembly members so she can provide flyers. |
| 3. Public Assembly Policy. Attached draft was discussed. | 3. Action deferred until March or April. |
| 4. Director’s Report. Attached. Mary Jo announced her retirement as of 6/5/20. | 4. Mary Jo was asked to provide source for data on early literacy. [done] |
| 5. Location of meetings next year. | 5. See below for locations, mission moments of upcoming meetings. |
| 6. All-board Retreat feedback. | 6. None. |
| 7. Beyond the Stacks (4/11). | 7. Nancy will rent a table and invite board members. |
Comments: None.
Adjournment: Meeting adjourned 7:14 (Jamie/Wei).
Next Meeting: March 18, 2020, Alden Todd board room
Agenda items: (a) Beyond the Stacks; (a) Strategic Plan review; (b) Discuss reformatting minutes.
Location & Mission Moment for upcoming meetings:
| Month | Location | Mission Moment |
|-------|----------|----------------|
| April | Loussac | Mary Jo: tour |
| May | Mountain View | Rayette: Google Analytics review |
| June | Girdwood | -- |
| July | --no meeting-- | -- |
| August| Eagle River | -- |
| September | Muldoon | -- |
| October | Loussac | Laura Baldwin: Collection HQ (how we choose to buy) |
| November | Loussac | John Ebron, Teen coordinator |
| December | Loussac | -- |
The role of the Library Advisory Board is to:
- Serve as ambassadors between the community and the Library
- Serve as ambassadors between the Library, the Anchorage Assembly, and the Mayor’s Office
- Develop relationships with community leaders and local, state, and federal policymakers so that they understand the role of the Library within the Municipality of Anchorage and the state
- Oversee the mission of the Library and keep it relevant to the needs of the community
- Review the Library’s budget, operations, and policies
In that role, the Board supports existing structures, advocates for and promotes current programs and future needs, enhances community liaisons and builds connections, and develops networks and partnerships on behalf of the Library.
In 2019, the Library adopted a new strategic plan that was reviewed and approved by the Library Advisory Board. Its priorities act as the template for the Board’s work plan.
**Goal: Education & Skills for Life**
**Desired outcome:** Children enter Kindergarten with the foundational skills for literacy and are supported by the Library in their literacy progression through elementary school; the Library supports teens and adults in learning the skills they need to be successful in life.
| Short-term goals and actions |
|-----------------------------|
| **Action Step (verb)** | **Deliverable (noun)** |
| Develop and revise as needed a list of community partners. LAB members could be tasked with this, perhaps on a rotating basis. | The LAB is a conduit between staff and community organizations and resources that focus on early childhood development. |
| Research and establish potential partnerships | Help in disseminating materials that highlight the importance of reading and the library’s resources. |
| Through our connections, encourage participation in youth programs | Enhanced networks for information. |
| Partner with library staff to assess underconnected or missed connections | Supported and enhanced literacy engagement in the library and the community |
## Mid-range goals and actions
| Action Step (verb) | Deliverable (noun) |
|-----------------------------------------------------------------------------------|------------------------------------------------------------------------------------|
| Establish connections with identified programs and share what libraries offer in the 21st century. | Pool of Board volunteers to share info; e.g. tutors, post-secondary info, apprenticeships etc. |
| Explore partnerships with adult literacy programs, Adult Learning Center, and Nine Star | New connections for library staff with adult literacy programs |
| Invite Les Gara and other foster program advocates to be part of LAB or resource pool | Connection and advocacy to foster parents about the resources available at the library. |
**Goal: A Bridge to Information and Resources**
**Desired outcome:** Anchorage is an engaged and well-informed community; the Library seeks to be the trusted institution that connects people to non-biased information, experts and materials, and adapts with the changing needs of our community.
| Action Step (verb) | Deliverable (noun) |
|-----------------------------------------------------------------------------------|------------------------------------------------------------------------------------|
| Ask staff where they would like us to focus our attention | A more informed LAB that can advocate for library needs |
| Partner with library staff to assess community interest and needs | More connected staff and, in turn, a more connected community |
| Continue to advocate for the annual budget concerns | Yearly, if not quarterly, meeting(s) with mayor/assembly members |
| Continue to advocate for public transit access | New bus stop by Loussac Library |
| Advocate for change in ebook pricing | A more equitable ebook pricing policy and rescinded Macmillan policy |
Branches:
Muldoon:
- A candidate has accepted the Youth Services position and is moving from New York, where he has been working for the Queens Public Library in Flushing.
- We received a call from a young lady who lives in LA seeking assistance for 98-year-old father, who is a big reader but not a computer user. Staff explained to the daughter over the phone how to put an item on hold. The father came in three days later to pick up holds and both daughter were very pleased for the great service.
Eagle River:
- Sue Sommers is settling in as our new YS librarian. We completed interviews for the part-time range 8; this should finally have us fully staffed for the first time since Dec 1, 2018.
- We’ve seen a significant increase in preschool storytime attendance per program from one year ago.
- Feb 2019: 12 programs; total attendance of 281; high of 36; average: 23.4.
- Feb 2020: 4 programs; total attendance of 191; high of 65; average: 47.75.
- New preschool program one Saturday each month beginning in March. Start with Art is an art-focused storytime geared towards reading about various artists and their techniques before creating some masterpieces of their own.
- We’re working to get Pawsitive Reading off the ground at CE. This may also be an opportunity to partner with the Chugiak-Eagle River Senior Center, perhaps inviting children to read to both dogs and seniors.
Mountain View:
- Youth Services has been on fire with programming and outreach. Keelin has been doing 3 Storytimes and 4 – 5 other youth programs each week.
- Outreach: Keelin and Rayette attended the Bettye Davis African American Summit. The event held at Bartlett High School. The event had over 80 vendors, and we talked with both Sen. Tom Begich and Rep. Garen Tarr as well as Assembly members Felix Rivera and Forrest Dunbar. Approximately 75 people stopped by our booth.
- We are continuing to work with the Alaska Humanities Forum to host community dialogs. In February MV held its first People’s State of the Union conversation with 15 attendees.
- Poetry Out Loud saw 21 attendees including POL competitors and their families, as well as contest judges. For most of the folks in attendance it was their first time at the Mt. View Library.
Girdwood:
- We did an adult program of making wool dryer balls. February library visits have been slow due to great skiing weather.
- Staff are planning spring gardening programs and the seed library.
Youth Services
- Fostering Readers – a program on reading and creating recipes and cookbooks! Part of our new series aimed at emerging literacy (Kindergarten to 2nd grade).
- Special Valentine’s making patron directed activity on Saturday 2/8.
- Continuing our new story times – Start with Art, this month focused on Matisse. And Mindful Storytime was tried on a Saturday.
- Teen Services worked with Adult Services for a dating violence awareness month passive program & display.
- Teen program: partnered with Alaska Commission on Post-Secondary Education to help teens and help adults fill out the FAFSA for higher education.
- Monthly teen programs such as K-Pop party, Teen Writing Society, Teen Tech Time, Magic the Gathering, and more continued. Also started a new program, Video Game On!
- Tour for Highland Tech Academy and Cook Inlet Tribal Council teens
- Headstart outreach at KCI East and Willow Crest
- Tour/storytime for Turnagain Elementary kindergarteners
- Tour teaching research methods from the library catalog to database research to Winterberry Charter School 7th and 8th graders.
- STEM Night at Tudor Elementary school. Showed of STEM kits and talked to families about them. 150 people.
- Reading night at Lake Otis Elementary. One of the required family nights in a Title I school. Issued Library cards and talked about library being fine free.
Adult Services
- Stacia presented at Who’s Doing What About Climate Change in Anchorage and Beyond? on February 4th. Our message was read, return, repeat.
- AS partnered with the Japanese American Citizens’ League for Remembrance Day. More than 80 people attended the film and discussion.
- Nicole partnered with Jon and another Anchorage organization to create an interactive Teen Dating display. This was covered by KTVA.
Community Relations
Library Foundation:
- Working with Senior Centers on Prop 7 bond campaign; ALF donated $5K, Anchorage Senior Center donated $8K, Rasmuson donated $25K – hired Northern Compass Group to run campaign and Anchorage Tomorrow is processing everything to keep us straight with APOC.
- Made a $1100 grant to Library for Early Literacy labs at WIC offices and $2500 for STEM kits from fall campaign: also purchasing some new furniture for Loussac youth services thanks to some generous donors
- Submitted grant to AK Comm. Foundation Social Justice fund for WIC early lit labs and books to distribute to McLaughlin and other youth groups.
Book donations: We give away TONS of books to groups in need throughout the year, including the school library for the town of Slana.
Community Resource Coordinator: keeping busy with making connections; success story: “One of our most vulnerable and hard-working patrons has been working long hours while homeless and undergoing medical care after he was attacked and beaten over the summer. Thanks to Catholic Social Services, he is moving into a midtown apartment and is going to keep working at his full-time job.”
Communications
- In February we continued Fine Free promotion shifting to external messaging including an op ed piece for the Daily News, paid radio and earned media. Misty Rose also designed and coordinated ads for Visit Anchorage (Room Rentals), Anchorage Concert Association (Library Use), Anchorage Senior Center (events/community) and submitted a piece for a local magazine.
- Senior Care/Provider Breakfast (Loussac)
- Coffee With A Cop (Mountain View)
Social Media Highlight
From A Facebook: Two of our patrons experience homelessness shared a lovely thank you to the library. #LibrariesAreForEveryone
Toyn Bryant: Library thanks for allowing a nice place, to charge our phone, and enjoy our cup of coffee! Very appreciative! ❤️
**IT and Patron Services**
**Automation / Information Technology**
- Finished adjustments to the new online Passport Reservation System, it goes live in March.
- Worked on plans for Staff Intranet with Internal Communications Committee.
- Created Librarian in Charge (LIC) shared calendar so that LIC has quick view of schedules.
- Created the Customer Specifications for a bid on the work in the Wilda Marston Theater.
- Coordinated the live streaming of PLA in the Staff Conference room for staff.
**Patron Services**
- Working to provide a Library Card to all new MOA employees so they would have instant access to our electronic resources. This process figured out by mid-February for roll-out in March.
- Working to allow patrons the option to renew their library cards via email if their information hasn’t changed.
- Language in the Expiration email has been changed and encourages the patron to review their information in the personal tab of their account page - there is a button to renew their card from there.
- All Circulation staff have reviewed the circulation manual; we’ve answered questions and have identified places that need clarified further.
- Reorganized the Holds Processing Station in the AMH Room to be more Ergonomic and space saving - have cleared/utilized floor space more effectively.
**Collection Management Services**
- Ordered approximately 3,000 new items and processed 3,564 new items.
- CMS Manager responded to an Intellectual Freedom challenge of *Spinning* by Tillie Walden. The graphic novel had been placed in J by a previous selector, which was an error; we have moved the title to Y.
Library System During Pandemic:
- Library coordinated with teachers and school libraries to get online learning resources out and find books with multiple online copies for classes to read
- Shifted purchasing budget to online resources
- Instituted virtual programming with a mention in Reader’s Digest
- Serviced Help line and Ask a librarian open
- Vetted information and education on COVID posted on website and social media
- Loussac is EOC, and several staff are working for EOC
- Librarian research projects for EOC
Branches:
Muldoon:
- At the start of our closure at MD staff began a variety of projects and trainings, including weeding, clearing circulation backlog, collection maintenance and cleaning.
- After AMEA staff was sent home, Jim continued to work alone at Muldoon. Among other activities, he is cleaning, shifting furniture, doing collection management, working with other APL staff through Teams, performing regular assignment, and completing projects already begun by staff.
Eagle River:
- Perhaps it’s because the Chugiak-Eagle River community has seen the library close several times in the past 18 months, they are handling the CE Library closure surprisingly well, especially complying with the request to hold on to library materials until the Library has reopened.
- Between the Covers Book Club will be moving online during the COVID closure. Nancy will also be doing online book talks for the APL Facebook page.
- YS staff member Sue will be in the rotation for virtual storytimes during the COVID closure and is heading up the comic contest being run by YS.
Mountain View:
- Since the library closure, two of our regular patrons have been coming by every day to use the public Wi-Fi to work on their schooling. They are very understanding of the library closure and social distancing protocols but miss the staff.
- Libraries were closed to the public beginning on March 13. At that time MV staff began working on several much-needed big housekeeping projects – cleaning and organizing the Community Room, shifting and shelf reading and cleaning in the YS area, shifting, cleaning shelving media, and book stacks. We also undertook a deep cleaning of all hard surfaces, tables, chairs, desks, and book carts.
Girdwood:
- Things certainly took a turn in the middle of the month when we had to close to the public on the 14th. We had been finishing out spring break with special programming, and then everything had to stop.
Adult Services
- March has been dominated by the COVID 19 Pandemic. In-Person library services ceased on March 14th. By March 19th AMEA staff was on admin leave and professional staff started transitioning to remote work, including answering phones and Ask a Librarian requests.
• We have hired Community Engagement Librarian, who will be responsible for reaching out to underserved communities. Her start date has been postponed until the library has reopened.
• Virtual Librarian Kristie created tutorials for Libby and Freegal, as well as keeping current our website.
• Sarah has been working with Mara Kimmel to create a virtual archive/scrapbook of personal experiences during the pandemic.
• Reference Librarians have worked with EOC to ensure that 211 community resource information is accurate and up to date.
• Staff have been learning collaborative tools, like Microsoft Teams, to ensure that department communication runs smoothly during this time.
• Virtual programs have included: Book talks – staff will be releasing recorded book talks on Facebook and offering reading suggestions in the comments; Warm Up Anchorage Knit Along (with Cooperative Extension) takes place every Friday, 10:30-11am over Zoom and Mystery Book Club.
Youth Services
Programs Before 3/14
• Regular storytimes and special storytimes like Wee Be Jammin.
• Teen programs including voluteen Fridays, Video Game On, Uno paloozo, and a K-Pop Party.
• Spring Break Programs – We had daily programs over spring break from 2pm to 4pm for school age. As the week progressed, attendance dropped dramatically as people got more worried about COVID-19. These programs included Movies, Puzzle Mania (solving and creating puzzles of all types), Dog Man Afternoon (our most successful program with 65 people), Cozy Coloring, a Girl Scout Tour, and a Building Challenge.
Social Media Impacts
• Teen Underground ran a “march book madness” where people voted via social media on the best books from a most popular list.
• Youth Services staff shared book recommendations of online books (Hoopla, Alaska Digital Library, and Tumblebooks) to be prepared into Instagram posts.
Virtual Programs/Projects After 3/15: Library staff worked quickly to pivot to online programming, most notably online storytime. This required retraining in technology, research into copyright, and some trial and error. Our public has been receptive to these programs and we are seeing our storytimes enjoyed by Anchorage residents and as far abroad as Germany!
• 8 virtual storytimes. Counting people who engaged and watched for a longer time, we had 863 views of these.
• For two weeks we have partnered with Lee Post to do an online comic contest which has had 15 participants drawing their own comics.
• Created a resource webpage for families highlight APL resources and other free resources. We proactively reached out to Anchorage School District Staff to offer resources and highlight some of our best resources. This resulted in many school librarians and teachers sharing our resources in their communications with families as well as reaching out to us for more information. A lot of staff time has been spent on helping to support and educate them which is fantastic!
• Working on a variety of trainings, including prioritizing trainings and choosing ones to be appropriate to share with all staff.
• Updating booklists on our website and preparing booklists for eventual printing.
Ready to Read Alaska
- Presented storytime (5 classrooms, approx. 36 children) at BP Early Learning Center.
- Recorded and uploaded staff early literacy training to YouTube.
- Submitted ILC grant application for DirLead advertising initiative to promote library card sign up month. (September 2020) and Summer Reading (summer 2021)
- Continuing to record and upload Caregiver Chat videos to Ready to Read’s YouTube channel so that content can be viewed and shared statewide.
Library Long-Term Planning and Development
- **Library Foundation:**
- Finished work on Prop 7 campaign.
- Working with our consultant Amalie from The Foraker Group and AK Librarian Sarah Preskitt, preparing a grant application to National Endowment for the Humanities for the Alaska Room project. We were able to submit a draft for review on April 3 before the final deadline in May. NEH says they are so far sticking to this grant schedule.
• **Staffing:**
- Rebecca (Community Resource Coordinator) has transitioned to help at the MOA Emergency Operations Center (EOC) to help with coordination of transport and services for people experiencing homelessness.
- Misty Rose (Community Engagement Coordinator) is putting in hours for MOA EOC as well, with the communications team. She is also helping program staff coordinate online programs, handling APL COVID communications and helping with internal communications and staff morale.
- Rick (Room Rentals) is transitioning to working from home. He is unfortunately busy cancelling events and refunding room rentals.
• **Community Relations:** The first half of March was dedicated to PROP 7 Information based campaign preparation and general library promotion. The second half of March consumed with COVID-19 activities including:
- Tech support and marketing of virtual programs via APL social channels
- Supporting EOC (Emergency Operation Center) JIC (Joint Information Center) needs
- Coordinating APL COVID-19 external communications via web, social and e-mail
- Coordinating and developing marketing for increased library digital materials
**Social Media Highlight**
After live Storytimes, our most engaging piece of content came from a wrong number text to our Library Communications cell phone.
IT and Patron Services
- Staff did multiple audits to determine the remote needs of staff. In the end, almost all staff were able to work remotely and Celia Hartz and Jacob Cole successfully deployed multiple machines, phones and MIFI. There are some job, like shelvers, that can not work remotely; or do not have the ability to work from home.
- There has been a lot of training for staff who were thrust into this remote setup more quickly than anticipated.
- Over the last two weeks the Technology Coordinator has spent at least 5-7 hours per week troubleshooting with Staff about various things from Teams; VPN; Remote Connections; Accessing their Drives; Using Hotspots; Using CAMP
Patron Services
- All PS staff were sent home on 3/19 to increase social distancing and to slow the spread.
- There are ongoing issues with getting our mail deliveries in an orderly fashion but we’ll continue to work with Vendors and the USPS/UPS/FedEx folks.
- The Supervision Team in PS has been doing a lot of brainstorming.
- Considering how best to move forward when we reopen
- Possible staggering of staff in the building once people can return to work
- How to provide service if people still can’t utilize the building to its fullest
- How to get information to everyone
- Projects that can be done remotely for the cleanest patron records upon reopen.
- Baseline training to be done that has possibly fallen to the wayside.
Collection Management Services:
- Laura Baldwin, CMS Manager, has worked with vendors to hold our orders until we reopen. In addition, she and her team continue to purchase materials. We have shifted some dollars to add to the digital purchases, including an additional $30K into the Alaska Digital Library.
- We increased Hoopla use per card by 2 per month. In March, we spend $12K on just Hoopla.
- Staff are looking for free content so that we can add link to our website.
Community Resource Coordinator
Last week (3/28) I was brought on to join the EOC’s Non Critical Transport team. The purpose of this Transport is to coordinate Covid-19 testing for folks with no other transport options, and also providing quarantine housing for those Persons Under Investigation (for Covid 19) who lack a place of their own to quarantine. This involves making sure they are served meals by the Salvation Army and receive their test results from their provider. This process is developing rapidly as we respond to the different questions each case brings. |
Pursuant to proper call, the 625th Regular Meeting of the Hawaiian Homes Commission was held at the Department of Hawaiian Home Lands, 91-5420 Kapolei Parkway, Kapolei, Hawai`i, beginning at 9:40 a.m.
**PRESENT**
Mr. Albert "Alapaki" Nahale-a, Chairman
Mr. Imaikalani Aiu, Commissioner, Kaua`i
Mr. Perry O. Artates, Commissioner, Maui
Ms. Leimana DaMate, Commissioner, West Hawai`i
Mr. J. Kama Hopkins, Commissioner, O`ahu
Mr. Michael P. Kahikina, Commissioner, O`ahu
Mr. Ian B. Lee Loy, Commissioner, East Hawai`i
Mr. Henry K. Tancayo, Commissioner, Moloka`i
Mr. Renwick V.I. Tassill, Commissioner, O`ahu
**COUNSEL**
Deputy Attorney General Scott Kalani Bush
**STAFF**
Michelle Ka`uhane Deputy to the Chairman
Linda Chinn, Administrator, Land Management Division
Darrell Yagodich, Administrator, Planning Office
Francis Apoliona, Compliance Officer
Sandra Pfund, Administrator, Land Development Division
Juan Garcia, Administrator, District Homestead Operations
Kaleo Manuel, Planner, Planning Division
Julie Cachola, Planner, Planning Division
Darrell Ing, Real Estate Development Specialist, Land Development
Kahana Albinio, Property Development Manager, Land Management
Nancy McPherson, Planner, Planning Office
Bob Freitas, Planner, Planning Office
Nella Kauwenaole, Clerk Typist, ICRO
Ku`uwehi Hiraishi, Information Specialist, ICRO
Elaine Searle Secretary to the Commission
**PULE/MELE** Commissioner Kama Hopkins
**AGENDA**
Commissioner Perry Artates moved, seconded by Commissioner Kama Hopkins, to approve the agenda. Motion carried unanimously.
**MINUTES**
Commissioner Kama Hopkins moved, seconded by Commissioner Renwick Tassill, to approve the minutes of February 21-22, 2012 as circulated. Motion carried unanimously.
ORDER OF BUSINESS
Roll Call
Approval of Agenda
Approval of Minutes of February 21-22, 2012
A - WORKSHOP PRESENTATIONS
A-1 Waimanalo Kupuna Hale Presented by Commission R. Tassill
A-2 Update on the KIUC/HCDC PV Farm
B - PUBLIC TESTIMONY ON AGENDIZED ITEMS
C - OFFICE OF THE CHAIRMAN
C-1 Strategic Goals and Objectives Progress Report
C-2 Resolution No. 260 - Non Homesteading Leasing of Trust Lands
C-3 OHA - DHHL Joint Resolution No. 261 on Ceded Lands
C-4 HHC Ad Hoc Administrative Rules Committee Report
D - HOMESTEAD SERVICES DIVISION
D-1 HSD Status Reports
Exhibits:
A - Homestead Lease and Application Totals and Monthly Activity Reports
B - Delinquency Report and Status of Contested Case Hearings
D-2 Deferred Sales Price Loans Program (Deleted)
D-3 Ratification of Loan Approval
D-4 Approval of Consent to Mortgage
D-5 Refinance of Loans
D-6 Schedule of Loan Delinquency Contested Case Hearings
D-7 Homestead Application Transfers / Cancellations
D-8 Reinstatement of Deferred Applications
D-9 Ratification of Designation of Successors to Leasehold Interest and Designation of Persons to Receive Net Proceeds
D-10 Approval of Assignment of Leasehold Interest
D-11 Approval of Amendment of Leasehold Interest
D-12 Request to Schedule Contested Case Hearing - Lease Violations
D-13 Cancellation of Lease - Rebecca Niau and Jerry Kanahele
D-14 Request to Surrender Lease - Roy Bumanglag (aka Roy Kalani Palama)
F – LAND MANAGEMENT DIVISION
F-1 Findings of No Significant Impact, Kekaha Community Enterprise Center, Kekaha, Kaua’i
F-2 Preliminary Approval to Issue License, Aha Punānā Leo, Inc., Kalawahine, O‘ahu
F-3 Notices of Default and Revocations, Statewide
F-4 Approval to the Issuance of a General Lease to Hawaiian Community Development Board and SolarCity, Kalaeloa, O‘ahu
G - PLANNING OFFICE
G-1 Approval of the Waimea Nui Regional Plan, March 2012
G-2 Approval to Hire Independent Counsel to Assert Hawaiian Home Lands Water Rights
H - ADMINISTRATIVE SERVICES OFFICE
H-1 Transfer of Hawaiian Home Receipts Money at the End of the Third Quarter, FY 2012
EXECUTIVE SESSION
The Commission anticipates convening in executive meeting Pursuant to Section 92-5(a)(4), HRS, to consult with its attorney on questions and issues pertaining to the Commission’s powers, duties, privileges, immunities and liabilities on these matters.
1. Richard Nelson, III, Kaliko Chun et al. v HHC, Civil No. 09-1-161507
2. Kalima v SOH, DHHL, Civil No. 99-0-4771-12(EHH) (Class Action)
3. Petition for Certiorari to US Supreme Court, Corboy v Louie
4. Resolution of Property Tax Liability
5. Potential Conflicts of Interests of Commissioners Under HRS 84-14(a)
6. Defect of Title Claims
7. Regarding HRS 10-2-18, 10-2-19 & 10-2-20
8. Alternate Land Use for Pastoral & Agricultural Homestead Leases
9. Ceded Land Settlement Between SOH & OHA
10. Civil Union Law
11. Re: Hawaiian Homes Commission Act 208(5) - Conditions of Lease
12. Retaining of Private Counsel for HHC
13. Matter Relating to Puowaina Parcel, Papakolea, O‘ahu
14. June Aina v Mark Development
15. Lono v Mark Development
ANNOUNCEMENTS AND ADJOURNMENT
1. Next Meeting – April 23-24, 2012, Kalama‘ula, Moloka‘i, Hawai‘i
2. Other Announcements
3. Adjournment
Albert "Alapaki" Nahale-a, Chairman
Hawaiian Homes Commission
COMMISSION MEMBERS
Imaikalani P. Ai, Kaua‘i
Perry O. Artates, Maui
Leimana DaMate, West Hawai‘i
J. "Kama" Hopkins, O‘ahu
Michael P. Kahikina, O‘ahu
Ian B. Lee Loy, East Hawai‘i
Henry K. Tancayo, Moloka‘i
Renwick V.I. Tassill, O‘ahu
The next community meeting will be held on Monday, April 23, 2012, 6:00 p.m., Lanikeha Community Center, Farrington Ave.(across Fire Station), Ho‘olehua, Moloka‘i.
Special Accommodations (such as Sign Language interpreter, large print, taped materials) can be provided, if requested at least five (5) working days before the scheduled meeting on the respective island by calling (808) 620-9590.
A - WORKSHOP PRESENTATIONS
A-1 - Waimanalo Kupuna Hale, presented by Commissioner R. Tassill
Commissioner Renwick "Joe" Tassill addressed issues and concerns of residents at Kupuna Hale in Waimanalo which serves its senior community. Some of the needs he addressed are:
- lack of water for gardening use - a) some units have gardening areas but no water, and b) some units have water but no gardening area
- Some tenants prefer communal gardening
- Provisions for parking stalls for each unit
- System in place for potential evacuation
- Wheelchair accessible vehicles available in time of disaster
- Equipped Alert alarm system in units to address disaster / evacuation situations
- ADA compliant requirements
a) Toilet seat too low
b) Curbside too high
c) Inoperable gate opener - equip system within tenant's unit
- How to protect the surviving spouse who is non-Hawaiian and protecting his/her interest
- Storage area for perishable and non-perishable food items
- Overall safety and wellbeing for all tenants
Chairman Nahale-a noted that the commission can spend hours addressing these types of issues. The department does its due diligence investigating issues and loopholes in contracts with management to see where it can be adjusted before moving forward. These are tough issues that require additional investigations, and no easy task.
Commissioner Aiu inquired if contracts are reviewed annually. Although unfamiliar with this particular contract, Chairman believes it a high priority as it involves our kupuna. All contracts have review periods and every parcel has a land manager. Land Management Supervisor Kahana Albinio will advise land agent Kaipo Duncan to follow-up on these concerns. Commissioner Kahikina says there is no need to belabor the issue. Staff should be utilized to address such matters and possibly orchestrate a tribunal to allow beneficiaries to voice their concerns at a smaller venue. The department will respond to Commissioner Tassill's concerns and determine what needs to be implemented to address such matters.
A-2 - Update on the KIUC/HCDC PV Farm
Homestead Community Development Corporation's Robin Danner provided information on a renewable energy joint solar project between Anahola Hawaiian Homestead Association and Kaua'i Island Utility Cooperative (KIUC) for a 12 megawatt solar project to be developed on a 53 acre parcel in Anahola, Kaua'i. Ms. Danner presented an overview and submitted an informational packets to be made a part of these minutes as Exhibits “A” and "B." She listed 15 components in a homestead benefits agreement (HBA) package for non-homesteading use.
Commissioner Hopkins inquired if consultation is provided to all beneficiaries, not necessarily limited to those in Anahola community. Yes. HCDC welcomes all beneficiaries to participate. It would allow those knowledgeable in this area to share information and advice.
Commissioner Hopkins asked what happens when the project is decommissioned? Based on the economical and feasibility of the project, it is hopeful that the project will be continued beyond the initial 25 years, said Ms. Danner. These negotiations came as a result of beneficiary consultation along with meetings with Chairman Nahale-a and Land Management Administrator Linda Chinn.
Commissioner Hopkins asked how much annual revenue would the department realize on this project? Based on the 3.2 million and the 80/20 split, the total revenue is estimated at $128,358 (pg 3) and the department is expected to gain $103,000. What about profit percentages? It was determined to take the percentages of gross production, not the net. The total package is 2% of gross energy produced off the 53 acres in addition to full market value.
Commissioner DaMate asked if renewable energy lectures can be held at other high schools besides the charter school? It is conceivable and will be included in its schedule to provide this type of knowledge to other beneficiaries.
Commissioner I. Lee Loy inquired as to the type of technology being utilized? Scott Danner stipulated portable voltaic panels will be installed by RAC with an output of 12 megawatt capacity on site. KIUC is planning on a 70% operational output with battery backup.
Commissioner Aiue inquired if there is a potential to utilize hydro battery storage at nearby reservoirs? Anahola homestead leader Lorraine Rapozo is in discussion with KIUC to establish the potential use of a small hydro in Anahola for the reservoirs. The suggestion of combining the battery on solar and tying it in to the hydro sounds engaging, noted Ms. Danner.
Commissioner Tassill asked for an example of cultural and other subject matter experts? A prime contractor has been negotiated to include a local native practitioner to prepare a cultural impact. The local practitioner will accompany the contractor on every aspect of the construction project. No contractor is allowed on site without the cultural practitioner.
Is there a plan to dispose of the used batteries? These are huge installations but there will be a creation of funding to remove them, claimed Scott Danner.
A priority list is being created for Washington D.C. to implement policies for energy resources for all Hawaiian home lands. Because of this project, HCDC was able to discern what types of federal funding sources were available. Next year HCDC plans to aggressively campaign to place Hawaiian home lands where funds would be made available.
A priority list is being created for Washington D.C. to implement policies for energy resources for all Hawaiian home lands. Because of this project, HCDC was able to discern what types of
federal funding sources were available. Next year HCDC plans to aggressively campaign to place Hawaiian home lands in a position to gain additional funds.
B - PUBLIC TESTIMONY ON AGENDIZED ITEMS
1) Re: Item F-2 - Preliminary Approval to Issue License, Aha Punānā Leo, Inc., Kalawahine, O`ahu, Testifier: Kahealani Keahi (Wood) & Keali`i Lum
Ms. Keahi (Wood) expressed mahalo to the department for comments expressed at the January 2012 commission meeting in support of a preliminary license agreement for Aha Punānā Leo, Inc. She claims to represent Kalai Ona from Hilo's Aha Punānā Leo, Hui Makaainana a Kalawahine, a beneficiary organization and Kalau Kamana.
Mr. Lum says he represents Papakolea Hawaiian Civic Club and Ku`ulei Nishiyama, Papakolea Community Association and its president Adam Asing who collectively support the implementation of this priority project for the keiki in the community. He thanked the commission and those who support it. Mr. Lum extended an invitation to a March 31th celebration of Prince Jonah Kuhio Kalanianaole Festival at Lincoln Elementary, 9 - 1 p.m. He expressed Mahalo to OHA and Trustee Colette Machado for funding this event. Ms. Keahi (Wood) added she is eager to work with all community organizations including PCDC and thanked everyone for sharing their mana`o.
2) Re: Item C-1 - Strategic Goals and Objectives Progress Report, C-2 - Resolution No. 260 - Non Homesteading Leasing of Trust Lands and , Item No. C-3 – OHA - DHHL Joint Resolution No. 261 on Ceded Lands - Testifier Kamaki Kanahele, SCHHA President
Kamaki Kanahele claims SCHHA members across the state met and discussed all the above-stated items at meetings held throughout the state. He expressed his gratitude to Commissioner M. Kahikina for his diligence in keeping the meetings sane. Although many good ideas were shared, there may not be ample time to bring resolutions forward to assist beneficiaries. Mr. Kanahele is excited SCHAA will be represented fully when OHA accepts the ceded lands. He thanked various community leaders for their efforts and involvement in settling these claims.
The information shared earlier regarding Waimanalo Kupuna Hale is all too familiar, said Kamaki Kanahele. The rules and regulations of both Federal and State law require geriatric training, correct nursing care and correct college certification to apply to certain senior living quarters. What is correct and "pono" in our style of taking care of our kupunas is different from the non-Hawaiian way of life. He deems a course of action by this commission will be a tough one to deliver.
He expressed appreciation to Chairman Nahale-a for being able to "move mountains" and open doors in the year he has been chairman. He wished chairman aloha as he leaves his post.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner R. Tassill to convene with Item C-3. Motion carried unanimously.
ITEM NO. C-3
SUBJECT: OHA - DHHL Joint Resolution No. 261 on Ceded Lands
RECOMMENDATION
This item is being presented for action today after deferral in February’s meeting which is to approve a Joint Resolution to support the land settlement between the State of Hawai‘i and the Office of Hawaiian Affairs (OHA).
MOTION
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate
DISCUSSION
Chairman Nahale-a acknowledged with appreciation the number of participants witnessing this Joint Resolution. Deputy Ka‘uhane noted with pride the leadership of both chairpersons, Colette Machado and Alapaki Nahale-a, with assistance of the community, for the first time have collaborated together to make this awesome commitment together which was passed by OHA board on February 23, 2012. OHA Board Chairman Colette Machado expressed how this “resolution has made both chairpersons as better leaders”, with openness to serving “all” people, not limiting it to the blood quantum measure. Sometimes walls become huge barriers where politicians and law makers forget to see the end. Ms. Machado thanked Robin Danner and OHA attorney Bill Meheula for challenging and necessitating action on this behalf. She thanked Chairman Nahale-a for his openness and assistance in the unification of OHA-DHHL boards t to benefit the beneficiaries of the trust. She thanked SCHAA Kamaki Kanahele for shouldering the burden of the SCHHA. The community had to endure a lot, claimed Chairman Nahale-a. All we can offer is a promise. We need to show up every day and do the work. Commissioners Tassill and DaMate shared their mana‘o to continue the unity.
ACTION
Motion carried unanimously.
ITEM NO. C-1
SUBJECT: Strategic Goals and Objectives Progress Report
MOTION/ACTION
None. For Information Only
DISCUSSION
Deputy M. Ka`uhane provided a list of Strategic goals and objectives for year 2012 which was approved by this commission. A system is in place to have reporting each month to the commission on these objectives. This should be posted on the department’s website to share with community.
Commissioner K. Hopkins articulated this is a bold and ambitious goal and thanked the staff and its willingness to complete these objectives and offered his assistance wherever necessary. Commissioner L. DaMate had some concerns regarding the filling of a position of an agriculture/pastoral expert. She would like to ensure the individual has knowledge of the `aina.
ITEM NO. C-2
SUBJECT: Resolution No. 260 - Non-Homesteading Leasing of Trust Lands
COMMENT
This resolution was previously deferred to allow Attorney General’s office to review and decipher the implications of the resolution.
MOTION
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate.
DISCUSSION
Deputy Attorney General Matt Dvonch thanked Deputy Ka`uhane and the department for the work on this resolution. The resolution reviewed earlier is different from the one being presented today. The viewpoint of the attorney general’s office is from a legal stance to ensure this commission can implement its policy decisions and to limit liability the commission will face in the future. Preliminary concerns were given at an earlier version of the resolution. As today’s resolution was received at the start of today’s meeting, Attorney Dvonch is requesting time to review it.
Chairman Nahale-a asked for an amended motion to adopt the new resolution.
AMENDED MOTION
Moved by Commissioner L. DaMate, seconded by Commissioner I. Ai to adopt the amended resolution.
ACTION
Motion carried unanimously.
DISCUSSION
Deputy M. Ka`uhane gave a synopsis of the 13 resolutions being presented. Items #1, #1, #3 and #4 refer to data transparency. Discussion was among staff on how to become more transparent. An issue on consultation on data would reach out to both beneficiaries on the waitlist and on the land. What is being done now is none of the above. Currently, a revocable permit (RP) can be approved and ratified by commission without any disclosures. These will be now be posted on the website. Homesteading and non-homesteading lands and who is the beneficiary is a priority. It will be a work in progress which will constantly improve over time.
Deputy Attorney General Matt Dvonch recommended adjournment to executive session to consult with the commission on the legal concerns of this resolution.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Aiou to adjourn to Executive Session.
DISCUSSION
Commissioner M. Kahikina recognized Robin Danner to come forward. Robin Danner requested to update the commission and Deputy Attorney General’s office the changes created by CNHA’s policy center and DHHL staff of the current resolution prior to executive session so the commission is well brief of this updated resolution.
MOTION TO RESCIND
Commissioner K. Hopkins rescinded his motion. There is no motion on the floor. Attorney has advised to adjourn to executive session.
DISCUSSION
Commissioner K. Hopkins is uncomfortable about taking a vote on this resolution due to numerous concerns received by others who have not seen this resolution. Attorney General’s office is asking to review it. Although it may belabor the issue another month, Commissioner K. Hopkins is recommending to defer this item until the next meeting.
MOTION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Aiou to defer this item.
DISCUSSION
Commissioner I. Lee Loy agrees with deferral due to concerns by associations and communities regarding this resolution. It will give the commission time to respond to these concerns and give the Attorney General’s office to review the document. Commissioner L. DaMate is opposed to deferral of the resolution. Although she agrees in general the reasons for his deferral, Commissioner L. DaMate believes the commission needs to be bold and pass it to provide something in writing now. If the resolution needs to be amended at a later time, it can be addressed then. In general, she supports the A.G.’s office, but sometimes their perspective is not a “Hawaiian” perspective. Commissioner P. Artates agrees with the deferral due to possible legal issues. He wants to assure the commission has clarity and fall in the guidelines from an opinion as well as from the beneficiaries. Commissioner K. Hopkins agrees in principle this is a great resolution but requests to defer the matter to the April meeting. Commissioner I. Lee Loy agrees to defer to April. Commissioner H. Tancayo called for the question.
ACTION
Motion carried unanimously.
ACTION
Chairman called for the question to defer
AYE
Imaikalani Aiu
Perry Artates
Kama Hopkins
Ian Lee Loy
Henry Tancayo
Renwick Tassill
OPPOSED
Leimana DaMate
Michael Kahikina
ITEM NO. C-4
SUBJECT: HHC Ad Hoc Administrative Rules Committee Report
MOTION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Ai to accept the committee report.
DISCUSSION
Dre Kalili, Policy Analyst presented the Administrative Rules committee report. The committee will provide a monthly report to include activities occurring just prior. Information will be
provided on-line with a 30-day comment period on future issues and a 14-day comment period on items prior to commission action. Three items will be addressed at April’s meeting: Treatment of Previous Lessees, One Chance and Sale of Leases.
Commissioner I. Aiou chose to receive comments through e-mail. What was heard overwhelmingly was there was a lack of time. He clarified taking electronic comments on-line is not subject to beneficiary consultation. Beneficiary consultation will still continue at a later date. It was meant for input as a policy debate level. The process will help more people become involved in the front end of the process. Commissioner I. Aiou was not pleased with the personal attacks due to frustrations. This staff works diligently to provide excellent service to make this trust whole. Hopefully, we can move forward with that mana’o.
**ACTION**
Motion carried unanimously.
**COMMENT**
Hui Kako`o Executive Director Kaipo inquired if there would be an opportunity to comment on the three issues within the 30-day and 14-day comment period to which recommendations will be made to the full commission. The two week process was passed earlier for these items, noted Commissioner K. Hopkins. The community consultation piece will be available for future comments. How will this be published? It will be completed on-line because it will provide information quicker and eliminate the high cost of mail out. New policy regarding a change in administrative rules is being suggested. Testimony will be allowed when the issue is brought before the full commission. CNHA’s Robin Danner asked the Ad Hoc committee to consider two items. She claims the resolutions just discussed empower beneficiaries with transparency and trust and the administrative rules have the potential of taking down beneficiary rights and should not be part of the process to have Attorney General’s opinion. Commissioner K. Hopkins clarified that the A.G.’s opinion is part of the process. Ms. Danner strongly recommends soliciting comments from Department of Interior (DOI) to give insight to this department’s administrative rules which may diminish beneficiary rights. Ms. Danner has recommended to Deputy Ka’uhane to meet with Department of Interior Director Kaloi.
Malu`ohai Homestead president Homelani Schaedel wants assurance leadership and associations are notified on issues important to beneficiaries. She was notified by DOI, not DHHL on this particular item. Commissioner I. Aiou explained there needs to be definition of proper notification as this Ad Hoc committee is not operating by public hearing notices. We are taking the best technology available to engage with beneficiaries which was not available 20 years ago. There is a list of e-mails of leadership associations and e-mails should be provided to the department. Commissioner I. Lee Loy suggested commissioners advise their communities to respond to the subject matter. He agrees with DOI involvement to assist. Getting information out to associations through commissioners may be helpful, noted Commissioner L. DaMate. Commissioner K. Hopkins pointed out that it would be judicious to allow the department to
provide the information instead due to HRS Chapter 92. Commissioner R. Tassill concurs it is important to provide information to the beneficiary.
**ACTION**
Motion carried unanimously.
**MOTION/ACTION**
Moved by Commissioner I. Lee Loy to recess for 15 minutes, seconded by Commissioner L. Motion carried unanimously.
**RECESS:** 11:55 A.M.
**RECONVENE:** 12:15 P.M.
**MOTION/ACTION**
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate to reconvene the regular meeting. Motion carried unanimously.
**MOTION/ACTION**
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate to convene with all "F" items. Motion carried unanimously.
**ITEM NO. F-1**
**SUBJECT:** Findings of No Significant Impact - Kekaha Community Enterprise Center, Kekaha, Kaua`i
**RECOMMENDATION**
Property Development Agent Kahana Albinio submitted approval of a FONSI for Final Environmental Assessment (FEA) prepared by North Shore Consultants, LLC for Council for Native Hawaiian Advancement (CNHA) for Lot 51, Kekaha Residence Lots for the proposed Kekaha Community Center in Kekaha, Kaua`i.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate.
DISCUSSION
Lily Kapuniai, Council of Native Hawaiian Advancement, claims a significant amount of work was completed to ensure the environmental assessment was done properly with respect to remains on the property. CNHA is prepared to proceed to begin with necessary permits.
Commissioner K. Hopkins addressed Deputy Attorney General K. Bush regarding a fax received earlier today on the possibility of “iwi” located on the said property. Deputy A.G. Bush says he is aware of these allegations.
Chairman Nahale-a asked what appropriate level of guidance should be required to address these matters. To make a determination, there would need to be evidence affirming those claims, explained Deputy A.G. Bush. It appears due diligence has been complied with.
Commissioner L. DaMate recommended to the department to include cultural and archaeological practices in the areas where EA’s and FONSI are required. The information faxed earlier is not substantive information. Exhibit "A" submitted by CNHA; Exhibits "B", "C" & "D" submitted by Phoebe Eng and Kawai Warren and Chancellor Sherone Ivey respectively to be made a part of these minutes.
EXECUTIVE SESSION
MOTION/ACTION
Moved by Commissioner I. Aiu, seconded by Commissioner K. Hopkins to adjourn to Executive Session to consult with its attorney on issues and concerns on this matter. Motion carried unanimously
RECESS: 12:30 P.M.
RECONVENE 12:43 P.M.
MOTION/ACTION
Moved by Commissioner H. Tancayo, seconded by Commissioner K. Hopkins to reconvene to regular meeting. Motion carried unanimously.
ITEM NO. F-1 (cont.)
SUBJECT: Finds of No Significant Impact - Kekaha Community Enterprise Center
DISCUSSION
Planner Kaleo Manuel has some concerns on the EA and recommends amending some of the items.
MOTION/ACTION
Commissioner K. Hopkins recommended to defer this item until end of today’s agenda, seconded by Commissioner I. Aiu. Motion carried unanimously.
ITEM NO. F-2
SUBJECT: Preliminary Approval to Issue License, Aha Punānā Leo, Inc., Kalawahine, O`ahu
RECOMMENDATION
Property Development Agent Albinio stated that Land Management is requesting to withdraw the recommendation approved at the January 23, 2012 commission meeting which was submitted as Item F-2.
MOTION
Motion is on the floor is to approve issuance of a license.
DISCUSSION
This matter was discussed before the commission which proved contentious amongst its community. One of the key points made by Papakolea Community Development Corporation (PCDC) is that they had the right to plan the parcel via the contract the commission approved, affirmed Chairman Nahale-a. It was further verified by the Attorney General’s office. There is still the planning process for the parcel which will need to be reviewed by the commission.
Commissioner Hopkins conveyed how difficult a journey it’s been for him. It was not something he had intended from a personal standpoint. Commission needs to be made aware of policy decisions from the start. Commissioner Tassill desires that everyone benefit from this especially the children. Chairman Nahale-a articulated that the legal advice is sound. He claims proper steps should be taken before awarding a property. This is a great project and there are priority projects in the Papakolea community to which PCDC is providing the planning process. With all due respect, this commission maintains the right to determine the land disposition.
Commissioner Aiu asked if there is an expiration date on the contract. It’s pretty much an open-ended grant, stated Chairman Nahale-a. The department will be able to enforce it just as other grants are made accountable. It is a good learning curve to deal with such sensitive issues, noted Commissioner M. Kahikina. Going through the process and vetting out the legal ramifications help for better understanding in dealing with community issues.
**ACTION**
No. Ayes. Motion failed.
**ITEM NO. F-3**
**SUBJECT:** Notices of Default and Revocations, Statewide
**MOTION/ACTION**
Moved by Commissioner H. Tancayo, seconded by Commissioner K. Hopkins. Motion carried unanimously.
**ITEM NO. F-4**
**SUBJECT:** Approval to the Issuance of a General Lease to Hawaiian Community Development Board and SolarCity, Kalaeloa, O`ahu
**RECOMMENDATION**
Issuance of an exclusive general lease to Hawaiian Community Development Board (HCDB) and Solar City (jointly) to use approximately 34 acres of Hawaiian home lands located in Kalaeloa for development, operation, management and maintenance of a solar power facility and a pilot integrated greenhouse system.
**MOTION**
Moved by Commissioner H. Tancayo, seconded by Commissioner K. Hopkins.
**DISCUSSION**
Hawaiian Community Development Board (HCDB) Executive Director Kali Watson thanked Chairman Nahale-a for making this program a better one and expressed his aloha to Chairman. He applauded Robin Danner for her efforts on the Anahola solar project and assisting his efforts.
With respect to this particular project it will be combined in a unique benefits package with a new marketing tax credit that will provide a revenue stream between 20-25%. Mr. Watson introduced Solar City partners Peter Cooper and Lani Keala who Mr. Watson claims have
tremendous expertise and resources on these types of projects. They plan to engage in beneficiary consultations with members of the homestead communities.
Patti (Tancayo) Barbi was introduced as project manager. Ms. Barbi says Ku`upono Initiative who manages a 4 billion dollar trust will assist in providing direct funding. She detailed a number of initiatives designed to fund various projects on Hawaiian home lands. She anticipates providing support to a number of Hawaiian homestead communities.
There is a difference in the types of technology utilized in both the Anahola Solar project and the SolarCity project, claims Peter Cooper. The Anahola project will produce 12 megawatt while the SolarCity project produces 5 megawatt. SolarCity production is limited to what HECO is offering to purchase from them while Anahola will provide KIUC all of its resources.
**AMENDED MOTION**
Moved by Commissioner L. DaMate, seconded by Commissioner K. Hopkins to add to this contract on Page 3, No. 19: “approval by the Chairman **and** the Hawaiian Homes Commission.” And on Page 1, Introduction paragraph: “pilot integrated greenhouse or **warehouse** system.”
**ACTION**
Motion carried unanimously on the changes. Commissioners M. Kahikina and H. Tancayo recused from voting due to conflict of interest.
**ACTION**
Motion carried on the amended motion, except from Commissioners Kahikina and Tancayo.
**ITEM NO:** D-1
**SUBJECT:** HSD Status Reports
**MOTION/ACTION**
None, for information only.
**ITEM NO:** D-2
**SUBJECT:** Deferred Sales Price Loans Program (deleted)
**ITEM NO:** D-3
**SUBJECT:** Ratification of Loan Approval
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner M. Kahikina. Motion carried unanimously.
ITEM NO: D-4
SUBJECT: Approval of Consent to Mortgage
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner P. Artates. Motion carried unanimously.
ITEM NO: D-5
SUBJECT: Refinance of Loans
MOTION/ACTION
Moved by Commissioner P. Artates, seconded by Commissioner K. Hopkins. Motion carried unanimously.
ITEM NO: D-6
SUBJECT: Schedule of Loan Delinquency Contested Case Hearings
MOTION/ACTION
Moved by Commissioner P. Artates, seconded by Commissioner K. Hopkins. Motion carried unanimously.
ITEM NO: D-7
SUBJECT: Homestead Application Transfers/Cancellations
MOTION/ACTION
Moved by Commissioner P. Artates, seconded by Commissioner K. Hopkins. Motion carried unanimously.
ITEM NO: D-8
SUBJECT: Reinstatement of Deferred Applications
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner P. Artates. Motion carried unanimously.
ITEM NO: D-9
SUBJECT: Ratification of Designation of Successors to Leasehold Interest and Designation of Persons to Receive Net Proceeds
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner P. Artates. Motion carried unanimously.
ITEM NO: D-10
SUBJECT: Approval of Assignment of Leasehold Interest
RECOMMENDATION
Acting Homestead Administrator Dean Oshiro made a correction to Item No. 6, Page 3: Lessee: Arthur K. Mersberg's Lease No. is 3590, Lot No. 74.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner P. Artates to include corrections. Motion carried unanimously.
ITEM NO: D-11
SUBJECT: Approval of Amendment of Leasehold Interest
MOTION/ACTION
Moved by Commissioner H. Tancayo, seconded by Commission K. Hopkins. Motion carried unanimously.
ITEM NO: D-12
SUBJECT: Request to Schedule Contested Case Hearing - Lease Violations
MOTION/ACTION
Moved by Commissioner P. Artates, seconded by Commissioner M. Kahikina. Motion carried unanimously.
**ITEM NO:** D-13
**SUBJECT:** Cancellation of Lease - Rebecca Niau and Jerry Kanahele
**MOTION/ACTION**
Moved by Commissioner P. Artates, seconded by Commissioner M. Kahikina. Motion carried unanimously.
**ITEM NO:** D-14
**SUBJECT:** Request to Surrender Lease - Roy Bumanglad (aka Roy Kalani Palama)
**MOTION/ACTION**
Moved by Commissioner P. Artates, seconded by Commissioner M. Kahikina. Motion carried unanimously.
**ITEM NO:** G-1
**SUBJECT:** Approval of the Waimea Nui Regional Plan, March 2012
**MOTION/ACTION**
Moved by Commissioner L. DaMate, seconded by Commissioner M. Kahikina.
**DISCUSSION**
Planner Kaleo Manuel conveyed this regional plan was formerly known as Lalamilo-Pu’ukapu Regional Plan. It was exclusive of some of the existing homesteads and specific communities. The community suggested a name change to capture the identity of the homestead areas within this region. Three meetings were held with the community to establish its priority projects. Five priority projects were addressed: 1) Hawaiian homestead community complex, located next to Kanu O Ka’aina Charter School. 2) Revised agriculture and pastoral development plan, 3) Support land development of affordable housing in Waimea Nui. The last two priority projects address administrative projects. 4) Implementing assessment of property taxes and 5) Assessing non-standard building codes. The community felt it important to address these last two issues as it has been a concern of the community for a long time.
Commissioner L. DaMate concurs that the issues identified today in this plan are what the community has expressed to her. She thanked Kaleo Manuel for his excellent work on this
system built in 2008 supplies water to all Pu`ukapu homesteads, noted Kaleo Manuel. Waimea Nui Regional Plan submitted as part of these minutes as Exhibit "A"
EXECUTIVE SESSION
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate to adjourn in Executive Session to consult with its attorney on questions and issues pertaining to this item. Motion carried unanimously.
RECESS: 12:45 P.M.
RECONVENE: 12:50 P.M.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner L. DaMate to reconvene to regular meeting. Motion carried unanimously
ITEM NO: G-1 (cont)
SUBJECT: Approval of the Waimea Nui Regional Plan, March 2012
DISCUSSION
Commissioner I. Lee Loy expressed the excellence and dedication presented in today's regional plan and anticipates the same energy and expertise for Ka`u's Regional Plan. People in Ka`u look forward to embracing a road map to their future, added Commissioner Lee Loy.
ACTION
Motion carried unanimously.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner R. Tassill to reconvene with Item No. F-1. Motion carried unanimously.
ITEM NO. F-1 (cont)
SUBJECT: Findings of No Significant Impact - Kekaha Community Enterprise Center, Kekaha, Kaua`i
DISCUSSION
Planner Kaleo Manuel expressed mahalo to CNHA and its consultant in reviewing this submittal. There are a lot of nuances that need to be addressed. He apologized to the Planning office for earlier comments. There are a few items that need addressing. One is to append a federal compliance document required by Housing and Urban Development (HUD).
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Lee Loy to append the federal compliance document. Motion carried unanimously.
MOTION/ACTION
Move by Commissioner K. Hopkins, seconded by Commissioner I. Lee Loy to append Holly McEldowney’s letter of February 2003. Motion carried unanimously.
AMENDED/ACTION
Motion carried unanimously to approve FONSI.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Lee Loy to convene with Item H-1. Motion carried unanimously.
ITEM NO. H-1
SUBJECT: Transfer of Hawaiian Home Receipts Money at the End of the Third Quarter, FY 2012
MOTION/ACTION
Moved by Commissioner P. Artates, seconded by Commissioner K. Hopkins. Motion carried unanimously.
EXECUTIVE SESSION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Lee Loy to adjourn in Executive Session to consult with its attorney on questions and issues pertaining to the water rights in Item No. G-2. Motion carried unanimously.
RECESS: 2:00 P.M.
RECONVENE: 2:25 P.M.
MOTION/ACTION
Moved by Commission I. Aiu, seconded by Commissioner K. Hopkins to reconvene in regular meeting. Motion carried unanimously.
ITEM NO: G-2
SUBJECT: Approval to Hire Independent Counsel to Assert Hawaiian Home Lands Water Rights
MOTION/ACTION
Moved by Commissioner L. DaMate, seconded by Commissioner I. Lee Loy. Motion carried unanimously.
MOTION/ACTION
Moved by Commissioner H. Tancayo, seconded by Commissioner K. Hopkins to adjourn in Executive Session. Motion carried unanimously.
RECESS: 2:27 P.M.
EXECUTIVE SESSION
The Commission convened in Executive Session Pursuant to Section 92-5 (a), HRS, to consult with its attorney on questions and issues pertaining to the Commission's powers, duties, privileges, immunities and liabilities.
1. Waiakea Center Community Benefit Donations
2. Richard Nelson, III, Kaliko Chun et al. v HHC, Civil No. 09-1-161507
3. Honokaia `Ohana v HHC & DHHL, Civil No. 09-00395
4. Petition of Certiorari to U.S. Supreme Court, Corboy v Louie
5. Proposed Resolution of Property Tax Liability
6. Defect of Title Claims
7. June Aina v Mark Development
8. Alternate Land Use for Pastoral and Agricultural Homestead Leases
9. Hiring Private Council for HHC and Trust
10. General Leasing Policy
11. Contested Case Hearings Using Video Conference Technology
RECONVENE: 2:55 P.M.
MOTION/ACTION
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Ai to reconvene to regular meeting. Motion carried unanimously.
ANNOUNCEMENTS
KROC Center has extended an invitation to commission members to tour its facility located on Ku`alaka`i Parkway, Kapolei at 4 p.m. today. A community meeting is scheduled tonight at Kapolei High School Cafeteria beginning at 6:00 p.m.
ADJOURNMENT: 2:55 P.M.
Moved by Commissioner K. Hopkins, seconded by Commissioner I. Ai to adjourn the regular meeting.
ANNOUNCEMENTS AND ADJOURNMENT
NEXT MEETING April 23-24, 2012, Kalama`ula, Moloka`i
ANNOUNCEMENTS
ADJOURNMENT 2:55 P.M.
Respectfully submitted:
Albert P. Nahale-a, Chairman
Hawaiian Homes Commission
Prepared by:
Elaine Searle
Secretary to the Commission
APPROVED BY:
The Hawaiian Homes Commission
At Its Regular Monthly Meeting Of
April 23, 2012
Albert "Alapaki" Nahale-a, Chairman
Hawaiian Homes Commission
| FULL NAME (PLEASE SIGN) | ADDRESS (STREET, CITY, ZIP) | E-MAIL | BUSINESS / MOBILE |
|------------------------|-----------------------------|--------|------------------|
| 1. Lahelau Keahi Laloaue | 29-237 Kawainui Kanekole Street, Kailua, HI 96734 | F-2 | 397-8625 |
| 2. Kamaki Kawale | 29-237 Kawainui Kanekole Street, Kailua, HI 96734 | F-2 | 397-8625 |
| 3. Keali Luma Parakolea | 29-237 Kawainui Kanekole Street, Kailua, HI 96734 | F-2 | 397-8625 |
| 4. | | | |
| 5. | | | |
| 6. | | | |
| 7. | | | |
| 8. | | | |
| 9. | | | |
| 10. | | | |
| 11. | | | |
| 12. | | | |
Anahola Solar Project
Anahola, Kauai, Hawaii
February 2012
HCDC
Homestead • Community Development • Corporation
Kaua‘i Island Utility Cooperative
Your Touchstone Energy® Cooperative
DEPARTMENT OF HAWAIIAN HOME LANDS
AHHA
Anahola Hawaiian Homes Association
HHC Item No. A-2
Exhibit A
Date 3-19-12
About the Anahola Solar Project
The Anahola Solar Project is an outstanding example of a collaboration between a local Native Hawaiian homestead community, a non-profit Utility Cooperative, and a Hawaiian Land Trust created by the U.S. Congress in 1920 similar to Indian reservations on the continent. The project is located in the state of Hawaii, on the island of Kauai. The project will reduce the cost of energy to all of the people of Kauai while meeting the purpose of the Hawaiian Home Land Trust.
Project Profile
| Project Location: | Anahola, Kauai, State of Hawaii |
|-------------------|--------------------------------|
| | Inside the Anahola Hawaiian Homestead Community |
| Population of Anahola: | 2,300 |
| Population of Kauai: | 67,091 |
| Land Transaction: | Leased at Market Value from the Hawaiian Home Land Trust |
|-------------------|--------------------------------------------------------|
| | Administered by the State of Hawaii, Department of Hawaiian Home Lands |
| Number of Acres: | 55 Acres, with a 2-acre substation with an estimated 5,000 Panels |
|------------------|-----------------------------------------------------------------|
| Estimated Power Production: | 12 MW of the 76 MW Kauai Island System Peak |
|-----------------------------|--------------------------------------------|
| | 5.0% of the Kauai Island Usage, 4,130 residences |
| Estimated Cost of Project Construction: | $56 Million |
|----------------------------------------|-------------|
| Estimated Jobs During Construction: | 75 to 100 Full Time Positions |
|------------------------------------|------------------------------|
| Estimated Cost of Annual Operations: | $250,000 |
|-------------------------------------|----------|
| Primary Developer: | Kaua’i Island Utility Cooperative |
|--------------------|----------------------------------|
| | Non-profit Cooperative Owned by Kauai Members |
| Mentee Developer: | Homestead Community Development Corporation |
|-------------------|---------------------------------------------|
| | Non-profit of Native Hawaiian Homestead Associations |
| Partner Organization on Project: | Anahola Hawaiian Homes Association |
|----------------------------------|-----------------------------------|
| | Non-profit Homestead Association for Anahola Region |
| EPC Contractor: | REC Solar |
Capital Profile
| Estimates on Source of Funds: |
|-------------------------------|
| $36,128,832 Term Loan: USDA, Rural Utility Service |
| $11,527,517 Federal 1603 Energy Tax Incentive Grants |
| $8,400,000 State of Hawaii Energy Tax Incentives |
| $56,056,349 Total Source of Funds |
Government Agency Partners
| State Agency Oversight: |
|-------------------------|
| State of Hawaii, Department of Hawaiian Home Lands |
| Governor Abercrombie & DHHL Director Nahale-a |
| Federal Agency Oversight: |
|---------------------------|
| Department of Interior, Office of Native Hawaiian Relations |
| Secretary Salazar & Director Kaloi |
Consultation & Community Benefit Agreements
Consultation is a key tenet of federal/state Native self-determination practices, particularly when Native trust land assets are involved. HCDC engaged in 60 days of active consultation with community residents and leaders. Local knowledge, expertise and priorities resulted in a local benefits agreement that includes full value on the land lease, local job and small business opportunities, energy production revenue sharing, high school renewable energy curriculum, employment internships and fellowships, establishment of a project advisory committee of homestead residents, cultural monitoring during construction, mandatory land ownership signage, annual convening of utility/homestead leadership and annual budgeting of community based programming.
HCDC
Homestead • Community
Development • Corporation
PO Box 646
Anahola, Hawaii 96703
Phone: 808.855.2108
Kaua‘i Island Utility Cooperative
Your Touchstone Energy® Cooperative
4463 Pahe’e Street, Suite 1
Lihue, Hawaii 96766-2000
Phone: 808.246.4300
Project Timeline to Date
06/2011 Discussions Begin with KIUC and Homestead Community Leaders
08/2011 Memorandum of Understanding Executed to Collaborate
09/2011 Appropriate Lands Identified in Anahola – Appraisal Completed
10/2011 Hawaiian Homes Commission Approves Project Approach by Homestead CDC
10/2011 Hawaii Public Utilities Commission Docket Opened
11/2011 Homestead Community Consultation Begins
11/2011 Interim Land License Negotiated & Finalized
12/2011 Solar Contractor Winning Bid Awarded
12/2011 Project Qualified for Federal §1603 Energy Tax Incentive Grant Program
01/2012 Homestead Community Consultation Concluded
01/2012 Local Employment and Local Small Business Outreach Begins
01/2012 Environmental Assessment & Cultural Impact Assessment Contracts Awarded
02/2012 Homestead Benefits Agreement Finalized
02/2012 Project Progress Continues…….
About KIUC
The Kaua’i Island Utility Cooperative (KIUC) is a Hawaii consumer cooperative association and the sole generation, transmission and distribution electric load serving entity on Kauai. It was created to acquire the former Kauai Electric to return ownership and control of the electric utility on Kauai to the consumers it serves. KIUC is led by a nine-member elected board of directors, with more than 36,000 members across the county of Kauai.
KIUC, as the lead developer and financier on the Anahola Solar Project, has partnered with the Anahola Native Hawaiian community through the Homestead Community Development Corporation (HCDC) to locate the project on Hawaiian Homes Trust Lands in Northeast Kauai.
About Hawaiian Home Lands
Native Hawaiians are the indigenous peoples of the Hawaiian Islands, having settled the island chain more than 2,000 years ago. In 1920, the United States Congress enacted the Hawaiian Homes Commission Act at the urging of Prince Jonah Kuhio Kalanianaole, a member of the Hawaiian royal family, and a congressional delegate representing the territory of Hawaii, to assure a land trust for the aboriginal peoples of the Hawaiian Islands. In 1959, the U.S. Congress enacted the Hawaii Statehood Act requiring the new State to administer the land trust, also referred to as “homesteads”, with federal oversight. The State of Hawaii Department of Hawaiian Home Lands manages 203,000 acres of Hawaiian Home Lands to benefit Native Hawaiians in residential, agricultural and pastoral homesteading, as well as commerce activities.
More than 30 homestead areas statewide are organized through homestead associations with leadership positions established and elected by the membership. The Anahola Solar Project is located in the Anahola homestead on Kauai, and engages the Anahola Hawaiian Homes Association (AHHA) and its nonprofit, HCDC.
Final Homestead Benefits Agreement Overview
Anahola Solar Project
March 3, 2012
About HCDC
The Homestead Community Development Corporation (HCDC) was formed in 2009 as a tax exempt 501c3 CDC to serve one or more homestead associations with democratically elected leaders. Many homestead associations have formed CDCs to develop projects in their homestead areas. HCDC was formed to serve this purpose for multiple homestead associations to increase the efficiency and capacity of small or rural homestead associations. HCDC has been evaluated by DHHL and issued a stage four capacity level under its Kulia Ika Nuu program, one of the highest ratings provided.
HCDC may not be an approach for every homestead association, but for those that can benefit by consolidating and working together, HCDC can be an effective solution to developing projects, sharing best practices and creating organizational sustainability. To date, the following homestead associations have designated HCDC as their nonprofit development arm:
- Anahola Hawaiian Homes Association
- Association of Hawaiians for Homestead Lands
- Kaupe`a Homestead Association
- Waimea Hawaiian Homestead Association
About Homestead Benefits Agreements
HCDC has adopted the CNHA Policy Center priority to create a new paradigm at the Hawaiian Home Land Trust by moving from past practices by DHHL in primarily leasing lands only for lease rents, and instead to a practice of achieving market value lease rents plus additional benefits to the trust and to its beneficiary homestead communities. As such, HCDC developed a Homestead Benefits Agreement that we hope will be used by DHHL as a required addendum to any non-homesteading land instrument.
Solar Project Land Use Homestead Benefits Agreement
On behalf of the Anahola Hawaiian Homes Association (AHHA), HCDC worked directly with DHHL and the Kauai Island Utility Cooperative (KIUC) to develop a homestead benefits agreement on a 12MW solar project located on 53 acres of Hawaiian Home Lands in rural Anahola, Kauai.
The following are 15 components in the HBA finalized on the 53-acre parcel of Hawaiian Home Lands approved by the Hawaiian Homes Commission for non-homesteading use:
1. **Consultation.** Require consultation locally and statewide to base the content of the final HBA on the manao of HHCA beneficiaries.
*Result.* 60 days of consultation activities were completed on the project consisting of 6 consultation sessions in the Anahola homestead and through open comment forms throughout the period and distributed to the statewide homestead leadership network.
2. **Beneficiary Inclusion on the Land Transaction.** Require HCDC to be a party to the land instrument, and not solely to a non-beneficiary entity.
Result. HCDC is a party to the interim land license, and is the sole lessee on the general lease upon approval of an environmental assessment. As such, this land transaction complies with the HHCA section promoting commerce activities by beneficiary controlled organizations.
3. **Market Value on Lease Rents.** Require project to remit market value lease rents of the Anahola lands, AND that the amount must be substantiated by a third party professional appraisal.
Result. An appraisal was purchased by the HCDC/KIUC development team, and the lease rent is based entirely on the appraised value, including a 6% step up throughout the 25-year term.
4. **Revenue Sharing on Project Improvements.** Require the project to dedicate a portion of its gross revenue, not net revenue to benefit the trust and/or its beneficiary homestead community.
Result. 1% of the value of the energy generated annually for the life of the project will be directed to the beneficiary community. The energy shall be valued at $200 per MWh.
5. **Cultural & Other Subject Matter Experts.** Require the project contractors to collaborate with local practitioners and subject matter experts with specific knowledge of Hawaiian culture, stewardship practices and trust policies.
Result. Requirement included in HBA, resulting in among other things, a locally owned beneficiary consulting group contracted to complete the Cultural Impact Assessment and other Professional Services.
6. **Predevelopment Cost Reimbursement.** Require costs of beneficiary homestead association to engage, discuss, inform and contemplate project to be reimbursed by KIUC.
Result. Total budget of $55,000 dedicated toward homestead cost reimbursements.
7. **Development Fee Sharing.** Require a fee payment to benefit the homestead community once project is constructed and commercially operating.
Result. $150,000 included in HBA to be paid to benefit homestead community upon commercial operation date.
8. **Project Signage.** Require 53-acre site to have adequate signage making clear that the project is built on Hawaiian Home Lands.
Result. HBA includes a requirement for KIUC to contract the installation of signage on the project site.
9. **Employment and Business Contracting Opportunities.** To require specific efforts for local hire and use of local businesses, including homesteaders and their businesses.
Result. HBA includes requirements to hold job fairs, maintain a jobs registry, contractor briefings, and to actively conduct referrals of local residents and businesses.
10. **Operations & Maintenance Contracts.** To require specific efforts to qualify and engage local residents including homesteaders and their businesses to perform long term O & M activities such as landscaping, security, solar panel cleaning, etc.
Result. HBA includes requirement and an active outreach program.
11. **Internships, Fellowships & Employment Training.** To require KIUC to offer programming that may lead to employment opportunities within KIUC regardless of relation to the solar project itself (ie, accounting, lineman, etc)
Result. HBA includes the requirement, wherein KIUC will fully fund the salaries to engage interns, fellows or apprentices at KIUC over the project life.
12. Project Advisory Committee & Leadership Engagement. To require the establishment of a homestead advisory committee for the project, and to require engagement between homestead leaders and KIUC at least annually.
Result. The requirement is in the HBA, and includes an annual budget of up to $45,000 for the advisory committee to direct and spend on sponsorships, special project programs, briefings on Hawaiian issues, and other priorities determined by the committee.
13. High School Class Lectures. To require solar project managers to conduct classes and lectures on renewable energy and renewable energy financing at the local Native Hawaiian charter school.
Result. Requirement included in the HBA, and coordinated with Kanu Ika Pono Charter School in Anahola.
14. Renewable Energy Mentorship. To require KIUC to share and teach homestead leaders about the construction, financing and operation of a solar project to enhance capacity and invest in the knowledge and participation on future projects.
Result. Requirement included in the HBA, with full briefings and participation in financial proforma development, sharing of financial data, contractor planning meetings, and every other aspect of the project.
15. Decommission & Reclamation. To require KIUC to set aside funding and include contractual requirements to decommission the project to return the lands to former agricultural use.
Result. Requirement included in the HBA, including the decommissioning being conducted with the oversight of the project advisory committee.
Homestead Benefits Agreement Value
There are components of the HBA that have exact or projected values, and ones that have an economic impact value or are more difficult to value based on dollars. This section of the summary document compiles the values that are specific amounts and/or can be projected.
| HBA Component for 25 Year Land Instrument | Annual Avg | Total Project |
|------------------------------------------|------------|--------------|
| HBA Item #3 – Land Value at Market Value | $128,358 | $3,208,965 |
| **Total Land Value Revenues** | $128,358 | $3,208,965 |
| $2422 per acre/per year at 53 Acres | | |
| HBA Item #4 – Energy Revenue Sharing to Homestead | $52,920 | $1,323,000 |
| HBA Item #6 – Pre Development Activities to Homestead | $2,200 | $55,000 |
| HBA Item #7 – COD Fee to Homestead | $6,000 | $150,000 |
| HBA Item #12 – Advisory Committee Budget to Homestead | $45,000 | $1,125,000 |
| **Total HBA Benefits to the Homestead** | $106,120 | $2,653,000 |
| $2002 per acre/per year at 53 Acres | | |
| **Total Land + HBA** | $234,478 | $5,861,965 |
| $4424 per acre/per year at 53 Acres | | |
Homestead Benefits Agreement Summary
HCDC, along with the local homestead association and KIUC dedicated several hundred hours on the project approach, consultation sessions, negotiations and the review and drafting of various documents. In addition, KIUC, as a Kauai based nonprofit cooperative, unlike most profit making entities, shares many of the values of the homestead organizations in serving a community purpose. As a result, this HBA represents a first-of-its-kind partnership between a homestead community and a local utility to build the largest solar project in the state, on Hawaiian Home Lands. Truly a new paradigm and experience where homestead residents are actively involved in the development of trust lands in their community.
For the majority of the last 50 years of administration by the state DHHL, lands issued from the pool of trust lands for non-homesteading purposes, has been done primarily on lease value of the land. On this project, the 53 acres would yield $3.2 million under this approach, which is consistent with hundreds of land instruments approved by the Hawaiian Homes Commission over the last 50 years. With the new priority of implementing an HBA on every non-homesteading land instrument, and customizing the HBA to the project, an additional $2.6 million has been achieved on the same 53 acres for a total of $5.8 million.
Moreover, the non-revenue and/or economic impact components of the HBA are incredible standards, including signage, school lectures, employment internships, contracting opportunities, and cultural activism in the implementation of the project, together worth additional millions of dollars indirectly.
We mahalo the Hawaiian Homes Commission, the Department of Hawaiian Home Lands, the leadership of the Anahola homestead, other homestead leaders around the state and KIUC, all of which contributed to the HBA, as well as the Anahola Solar Project.
Final Environmental Assessment
Kekaha Community Enterprise Center
Kekaha, Kaua`i, Hawai`i
TMK # (4) 1-2-017:051
Prepared for
State of Hawai`i
Department of Hawaiian Home Lands
March 2012
HHC Item No. F-1
Exhibit A
Date 3-19-12
Final Environmental Assessment (FEA) Kekaha Community Enterprise Center
Kekaha, Hawai`i
Applicant
State of Hawai`i Department of Hawaiian Home Lands
Hale Kalanianaole PO Box 1875
Kapolei, Hawai`i 96707
Mr. Kaipo Duncan, Land Agent
Proponent
Kaua`i Community College and the
Council for Native Hawaiian Advancement
1050 Queen Street, Suite 200
Honolulu, Hawai`i 96814
Lilia Kapuniai, Vice-President
Prepared by
NORTH SHORE CONSULTANTS, LLC
PO Box 790
Haleiwa, HI 96712
David M. Robichaux, Principal
PROJECT SUMMARY
PROJECT NAME: Kekaha Community Enterprise Center
APPLICANT/LESSOR: Council for Native Hawaiian Advancement
1050 Queen Street, Suite 200
Honolulu, Hawai‘i 96814
PROJECT LOCATION: Kekaha, Hawai‘i 96752, Waimea District
TAX MAP KEY: (4) 1-2-017: 051
PROPERTY OWNERSHIP: State of Hawai‘i Department of Hawaiian Home Lands
HUD GRANTEE: Kaua‘i Community College/ Council for Native Hawaiian Advancement
LOT AREA: 2.629 acres (117,539 s.f.)
EXISTING USE: Vacant.
PROPOSED USE: Community Center.
STATE LAND USE: Urban
COUNTY ZONING: Agriculture District (A), Residential (R-6)
SPECIAL DISTRICT: Special Management District
ACTION REQUESTED: Use of State Lands
APPROVING AGENCY: Department of Hawaiian Home Lands
ANTICIPATED DETERMINATION: Finding of No Significant Impact (FONSI)
PERMITS REQUIRED IWS and NPDES Form C
AGENCIES CONSULTED: Department of Hawaiian Home Lands
US Fish and Wildlife Service
Kaua‘i Planning Department
Hawai‘i Department of Health EPO
# Table of Contents
1.0 Project Description ........................................................................................................ 1
1.1 Project Location ......................................................................................................... 1
1.2 Proposed Action ......................................................................................................... 1
1.3 Project Objectives ....................................................................................................... 5
1.4 Project Schedule ......................................................................................................... 6
1.5 Permits and Approvals ............................................................................................... 7
1.6 Need for an Environmental Assessment ................................................................... 7
2.0. Environmental Setting, Anticipated Impacts, and Mitigation Measures ..................... 9
2.1 Existing Land Use ........................................................................................................ 9
2.2 Socioeconomic Characteristics .................................................................................. 9
2.3 Weather and Climate .................................................................................................. 11
2.4 Topography, geology and soils .................................................................................. 11
2.5 Surface Water and Drainage ...................................................................................... 12
2.6 Biological Resources ................................................................................................ 12
2.7. Archaeological, Cultural and Historic Resources .................................................. 13
2.8 Scenic and Visual Resources ...................................................................................... 16
2.9 Traffic Impacts ........................................................................................................... 16
2.10 Noise Environment ................................................................................................... 17
2.11. Air Quality .............................................................................................................. 17
2.12. Public Utilities and Infrastructure .......................................................................... 18
2.13. Public Services ....................................................................................................... 19
3.0 Alternatives to the Proposed Action ............................................................................ 20
3.1 No Action Alternative ................................................................................................. 20
3.2 Alternative Location .................................................................................................. 20
4.0 Relationship to Plans, Codes and Ordinances ............................................................. 21
4.1 United States .............................................................................................................. 21
4.2 State of Hawai`i ......................................................................................................... 21
4.3 County of Kaua`i ....................................................................................................... 22
5.0 Growth-Inducing Factors, Secondary and Cumulative Impacts ........................................ 23
5.1. Irreversible and Irretrievable Commitment of Resources ........................................... 23
5.2. Adverse Impacts Which Cannot be Avoided ............................................................. 23
6.0 Determination .................................................................................................................. 24
6.1 Definition of Significance ............................................................................................... 24
6.2 Finding of No Significant Impact .................................................................................... 26
7.0 Consulted Parties and Preparers ...................................................................................... 27
7.1 Public Input received during preparation of the Final EA ............................................. 27
7.2 Agencies contacted during preparation of the Final EA ............................................... 27
7.3 Preparers ......................................................................................................................... 28
8.0 References ......................................................................................................................... 30
Figures
1. Location Map
2. Subdivision Map
3. Conceptual elevation drawing
4. Conceptual Site Plan Drawing
5. Conceptual Floor Plan Drawing
6. Project Schedule
7. Map of Culturally Sensitive Area
Appendices
a. Comments received during preparation of the Draft Environmental Assessment
b. Archaeological Report
c. Meeting notes and Attendees Public hearing on November 29, 2011, Comments/responses received following publication of the DEA
1.0 Project Description
The following section describes various aspects of the proposed development associated with the Kekaha Community Enterprise Center to be located on Lot 51 of the Kekaha Residence Lots. The land and infrastructure is owned by the State of Hawai`i Department of Hawaiian Home Lands, (DHHL). The property is located near Kekaha, County of Kaua`i, State of Hawai`i, USA.
1.1 Project Location
The project is located on the west end of the community of Kekaha on the southwest side of the Island of Kaua`i (Figure 1). It lies within The Kekaha Residence lots; a new residential area which is owned by DHHL and developed in 2005. The site is identified as Tax Map Key: (4) 1-2-017: 051. At this time there is no street address. The parcel covers 2.62 acres and is on the southwest corner of the subdivision (Figure 2). The southwest portion of neighborhood is dedicated to other public uses including a school and Kekaha Gardens Park. This lot was originally designated for use as a detention basin, which was subsequently determined to be not necessary. It is bounded on the north by Ulili Street, on the South and west by vacant undeveloped land, and on the east by residential lots. A large drainage structure surrounds the property on the east, south, and west.
1.2 Proposed Action
The Kekaha Community Enterprise Center (KCEC) will be funded by a grant from the U.S. Department of Housing and Urban Development (HUD), through the Alaska Native/Native Hawaiian Institutions Assisting Communities Grant Program. The grant was awarded to the Kaua`i Community College with the Council for Native Hawaiian Advancement as the sub-recipient managing the project. Upon completion the KCEC will serve the Kekaha Hawaiian Homestead beneficiaries, the Kekaha Hawaiian Homestead Association, and community members of Western Kaua`i.
The Center will be a 2600 square foot (sf) single level building designed in a style consistent with other single family homes in the neighborhood (Figure 3). Internal spaces include:
| Space | Size |
|------------------------------|--------|
| An entrance area | 336 sf |
| A covered lanai | 768 sf |
| An open Learning Center Room| 648 sf |
| A lunch/Conference Room | 294 sf |
| An Office | 120 sf |
| Storage | 120 sf |
The total covered lanai space will be approximately 1200 sf and the total interior spaces will be approximately 1368 sf. There will be a single bathroom with no shower or bathtub facilities. The building will have an uneven L-shape with a hip roof (Figure 4).
Figure 1: The approximate location of the Kekaha Community Enterprise Center, Kekaha, Kaua`i, Hawai`i
Figure 2: Subdivision Map showing the location of the KCEC parcel within Kekaha Gardens Subdivision
Figure 3: Conceptual elevation of the proposed building
Figure 4: Conceptual site layout
Figure 5: Floor plan of the proposed building.
The Kekaha Community Enterprise Center will be built and operated by Council for Native Hawaiian Advancement. Typical activities onsite include office activities, group meeting and training events and other general community meeting facility uses. The hours of operation for the facility are from 8:30 am to 5:30 pm Monday through Friday.
1.3 Project Objectives
The goal of the proposed project is to construct the KCEC on Lot 51 to offer basic skills and capacity building sessions to West Kaua`i Hawaiian Homestead residents. It will serve as a community resource by providing offices and meeting rooms to support community activities and learning.
The objective of the proposed action is to assist Native Hawaiian institutions to expand their role and effectiveness in addressing community development needs. The approach will be to assist Native community-based development organizations in
• neighborhood revitalization,
• economic development,
• energy conservation,
• employment,
• crime prevention,
• child care,
• transportation,
• health care,
• drug abuse, and
• education.
The facility will be used for organization and locating counseling and training programs, small business assistance, community events and family services.
Examples of these services include training in
• financial literacy counseling,
• foreclosure prevention workshops,
• substance abuse counseling, and
• support for microenterprises.
1.4 Project Schedule
Planning for the proposed KCEC has been ongoing since 2007. Funds were secured near the end of 2009 and community interfacing was begun during that period. In October 2011 the final steps for planning, permitting and design were initiated. This Environmental Assessment and required building and grading permits will be completed by April, 2012. Construction will begin shortly thereafter and be completed by the end of August. Initial operations are expected to begin in September 2012. A proposed schedule is included in Figure 6.
1.5 Permits and Approvals
Because the development is located on DHHL land, County of Kaua`i permits and approvals are not required. It has been the policy of DHHL to comply with these permits; however, it is likely that this compliance will be done with informal consultations and that no formal permit applications will be submitted. State and other permits that may be required are listed below:
| Permit or Approval | Approving Agencies |
|-------------------------------------|----------------------------------|
| Environmental Assessment | Department of Hawaiian Home Lands|
| Individual Wastewater (Septic) | Department of Health |
| NPDES Stormwater Form C | Department of Health |
1.6 Need for an Environmental Assessment
The Kaua`i Community College has requested a grant from the U.S. Department of Housing and Urban Development (HUD) for the development of a community enterprise center in Kekaha, Kaua`i. These funds were provided by HUD and are administered by the Kaua`i Community College along with subgrantee The Council for Native Hawaiian Advancement. Any project utilizing federal funding is subject to the National Environmental Policy Act (NEPA). The objective of NEPA is to inform the public and other agencies on the actions and initiatives of the federal government. NEPA requirements
for the proposed KCEC were satisfied previously by the Federal HUD Environmental review process. The federal environmental review forms and acceptance letter are included here in Appendix C.
The State of Hawai‘i has similar requirements which are defined in Hawai‘i Administrative Rules (HAR) Chapter 11-200, and Hawai‘i Revised Statutes (HRS) Chapter 343, called HEPA. HEPA encourages cooperation between federal and state agencies in the environmental review process; however, since the federal review was completed in advance of the State’s, it was determined that separate environmental review documents should be prepared.
This Environmental Assessment is prepared in conformance with the requirements of HAR Chapter 11-200, which contains 9 distinct triggers. Should any of the triggers be applied to the proposed action an Environmental Assessment (EA) or Environmental Impact Statement (EIS) will be required. Triggers are defined in the regulation as follows:
1. Use of public lands or funding…
2. Use of land in the State Conservation District…
3. Use within the Shoreline setback…
4. Use of any historic site of district…
5. Use within the Waikiki District…
6. Requires amendment to the General Plan…
7. Reclassification of Conservation district Lands…
8. Proposed helicopter facilities
9. Propose any:
\((a)\) Wastewater facilities
\((b)\) Waste-to Energy Facility
\((c)\) Landfill.
\((d)\) Oil refinery, or
\((e)\) Power generating facility.
The proposed action will utilize public funding from the HUD and public land belonging to DHHL. As stated, the federal requirement has been previously satisfied. This EA is prepared to satisfy the requirements of the Hawaii Environmental Protection Act (HEPA) contained in HAR 11-200 and HRS 343. This document is prepared in response to Trigger Number 1 because it will utilize public land.
2.0. Environmental Setting, Anticipated Impacts, and Mitigation Measures
2.1 Existing Land Use
The subject property is in an agricultural area that has experienced minor residential development over the past 10 – 20 years. Adjacent uses include single-family residences to the north and east and fallow agricultural lands to the south and west. Kaumuali’i Highway is approximately 500 feet to the south at its closest point. The subject property is accessed by Ulili Road. A District Park is located to the northeast across Ulili Road.
The project site is located on the western end of Kekaha. The general area was in cultivation of sugarcane until the late 1990s, but it is unlikely the cane field extended over the subject property. The Kekaha Gardens subdivision was originally constructed starting in the early 1970’s and is still being developed. The property has not contained structures during recent history. It was covered with Kiawe and other brush and trees until it was cleared in late 2005. Since 2005 there has been no additional activity on the property with exception of periodic removal of abandoned vehicles, clearing and mowing.
The subject property is in the State Urban District, and the County zoning is Residential (R-6). It is located within the Special Management Area (SMA).
The proposed project will be located within a residential subdivision. Its use will be as a meeting place and resource to serve the community. The DHHL is exempt from County Zoning restrictions; however, the Department generally stays within the guidelines specified by County regulations. A community Center is an allowable land use within the residential zone. The Special Management Area requirements involve prevention of environmental degradation including management of stormwater and hazardous materials. Compliance with these requirements will be made part of the operations plan for the facility.
Impact and Mitigation
The area of Kekaha Gardens is dedicated to community uses. The proposed KCEC is compatible with the park. Because the KCEC is intended to primarily serve the Kekaha Gardens DHHL beneficiaries, the normal noise and traffic generated by the facility is expected to be minimal. With exception of special events the Facility will be operated during business hours and primarily serve the immediate residents of the Kekaha Gardens subdivision. The proposed addition will not significantly alter the appearance, population, or usage of the surrounding areas.
2.2 Socioeconomic Characteristics
As of the 2000 census, there were 3,175 people, 1,073 households, and 799 families residing in the Census Designated Place (CDP) of Kekaha. The population density was 3,178.2 people per square mile. There were 1,162 housing units at an average density of 1,163.2 per square mile. The racial makeup of the CDP was 15.9% White, 0.2% African American, 0.5% Native American, 43.6% Asian, 12.4% Pacific Islander, 1.0% from other races, and 26.4% from two or more races.
There were 1,073 households out of which 30.4% had children under the age of 18 living with them, 55.9% were married couples living together, 13.1% had a female householder with no husband present, and 25.5% were non-families. 21.4% of all households were made up of individuals and 9.4% had someone living alone who was 65 years of age or older. The average household size was 2.96 and the average family size was 3.44.
In the CDP the population was spread out with 25.1% under the age of 18, 7.5% from 18 to 24, 24.4% from 25 to 44, 27.4% from 45 to 64, and 15.6% who were 65 years of age or older. The median age was 40 years. For every 100 females there were 98.1 males. For every 100 females age 18 and over, there were 96.2 males.
The median income for a household in the CDP was $41,103, and the median income for a family was $48,629. Males had a median income of $32,969 versus $26,739 for females. The per capita income for the CDP was $17,117. About 10.9% of families and 11.2% of the population were below the poverty line, including 11.8% of those under age 18 and 11.1% of those ages 65 or over (Wikipedia, 11/2011). The DHHL community immediately surrounding the proposed facility is expected to have socio-economic characteristics that are different from the larger community of Kekaha.
Data that is more applicable to Native Hawaiian living on the Island of Kauai is available from a survey done for DHHL in 2008 (DHHL, 2008). Of the respondents almost all (96%) were applicants waiting on a homestead. About half had income exceeding 80% of the median family income and half were below the 80% income level. 35% of respondents owned a home, nearly 40% rented, and another 25% shared accommodations or had other no cost living arrangements. Of the applicants responding 43% had never been offered a homestead award, and 55% have been offered and turned down an award at least once.
The provision of training and community management services and training are important functions within the community to cope with substance abuse and provide skill sets designed to improve income potential among the residents. The project will also provide economic benefits that include the creation of construction employment, the addition of four additional staff positions, generation of operational income, additional tax revenue, and secondary spending. The proposed action will have positive social and economic impacts. The project is consistent with the plans and policies for directed growth in the Kekaha area and is a positive contribution to the ultimate development of the region.
2.3 Weather and Climate
Kekaha typically has a warm and dry climate. Prevailing tradewinds arrive from the northeast. According to the National Weather Service Honolulu Office, over a period of 30 years, normal monthly high temperatures range from 80 degrees in January to a high of 89 degrees in August for an average of 84 degrees. Normal month low temperatures range from a low of 65 degrees in February and a high of 74 degrees in August for a monthly average of 70 degrees. Precipitation typically ranges from 0.44 inches in August to a high of 3.8 inches in December.
2.4 Topography, geology and soils
The project site is relatively flat and has been graded and partially cleared. The project site and surrounding areas are relatively flat and devoid of any significant natural features. The site is naturally drained and storm water is retained onsite.
The project site is located on soils classified Jaucus loamy fine sand, 0 to 8% slopes according to the *Soil Survey of Islands of Kaua`i, Oahu, Maui, Molokai, and Lanai, State of Hawai`i* by the U.S. Department of Agriculture Soil Conservation Service. This series occurs on old beaches and on windblown sand deposits in the western and southern parts of Kaua`i. It has a profile like that of Jaucus sand with a different texture on the surface layer. These soils are used for pasture, sugarcane, truck crops, recreational areas, wildlife habitat and urban development.
There is no known evidence of hazardous materials, solid wastes or industrial land use that may suggest on-site contamination. The site may have been in sugar cane cultivation in years past.
**Impact and Mitigation**
The project will require surface grading to prepare for the proposed construction. Impacts related to grading and construction are discussed in Section 2.5. Best Management Practices will be in place during the grading work, in accordance with the rules relating to soil erosion, or standards and guidelines imposed by the County.
2.5 Surface Water and Drainage
The southwest corner of the lot is approximately 700 feet from an unprotected coast of the Pacific Ocean. Surface elevation of the site is approximately 12 feet above mean sea level. There are no streams or other natural surface water runoff features in the area. Kekaha is relatively arid, with sandy soils having high permeability and low slope. The combination makes surface water runoff infrequent. The area is subject to occasional winter storms that drop rainfall in quantities that are not absorbed by the ground. The subject property is surrounded on three sides by grassed or paved drainage channels. Originally the subject property was designated as an infiltration basin because of the collection swales. The swales are still in place and functional as dispersion areas during extremely heavy rainfall. These are expected to prevent surface water runoff from impervious surfaces of the subdivision without affecting the proposed KCEC or stormwater characteristics of the subdivision.
According *The Flood Insurance Rate Maps*, the project site is located in Zone X an area in which flood hazards are undetermined. No flood elevations have been established for FIRM maps in this area. Kaumuali’i Highway was flooded and closed during Hurricane Iniki, and there may have been storm surge flooding at the project site during that time. Extraordinary events such as this are an accepted part of living in Kekaha and many areas of the State.
*The Civil Defense Tsunami Inundation Map* Panel 10 indicates that the project site is not located in an area vulnerable to tsunami inundation (Kauai Civil Defense Agency, 2008).
**Impacts and Mitigation**
The proposed action will add approximately 2,500 square feet of impermeable surface over the 115,000 square foot parcel. Addition of 2% impervious surface is not expected to increase runoff to any measurable extent. In the rare instances when surface water runoff occurs it is very likely to be intercepted in the man-made drainage features surrounding the site. Best management practices and soil erosion controls will be used during construction of the facility, and suitable ground cover will be installed following construction, to minimize erosion.
2.6 Biological Resources.
The subject property has been graded as recently as 2006 and is now covered with invasive colonizing species, which are common in similar areas throughout the State. The dominant grasses are
Buffelgrass (*Chenchrus ciliaris*), Sandbur (*Chenchrus echinatus*), and Guinea grass (*Panicum maximum*). Trees and brush include Koa Haole (*Leucaena glauca*), Kiawe (*Prosopis pallida*), and Ironwood (*Casurina sp*). A brief survey of the subject property by North Shore Consultants and others did not reveal threatened or endangered plants. A few instances of native plants including a`ali`i (*Dodinea viscosa*), and ilima (*sida fallax*) are found in the area, both occur commonly.
A botanical survey completed in 1993 for the subdivision concluded:
Rare native plants are very vulnerable to soil disturbance, invasive seeds and human activity, all of which have been present for many decades at the site. It is highly unlikely that any additional survey work will uncover any rare and endangered Hawaiian plant species (Flynn and Chapin, 1993).
Animal life common to the area is subject to similar pressures as are plants in the area. Threatened and endangered species fare poorly when exposed to repeated grading, invasive animals, and human activity. No Threatened or endangered species are known to inhabit or nest on the subject property. Seabirds including Newell’s shearwater (*Puffinus auricularis newelli*), and the Dark rumped petrel (*Pterodroma phaeopygia sandwichensis*) are likely passers-by. The endangered Hawaiian Duck (*Anas wyvilliana*), *Nene* (*Branta sandvicensis*) Hawaiian Hawk (*Buteo solitaries*) may also be seen on occasions in the vicinity of the subject property.
**Impacts and Mitigation**
The proposed action will add to the amount of human presence in the area; however, the addition of a community center in the vicinity of a park, and residential areas will not create significant additional impacts on threatened and endangered plants or animals in the vicinity. No mitigation is required to support biological resources.
**2.7. Archaeological, Cultural and Historic Resources**
The subject property was studied as part of a larger 89 acre Archeological study completed in 1993 for the overall development (Cultural Surveys Hawai`i, Hammatt et al. 1993). During that study, in addition to a comprehensive surface survey, 100 subsurface test trenches were excavated. Figure 7 shows the location in relation to the subject property. The study recorded no archeological artifacts or *iwi* within the area of the current study parcel. The following is a summary of the findings of the 1993 Cultural Surveys Hawai`i study:
Hammatt et al. (1993) identified two distinct geomorphologies within their overall study area, a Pleistocene aged lithified dune area (comprising most of the 89 acre project area), and a previously sand-mined more recent (Holocene) coastal dune area. The current study parcel falls in the previously mined area at the interface of the older and younger deposits. No archaeological deposits or features were found in the lithified dune area. Subsurface archaeological resources including two burials were discovered in the previously sand-mined, coastal dune area. These resources were found to exist to the south and west of the current study parcel (see Figure 7). In that area, burials were encountered in Trench 7 and Trench 18. A widespread but discontinuous cultural deposit was recorded extending along the coast and terminating *makai* of the subject property. Four test trenches were excavated on the subject property, Trenches 3, 4, 83 and 100.
All trenches within or immediately adjacent to the subject property documented negative results with respect to archaeological resources. Profiles of these trenches are included in Appendix A along with an Archeological survey conducted by Rechtman Consulting, Inc.
Dr. Robert B. Rechtman, Ph.D. conducted a 100% surface reconnaissance of the subject parcel to assess the probability of archaeological resources were present at the site. It was evident that the entire 2.6 acre lot had been subject to surface grubbing and grading in the past as well as subsurface disturbance along its margins where the drainage channels were constructed. The channel along the eastern parcel boundary is concrete lined, while the channel along the southern boundary is partially concrete and partially filled with large boulders, and the channel along the western boundary is an earthen swale. Dr. Rechtman concluded that it was unlikely that the study parcel contained archaeological resources. Several areas nearby the proposed site have cultural significance. These include a 12-acre site adjacent to the highway and beach and 1-acre near the existing homestead area are designated Special Districts due to the presence of cultural artifacts and *iwi* (Figure 7).
*Figure 7: Showing the subject property in gray along with the area having known or suspected cultural deposits shaded in pink. Dots with numbers are test pits or trenches dug during the 1993 study. From Hammett et al, 1993*
Other known historic sites located within 2 miles of the subject property include two heiau that are listed on the Hawai‘i Register of Historic Places (sites number 30-05-12 and 30-05-16).
A letter from the State Historic Preservation Division of DLNR was obtained for the benefit of the whole subdivision development in 2003. It states that there are no historic sites in the development area because urbanization and residential development have altered the land, and that no historic properties will be affected by the proposed development of the Kekaha Gardens subdivision.
The project area had been in sugar cultivation for over 200 years. The heavy disturbance and active use of the land during the sugar cultivation years may have precluded use by native Hawaiian cultural practitioners during plantation years. The 2003 EA prepared for the development of the entire subdivision requested opinions from local *Kupuna* on the existence of unique cultural resources of the area. None was documented during that assessment. Native use of the site and by reference cultural practices probably occurred on the site during pre-history; however, no evidence of such practices has been discovered during this or previous assessments.
Some stories were related by residents that the Sugar Company used the land for a dump site in recent history.
**Impact and Mitigation**
The known and suspected burials will be protected within special districts from future housing and incompatible uses. The proposed uses within the special districts include a pavilion area, picnic tables, campsites, and restroom facilities. The area would benefit DHHL beneficiaries island-wide who would be able to come to the property for camping and ocean recreation.
To further protect cultural, archeological and historic resources on-site monitoring will be used during significant grading activities. The following conditions will be included in all permits for grading and construction as recommended by the State Historic Preservation Division (Division): documents:
1. A qualified archeologist shall be hired to conduct onsite monitoring as needed during the project. Prior to starting the monitoring work an acceptable monitoring plan shall be submitted to the Division for review and approval. The Monitoring Plan will spell out a process for documenting sites that are found, for evaluating significance in consultation with the Division and for developing and executing mitigation work with the approval of the Division, and for mitigation treatment (as needed) with approval of the Division. The Monitoring Plan must be clear that if historic sites, including burials, are uncovered during the monitoring, construction must stop in the immediate vicinity and the archeologist shall be allowed sufficient time to evaluate the site and carry out mitigation as needed. The Plan must include provisions for an acceptable Monitoring Report, documenting all the findings to be approved by the Division.
2. If burials are found, a burial treatment Plan shall be prepared for inadvertent burial discoveries encountered during the monitoring of the project. In addition, consultation with appropriate ethnic groups, the procedures outlined in Chapter 6E-43 shall be followed. It is necessary for the
Treatment Plan to be prepared after consultation with Native Hawaiians, such as the Kaua`i Island Burial Council and the Office of Hawaiian Affairs.
3. A report documenting the monitoring and burial treatment work shall be submitted to the Division for review and approval. The report shall include:
1) Detailed drawings of burials and deposits to scale.
2) All artifacts shall be sketched and photographed
3) Analysis of all perishable and datable remains shall be conducted
4) Stratigraphic profiles shall be drawn to scale,
5) All locations of historic sites shall be shown on an overall map of the project area,
6) Initial significance evaluations shall be included for each historic site found,
7) Documentation of the nature and age of each of the historic sites shall be done.
The proposed action is not expected to result in significant negative impacts on historic sites, archaeological artifacts or Native Hawaiian cultural practices. Alternatively, the proposed action is intended to provide valuable services to the community, resulting in positive impacts for Native Hawaiian beneficiaries.
2.8 Scenic and Visual Resources
The proposed action will result in the loss of 2.6 acres of open space that will be replaced by a new building. Portions of the subject property are used for a horse paddock, and the rest is unused. Its current condition is unkempt and unsightly. The property would not be considered a visual resource by itself and due to topography and vegetation. The subject property does not offer scenic coastal views.
Impact and Mitigation
The site is not located on or considered part of any significant scenic vista. The proposed project is expected to have a positive impact on the scenic value of the neighborhood by replacing the existing fallow brush with an area that is maintained. No mitigation measures are proposed.
2.9 Traffic Impacts
The proposed action is to construct a community center to serve community members. Traffic is expected to be primarily of local origin rather than from outside the community. The KCEC is located near the west end of Ulili Road. Offsite access to the KCEC is from Kaumuali`i Highway to Aki`aloa Road, one block then left on Ulili Road. Kaumuali`i Highway is the major highway serving the region. It is currently operating well below its capacity.
The KCEC is designed to serve a limited number of beneficiaries during business hours. Most of the facility users will be from Kekaha Gardens subdivision or other nearby Hawaiian Home Lands communities. The quantity of new traffic into the subdivision is expected to be limited to specialists who are there to offer support for the beneficiaries and occasional guests from outside the community. Ulili Road is designed to accommodate school and park traffic, which will be far in excess of the KCEC.
utilization. The facility is expected to sponsor special events on occasion. These are most likely to be during evenings and weekends when other traffic will be minimal.
**Impact and Mitigation**
No significant impact on traffic is expected to result from the proposed action.
2.10 Noise Environment
Sources of noise within the project area are typical of urbanized environments. Noise sources include vehicular traffic, park activities, and aircraft operations from Barking Sands.
Operation of the KCEC will not generate significant amounts of noise during business hours. Should the facility be used for parties or special events these activities would be restricted to certain hours, to avoid impacts to neighboring residents.
Short-term noise impacts will occur during the construction period. These impacts result from trucks, construction equipment operation and actual construction activities. These impacts are unavoidable, but will be subject to prevailing construction noise management regulations. Construction will be limited to standard business hours.
**Impact and Mitigation**
Short-term and temporary noise impacts related to construction are to be expected. These will be mitigated through limiting construction to standard business hours, and best management practices. The successful construction contractor will utilize best management practices to minimize the noise impact during construction operations. Evening events may generate noise on special occasions. The facility operating rules will limit the duration or special functions to 10:00 pm in order to reduce potential disturbance related to evening events at the facility.
2.11. Air Quality
The proposed project is on the leeward side of Kaua`i in an agricultural area. Air quality in Kekaha is generally quite good in terms of the regulated pollutants. Agricultural activities regularly generate dust upwind of the project site. This dust is unavoidable and uncontrolled by current regulations.
The KCEC is not expected to be a source of regulated air pollution during its construction or operation. A community kitchen is one possible future component of the facility. Kitchen odors may be present during its operation, typically during early morning hours. Cooking odors are not normally considered an impact, but may occasionally be unpleasant.
Minor dust and odors may be generated during site construction. As discussed above, dust generated from offsite is usually present. During North easterly wind conditions, dust generated on the subject property would not migrate over developed areas, but be carried across the highway to the ocean. Dust and possible diesel odors would be short term temporary impacts associated with construction.
Impact and Mitigation
Minor short-term air quality impacts may occur during construction from fugitive dust and diesel-powered equipment. These pollutants are expected to be transported away from developed areas by tradewinds. Mitigation measures to control dust include frequent watering of exposed soil, dust screening, and general good housekeeping practices. The County will require all construction contractors to utilize best management practices for reduction of dust and odors as a condition of the permit. No long-term air quality impacts are anticipated from the proposed action.
2.12. Public Utilities and Infrastructure
The subject property is currently served by an existing County water system installed during the original construction of the subdivision. The use of County water is not expected to change significantly because the facility will primarily serve residents who are provided water by the same water main supplying the subdivision. The KCEC will install a new meter and pay the infrastructure fees, but because the users primarily originate within the community, no significant increase in area-wide water use is anticipated. Water conservation measures are likely to be part of the permit requirements.
Electricity was provided to the site boundary by Kaua`i Island Utility Cooperative (KIUC) during the initial construction of the subdivision. Power demands from the facility are likely to be within the normal range for a single family household. The capacity for generation and transmission of power is adequate to meet the additional demand proposed for the KCEC.
Telephone service is supplied by Sandwich Isles Communication, Inc. (SIC) under a license to the Hawaiian Homes Commission. SIC is providing an underground fiber optic system to all Islands. Upon completion the system will deliver high speed internet, telephone and television to the area. Nearby areas oar also served by Oceanic Cable company which may also supply high speed internet, telephone and television.
Stormwater generated in the entire community is drained toward the project site and dispersed in large collection swales surrounding Lot 51. Infiltration of stormwater is quite rapid and the design of stormwater interceptors has proven adequate since its construction. Construction of the KCEC will add approximately 3,000 square feet of new impermeable surface to the area. The quantity of impervious surface is less than 2% of the subject property area and will not result in a measurable increase of stormwater runoff. The County requires that storm water runoff from new impermeable surfaces be retained on site. This will not be a problem using the current design.
Wastewater is disposed in individual wastewater systems (IWS) which by law now consist of septic tanks and leach fields. One septic system is allowed per each lot of record. The KCEC will have a septic system designed and permitted within the requirements imposed by the Hawai`i Department of Health. An IWS permit will be obtained from the Department of Health during the development process.
Solid waste will be generated by the facility on a scale that is roughly equivalent to a single family home. During special events, this quantity may increase significantly; however, the quantity of solid waste is not expected to overwhelm the existing infrastructure for collection and disposal. It is expected that private refuse collection service will be used to service the project site, and management may implement recycling programs.
**Impact and Mitigation**
The proposed action is not expected to significantly affect the capacity of any public utilities or infrastructure due to the limited size and scope of operations.
2.13. Public Services
The Waimea Fire Station provides fire protection service to the project area as well as first response emergency medical service. The station is located 9835 Kaumuali’i Highway in Waimea. Response time to the project site is approximately seven minutes. Back up response will be provided by the Hanapepe Fire Station. Ambulance service is provided by American Medical Response (AMR) which will provide emergency services first to Kaua’i Veterans Memorial Hospital and secondly to Wilcox Memorial Hospital. Police service is provided by the Kaua’i Police Department Waimea Substation, which is collocated with the Waimea Fire Station. Response time to the site by the beat patrol is approximately five to ten minutes.
**Impact and Mitigation**
The proposed action is a service center for existing residents. Its construction and operation will not significantly affect the demand for police, fire or ambulance serves. Other public services including parks, recreational facilities and schools are not expected to be affected by the proposed action for the same reason.
3.0 Alternatives to the Proposed Action
The goals and objectives of the proposed project are to offer basic skills and capacity building sessions to West Kaua‘i Hawaiian Homestead residents. The proposed action is intended to serve as a community resource by providing offices and meeting rooms to support community activities and learning in order to assist Native Hawaiian Institutions to expand their role and effectiveness in addressing community development needs.
3.1 No Action Alternative
Under the No-Action Alternative the KCEC would not be constructed, the 2.6 acre parcel would remain undeveloped and the services and functions of the facility would not be provided. The No-Action Alternative is rejected because it does not meet the needs of the beneficiaries or the mission of the Council for Native Hawaiian Advancement and other cooperating institutions.
3.2 Alternative Location
The KCEC could provide the desired services from a different location or different configuration; however, after consultation with agencies providing funding and guidelines the current configuration is deemed appropriate for the scope of services proposed. The location is appropriate because it is located within the Hawaiian Homelands community. Its location is in the portion of that community which is designated for public facilities including a planned school and park. The proposed site has fewer negative characteristics than if it were located elsewhere in the community.
An alternative location was the County Park next to the DHHL subdivisions. Discussions with the County Parks department staff indicated some willingness to consider this possibility but there was never a clear path of action to facilitate its development. The County system was not conducive to changing the designation or planned use of its land to the benefit of Native Hawaiians and the process would not have progressed at a rate that was acceptable to the funding agency. Federal funding for the project is vulnerable to delays, and the County decision-making process would almost certainly have exceeded the period allowed to encumber the funds and build the facility.
Another location suggested was the possibility of it being located in the Hanapepe area designated for commercial or community use. The Hanapepe site is a prime commercial use that is viewed for future revenue generation by the Department so the center would have to be integrated with potential future commercial establishments. This possibility was evaluated and rejected due to potentially high operating costs and difficulty for access by the intended beneficiaries. The Hanapepe sites do not meet the primary objective of providing a resource to the DHHL beneficiaries.
A third site considered was one of the residential lots, Lot 26, within the subdivision, which is also designated TMK# (4)1-2-017:026. Lot 26 is near the northwest side of the residential area on an 11,000 square foot lot. Its proximity to other houses and limited areas created potentially greater impacts to surrounding neighbors. The lot was rejected because of its size, location, and the fact that if it were used for the KCEC, the lot would not be available for a residential use and one more beneficiary would be denied access to the community.
4.0 Relationship to Plans, Codes and Ordinances
4.1 United States
Title I of the Housing and Community Development Act of 1974 requires the federal government to provide housing and related assistance to disadvantaged persons and communities. The US Department of Housing and Urban Development, Office of Policy Development and Research, Office of University Partnerships (OUP) is established to administer this and other programs to meet this need.
OUP initiated the Alaska Native/Native Hawaiian Institutions Assisting Communities program in FY00. This program assists institutions of higher education expand their role and effectiveness in addressing community development needs in their localities—including neighborhood revitalization, housing, and economic development, principally for low and moderate-income persons. Grants are awarded for:
- Special economic development activities described at 24 CFR 570.203 and assistance to facilitate economic development by providing technical or financial assistance for the establishment, stabilization, and expansion of microenterprises, including minority enterprises.
- Assistance to community-based development organizations (CBDOs) to carry out neighborhood revitalization, community economic development, or energy conservation projects, in accordance with 24 CFR 570.204. This could include activities in support of a HUD-approved local entitlement grantee, CDBG Neighborhood Revitalization Strategy (NRS) or HUD-approved State Community Development Block Grant (CDBG) Community Revitalization Strategy (CRS); and
- Public service activities such as general support activities that can help to stabilize a neighborhood and contribute to sustainable redevelopment of the area, including but not limited to such activities as those concerned with employment, crime prevention, childcare, healthcare services, drug abuse, education, housing counseling, energy conservation, homebuyer down payment assistance, establishing and maintaining Neighborhood Networks centers in federally assisted or insured housing, job training and placement, and recreational needs.
This project is intended to address the needs established under Title I of the Housing and Community Development Act of 1974.
4.2 State of Hawai‘i
Prince Jonah Kūhiō Kalaniana‘ole spearheaded the passage of the Hawaiian Homes Commission Act in 1921 to address the dwindling native Hawaiian population. With the enactment of the Hawaiian Homes Commission Act, the United States set aside approximately 200,000 acres of land to establish a permanent home land for native Hawaiians, who were, according to the legislation, a landless and “dying” people. The State of Hawai‘i established the Department of Hawaiian Home Lands shortly thereafter to implement programs
in support of Native Hawaiians. The proposed action is identified in the DHHL General Plan for West Kaua`i as a priority for implementation (DHHL 2011).
As part of their strategic planning efforts, DHHL realized the need for financial education as a key component of rehabilitating native Hawaiians. The Home Ownership Assistance Program (HOAP) has become a central part of DHHL’s commitment to native Hawaiians. It is the most important program we have because beyond building homes, it builds homeowners. Beyond building affordable homes and homeowners, DHHL began building homes that are affordable to live in. DHHL has made tremendous progress as a Department, and it is positioned as a major contributor to the overall wellbeing of the state of Hawai`i and to the native Hawaiian people. It has set a foundation to communicate to the general public because fulfilling these commitments can make life better for all the people of Hawai`i (DHHL Annual Report 2009).
Chapter 205, Hawai`i Revised Statutes establishes the State land use districts that comprise all lands in the State of Hawai`i. These districts are “Urban”, “Rural”, “Agricultural” and “Conservation”. The project site is within the urban boundary on the State Land Use District Boundary Map. The proposed use is consistent with urban land uses.
4.3 County of Kaua`i
The County General Plan was prepared in 1999 based on the comments of community members in identifying priorities. One of the primary priorities of West Kaua`i residents is in maintaining the small-town character and appearance of their area.
State of Hawai`i Department of Hawaiian Home Lands are generally exempt from the specific conditions of the Comprehensive Zoning Ordinance (CZO), but encouraged to follow these standards. The CZO identifies the project site as zoned R-6 Residential, and AG Agriculture. Community service facilities are an ancillary use of residential lands under the CZO.
The project is located outside of the Special Management Area which generally is located near coastal, stream and wetland areas. The project will not require a Special Management Permit.
5.0 Growth-Inducing Factors, Secondary and Cumulative Impacts
Growth inducing changes were considered positive impacts many years ago in most areas; however, many residents of our state no longer consider growth a goal to be sought after. Some developments do not have significant impacts in their construction or operation, but because of their demand may they may change the price of real estate, impact privacy, or change the character of a neighborhood. Growth inducing factors such as installation of a mass transit system, or opening of a Wal-Mart may create significant impacts due only to their growth inducing characteristics.
A secondary or indirect impact is an impact that is caused by the proposed action but is removed in time or space from the project.
Cumulative impacts may be defined as impacts on the environment which results from the incremental impact of the action when added to other past, present and reasonably foreseeable future actions regardless of what agency (federal or non-federal) or person undertakes the action (Council on Environmental Quality, 1997).
The proposed action is intended to provide services to Native Hawaiian members of the community. This limitation is expected to eliminate traffic impacts and limit the number of people entering the area from outside the community. Under these circumstances the proposed action does not create growth in the area. Positive secondary impacts may include increase employment or income for the beneficiaries, construction workers and social workers employed by the facility. One positive cumulative impact could be considered the general capacity improvement resulting from federal programs such as this, which are designed to elevate the standard of living for Native Hawaiians.
5.1. Irreversible and Irretrievable Commitment of Resources
Implementation of the proposed project will result in an irreversible and irretrievable commitment of resources including public funds, energy, and labor. Materials used for new construction may have salvage value; however, it is unlikely that such efforts will be cost-effective. The expenditure of these resources is offset by gains in construction related wages, increased tax base, secondary and tertiary spending.
5.2. Adverse Impacts Which Cannot be Avoided
Adverse impacts associated with the proposed action that cannot be avoided are related to short-term construction impacts including noise, dust and construction-related traffic. These impacts can be minimized by sound construction practices, Best Management Practices (BMPs), adherence to applicable construction regulations as prescribed by the Department of Health, and coordination with applicable County agencies. The loss of open space may also be considered an adverse impact; however, the condition of this space and its use as a dumping ground for abandoned vehicles and debris did not contribute to the quality of life in the vicinity of the subject property.
6.0 Determination
The Hawai‘i Administrative Rules Chapter 11-200(12) defines significance. If a proposed action is expected to have significant impacts, a full Environmental Impact Statement would be necessary. If the proposed action does not result in “significant” impacts the proponent is required to prepare an Environmental Assessment and Finding of No Significant Impacts (FONSI).
6.1 Definition of Significance
HAR 11-200 (12): In determining whether an action may have a significant effect on the environment, the agency shall consider every phase of a proposed action, the expected consequences, both primary and secondary, and the cumulative as well as the short-term and long-term effects of the action. In most instances, an action shall be determined to have a significant effect on the environment if it:
- *Involves an irrevocable commitment to the loss or destruction of any natural or cultural resource.*
The proposed action will occupy a portion of vacant land; however, as discussed the loss of open space is balanced by cleaning up an area that is prone to use for illegal dumping and has historically not been an asset to the community. Cultural resources have been identified in the vicinity of the subject property and these have been designated as special districts that will not be used for housing. No of the culturally significant artifacts have been identified from the subject property.
- *Curtails the range of beneficial uses of the environment.*
The proposed project is an appropriate use that will benefit the community and is consistent with the surrounding land-use. The environment was not well served when the property was vacant, but upon completion of the proposed action it will provide access to needed community management and training services. Some comments received from interested parties preferred the existing condition of open space to the proposed action. The open space was utilized only for illegal dumping and vegetative buffers. The no-action alternative is considered in Section 3.1. The No-Action Alternative is rejected because it does not meet the needs of the beneficiaries or the mission of the Council for Native Hawaiian Advancement and other cooperating institutions.
- *Conflicts with the State’s long-term goals or guidelines as expressed in Chapter 344, HRS, and any revisions thereof and amendments thereto, court decisions, or executive orders.*
The purpose of chapter 344 is to establish a state policy which will encourage productive and enjoyable harmony between people and their environment, promote efforts which will prevent or eliminate damage to the environment and biosphere and stimulate the health and welfare of humanity, and enrich the understanding of the ecological systems and natural resources important to the people of Hawai‘i. The
proposed action supports the objectives of Chapter 344, by providing capacity building services to the residents of the community.
- **Substantially affects the economic or social welfare of the community or State.**
The proposed action will have a positive contribution to the welfare and economy of the community and through increased training and adult education as well as through economic activities provided during construction and operation.
- **Substantially affects public health.**
The proposed action will have a positive impact on public health.
- **Involves substantial or adverse secondary impacts, such as population changes or effects on public facilities.**
The proposed action is designed to serve the existing community. It is not expected to create substantial population changes and secondary impacts are negligible with exception of positive economic and social impacts resulting from the proposed education and training activities.
- **Involves a substantial degradation of environmental quality.**
The proposed action will not degrade environmental quality with exception of short-term temporary impacts associated with noise and dust during construction. These impacts will be mitigated through best management practices imposed upon the construction contractor.
- **Is individually limited but cumulatively has a considerable effect upon the environment or involves a commitment for larger actions.**
The proposed action is not part of a larger action, and its cumulative impacts may be limited to improved economic potential of its beneficiaries.
- **Substantially affects rare, threatened or endangered species, or their habitats.**
According to comments from the US Fish and Wildlife Service, the proposed action will not affect any rare, threatened or endangered species, or critical habitat.
- **Detrimentally affect air or water quality or ambient noise levels.**
Short-term temporary impacts on air quality and noise may occur during construction, but will be mitigated by Best Management Practices imposed on the construction contractor.
- **Affects or is likely to suffer damage by being located in an environmentally sensitive area such as a flood plain, tsunami zone, beach erosion prone area, geologically hazardous land, estuary, fresh water, or coastal waters.**
The proposed action is not located in any of the high risk areas listed above, and will not have an impact on an environmentally sensitive area.
- *Substantially affects scenic vistas and view planes identified in County or State plans or studies.*
The proposed action will not affect scenic vistas or view planes near the project.
- *Require substantial energy consumption.*
The project will use fossil fueled equipment during construction, and increase electrical energy consumption during operation. These increases are expected to be typical of most urban uses, and are not expected to impact the area power demand for fossil fuels or line power.
6.2 Finding of No Significant Impact
The Department of Hawaiian Home Lands having considered public inputs has reached a Finding of No Significant Impact (FONSI) for the proposed Kekaha Community Enterprise Center.
7.0 Consulted Parties and Preparers
7.1 Public Input Received During Preparation of the Draft EA
In preparation of the Draft Environmental Assessment CNHA conducted a public hearing on November 29, 2011 at the Waimea Neighborhood Center. The meeting was attended by approximately 40 people who heard a description of the KCEC and other projects. Discussion was held on the design, location and operations of the facility. Questions on the location of potential burials sites were answered by Dr. Robert Rechtman, and questions on the EA process were answered by Mr. David Robichaux. Contact information for both Rechtman and Robichaux were provided to the community along with a request for comments. Meeting notes and attendance are recorded in Appendix C.
The community was generally quite supportive of the project, and provided ideas on optimizing the design and operations. The general consensus was that it will be well utilized, convenient for community business, and useful for building capacity and skills. A full set of meeting notes appears in Appendix B, along with written comments from agencies and interested parties. Some of the principal comments and concerns that arose from the meeting and/or subsequent contacts are listed below:
- Location on the parcel would be better if it were moved to the eastern end of the lot in order to be farther away from existing residences. (implemented as shown in Figure 4).
- Place parking in the rear of the building so that the Center does not appear congested,
- Include solar PV so that it is more sustainable and cheaper to operate,
- Center should be made available for all Hawaiians not just those living in Kekaha,
- Make the Center comfortable for short stay-overs in case trainers or DHHL personnel need a place to stay, but not too comfortable so that nobody can live there permanently
7.2 Public Input Received During Preparation of the Final EA
Public input received during the 30-day comment period included two petitions circulated among community members, beneficiaries and other interested parties. Several letters were also submitted for inclusion. All appear in Appendix C in their chronological order.
The first petition was in opposition to the proposed action containing 58 signatures. The petition contained eleven statements of opinion, which were primarily directed to the grant recipients, who the petitioners felt were outsiders who should not have a presence in the community. The criticisms were primarily directed to the various aspects of grant management rather than the proposed action. Opposition petitioners apparently supported the objectives of the proposed action but would prefer that it be managed by others or conducted at a different location. A legitimate concern was raised over the possible presence of native Hawaiian burials (*iwi*) on the site. This concern was based on the fact that their preferred consultant was not involved. The archaeological assessment contained in Appendix B was conducted for the benefit of this Assessment. The consultant again determined that there was no evidence of *iwi* within the project boundaries (Section 2.7).
The opposition petition did not contain new information regarding potential environmental impacts resulting from the proposed action that would affect the findings.
A second petition was circulated within the Kekaha Community Association. It stated:
*We, the undersigned, support the building of the Enterprise Center proposed by the Council for Native Hawaiian Advancement (CNHA) in the Kekaha Gardens Hawaiian Homestead Neighborhood Lot 51 as an effort towards bettering and improving our neighborhood and surrounding area.* It was signed by 125 people who supported the project during the period between December 29 and January 10, 2012.
Responses to these petitions were prepared by the Proponent, Kauai Community College and the Department of Hawaiian Home Lands.
A second letter from the authors of the opposition petition was received on January 12, 2012 by the Kauai Community College. Again the letter alleges mismanagement of the grant, disregard for the grantees as well as continued concern over Native Hawaiian burials. The letter states that “the benefits of the HUD grant would be beneficial for the community in terms of educational opportunities” but urge that the Community Center not be constructed. The letter recommends acquisition of a vacant building in the Kekaha Community. Section 3.2 discusses use of vacant lands in the Kekaha Gardens Subdivision. Alternative uses of a residential lot preclude residential uses and deprives one more potential beneficiary of a homestead. Vacant buildings located in other areas of Kekaha are not as accessible to the targeted DHHL beneficiaries. With exception to the concerns over *iwi* which were addressed in the 1993 and 2011 by professional consultants, the opposition seems to be in favor of the project objectives but opposed to the manner in which it is being developed. These concerns are not typically relevant in considering environmental impacts. We believe that the opponents represent a minority of potential beneficiaries. A response from the proponent is included in Appendix C. The response urges all to put aside personality differences for the benefit of native Hawaiian beneficiaries in the Kekaha Gardens area.
7.3 Agencies Contacted During Preparation of the Draft EA
During preparation of the DEA the following agencies were contacted to solicit input:
- State Historic Preservation Division, DLNR
- US Fish and Wildlife Service Pacific Field Office,
- County of Kaua`i Planning Department
- Department of Hawaiian Home Lands (Proponent)
7.4 Preparers
The Final Environmental Assessment was prepared by North Shore Consultants, LLC, David M. Robichaux, Principal. The work could not have been completed in an accurate or timely manner without substantial assistance from the following persons:
Ms. Lilia Kapuniai, Vice President of the Council for Native Hawaiian Advancement
Mr. Kaipo Duncan, Land Agent for the Department of Hawaiian Homelands
Mr. Marc Ventura, Principal of Marc Ventura AIA, LLC
Mr. Robert Rechtman, Principal of Rechtman Consulting
Mr. Wayne Wada, Principle of Esaki Surveying
Kekaha Community Association members and Community leaders including but not limited to:
- Leah Pereira
- Lorraine Rapozo
- Liberta Albao
- Kaimana Castaneda
8.0 References
County of Kaua`i, 2000. Kaua`i General Plan, Department of Planning, November 2000
http://www.Kauai.gov/Government/Departments/PlanningDepartment/TheKauaiGeneralPlan/GeneralPlanOrdinance/tabid/131/Default.aspx
County of Kaua`i, 2003 Comprehensive Zoning Ordinance.
http://www.Kauaiboard.com/xSites/Agents/KauaiBoardofREALTORS/Content/UploadedFiles/CZO%20(PDF).pdf
Cultural Surveys Hawai`i, 1993 Archaeological Inventory Survey of Kekaha Housing Project. Prepared for DHHL August 2000
Department of Business and Economic Development and Tourism, 2010 Hawai`i State Data Book 2010
http://Hawai`i.gov/dbedt/info/economic/databook/
Department of Hawaiian Home Lands, 2011. West Kaua`i (Waimea, Kekaha, Hanapepe) Regional Plan. Prepared by Group 70
Department of Hawaiian Home Lands, 2009 DHHL Annual Report 2009.
http://hawaii.gov/dhhl/publications/annual-reports/FY2009%20Annual%20Report.pdf/
Department of Hawaiian Home Lands, 2008 DHHL Applicant Surveys, SMS Research, Inc
http://hawaii.gov/dhhl/surveys/DHHLApplicantbyIsland.pdf
Flynn, Timothy and Melany Chapin, 1993. Preliminary Botanical Survey Kekaha Housing Development June 1993
Hawai`i Administrative Rules Chapter 11-200 Environmental Impact Statement Rules.
http://gen.doh.Hawai`i.gov/sites/har/AdmRules1/11-200.htm
Hawai`i Revised Statutes Chapter 343 Environmental Impact Statements. State of Hawai`i
http://www.capitol.Hawai`i.gov/hrs2009/Vol06_Ch0321-0344/HRS0343/HRS_0343-.htm
Kauai Civil Defense Agency, 2008. Tsunami inundation Maps. http://tsunami.csc.noaa.gov/map.html
United States Department of Agriculture, 1972 Soil Survey of the Islands of Kaua`i, Oahu, Molokai, and Lanai. Soil Conservation Service, 1972
WikiPedia, 2011: Search for Kekaha Census Designated Place. http://en.wikipedia.org/wiki/Kekaha
Appendix A
COMMENTS RECEIVED DURING PREPARATION OF THE DRAFT ENVIRONMENTAL ASSESSMENT
David: Mahalo for contacting me. The following is my views:
1. I support the project
2. Beneficiaries will have their own community center that will be used for meetings, learning center, after school programs, kupuna program wellness and exercise program, etc.
3. It is necessary that the CNHA grant be utilized for the native Hawaiian community. There's no other source of funding.
4. Two beneficiaries had a vision 4 years ago, they wanted a center for the community. (Leah Pereira and Ilei Beneamina - deceased) 5. I like the design of the building. Room for expansion/playground for the keikis and kupuna can socialize.
6. Kauai Community College is a good partner for the project.
7. My observation, most of the beneficiaries support the project.
8. Special interests are using Lot 51 for their personal use for many years and DHHL has not enforced nor sent eviction notice.
9. Please include Hanapepe beneficiaries. They can use the center too.
10. Hawaiians often sing of the beauty of the "aina", the land, a very important gift from God. There's NO COST FOR THE LAND FOR THE PROJECT 11. Prince Kuhio Kalanianaole had a vision. As beneficiaries we should perpetuate the spirit of "olu'olu" encouraging us to treat each other with kindness and respect, bringing us together as a strong community for the benefit of the future generations.
12. The project is an asset for the community.
My cell # 652.8290
Dear Auntie Liberta:
> > > > I'm preparing the Draft Environmental Assessment for the Kekaha Community Enterprise Center (KCEC). Because you are a community leader, it is very important that I get your thoughts on how its going, whether we got it right and how it will impact the beneficiaries. I'd like to call this afternoon or tomorrow. I really would appreciate a little of your time. If you are busy when I call please tell me so. I'm not shy. > > > >
David M. Robichaux
Description: C:\Users\Ronald L. Soroos\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.IE5\WGCKX92F\MCj03292280000[1].wmf
NORTH SHORE CONSULTANTS, LLC
PO Box 1018
Haleiwa, HI 96712
637-8030 office
368-5352 cell
email@example.com
Mr. Robichaux, Thank you very much in assisting with this project and for taking time out to call me and getting my input. I look forward to hearing your update.
KEITH K. CASTANEDA
Waimea High School JROTC
Army Instructor
808-338-6810 ext 152
"Deeds Not Words"
Appendix B
Archaeological Report
Rechtman Consulting
November 2011
An Archaeological Assessment Survey of TMK: 4-1-2-17:051
Waimea Ahupua‘a
Kona District
Island of Kaua‘i
Draft Version
PREPARED BY:
Robert B. Rechtman, Ph.D.
PREPARED FOR:
David Robichaux
North Shore Consultants LLC
P.O. Box 1018
Hale‘iwa, HI 96712
November 2011
RECHTMAN CONSULTING, LLC
507-A E. Lanikaula St. Hilo, Hawaii 96720
phone: (808) 969-6066 fax: (808) 443-0065
e-mail: firstname.lastname@example.org
ARCHAEOLOGICAL, CULTURAL, AND HISTORICAL STUDIES
An Archaeological Assessment Survey of
TMs: 4-1-2-17:051
Waimea Ahupua‘a
Kona District
Island of Kaua‘i
Rechtman Consulting
MANAGEMENT SUMMARY
At the request of David Robichaux of North Shore Consultants, LLC., on behalf of his client, the Council for Native Hawaiian Advancement, Rechtman Consulting, LLC conducted an archaeological assessment of a 2.6 acre parcel (TMK:4-1-2-17:051) in the Kekaha portion of Waimea Ahupua'a, Kona District, Island of Kaua'i. The Council for Native Hawaiian Advancement intends to build a community center on the parcel, which is within the Department of Hawaiian Home Lands Kekaha Gardens Subdivision. The current study was undertaken in accordance with Hawai'i Administrative Rules 13§13–284, and was performed in compliance with the Rules Governing Minimal Standards for Archaeological Inventory Surveys and Reports as contained in Hawai'i Administrative Rules 13§13–276. According to 13§13–284–5 when no archaeological resources are discovered during an archaeological survey the production of an Archaeological Assessment report is appropriate. Compliance with the above standards is sufficient for meeting the historic preservation review process requirements of both the Department of Land and Natural Resources–State Historic Preservation Division (DLNR–SHPD) and the County of Hawai'i Planning Department. The current study parcel was part of a larger area that had been the subject of an archaeological inventory survey conducted by Cultural Surveys Hawaii in 1993. During the earlier study both surface survey and an extensive program of subsurface testing was conducted. No archaeological resources were identified within the boundary of the current study parcel, which at the time was designated as a Detention Basin lot and subject to both surface and subsurface alteration. As part of the current study, this parcel was reexamined to verify existing conditions. The boundaries of the parcel were clearly visible as its perimeter on three sides is an excavated drainage channel, and the northern boundary is Ulili Road. No historic properties were identified as a result of the current fieldwork and the evidence for past land alteration was evident. Given the negative findings of both the previous and current studies, it is concluded that the proposed development of a community center will not significantly impact any known historic properties. It was however a recommendation of the earlier study that an archaeological monitor be present during initial grubbing and grading activities in order to provide an immediate response to, and protection for, any unanticipated resources that may be unearthed. It is the conclusion of the current study that this monitoring recommendation is an appropriate precautionary measure.
CONTENTS
INTRODUCTION .................................................................................................................. 1
PROJECT AREA DESCRIPTION ......................................................................................... 1
PRIOR ARCHAEOLOGICAL FIELDWORK ................................................................. 6
CURRENT FIELD INSPECTION ....................................................................................... 8
CONCLUSION AND RECOMMENDATIONS ............................................................. 17
REFERENCE CITED ........................................................................................................... 17
FIGURES
1. Project area location ........................................................................................................ 2
2. 1993 subdivision map ...................................................................................................... 3
3. 2006 aerial photograph showing the current study parcel grubbed and graded. ............ 4
4. Vegetation in the central portion of the study parcel, view to the southwest .................. 5
5. Vegetation in the southern portion of the study parcel, view to the south ..................... 5
6. Hammatt et al. (1993) study area showing subsurface testing locations. ....................... 7
7. Trench 7 profile and description ..................................................................................... 11
8. Trench 18 profile and description ................................................................................... 12
9. Trench 3 profile and description ..................................................................................... 8
10. Trench 4 profile and description .................................................................................... 9
11. Trench 83 profile and description ................................................................................ 10
12. Trench 100 profile and description .............................................................................. 11
13. Study parcel, view to the northwest ............................................................................. 14
14. Concrete drainage channel along eastern parcel boundary, view to the southwest ....... 15
15. Drainage channel along southern parcel boundary, view to the west ......................... 15
16. Earthen swale along western parcel boundary, view to the north ............................... 16
17. Fenced paddock in western third of the parcel, view to the southwest ....................... 16
INTRODUCTION
At the request of David Robichaux of North Shore Consultants, LLC., on behalf of his client, the Council for Native Hawaiian Advancement, Rechtman Consulting, LLC conducted an archaeological assessment of a 2.6 acre parcel (TMK:4-1-2-17:051) in the Kekaha portion of Waimea Ahupua’a, Kona District, Island of Kaua’i (Figures 1). The Council for Native Hawaiian Advancement intends to build a community center on the parcel, which is within the Department of Hawaiian Home Lands Kekaha Gardens Subdivision (Figure 2).
The current study was undertaken in accordance with Hawai‘i Administrative Rules 13§13–284, and was performed in compliance with the Rules Governing Minimal Standards for Archaeological Inventory Surveys and Reports as contained in Hawai‘i Administrative Rules 13§13–276. According to 13§13-284-5 when no archaeological resources are discovered during an archaeological survey the production of an Archaeological Assessment report is appropriate. Compliance with the above standards is sufficient for meeting the historic preservation review process requirements of both the Department of Land and Natural Resources-State Historic Preservation Division (DLNR–SHPD) and the County of Hawai‘i Planning Department.
This report provides a project area description, a presentation of a prior archaeological study (Hammatt et al. 1993) that included the current project area, and the results of the current field inspection of the subject parcel. For a discussion of the cultural historical background of the project area the reader is referred to the earlier Hammatt et al. (1993) study.
PROJECT AREA DESCRIPTION
The study parcel is 2.6 acres in size and is situated immediately adjacent to Ulili Road within the DHHL Kekaha Gardens Subdivision (see Figure 2). Elevation of the study parcel is roughly 20 feet (roughly 6.1 meters) above sea level (see Figure 1). This general area comprises lithified sand dunes of Pleistocene age (Hammatt et al 1993). The project area soils are characterized as Jaucas Loamy Sand (JfB) (USDA NRCS Soil Survey Website). As can be seen in a 2006 aerial photograph (Figure 3) and based on ground observations, the entire study parcel has been significantly impacted in the past from mechanical grading activity and the creation of a surrounding drainage channel. Currently, vegetation across the study parcel is sparse and consists of *koa-haole* (*Leucaena glauca*), *kiawe* (*Prosopis pallida*) and various weeds (Figures 4 and 5).
Figure 1. Project area location.
Figure 2. SIHP Site xxxx Feature x TU-x xx wall profile.
Figure 3. 2006 aerial photograph showing the current study parcel grubbed and graded.
Figure 4. Vegetation in the central portion of the study parcel, view to the southwest.
Figure 5. Vegetation in the southern portion of the study parcel, view to the south.
PRIOR ARCHAEOLOGICAL FIELDWORK
The current study parcel was part of a larger 89 acre study area that in 1993 was subject to an archaeological inventory survey conducted by Cultural Surveys Hawaii (Hammatt et al. 1993). During that study, in addition to a comprehensive surface survey, 100 subsurface test trenches were excavated (Figure 6). As a result of the Hammatt et al. (1993) investigation there were no archaeological resources recorded within the area of the current study parcel. The following is a summary of the findings of the 1993 Cultural Surveys Hawaii study.
Hammatt et al. (1993) identified two distinct geomorphologies within their overall study area, a Pleistocene aged lithified dune area (comprising most of the 89 acre project area), and a previously sand-mined more recent (Holocene) coastal dune area. The current study parcel falls in the previously mined area at the interface of the older and younger deposits. No archaeological deposits or features were found in the lithified dune area. In the previously sand-mined, coastal dune area subsurface archaeological resources including two burials were discovered. These resources were found to exist to the south and west of the current study parcel (see Figure 6). In that area, burials were encountered in Trench 7 (Figure 7) and Trench 18 (Figure 8), and a widespread but discontinuous cultural deposit was recorded extending along the coast and terminating makai of the current study parcel. It appears as though four test trenches were excavated in the vicinity of the current study parcel, Trench 3 (Figure 9), Trench 4 (Figure 10), Trench 83 (Figure 11) and Trench 100 (Figure 12); all documented negative results with respect to archaeological resources.
Figure 2. Hammatt et al. (1993:6) test trench location map (current study parcel shaded gray, area of known cultural deposit shaded pink).
Trench 7: length 6.0 m. (319° TN), width 1.8 m., max. depth 1.8 m.
NOTE: Present dune surface slopes away to the southeast while stratigraphy contains a buried "A" horizon which slopes away slightly to the northwest. This is evidence for the constant changes in the ground surface typical of dunes. Profile measurements taken from the northwest corner of the northeast trench face.
Str.IA - 0 to 5 cm. - 10YR 8/3 very pale brown, fine loamy sand; "A" horizon.
Str.IB - 5 to 65 cm. - 10YR 8/6 yellow, fine coral sand; dune deposit.
Str.II - max. 55 to 85 cm.- 10YR 5/3 brown, fine coral sand with charcoal staining; cultural layer. Sparse midden present; 2 concentrated areas of charcoal were sampled for radio-carbon dating (see C14 #3 and #4, fig. 9).
Str.III 60 to 180 cm. - 10YR 7/6 yellow, fine coral sand; dune deposit. No culture present; burial #1 exposed at east end of trench, 150 cm. b.s.(see Survey Results; Burials). Excavations halted upon unearthing of the burial, maximum depth being 1.2 m. below the surface at the southeast end of the trench.
* Burial pit occurs at southeast end of trench from 55 to 180 cm.; horizontal bedding of backfilled sediment from Stratum II and Stratum III occurs within the burial pit.
Figure 7. Trench 7 profile and description (from Hammatt et al. 1993:26).
Trench 18: length 6.0 m. (300° TN), width 1.9 m., max. depth 1.2 m.
Str.I - 0 to 30 cm. - 10YR 6/3 pale brown, loamy sand; "A" horizon.
Str.II - 50 to 70 cm. - 10YR 5/2 grayish brown, fine loamy sand; discontinuous cultural lens containing charcoal fragments and a charcoal concentration which was sampled for radio-carbon analysis.
Str.III - 30 to 120 m. - 10YR 7/6 yellow, fine coral sand; dune deposit. Str.II cultural lens protrudes into this layer along the northwestern half of the trench. Burial #2 is located at the southeastern end of the trench at approximately 65 cm. below the immediate surface in the unconsolidated dune deposit.
Figure 8. Trench 18 profile and description (from Hammatt et al. 1993:27).
Trench 3: length 9.0 m. (33° TN), width 1.0 m., max. depth 2.5 m.
Str.I - 0 to 40 cm. - 10YR 7/4 very pale brown, fine loamy sand; "A" horizon.
Str.II - 40 to 70 cm. - 10YR 6/6 brownish yellow, fine coral sand; dune deposit.
Str.III - 70 to 250 cm. - 10YR 7/6 yellow, coarse coral sand; compact, slightly cemented toward B.O.E.; beach deposit.
Figure 9. Trench 3 profile and description (from Hammatt et al. 1993: 36).
Trench 4: length 14.5 m. (13° TN), width 1.0 m., max. depth 2.1 m.
Str.I - 0 to 40 cm. - 10YR 7/6 yellow, fine coral sand; "A" horizon.
Str.II - 40 to 115 cm. - 10YR 7/3 very pale brown, fine coral sand; slightly cemented.
Str.III - 115 to 205 cm. - 10YR 7/6 yellow, coarse coral sand; beach deposit.
Figure 10. Trench 4 profile and description (from Hammatt et al. 1993:37).
Trench 83: length 7.0 m. (110° TN), width 0.8 m., max. depth 0.9 m.
Str. I - 0 to 5 cm. - 10YR 6/4 light brownish gray, fine loamy sand; "A" horizon.
Str. II - 5 to 15 cm. - 10YR 7/6 yellow, fine coral sand; dune deposit.
Str. III - 15 to 85 cm. - 10YR 8/2 white, coarse cemented coral sand; lithified possible beach deposit.
Figure 11. Trench 83 profile and description (from Hammatt et al. 1993:114).
Trench 100: length 6.7 m. (95° TN), width 0.66 m., max. depth 1.83 m.
Str. I - 0 to 20 cm. - 10YR 6/2 light brownish gray, fine loamy sand; "A" horizon.
Str. II - 20 to 135 cm. - 10YR 7/6 yellow, fine to medium coral sand; dune deposit.
Figure 12. Trench 100 profile and description (from Hammatt et al. 1993:131).
CURRENT FIELD INSPECTION
On October 14, 2011, Robert B. Rechtman, Ph.D. conducted a 100% surface reconnaissance of the subject parcel, the limits of which were identified in the field based on existing infrastructural development (i.e., roads and engineered drainage channels); ground visibility was excellent. No archaeological resources were observed within the study parcel. It was evident that the entire 2.8 acre lot had been subject to surface grubbing and grading in the past (Figure 13), as well as subsurface disturbance along its margins when the drainage channels were constructed. The channel along the eastern parcel boundary is concrete lined (Figure 14), the channel along the southern boundary is partially concrete and partially filled with large boulder riprap (Figure 15), and the channel along the western boundary is an earthen swale (Figure 16). The western third of the parcel has been fenced (Figure 17) and was formerly used as a horse paddock.
Figure 13. Study parcel, view to the northwest.
Figure 14. Concrete drainage channel along eastern parcel boundary, view to the southwest.
Figure 15. Drainage channel along southern parcel boundary, view to the west.
Figure 16. Earthen swale along western parcel boundary, view to the north.
Figure 17. Fenced paddock in western third of the parcel, view to the southwest.
CONCLUSION AND RECOMMENDATIONS
Given the negative findings of the previous archaeological inventory survey (Hammatt et al. 1993) and of the current study, it is concluded that the proposed development of a community center will not significantly impact any known historic properties. It is however the continued recommended that an archaeological monitor be present during initial grubbing and grading activities in order to provide an immediate response to, and protection for, any unanticipated resources that may be unearthed. Significant subsurface cultural deposits are known to exist to the south of the current study parcel.
REFERENCE CITED
Hammatt, H., W. Folk, I. Masterson, J. Winieski,, and E. Novack
2003 Archaeological Inventory Survey of Kekaha Housing Project (TMK: 1-2-12: 38 and 1-2-02:32, 34, & 38). Prepared for Kauai Housing Development Corp. County of Kauai.
APPENDIX C
MEETING NOTES AND ATTENDEES PUBLIC HEARING, COMMENTS RECEIVED FOLLOWING PUBLICATION OF THE DEA
NOVEMBER 29, 2011
Kekaha Community Enterprise Center Community Meeting Report
Meeting Held on Tuesday, November 29, 2011, at the Waimea Neighborhood Center
Report by the Council for Native Hawaiian Advancement (CNHA)
On Tuesday, November 29, 2011, CNHA coordinated and facilitated a community planning meeting to provide the Kauai homestead beneficiaries and West Kauai community members with a status update on the Kekaha Community Enterprise Center (KCEC) Project, share draft conceptual plans, and collect input from participants.
Over 30 individuals attended the meeting representative of the East and West homestead communities, various community-based organizations, and project partners (Kaua‘i Community College, Homestead Community Development Corporation, North Shore Consultants, LLC and Marc Ventura AIA, LLC). For a complete list of attendees, see Attachment A.
Ms. Robin Danner, CNHA President and CEO, and Ms. Lilia Kapuniai, CNHA VP & Community Services Manager, facilitated the meeting. The meeting started with a prayer and brief introductions. Utilizing a PowerPoint presentation, participants received an overview of CNHA, an overview of the U.S. Department of Housing and Urban Development Alaska Native / Native Hawaiian Assisting Communities Grant Program, an overview and status report on the KCEC Project, a summary of the Lodge Feasibility Study results, a summary of the Draft Archaeological Assessment Survey, and an overview of the draft Building Plans.
Consensus was achieved in support of the development of the Center within the Kekaha residential community as planned. Most of the participants voiced interest in using KCEC for gatherings, training sessions, and educational purposes for youth and adults. Participants raised questions regarding business hours, the project budget, building location options, future building operations and maintenance, the target community to be served, parking capacity, and facility occupancy. Participants also voiced concerns over the location of the building in the Kekaha residential area, placement of the building on Lot 51 as presented, historical remains located near Lot 51, and additional traffic and noise that may be generated. There were three individuals present that voiced opposition to the project based on concerns identified above. Suggestions were made to change the placement of the building on Lot 51, add a playground and deliver additional beneficiary consultation sessions on the topic. All questions and concerns were addressed, and suggestions have been taken into consideration.
The meeting was a success in briefing the community on the KCEC Project, documenting Project support and collecting feedback on the building plans. Over ten applications were received from individuals interested in participating in the CNHA Project Working Group. For more information about the project and/or to receive a copy of the PowerPoint presentation and handouts, please contact Ms. Kapuniai at 808.596.8155 or email@example.com.
December 8, 2011
Kauai Community College
Susan Cox, Chancellor
3-1901 Kaumualii Highway
Lihue, HI 96766
Re: Community Opposition to HUD Funded Construction Project
Dear Ms. Cox,
We are sending the enclosed petitions, submitted by 55 Hawaiian beneficiaries and residents of Kekaha and West Kaua'i to demonstrate community opposition to a HUD-funded construction project in the middle of our Hawaiian housing subdivisions. We will continue to gather petition signatures.
As explained in the petition, signatories are concerned that a native Hawaiian organization from outside our Kekaha community, the Anahola-based Council for Native Hawaiian Advancement, will be sited at a central location within our local Hawaiian community.
While we thank CNHA for its gesture, we note too many areas of concern around this project that demonstrate that this is not the right project for our community. A number of concerns have emerged:
- In 2010 and 2011 this organization and its affiliates supported the longterm leasing of our entire Kekaha home lands, which would have effectively deprived our beneficiary community of its homestead rights under the Hawaiian Homes Act.
- Over the three years of this grant (2008-2011) there has not been adequate notice of the grant project to key Kekaha stakeholders. Even those immediately across the street from the proposed building site have never been informed of the intended construction. Once informed and given the details, a number of residents opposed the project. Because there was no further communication made to those opposed, several felt that the project had been terminated and were quite surprised of the recent push to complete this project in the so-called "no cost" extension.
- In choosing Hawaiian homestead lots years ago, several Hawaiian homesteaders were assured, by then DHHL Chairman, Micah Kane, that that proposed building lot was a dedicated lot and would never be developed. Many chose their lots based on that representation, looking forward to the clear, open lot in front of their homes.
- Community support for this project may have been overstated. A review of the original grant proposal is in order.
- We have learned that significant monies have been spent, yet not much has resulted. Building permits are not in place, control of the lot is currently tenuous, and deadlines have expired.
• The proposed building is small for its intended purpose as a training center, though the floor plan includes office space dedicated to CHNA operations and its leaders. The project architect stated to concerned residents that he was contacted only two weeks ago to provide a design for the building.
• The proposed site is a drainage ditch that was not able to be developed in the past by Department of Hawaiian Homelands due at least in part to inadequate wastewater capacity.
• There are *iwī*, or ancestors' remains, on the building site. The presence of *iwī* makes this site vulnerable to challenge for any proposed development. A video was made by DHHL, again then under the direction of Micah Kane, of a family member regarding such *iwī* on the property. Furthermore, no contact was made to the burial historian for this area, Kunane Aipolani, as a consultant when the archaeological survey was being conducted by a non-Kauai resident. Nor were the results of the study provided to the families or residents.
• Hawaiian home rule principles stress the importance of grassroots leadership by local homestead associations to serve its local beneficiaries. The Kekaha community, including the wider non-Hawaiian beneficiary community, feels strongly that if a Hawaiian-run training center is constructed in Kekaha, that it be run and owned by our own beneficiary organization, not an organization principally run by residents based in Anahola, which is on the other side of our island. It is an aggressive act from a Hawaiian standpoint. Identical projects can be run, owned, and supported through local Kekaha efforts.
• While many venues for meeting and training are readily available in our town, it is the actual training that is of utmost value to our residents. Training does not require the building of a structure in Kekaha, since there is an abundance of meeting and training space in our area.
• Finally, this community has tried to make its voice heard, but have been threatened with "either this or nothing," and made to feel like their voices and opinions were of no significance.
Thank you for your attention to this matter. We would like to recommend that remaining funds for the grant be returned, as is customary for grant projects facing such circumstances. Alternatively, if the principle grantee, Kauai Community College, would like to work directly with the Kekaha community on the establishment of a learning site in our town with the remaining funds, to be run and owned by our local beneficiary association, our residents would gladly welcome the opportunity to discuss this further with the college.
Sincerely,
Ruth Potts Joseph Nakahiki
To Our Leaders:
I support Home Rule for Kekaha beneficiaries. It is against the values of Home Rule and local kuleana that an Anahola organization should own and control the central Hawaiian hale, in the middle of our Kekaha Hawaiian homestead subdivisions. Permits for such a project should not be granted.
There is too much discord and bad feeling with this project overall. Our beneficiaries were not adequately notified or consulted in the important planning stages of this project. Too many deadlines have been missed or have expired. Proposed activities have not been delivered. We do not know exactly where nearly $500,000 of grant monies have already been spent for this project. This is not an acceptable way to develop beneficiary projects for Kekaha.
Kekaha beneficiaries, through our own homestead association, KHHA, will launch our own projects to bring programs and a training hale to our community. Kekaha has many teachers and programmers in many fields. We have many potential educational partners and supporters. And we have the best local knowledge to ensure that programs are designed specifically for our local Hawaiian residents.
We thank the Anahola organization for its efforts, however this project is not the right one for our community.
We will honor the legacy of our kupuna by creating alternative training and educational programs. If our beneficiaries feel strongly that Kekaha Hawaiian Homestead Association needs a hale separate from our Kekaha Neighborhood Center and other meeting spaces, we will work hard toward making this a reality, and commemorate the hale in honor of our kupuna.
Print name: Joni Keamoai
Signature: Joni D. Keamoai
Fifty-four additional signed petitions identical to the previous page were included with the package dated December 8, 2011.
They are not included here for the sake of brevity.
January 10, 2012
Kauai Community College
Ramona Kincaid, Director of University Center & Academic Support
3-1901 Kaumualii Highway
Lihue, HI 96766
Re: Community Opposition to HUD Funded Construction Project
Dear Ms. Kincaid,
As stated in our letter dated December 8, 2011, we have continued collecting petition signatures and are again sending enclosed petitions, submitted by now 108 Hawaiian beneficiaries and residents of Kekaha and West Kaua’i to demonstrate community opposition to a HUD-funded construction project in the middle of our Hawaiian housing subdivisions.
Although we received the attached letter from Kaua’i Community College Chancellor, Helen Cox, dated December 12, 2011 in response to the first submittal of petitions, we were a bit disappointed that instead of having our concerns answered by CNHA or KCC, we were told in yet another presentation on December 20th by CNHA (Robin Danner) that our petition was incorrect. In fact, rather then answer some of the concerns in the petition, she focused on informing the petitioners present that CNHA is not an Anahola based organization and that the rounded amount of nearly $500,000 that we listed as spent in our petition was incorrect.
First of all, our conclusions are based solely on the research that we’ve done along with the information that has been shared at presentations held by CNHA for the KHHA association. We listed CNHA as an Anahola based organization because as listed in CNHA’s presentation documents received on December 20, 2011, on page 5, “CNHA has offices located on Kauai, Oahu and Washington D.C. The only office address we found on their website for Kaua’i lists an Anahola address, so we do not believe that this is an incorrect statement. Secondly, although many requests were made at the various presentations on the Enterprise Center regarding the money spent, we have never gotten an itemized written financial statement of the exact amount of money spent. All we were told was that there was just enough money left to build the hale, which was listed as a projected cost of $398,600. Robin Danner, CEO of CNHA also informed us that she has already spent approximately $230,000 in addition to complete this project. Again, more than $300,000 plus $230,000 is definitely nearly $500,000 based on the information that was provided.
We understand and empathize with Chancellor Cox, of KCC and too, want a suitable solution to be reached, as she outlined in her letter however, the response from CNHA, specifically, Ms. Danner proved to be less then receiving and more of discrediting and attacking of our concerns. Rather then answer our concerns; Ms. Danner seemed to want
to make sure that attention was directed towards what she deemed as "incorrectness" in our petition and as she stated, so that we would not embarrass ourselves towards those in authority with an incorrect petition. In fact, at the December 20th membership meeting of the Kekaha Hawaiian Homestead Association, Ms. Danner presented the project again, but prefaced her opening with the response letter that we received from KCC, which she circulated amongst those in attendance at that meeting. Later we learned that the 55 individual petitions were also forwarded to KHHA's board members as well. Is this how concerns are answered? We are a bit confused as to why individual petitions in opposition to this project would be circulated in the community and want to know if this is a normal response to petitions being received by any organization. Unfortunately, our perception of this response is that it serves no other purpose then to perhaps make public of those who have signed and question or intimidate them as a result.
We as individuals took it upon ourselves to gather as much information as possible regarding this project because of the many unanswered questions and concerns that we had after listening to several contradictory presentations by Ms. Danner and CNHA. For example, on November 29th at her presentation in Waimea, she stated that the building was a modest 1300 square foot building; then on December 20th at the KHHA membership meeting the building became a modest 2000 square foot building. The plans that were provided in a beautiful 50 page (front and back with dividers) spiral bound book, are "no scale drawings" with no architecture stamp. Again, it is hard to trust that unofficial plans like those provided will not change similarly to the square footage changing depending on the presentation that a person attends.
The possibilities of family remains or "iwi" that may be present on this particular property were also of a concern in our petition. According to the archaeological survey that was presented in the booklet, a study was done in 1993 on 89 acres, which includes the entire subdivision and results were based on that particular study. Family members had asked who did the archaeological study and if in fact someone locally from the burial council was asked to walk the parcel with the surveyors. Again, the data provided on the survey proved insufficient to answer the concerns of the family members of interest.
The discord and bad feeling with this project overall is felt within the association, community and again many community members Hawaiian's and non-Hawaiian's have still not been informed of this project. It is truly difficult to understand how a grant, which specifically outlines activities such as "capacity building" for the Kekaha Hawaiian Homestead Association, has done very little in that department. This is an organization with young, enthusiastic officers and board, who obviously need help in capacity building. By the mere fact that Robin Danner and CNHA's approach to reaching a solution to the concerns is to have members write letters of support or opposition rather than teach the association (as part of the capacity building) to hear individual concerns and discuss them as a membership and board, she is creating fractures in the association and rather than build capacity. This division of the KHHA board is being encouraged through further suggestions by Ms. Danner to rush an approval this project. It is truly disheartening when the completion and money already spent on this grant has become more important than the outlined intended benefits of the project.
Finally, we have always maintained that the benefits of the HUD grant would be very beneficial for the community in terms of the educational opportunities that could be provided and are willing to work with KCC in accomplishing this. We understand that the grant specifically stated that classes would be held by KCC once the building was built, but the grant stipulations also state that a building may be constructed, renovated or acquired. If, as stated in the grant, a building is needed in order for classes to start then a positive resolution may be to acquire a building in the Kekaha Community that is already vacant. We still feel strongly that the construction of a building on Lot 51, Kekaha Hawaiian Homestead should be stopped because of the concerns that have been presented in our petition. Again, we thank you for your attention to this matter and will continue to solicit petitions in opposition to this project.
Sincerely,
Ruth Potts
P.O. Box 309
Kaumakani, HI 96747
Joseph Nakaahiki
P.O. Box 1073
Kekaha, HI 96752
January 10, 2012
Ms. Ruth Potts
Mr. Joseph Nakahiki
Post Office Box 309
Kaumakani, HI 96747
Aloha Ms. Potts and Mr. Nakahiki,
Mahalo for your letter dated December 8, 2011 regarding community opposition to the HUD funded construction project at Kekaha, Kauai. We acknowledge receipt of your concerns and the petitions signed in opposition to the project referenced.
The Department of Hawaiian Home Lands (DHHL) fully understands the need for community support around development projects. Although we acknowledge the recent opposition, this particular project was identified as a priority in our regional planning process, where it also received broad community support. The West Kauai Regional Plan was adopted and approved by the Hawaiian Homes Commission on February 2011, after numerous meetings that occurred in 2010, where the community identified and voted on this project as a Priority Project. Moreover, if you review the Regional Plan, there is a listing of over 15 key stakeholder representatives and 50 individuals that participated and supported the project. The plan can be found online at: http://hawaii.gov/dhhl/publications/regional-plans/kauai-regional-plans/DHHL_West_Kauai_Regional_Plan_030111_small.pdf/
Community concerns and/or opposition to the proposed community facility were never brought forward until just recent. As you are aware, the Council for Native Hawaiian Advancement (CNHA) secured the funding for the building in partnership with Kaua'i Community College. CNHA did complete a Draft Environmental Assessment and DHHL has reviewed the draft and anticipates Findings of No Significant Impact (FONSI). Continued progress is being made on the project and DHHL has been supportive as the project remains a priority approved within our Regional Plan.
The DHHL also understands that most community projects have support as well as opposition. However, opposition to a project does not constitute immediate termination. Large amounts of time, energy, and resources have gone into the Kekaha project and opposition at this stage should be raised with CNHA as they have taken the lead to develop.
Thank you for sharing your concerns and allowing us the opportunity to comment on the issue. I am hopeful that CNHA and Kaua‘i Community College will continue to work with the community to address the opposition while resolving the concerns with a positive solution.
Sincerely,
Michelle K. Ka‘uhane
Deputy to the Chairman
January 12, 2012
Ms. Helen Cox, Chancellor
Kaua`i Community College
3-1901 Kaumuali`i Highway
Lihu`e, Hawai`i 96766
Subject: Response to 12/8/11 “Community Opposition to HUD Funded Construction Project”
Letter from Ruth Potts and Joseph Nakaahiki
Aloha e Ms. Cox:
Thank you for providing the letter of concern and petitions signed by individuals opposing the CNHA Kekaha Community Enterprise Center. We will respond by first laying out the points made by Mrs. Ruth Potts and Mr. Joseph Nakaahiki, followed by our response:
1. **Petitioners Statement:** In 2010 and 2011 this organization (meaning CNHA) and its affiliates supported the long-term leasing of our entire Kekaha home lands, which would have effectively deprived our beneficiary community of its homestead rights under the Hawaiian Homes Commission Act.
**CNHA Response:** This statement is entirely unrelated to this project, the Kekaha Community Enterprise Center, and has no place in the discussion, and especially should not be fodder to silence free speech and engagement with our State government agencies.
It appears that the petitioners are referring to a leasing decision made by the State Department of Hawaiian Home Lands (DHHL) and the governing body, the Hawaiian Homes Commission, wherein this state agency responsible for administering the Hawaiian Home Land Trust put out to bid thousands of acres for agricultural leasing. They approved a lease to Pacific West Energy, a firm working to develop renewable energy.
CNHA’s nonprofit community development corporation, of which is governed by homestead associations and homestead leaders, issued a letter to DHHL articulating a minimum of eight recommendations that should be required by DHHL in a “Community Benefits Agreement” if the state agency endeavored to actually issue the agricultural lease.
Contrary to the petitioner’s statement, CNHA took a policy position to protect the rights of homesteaders, including the Kekaha Hawaiian Homestead.
2. **Petitioners Statement:** Over the three years of the grant (2008-2011) there has not been adequate notice of the grant project to key Kekaha stakeholders. Even those immediately across the street from the proposed building site have never been informed of the intended construction. Once informed and given the details, a number of residents opposed the project. Because there was no further communication made to those opposed, several felt that the project had been
terminated and were quite surprised of the recent push to complete this project in the so-called “no cost” extension.
**CNHA Response:** This narrative statement is simply false in its entirety. Not only has CNHA coordinated and held numerous stakeholder meetings over the last three years covering the KCEC project, but other project stakeholders, in particular, DHHL, the agency that contributed the land to the project, has also held numerous community meetings on this project.
In fact, DHHL over the calendar year of 2010 coordinated its standard regional planning meetings, an extensive exercise to identify priority land uses for the region. Over 50 Kekaha community residents participated in the planning process, including some of the individuals that signed the petition, all of which are listed in the State of Hawaii DHHL West Kauai Regional Plan. A copy of the plan can be found online at [http://hawaii.gov/dhhl/publications/regional-plans/kauai-regional-plans/DHHL_West_Kauai_Regional_Plan_030111_small.pdf/](http://hawaii.gov/dhhl/publications/regional-plans/kauai-regional-plans/DHHL_West_Kauai_Regional_Plan_030111_small.pdf/)
What is extraordinary about the petitioner’s statement, is that the outcome of these very meticulous and far reaching community planning sessions that are required to be broadly published, resulted in our KCEC project being identified as a “Priority Project” through a participant vote! This result not only re-affirmed the Kekaha homestead support of this CNHA project, but also DHHL’s support for the project since 2008. Moreover, the selection of the KCEC as a Priority Project in the West Kauai Regional Plan, automatically makes the project eligible for direct support funding from DHHL under its regional planning project grant program.
And finally, once the Kekaha homestead community completed its regional planning, the overall plan was placed on the formal agenda of the Hawaiian Homes Commission in February 2011, wherein this nine-member, Governor-appointed Commission, approved and adopted the West Kauai Regional Plan. As a result, the Commission approved without opposition in April 2011, the issuance of a license to pursue an Environment Assessment (EA) on the site for the KCEC.
In relation to the petitioner’s statement about a “recent push to complete this project in the so-called no cost extension”, the formal No-Cost Extension was received from HUD, on July 8, 2011. Since notification, it’s been included in all briefing materials. In July 2011, CNHA was invited to a KHHA Board meeting, to present a project status update. A complete briefing, including the request for a no-cost extension, was presented to all individuals present, including individuals that signed the petition.
3. **Petitioners Statement:** Community support for this project may have been overstated. A review of the original grant proposal is in order.
**CNHA Response:** It is well known that this project came from the community as early as 2007, through the leadership of the late Aunty Ilei Beniamina, former Kekaha Hawaiian Homestead Association President, Aunty Leah Perieira, and Robin Danner, President of CNHA, all community leaders from Kauai. The most powerful documentation of community support, aside
from the KCEC project files, is the selection of the KCEC as a “Priority Project” in the DHHL West Kauai Regional Plan, wherein 50 individuals and 19 stakeholder representatives listed on page seven of the plan, makes clear the support for this project. In addition, the reaction of the Kekaha community to the petitioner’s opposition reflected in 53 signatures, was to produce a petition in strong support of over 125 signatures in a matter of 7 days (attached).
4. **Petitioners Statement:** *We have learned that significant monies have been spent, yet not much has resulted. Building permits are not in place, control of the lot is currently tenuous, and deadlines have expired.*
**CNHA Response:** The total grant award to KCC as the grant recipient is $787,728. CNHA is the grant sub-recipient to achieve all of the deliverables approved in the grant by HUD which includes the building of the KCEC, is $680,000. CNHA has completed all of the deliverables on time and within budget, and has a remaining grant balance of $444,619 to construct the 2,000 square foot KCEC facility and once completed, to deliver the KCEC project training services laid out in our grant. To date, CNHA has brought $52,924 to the project, and anticipates a total leverage of at least $90,000 by the end of the project period, not including the staffing costs to continue to implement the project over the no-cost extension period.
Contrary to the petitioner’s statement that “control of the lot is currently tenuous”, site control is well in hand. As stated previously, the Hawaiian Homes Commission and DHHL have taken formal action to dedicate the site for the project. During 2011, CNHA initiated and completed an EA and the Archaeological Assessment Survey (AAS), both of which are in draft form awaiting formal approval through their respective processes. DHHL has issued its preliminary approval of the EA, which has now been submitted to the State Office of Environmental Quality Control, to satisfy the 30-day public comment period requirement.
In addition, CNHA delayed the project construction to be responsive to community recommendations that an AAS be completed to ensure that cultural and burial remains are not an issue. The time taken was well spent, and the result of the AAS is that cultural deposits are not located on the project site, but rather to the south of the location.
And finally, building permits are not on the schedule to be obtained until after we complete the planned engagements with students of KCC on the site plan, as well as to finalize the floor plans which is scheduled for the end of January 2012.
In summary, the project has been well managed fiscally, and its timeline adjusted to meet regulatory requirements, as well as cultural priorities.
5. **Petitioners Statement:** *The proposed building is small for its intended purpose as a training center, though the floor plan includes office space dedicated to CNHA operations and its leaders. The project architect stated to concerned residents that he was contacted only two weeks ago to provide a design for the building.*
CNHA Response: The KCEC plan is entirely sufficient for the purposes of the project and for the size of the community. In response to the architect schedule, CNHA’s relationship with Marc Ventura AIA, LLC began during proposal development stages in 2008. On January 25, 2010, his firm completed the KCEC Site Investigation Report, stating that Lot 51 would be suitable for the proposed building design and construction. Design work was halted due to the discussion of burial remains on Lot 51 during 2010. The results of the Draft AAS triggered the execution of a formal contract with Marc Ventura AIA, LLC. to conduct architectural design and construction management services.
6. Petitioners Statement: *The proposed site is a drainage ditch that was not able to be developed in the past by Department of Hawaiian Home Lands due at least in part to inadequate wastewater capacity.*
CNHA Response: The proposed site, Lot 51, was originally designated for use as a Detention Basin by DHHL, which was subsequently determined to be unnecessary. The site is bounded on the north by Uili Street, on the South and west by vacant undeveloped land, and on the east by residential lots. A large drainage structure surrounds the property on the east, south, and west. This is documented by the Draft Environmental Assessment for the Kekaha Community Enterprise Center (dated December 2011) and by the DHHL Environmental Assessment for the Kekaha Residence Lots (dated April 2003).
7. Petitioners Statement: *There are iwi, or ancestor’s remains, on the building site. The presence of iwi makes this site vulnerable to challenge for any proposed development. A video was made by DHHL, again then under the direction of Micah Kane, of a family member regarding such iwi on the property. Furthermore, no contact was made to the burial historical for this area, Kunane Aipolani, as a consultant when the archaeological survey was being conducted by a non-Kauai resident. Nor were the results of the study provided to the families or the residents.*
CNHA Response: Through excellent community engagement throughout the implementation of this project, CNHA received information of the potential of iwi on the site in 2010. To be responsive and to ensure maximum mitigation, CNHA halted the construction planning aspect of the project, to take the time and resource to conduct an AAS, recently completed November 2011.
As soon as the draft AAS was completed in November 2011, CNHA scheduled a community meeting on November 29th to share the results, with the consultant on hand at the meeting. The draft report confirms that cultural remains are not located on Lot 51. CNHA also was responsive to the Kekaha Hawaiian Homestead Association (KHHA) Board of Directors, which invited us to present project information at their members meeting on December 20, 2011. We did so, and distributed 75 copies of the AAS to KHHA, including copies hand-delivered to Mrs. Ruth Potts and Mr. Joseph Nakaahiki.
8. **Petitioners Statement:** *Hawaiian home rule principles stress the importance of grassroots leadership by local homestead associations to serve its local beneficiaries. The Kekaha community, including the wider non-Hawaiian beneficiary community, feels strongly that if a Hawaiian-run training center is constructed in Kekaha, that it be run and owned by our beneficiary organization, not an organization principally run by residents based in Anahola, which is on the other side of our island. It is an aggressive act from a Hawaiian standpoint. Identical projects can be run, owned, and supported through local Kekaha efforts.*
**CNHA Response:** The petitioner’s statement about CNHA is incorrect. CNHA is a beneficiary-serving organization incorporated in 2001, dedicated to enhance the cultural, economic and community development of Native Hawaiians. Our headquarters is located in Honolulu, and we have offices located throughout the State of Hawaii. Three of our five offices are located in Hawaiian Home Land homestead communities on Kauai, Maui and Hawaii Island. The Kekaha facility will be the 4th office inside a homestead community.
CNHA and its 100% Native Hawaiian Board of Directors, developed the KCEC in partnership with KCC, dedicating CNHA resources, its capacity, its credibility with partners, and financial capacity to successfully accomplish the KCEC. As a result, the Hawaiian Homes Commission and DHHL which governs and administers the Hawaiian Home Lands, approved CNHA to receive land for the project based on its capacity, past performance, fiscal strength, beneficiary status, and expertise in homestead areas.
Although the petitioners may not be aware, it is quite common for Native Hawaiian organizations, like CNHA, including organizations such as Native Hawaiian Charter Schools and social service nonprofits, to receive land awards from DHHL to build and operate community facilities in homestead areas. These decisions are based primarily on the needs of the homestead, and the capacity and expertise of the organization developing and operating the facilities.
Finally, CNHA has 15 full-time, local resident employees across the state. Three of four of our senior managers are homesteaders from three different homestead areas, and 80% of our 15 employees are indigenous peoples from Hawaii and the Pacific region. Similar to our offices on Kauai, Maui and Hawaii Island, we anticipate that we will hire staff or partner with volunteers for the KCEC in Kekaha that will be from the West Kauai community.
9. **Petitioners Statement:** *While many venues for meeting and training are readily available in our town, it is the actual training that is of utmost value to our residents. Training does not require the building of a structure in Kekaha, since there is an abundance of meeting and training space in our area.*
**CNHA Response:** There are no facilities for community meetings and trainings inside the Kekaha homestead, on Hawaiian Home Lands, operated by and for community. This project is a community facility that will serve Kekaha for generations to come.
10. **Petitioners Statement:** Finally, this community has tried to make its voice heard, but have been threatened with “either this or nothing,” and made to feel like their voices and opinions were of no significance.
**CNHA Response:** CNHA has conducted itself in a transparent manner and has performed above and beyond to outreach, to include and to welcome community input over the three-year history of the KCEC project. The petitioners have only in recent months decided to avail themselves of that access. CNHA has made sure that in the production of the EA, every concern and input received is documented and included. Furthermore, CNHA has consistently adjusted the project over the three-year period to be responsive to community input.
This opposition petition was dated just nine days following the November 29th meeting, and it was mailed to a number of entities including KCC, DHHL and HUD, but not CNHA. We received a full copy of the petition from KCC. In fact, Kekaha community members of the KHHA Board had not received a copy of the petition either, until CNHA distributed it on December 29th, even though the President of the KHHA Board of Directors signed it and helped to circulate it. Although this reality created a challenge to address the concerns of the petitioners more directly, we appreciate the opportunity to now address them to KCC with the well-being of our community and project in mind.
11. **Petitioners Statement:** Recommend that the remaining funds for the grant be returned, as is customary for grant projects facing such circumstances. Alternatively, if the principle grantee, Kauai Community College, would like to work directly with the Kekaha community on the establishment of a learning site in our town with the remaining funds, to be run and owned by our local beneficiary association, our residents would gladly welcome the opportunity to discuss this further with the college.
**CNHA Response:** CNHA applied for the KCEC project to KCC and was awarded a sub-recipient grant to accomplish the KCEC. CNHA applied and received approval from DHHL and the Hawaiian Homes Commission for the land for the project. Both of these actions are based on the original grant proposal to HUD, and based upon the capacity and fiscal strength of CNHA, as well as its past performance. CNHA, as a sub-recipient grantee, and the licensee of the lands from DHHL, we remain committed to this project, to our community, in particular to the needs of the Kekaha homestead which is well within our service area and mission.
CNHA and its board of directors will continue to work to complete the KCEC, as has been supported by the majority of the community, unless HUD or KCC cancels the project and requires the return of the remaining balance of $444,619, as well as the return of the required matching resources.
Since the award of HUD Grant No. AHIAC-08-HI-05 to build the KCEC in 2008, CNHA and all of its community partners and stakeholders have diligently and successfully implemented the deliverables of the project. Although we are disappointed by the inaccuracies of the petitioners statements, we remain
CNHA Letter to KCC re: 12/8/11 Community Opposition Position
January 12, 2012
Page 6 of 7
committed and positively energized to successfully complete the KCEC to benefit KCC, its students, and our local community.
Sincerely,
Lilia Kapunai
CNHA Vice President and Community Services Manager
Enclosure: KHHA Petition in Support of KCEC
cc: Alapaki Nahale-a, Chairman, Department of Hawaiian Home Lands
Alvin Parker, Chairman, CNHA Board of Directors
Robin Puanani Danner, CNHA President/CEO
Lorraine Rapozo, Mokupuni of Kauai Homestead Associations President & Board of Directors
Van Kawai Warren, Kekaha Hawaiian Homes Association & Board of Directors
CNHA KCEC Project Working Group Members
We, the undersigned, support the building of the Enterprise Center proposed by the Council for Native Hawaiian Advancement (CNHA) in the Kekaha Gardens Hawaiian Homestead Neighborhood Lot 51 as an effort towards bettering and improving our neighborhood and surrounding area:
| Name (Print) | Signature | Date |
|--------------------|--------------------|--------|
| Lei Nataqiese | | 01/01/2012 |
| Duni Kahale | | 01/01/2012 |
| Lu Koerte | | 01/01/2012 |
| Moni Nihen Schmidt | | 01/01/2012 |
| Leon Nihen Schmidt | | 01/01/2012 |
| Michael E. Koerte | | 01/01/2012 |
| Ieila Kamakela | | 01/02/2012 |
| Maile Mer | | 1/2/12 |
| Bette Koreshi Bentk| | 1/3/12 |
| Rosemary Vaivao | | 1/3/12 |
| Johnny Vaivao | | 1/3/12 |
| Samantha Vaivao | | 1/3/12 |
| Maureen Vaivao | | 1/3/12 |
| Thomas Vaivao | | 1/3/12 |
| Cheryl Lou Morimoto| | 1/4/12 |
| Jolly Maluolo | | 1/4/12 |
| Melanie Kaneapua | | 1/4/12 |
| Jamie Koerte | | 1/4/12 |
| Michelle Koerte | | 1/4/12 |
| Nani Napio | | 1/4/12 |
| Anita Applegate | | 1/11/12 |
| Kayti Applegate | | 1/11/12 |
| Lihaino Tarita | | 1/11/12 |
| Loida Lazaro | | 01/11/12 |
| Shavlene Morimoto | | 1-11-12 |
| Roy Borja | | 1-11-12 |
| JoAnn Borja | | 1-12-12 |
| Sharon Norie | | 1-11-12 |
| Sharon Kai | | 1-11-12 |
We, the undersigned, support the building of the Enterprise Center proposed by the Council for Native Hawaiian Advancement (CNHA) in the Kekaha Gardens Hawaiian Homestead Neighborhood Lot 51 as an effort towards bettering and improving our neighborhood and surrounding area:
| Name (Print) | Signature | Date |
|-----------------------|-----------------|--------|
| Lulabelle H. Kelley | | 01/04/12 |
| Helena Ishida | | 01/05/12 |
| Quinio HAKAHIKI | | 1/5/12 |
| Jacqueline Matsumura | | 1/5/12 |
| Taki Fretag | | 1/5/12 |
| Joanne Pangos | | 1/5/12 |
| Shirley Ayo | | 1/5/12 |
| Lisa Davalos | | 1/5/12 |
| Jay Williams | | 1/5/12 |
| Vanessa Akana | | 01.05.12|
| Makamoe Ayau | | 01.05.12|
| Jonathan Olores | | 1.5.12 |
| June Arnett | | 1-6-12 |
| Parkelle Muziola | | 1-6-12 |
| Karen Dickinson | | 1-6-12 |
| Marlynn Jardin | | 1-6-12 |
| Nick Perona | | 1-6-12 |
| Yosabel Yong | | 1-6-12 |
| Norm Hoyt | | 1-9.12 |
| Mark VANDY | | 1-12-12 |
| Cheryl Lebasri | | 1-11-12 |
| Jayne Muraoka Perkins | | 1-11-12 |
| Gilda Miyazaki | | 1/11/2012|
| Sandi Artacho | | 1/11/2012|
| Andrea France | | 1/11/2012|
| Pamie Felder | | 1/11/2012|
| Linda Uyehara | | 1/11/2012|
| Cindy Kagawa | | 1/11/2012|
We, the undersigned, support the building of the Enterprise Center proposed by the Council for Native Hawaiian Advancement (CNHA) in the Kekaha Gardens Hawaiian Homestead Neighborhood Lot 51 as an effort towards bettering and improving our neighborhood and surrounding area:
| Name (Print) | Signature | Date |
|-----------------------|-----------------|----------|
| Caroline Kanohile | Caroline Kanohile | 12/28/11 |
| Vi'ialot Kanohile | Vi'ialot Kanohile | 12/29/11 |
| Gladys Kahale | Gladys Kahale | 12/29/11 |
| Hookipa Kanohile | Hookipa Kanohile | 12/29/11 |
| Sylvia Nakaahiki | Sylvia Nakaahiki | 12/29/11 |
| Emalia Kanohile | Emalia Kanohile | 12/29/11 |
| Bethylene Kanohile | Bethylene Kanohile | 12/29/11 |
| Cuelino Bus-1185 | Cuelino Bus-1185 | 12/29/11 |
| Rebecca Nihau Yong | Rebecca Nihau Yong | 12/29/11 |
| Grace Kaohelaulii | Grace Kaohelaulii | 12/29/11 |
| William K. Nizo | William K. Nizo | 12/29/11 |
| Fa'eni Holoka'ali-Nizo| Fa'eni Holoka'ali-Nizo | 12/29/11 |
| Lotuvale Bristillos | Lotuvale Bristillos | 12/29/11 |
| Donna-May Kanohile | Donna-May Kanohile | 12/29/11 |
| Ugeday Kanohile | Ugeday Kanohile | 12/29/11 |
| Amy Kahale | Amy Kahale | 12/29/11 |
| Ricky Kahale | Ricky Kahale | 12/29/11 |
| Lisa Kanohile | Lisa Kanohile | 12/29/11 |
| Conna Summaz | Conna Summaz | 12/29/11 |
| Charles Kaliloa | Charles Kaliloa | 12/29/11 |
| Dorothy Kaliloa | Dorothy Kaliloa | 12/29/11 |
| Sharon Kanohile | Sharon Kanohile | 12/29/11 |
| Leslie Kanohile | Leslie Kanohile | 12/29/11 |
| Ruth Kaohelaulii | Ruth Kaohelaulii | 01/01/12 |
Kekaha Hawaiian Homes Association
We, the undersigned, support the building of the Enterprise Center proposed by the Council for Native Hawaiian Advancement (CNHA) in the Kekaha Gardens Hawaiian Homestead Neighborhood Lot 51 as an effort towards bettering and improving our neighborhood and surrounding area:
| Name (Print) | Signature | Date |
|-----------------------|-----------------|--------|
| Lalabelle H. Kelley | | 01/07/12 |
| Helga Ishida | | 01/05/12 |
| Quatre Nakamaiki | | 1/5/12 |
| Jacqueline Matsumura | | 1/5/12 |
| Tedi Pretag | | 1/3/12 |
| Joanne Pangao | | 1/5/12 |
| Shirley Ayo | | 1/5/12 |
| Lisa Davalos | | 1/5/12 |
| Paul Williams | | 1/5/12 |
| Vanessa Akana | | 01.05.12|
| Makanoa Agu | | 01.05.12|
| Jonathan Flores | | 1-5-12 |
| June Arceit | | 1-6-12 |
| Darlene Murakai | | 1-6-12 |
| Karen Dickinson | | 1-6-12 |
| MacLynn Jardin | | 1-6-12 |
| Mike Ferewo | | 1-4-12 |
| Yosabel Yong | | 1-6-12 |
| Kevin Hoyt | | 1-9-12 |
| Mark Whiddy | | 1-10-12 |
| L. Kaowam | | 1/10/12 |
| Keo Blaz | | 1/10/12 |
| Elijah Kane | | 1-10-12 |
| Hualani Duncan | | 10 Jan 12|
| David Duncan | | 1-10-12 |
| Katie Toralde | | 1-10-12 |
| Chance Rapozo | | 1-10-12 |
| STEPHEN L. SPEARS | | 1/10/12 |
| Johnny K. Kanahole Sr.| | |
February 3, 2012
Ms Ruth Potts
PO Box 307
Kaumakani, Hawaii 96747
Mr. Joseph Nakaahiki
PO Box 1078
Kekaha, Hawaii 96752
Draft Environmental Assessment Kekaha Community Enterprise Center
Lot 51, Kekaha Gardens Subdivision
Dear Ms. Potts and Mr. Nakaahiki:
North Shore Consultants is preparing an Environmental Assessment for the above referenced project. The Draft EA has been published and is now available for your review. I have enclosed a copy for your use. It can also be found on the internet at:
http://oeqc.doh.hawaii.gov/Shared%20Documents/EA_and_EIS_Online_Library/Kauai/2010s/2012-01-23-DEA-Kekaha-Community-Enterprise-Center.pdf
Your letters and petition on the subject have found their way to me through the project proponent The Council for Native Hawaiian Advancement (CNHA). I have just now received these because they were not addressed or copied to CNHA. The majority of your concerns seem to be directed at the contract management by CNHA, which are beyond the scope of an Environmental Assessment.
Native Hawaiian Burials or other cultural artifacts are within our scope and are discussed in the Draft EA Section 2.7. The two professional archaeologists conducted surveys in accordance with standard practices for their industry and did not find evidence of *iwi* or other cultural artifacts. Due to the level of concern expressed during this planning period an archaeologist will be present to monitor the site during construction and excavation. Section 2.7 recommends a mitigation procedure if artifacts are discovered.
The comment period for this document is now open and will remain open until February 22, 2012. I value your participation in the Environmental Assessment process. Please mail or email any comments on potential environmental impacts to me prior to the closing date.
Thank You,
NORTH SHORE CONSULTANTS, LLC
David M. Robichaux, Principal
P.O. Box 790
Hale‘iwa, Hawai‘i 96712
firstname.lastname@example.org
Telephone: 808.637.8030
Telephone: 808.368.5352
March 19, 2012
RE: Agenda Item F-1, March 19 and 20, 2012 Agenda:
Recommendation to Commissioners to Postpone or Disapprove FONSI
Kekaha Enterprise Center, Kekaha, Kaua‘i
Dear Chairman Nahale‘a:
At the request of a member of Kekaha’s Naka‘ahiki ohana, this letter is submitted with regard to the March 19 and 20 Hawaiian Homes Commission Agenda Item # F-1, involving the Commission’s pending approval of a FONSI in its Environmental Assessment of the Kekaha Enterprise Center building site in Kekaha, Kaua‘i (“Lot 51”).
As you and CNHA, the current holder of the land use rights of Lot 51, are aware, through letter dated February 9, 2012 (attached) Kekaha Hawaiian Homestead Association is currently going through a beneficiary process to create a democratically-drafted beneficiary association Position Statement on this issue. Specifically, our west side beneficiaries will be deciding together whether they approve or disapprove of the siting of the Kekaha Enterprise Center on Lot 51.
KHHA has embarked on this meticulously planned board process, reaching out as never before to Hawaiian speakers (see Hawaiian translation flyer attached) and to the community in general (also attached).
There are issues involving iwi on Lot 51 that make a FONSI by the Commission extremely vulnerable to challenge. Beneficiary and legal examination of relevant statutes, state mandated preservation plans, and consultation of laws and experts on Hawaiian burial grounds, indicate that a FONSI finding may not only be premature, but inappropriate and illegal. Further, enforcement provisions in state law impose criminal sanctions on the improper excavation and alteration of burial grounds and artifacts.
To protect the Commission and its leasees from such liability, and from needless expense stemming from a hasty approval of a FONSI for this EA, we urge the Commission to postpone this vote until:
1) KHHA has concluded its Position Statement process and submitted this statement to stakeholders and decision makers. This democratically-created Position Statement will further inform an appropriate recommendation on the Draft EA that may or may not be a FONSI; and
2) Our internal investigation with experts and advisors can recommend to the Commission and project sponsors a more rigorous set of recommendations that bring a greater level of accountability to the ohana of Kekaha and their family burial grounds.
Thank you for your consideration. I request that this letter be made part of the minutes of the Commission meeting, and included in the official record of the Commission deliberations of the March 19 and 20 Commission meetings in Kapolei.
Thank you.
Sincerely,
Phoebe Eng
Cc: Burial Council members, State of Hawaii
Kekaha Hawaiian Homestead Association
Alapaki Nahale’a, Chairman
Hawaiian Homes Commission
Hale Kalaniana’ole, 91-5420 Kapolei Parkway
Kapolei, HI 96707
February 9, 2012
Re: KHHA Update and Board Process on DHHL Lot 51 Project
Dear Chairman Nahale’a:
The board of the Kehaha Hawaiian Homestead Association would like to update you and the Commission on our activities regarding the Kekaha Enterprise Center, currently planned for siting in the middle of our Kekaha homestead subdivision (“Lot 51”).
As you may know the Kekaha Enterprise Center generally is an approved project in our recent West Kaua’i Regional Plan. However, we have recently heard serious objections and contentious views to this project from several members of our beneficiary community. At least one petition opposing the project has been circulated in our community. We are aware that this petition was sent to several parties involved in the project, including the Department of Hawaiian Home lands (DHHL), U.S. Department of Housing and Urban Development (HUD), and Kauai Community College (KCC), the formal recipient of the HUD grant for construction of the Kekaha Enterprise Center building. There are also statements from other members expressing support for the project. Emotions run high on this issue.
In light of the potential harm in causing long term rifts in our community, the board of directors of KHHA has decided to facilitate a process of allowing our membership to establish the official position of our organization regarding this project. In order to do this, each member of our Board has pledged to take a position of neutrality, so that all of us can effectively help our beneficiaries voices be heard, without our personal bias. **Our board has chosen to create a process and timeline whereby board members will facilitate a fact finding and discussion in March among our members, so that they may determine the official position statement of our organization regarding this project.**
As with all Hawaiian beneficiary organizations, KHHA is a membership-driven organization and we take our representative responsibilities very seriously. To be true and accountable to our membership, we must represent the perspectives of our membership as fully and with as much fairness and disclosure to them as possible.
Many of our members have expressed concern that there are iwi on the proposed building lot, and that further research is needed before any building approval on the site should occur. Other beneficiaries have stated that, at the time of their lot selection, DHHL had represented to
(Nahale’a cont’d, page 2)
them that Lot 51 would not be developed or built upon, as it was a drainage ditch unsuitable for building construction. Some beneficiaries chose their lots based on those representations.
There are also other beneficiaries that support this project and see its many potential benefits. Many understand that an enterprise center could provide a gathering place for Hawaiian organizations, as well as a training and education center that our beneficiaries need to begin their paths toward self sufficiency.
In light of this, our KHHA process that helps our members determine our formal position statement will build confidence among our beneficiaries that they have had a full opportunity to be informed, heard, and counted by project decisionmakers. We view this as a new level active engagement by our board with our membership, and a key capacity-building effort that builds both trust and accountability for our organization.
**We anticipate that our membership will finalize their position statement by the week of March 19.** We hope that you and DHHL will honor our KHHA position statement, and refrain from making any decisions on approving or denying land use for this project, until then. We were told that CNHA and/or HCDC are planning an internal board vote on whether to continue with the project within the coming week, and so this letter is being cc’d to them, as well as to Kauai Community College, in hopes that they too will respect Kekaha’s local processes of self determination and home rule.
Mahalo for your consideration. It will be both important and meaningful to our beneficiaries that you and the Commission wait for, and defend, their position statement. I do hope that you will support us.
Please direct any responses to this letter to me at email@example.com.
Sincerely,
Kawai Warren
President, Kekaha Hawaiian Homestead Association
Cc: U.S. Department of Housing and Urban Development
Kauai Community College
Hawaiian Community Development Corporation
Council for Native Hawaiian Advancement
Commissioners, Department of Hawaiian Homelands
ATTENTION TO:
All Native Hawaiian Beneficiaries from Kalaheo to Mana
FROM:
Board of Directors, Kekaha Hawaiian Homestead Association (KHHA)
LET OUR BENEFICIARY VOICES BE HEARD!
Help Us Create the Official KHHA Position Statement on LOT 51/Kekaha Enterprise Center
On Monday, March 19 and Tuesday, March 20, 2012, the Board of Directors of Kekaha Hawaiian Homestead Association (KHHA) will hold a closed meeting with west side beneficiaries to create the official KHHA Position Statement on Lot 51/Kekaha Enterprise Center.
This position statement discussion will be limited to west side native Hawaiian beneficiaries from Kalaheo to Mana:
1. Homestead Lease Holders (Name must appear on the DHHL’s official list of leasees); and
2. Applicants (Must have a valid applicant number that appears on the DHHL applicant list for Residential, Ag, or Pastoral lots).
3. Spouses, immediate household family members of (1) and (2) above may attend both meetings as observers.
The KHHA Position Statement process will consist of 2 meetings:
⇒ **MEETING 1: Monday, March 19, 2012 (Board and Beneficiary discussion):**
*March 19, at 6:30 pm at Kekaha Elementary School cafeteria. Check in starts at 5:30 pm.*
GOAL: KHHA board hears and responds to questions and comments about Lot 51 and Kekaha Enterprise Center. Discussion among lessees, applicants, and board members. Spouses and family household members may attend as observers.
⇒ **MEETING 2: Tuesday, March 20, 2012 (Creating the Final Position Statement):**
*March 20, at 6:30 pm at Kekaha Elementary School cafeteria. Check in starts at 5:30 pm.*
GOAL: Facilitated discussion to create a final KHHA Position Statement. Discussion and voting limited to lessees and applicants. Spouses and family household members may attend as observers.
PLEASE ATTEND AND ADD YOUR VOICE:
⇒ Are there any adjustments to the project that would make it acceptable?
⇒ Are we able to find alternative ways to bring education to Kekaha if KHHA beneficiaries disapprove of this project?
⇒ What are the KHHA board’s top Pro’s and Con’s of the project?
⇒ Do you approve or disapprove of the Kekaha Enterprise Center on Lot 51?
The Board of Directors will do its best to ensure that the KHHA Position Statement influences key decision makers.
We look forward to your participation. Let your voice be heard.
E Nānā mai:
Nā Hoʻoilina ʻŌiwi Hawaiʻi Āpau mai Kalaheo i Mana
Na:
Nā Papa Luna Hoʻokele, ʻAhahui ʻĀina Pulapula o Kekaha (KHHA)
E Kōkua a Hoʻokumu mai i ka ʻŌlelo Kūhelu o KHHA ma ʻĀpana 51/Kekaha Enterprise Center
Ma ka Poʻakahi, lā 19 o Malaki a me ka Poʻalua, lā 20 o Malaki, 2012, Na nā Papa Luna Hoʻokele o ʻAhahui ʻĀina Pulapula o Kekaha e mālama he hālawai paʻa me nā hoʻoilina komohana no ka hoʻokumu ʻana he ʻŌlelo Kūhelu a KHHA ma ka ʻāpana 51/Kekaha Enterprise Center. Hoʻopaʻa ʻia he hoʻuluʻulu pōkole o ka papahana.
E kaupalena ʻia kēia ʻōlelo kūhelu i nā hoʻoilina komohana mai Kalaheo i Mana:
1. Mea Hoʻolimalima ʻĀina Pulapula (Pono e inoa e kau ma luna o ka papa kūhelu DHHL)
2. Mea Noi (Pono e loaʻa ka helu mea noi kū i ke kānawai e kau ma luna o ka papa palapala noi DHHL no nā ʻāpana Kamaʻāina, Mahiʻai, a i ʻole nā pā holoholona.)
3. Kāne/wahine, ʻohana pili koko me nā lālā o (1) a me (2) ma luna. Hiki ke hele pū i nā hālawai.
E mālama ʻia ana he 2 hālawai no ka ʻŌlelo Kūhelu KHHA:
HĀLĀWAI 1: Poʻakahi, lā 19 o Malaki, 2012 (Kūkā me ka Papa a me nā Hoʻoilina):
Lā 19 o Malaki, Hoʻomaka ma ka hola 6:30 o ke ahiahi ma ka halce ʻaina o Ke Kula Kamaliʻi o Kekaha. Hoʻomaka ke kāinoa ʻana ma ka hola 5:30 o ke ahiahi.
Pahuhopu: E hoʻolono a pane pono ka papa KKHA i nā nīnau a me nā manaʻo e pili ana i ka ʻāpana 51 a me Kekaha Enterprise Center. He kūkākūkā ma waena o nā poʻe hoʻolimalima, nā mea noi, a me nā papa lālā. Hiki ke hele mai nā kāne/wahine a me ka ʻohana ma ke ʻano he mau mea nānā.
HĀLĀWAI 2: Poʻalua, lā 20, o Malaki, 2012 (Hoʻokumu ʻia ka ʻŌlelo Kūhelu Hope Loa):
Lā 20 o Malaki, Hoʻomaka ma ka hola 6:30 o ke ahiahi ma ka halce ʻaina o Ke Kula Kamaliʻi o Kekaha. Hoʻomaka ke kāinoa ʻana ma ka hola 5:30 o ke ahiahi.
Pahuhopu: He kūkākūkā no ka hoʻokumu ʻana he ʻŌlelo Kūhelu Hope Loa o KHHA. E kaupalena ʻia ke kūkākūkā a koho pāloka ʻana i nā poʻe hoʻolimalima a me nā mea noi. Hiki ke hele mai nā kāne/wahine a me ka ʻohana ma ke ʻano he mau mea nānā.
E ʻOLUʻOLU ʻOUKOU E HELE MAI A HOʻOPUKA I KOU MANAʻO:
- ʻIle mau loli hou aʻe kāʻoukou e hoʻomaikaʻi ai kēia papahana?
- Hiki iā mākou e ʻimi i mau ʻano ʻokoʻa e hoʻonui i ka hoʻonaʻauao no Kekaha inā e ʻāpono ʻole nā hoʻoilina KHHA o kēia papahana?
- He aha nā mea maikaʻi a maikaʻi i ʻole o kēia papahana?
- E ʻāpono a ʻāpono ʻole ʻoukou o Kekaha Enterprise Center ma ka ʻāpana 51?
E hana maikaʻi ka Papa Luna Hoʻokele i mea e hoʻololi ai ka ʻŌlelo Kūhelu KHHA i ka poʻe hoʻoholo koʻikoʻi. E hoʻohiki ʻia kēla me kēia papa lālā he hoʻohiki kūkonu i mea e mālama ai he kūkākūkā palekana a kaulike ma waena o nā poʻe koho pāloka e hoʻokumu ai i ka ʻŌlelo Kūhelu.
Mahalo i ke kōkua ʻana mai! E lohe ʻia nō kou leo.
June 29, 2011
Ms. Helen A. Cox
Chancellor
Kauai Community College
3-1901 Kaumuali’i Highway
Lihu’e, HI 96766-9591
Dear Ms. Cox:
SUBJECT: Alaska Native/Native Hawaiian Institutions Assisting Communities Program
Grant Number AHIAC-08-HI-05
Removal of Environmental Conditions
This letter is to advise you that an Environmental Assessment has been completed for your *Kekaha Commercial Enterprise Center* project to be undertaken with funds from the subject grant. Based on the results of this review, the Department of Housing and Urban Development has made a *Finding of No Significant Impact* for the planned activities pursuant to the regulations at 24 CFR 50.33. Enclosed is a copy of form HUD-4128, Environmental Assessment, documenting compliance with the federal laws and authorities at 24 CFR 50.4 and other applicable program factors.
Please note the special conditions listed in section 11 on page 1 of form HUD-4128 and summarized below:
1. Implement best management practices during the construction phase of the project to minimize impacts from increased noise, fugitive dust, and emissions from construction equipment.
2. Project must comply with the County of Kauai Department of Public Works drainage standards.
3. If cultural resources are uncovered during construction, work must stop and an archeologist will be provided sufficient time to evaluate the site and carry out mitigation as needed.
4. Wastewater system must comply with local requirements and State of Hawaii Department of Health Administrative rules.
5. Erect perimeter fence along the adjacent drainage ditches to prevent unsafe access by users of the facility.
*You may proceed to obligate and expend grant funds in the amount of $794,728 on the planned construction activities* subject to the terms and conditions of your grant agreement. Should you decide to modify or increase the scope of activities under this grant, please submit a description of the changes prior to incurring any costs. If necessary, the environmental review will be updated to reflect the new scope of work.
We look forward to working with you to achieve the objectives in your grant proposal. If you have any questions, please contact me at (202) 402-4200 or by e-mail at firstname.lastname@example.org.
Sincerely,
Sherone Ivey
Deputy Assistant Secretary
Office of University Partnerships
Enclosure
Environmental Assessment and Compliance Findings for the Related Laws
Findings and Recommendations are to be prepared after the environmental analysis is completed. Complete items 1 through 15 as appropriate for all projects. For projects requiring an environmental assessment, also complete Parts A and B. For projects categorically excluded under 24 CFR 50.20, complete Part A. Attach notes and source documentation that support the findings.
3. Project Name and Location: (Street, City, County, State)
Kekaha Commercial Enterprise Center
7680 Uilii Road
Kekaha, Kauai, HI 96752
4. Applicant Name and Address (Street, City, State, Zip Code), and Phone
University of Hawaii – Kauai Community College
2530 Dole Street, Sakamaki Hall, D-200
Honolulu, HI 96822
5. ☒ Multifamily ☐ Elderly ☐ Other Public facility (Community Enterprise Center)
6. Number of:
0 Dwelling Units
1 Building
1 Story
1 Acre
7. Displacement: ☒ No ☐ Yes
Site is vacant and has never been developed.
8. ☒ New Construction ☐ Rehabilitation ☐ Other
Construct a multipurpose community center (1,100 sq. f.) to provide training and counseling programs, primarily to low-income Native Hawaiians.
9. Has an environmental report (federal, state, or local) been used in completing this form? ☒ Yes ☐ No
Environmental Assessment and corresponding Environmental Review Record dated April 2003 prepared by DHHL to develop Kekaha Residence Lots (resource center will be built on lot 51).
10. Planning Findings: Is the project in compliance or conformance with the following plans?
Local Zoning: ☒ Yes ☐ No ☐ Not Applicable
Coastal Zone: ☒ Yes ☐ No ☐ Not Applicable
Air Quality (SIP): ☒ Yes ☐ No ☐ Not Applicable
Parcel is zoned “Residential R-6 District.” Per letter dated 6/23/11, DHHL agreed to waive the zoning restrictions to allow the facility to be built (letter in Tab B). Project site is outside of Special Management Area boundary (map in Tab C). All of Hawaii is an attainment area for air quality.
11. Environmental Finding: (check one)
☐ Categorical exclusion is made in accordance with § 50.20 or
☒ Environmental Assessment and a Finding of No Significant Impact (FONSI) is made in accordance with § 50.33 or
☐ Environmental Assessment and a Finding of Significant Impact is made, and an Environmental Impact Statement is required in accordance with §§ 50.33(d) and 50.41.
12. Preparer: (signature) Robert S. Kroll
Date: 6/28/11
13. Supervisor: (signature)
14. Comments by Environmental Clearance Officer (ECO): (required for projects over 200 lots/units)
15. HUD Approving Official: Sherone Ivey, Deputy Assistant Secretary, Office of University Partnerships
Date: 6/29/11
| §50.4 Laws and Authorities | Project is in Compliance | Source Documentation and Requirements for Approval |
|-----------------------------|--------------------------|--------------------------------------------------|
| 6. Coastal Barrier Resources | ☒ | There are no Coastal Barrier Zones off the coast of Hawaii.
Ref: [www.fws.gov/habitatconservation/coastal_barrier.htm](http://www.fws.gov/habitatconservation/coastal_barrier.htm) |
| 7. Floodplain Management (24 CFR Part 55) | ☒ | The property is designated as Flood Zone X per FIRM Community Panel Number 150002 0152 D dated 9/30/95. No special mitigation is required. (See flood map in Tab C and section 2.5 of Kekaha EA dated April 2003 in Tab G) |
| 8. Historic Preservation (36 CFR Part 800) | ☒ | Archaeological survey report dated August 2003 disclosed no cultural resources in Kekaha subdivision. Letter dated 7/19/02 from State Historic Preservation Division states "no historic properties will be affected [because] residential development/urbanization has altered the land." (See SHPO letter in Tab D and section 2.6 of Kekaha EA dated April 2003 in Tab G) |
| 9. Noise Abatement (24 CFR Part 51 Subpart B) | ☒ | Site is located in a rural area of Kauai and is not within 1,000 feet of a major roadway or 3,000 feet of a railroad. Route 50 is 700 feet from the site, but is a two-lane highway with limited traffic volume. The Pacific Missile Range facility is five miles northwest, but the 65 dBA noise contour for airport operations does not extend to the project site. Missile launches can increase the noise to between 82 dBA and 92 dBA, but they are infrequent (maximum of six per year). (See Pacific Missile Range Facility Master Plan and EIS in Tab E) |
| 10. Hazardous Operations (24 CFR Part 51 Subpart C) | ☒ | There are no above-ground storage tanks within line of site of the project.
Ref: Field visit by B. Kroll on 6/10/10. |
| 11. Airport Hazards (24 CFR Part 51 Subpart D) | ☒ | The Lihue Airport is located 24 miles from the project site. There is a military airport within the Pacific Missile Range Facility, approximately six miles northwest. The airfield Clear Zones, Accident Potential Zones, and Missile Danger Zone are either over open water or contained within the military base boundary. (See Pacific Missile Range Facility Master Plan and EIS in Tab E) |
| 12. Protection of Wetlands (E.O. 11990) | ☒ | No wetland areas are identified on the National Wetlands Inventory maps. Two drainage pumping stations, located north and south of the subdivision, are operated by the Kekaha Sugar Company to prevent the area from reverting to its former wetland status. Drainage ditches are on the makai and east sides of the site. Field visit by B. Kroll on 6/10/10 confirmed the lack of wetland areas on or adjacent to the site. (See map in Tab F and section 2.5 of Kekaha EA dated April 2003 in Tab G)
Ref: [http://www.fws.gov/wetlands/Data/Mapper.html](http://www.fws.gov/wetlands/Data/Mapper.html) |
| 13. Toxic Chemicals & Radioactive Materials (§50.3(i)) | ☒ | **Hazardous materials, contamination, toxic chemicals and gases, radioactive substances:** Per Phase I Environmental Site Assessment dated May 2002, no hazardous waste generators were within one mile of the property and no facilities that treat, store, or dispose of hazardous waster are with one-half mile of the property. *Enviromapper* reveals one current EPA regulated hazardous waste handler (warehouse) approximately one mile from the site with no health or safety violations. (See Phase I ESA in Tab G)
Ref: [http://oaspub.epa.gov/enviro/fii_query_dtl.disp_program_facility](http://oaspub.epa.gov/enviro/fii_query_dtl.disp_program_facility)
**Superfund:** EPA website at [www.epa.gov](http://www.epa.gov) lists no superfund sites on the island of Kauai.
**Previous use of site:** The site is vacant and was never previously developed. Surrounding area has used for agricultural activities and fugitive dumping in past decades. (Section 2.5 of Phase 1 ESA in Tab G)
**Underground storage tank:** EDR database search found no LUST releases within one-half mile of the project site. (Section 3.1.10 of Phase 1 ESA in Tab G) |
| 14. Other §50.4 authorities (e.g., endangered species, sole source aquifers, farmlands protection, flood, insurance, environmental justice) | ☒ | **Air Quality [Sections 176(c), (d), and 40 CFR 6.51.93]:**
The entire state of Hawaii is an attainment area for all six federally regulated air pollutants, per Environmental Protection Agency website at [www.epa.gov/air/data/repsst.html?st~HI~Hawaii](http://www.epa.gov/air/data/repsst.html?st~HI~Hawaii).
**Flood Insurance [§50.4(b)]:**
Property is not in a floodplain and flood insurance is not required (flood map in Tab C).
**Endangered Species [§50.4(c)]:**
Biological/botanical survey conducted in 1993 found vegetation to be dominated by alien species and site to be highly degraded. No flora or fauna were considered threatened or endangered. Survey concluded that it was highly unlikely that additional survey work would uncover any rare or endangered species. (Section 2.5 of EA dated April 2003 and Botanical Survey dated 6/10/93 in Tab G)
**Sole Source Aquifers [§50.4(d)]:**
EPA website indicates there are no Sole Source Aquifers on the island of Kauai. (Map in Tab I)
Ref: [http://www.epa.gov/safewater/sourcewater/pubs/qrg_sssmap_reg9.pdf](http://www.epa.gov/safewater/sourcewater/pubs/qrg_sssmap_reg9.pdf)
Water service for the project will be provided by the County of Kauai utility authority. Sewer will be connected to a septic system constructed by permit pursuant to county health standards.
**Wild and Scenic Rivers [§50.4(f)]:**
The National Park Service website confirms there are no designated Wild and Scenic Rivers in Hawaii. Ref: [http://www.rivers.gov](http://www.rivers.gov)
**Environmental Justice [§50.4(l)]:**
The project site does not suffer from disproportionately adverse environmental effects on...
minority or low-income populations relative to the community-at-large.
**Farmlands Protection [50.4(j)]:**
The project site is not currently used for agricultural activities and has been designated for residential use; therefore, no agricultural lands will be withdrawn from production. In addition, per 10/8/02 conversation with USDA, no lands in the state of Hawaii fall under the Farmland Policy Protection Act. (See DHHL memo dated 10/8/02 in Tab J)
Ref: Field visit by B. Kroll on 6/10/10.
---
### Part B. Environmental/Program Factors
| Factors | None | Minor | Major |
|------------------------------------------------------------------------|------|-------|-------|
| 5. Unique Natural Features and Areas | ☒ | | |
| The site is set back 400 feet from Kaumualii Highway and does not interfere with the makai to mauka scenic view plane. Also, the Kakaha subdivision is buffered by native shrub. *(Section 2.12 of the EA dated April 2003 found in Tab G)* |
| 6. Site Suitability, Access, and Compatibility with Surrounding Development | ☒ | | |
| Site is slightly elevated and surrounded by agricultural and residential properties. Project will duplicate the look and style of area single-family homes. Site and neighborhood have immediate all-weather access to Kaumualii Highway, the primary transportation corridor on the island of Kauai. *(Pages 7 and 8 of DHHL EA dated 4/03 found in Tab G)* |
| Ref: Field visit by B. Kroll on 6/10/10. | | | |
| 7. Soil Stability, Erosion, and Drainage | ☒ | | |
| The soils type is Jaucas loamy fine sand (JFB) and Dune Land (DL). Permeability is rapid and runoff is slow. Slopes are between 0% and 8%. Geotechnical investigation determined soils are suitable for construction with either on-grade slabs or on-post and beam foundations. Drainage plan must ensure positive runoff due to soils conditions. *(Sections 2.2 and 2.3 of DHHL EA dated 4/03 found in Tab G)* |
| 8. Nuisances and Hazards (natural and built) | ☒ | | |
| Site debris from illegal dumping was noted in the April 2003 EA. Field visit by B. Kroll on 6/10/10 confirmed these hazards had been removed. Perimeter fence should be erected along the drainage ditches to prevent unsafe access by users of the facility. *(Photos in Tab A)* |
| 9. Water Supply/Sanitary Sewers | ☒ | | |
| Project will be served by a municipal water system operated by the County of Kauai. Sewer will be connected to a septic system constructed by permit pursuant to county health standards. |
| Ref: Field visit by B. Kroll on 6/10/10. | | | |
| 10. Solid Waste Disposal | ☒ | | |
| Solid waste will be collected at least weekly by the County of Kauai. |
| Ref: Field visit by B. Kroll on 6/10/10. | | | |
| 11. Schools, Parks, Recreation, and Social Services | ☒ | | |
| The project does not involve housing; however, site is within the Kakaha subdivision and is served by local public schools, parks, and social service providers, all within a five mile radius. *(Section 1.6 of DHHL EA dated 4/03 found in Tab G)* |
| Ref: Field visit by B. Kroll on 6/10/10. | | | |
| 12. Emergency Health Care, Fire and Police Services | ☒ | | |
| The Waimea Fire Station, Waimea Police Sub-station, and West Kauai Medical Center are located within 4 miles of the site. *(Section 1.6 of DHHL EA dated 4/03 found in Tab G)* |
| Ref: Field visit by B. Kroll on 6/10/10. | | | |
| 13. Commercial/Retail and Transportation | ☒ | | |
| Site is served by a public bus system and is located in the largest urban area on Maui. A wide variety of commercial and retail facilities are located within the vicinity of the project. *(Transportation Plan dated May 1997 in Tab K)* |
| 14. Coastal Zone Management | ☒ | | |
| Project site is outside of Special Management Area boundary; therefore, no SMA permit is required. *(Map in Tab C).* |
February 27, 2003
Mr. Stewart Matsunaga
Department of Hawaiian Home Lands
P.O. Box 1879
Honolulu, Hawaii 96805
Ms. Nadine K. Nakamura
NKN Project Planning
4849 Piwi Road
Kapaa, Hawaii 96746
Dear Mr. Matsunaga and Ms. Nakamura:
SUBJECT: Chapter 6E-42 Historic Preservation Review - Draft EA for Kekaha Residence Lots
Thank you for the opportunity to comment on the proposed project. We have reviewed the DEA for the proposed 42 single family house lots. Section 2.6 of the DEA deals with the Historic, Cultural and Archaeological Resources. In 1993, an archaeological inventory survey (CSH, 1993) was conducted and identified a cultural deposit and human burials in the southeast portion of the project area.
As a result of the archaeological survey findings parcel 32 was subdivided into two lots (44 and 45). Parcel 45 contains the cultural deposit and burials and will be preserved as is and not developed. We recommended mitigation in the form of archaeological monitoring for the areas to be developed. According to the Impact and Mitigation Measures outlined on page 12 of the DEA, archaeological monitoring is to take place during all subsurface construction work, including landscaping.
We concur with the mitigation measures outlined in the DEA and recommend that the following wording be used on any permit conditions:
1) A qualified archaeologist shall be hired to conduct on-site initially (then on-call as needed) monitoring during the project. Prior to starting the monitoring work, an acceptable monitoring plan (scope of work) shall be submitted to the State Historic Preservation Division for review and approval. The monitoring plan will spell out a process for documenting sites that are found, for evaluating significance in consultation with our Division and for developing and executing mitigation work with the approval of our Division and for mitigation treatment (as needed) with the approval of our Division. It must be clear that if historic sites, including burials, are uncovered during the monitoring, construction must stop in the immediate vicinity and the archaeologist shall be allowed sufficient time to evaluate the site and carry out mitigation, as needed. The plan must include provisions for an acceptable monitoring report, documenting all the findings, to be approved by our Division.
2) If burials are found, a burial treatment plan shall be prepared for inadvertent burial discoveries encountered during the monitoring of the project. In addition, consultation with the appropriate ethnic groups, the procedures outlined in Chapter 6E-43 shall be followed. It is necessary for the treatment plan to be prepared after consultation with native Hawaiians, such as the Kauai Island Burial Council and the Office of Hawaiian Affairs.
3) A report documenting the monitoring and burial treatment work shall be submitted to the State Historic Preservation Division for review and approval. The report shall include: 1) Detail drawings of burials and deposits to scale. 2) All artifacts shall be sketched and photographed. 3) Analyses of all perishable and durable remains shall be conducted. 4) Stratigraphic profiles shall be drawn to scale. 5) All locations of historic sites shall be shown on an overall map of the project area. 6) Initial significance evaluations shall be included for each historic site found and 7) Documentation on the nature and age of the historic sites shall be done.
If you have any questions, please call Nancy McMahon, our archaeologist for Kaua'i, at 742-7033.
Aloha,
P. HOLLY McILDOWNEY, Acting Administrator
State Historic Preservation Division
NMak |
A method of forming a fastener is provided, including (a) forming, from a thermoformable material, a preform product having a sheet-form base and an array of preform stems integrally molded with and extending from the base to corresponding terminal ends; (b) heating the terminal ends of the stems to a predetermined softening temperature, while maintaining the sheet-form base and a lower portion of each stem at a temperature lower than the softening temperature; and (c) contacting the terminal ends with a contact surface that is at a predetermined forming temperature, lower than the softening temperature, to deform the terminal ends to form heads therefrom that overhang the sheet-form base. Fasteners and other methods of forming them are also provided.
34 Claims, 60 Drawing Sheets
| Patent Number | Inventor(s) | Date | Country | Examiner(s) | Date |
|---------------|----------------------|------------|---------|---------------|------------|
| 3,261,069 | Mathisen | 7/1966 | | | |
| 3,266,113 | Flanagan, Jr. | 8/1966 | | | |
| 3,312,583 | Rochlis | 4/1967 | | | |
| 3,399,425 | Lemelson | 8/1968 | | | |
| 3,411,226 | Kayser et al. | 11/1968 | | | |
| 3,527,001 | Lemelson | 9/1970 | | | |
| 3,557,407 | Lemelson | 1/1971 | | | |
| 3,590,109 | Doleman et al. | 6/1971 | | | |
| 3,617,878 | Flanagan | 1/1972 | | | |
| 3,808,948 | Lemelson et al. | 6/1974 | | | |
| 4,001,366 | Brunlik | 1/1977 | | | |
| 4,169,303 | Lemelson | 10/1979 | | | |
| 4,244,174 | Kalberg | 11/1980 | | | |
| 4,344,151 | MacLaughlin et al. | 8/1982 | | | |
| 4,515,651 | MacLaughlin et al. | 5/1985 | | | |
| 4,775,310 | Fischer | 10/1988 | | | |
| 4,784,028 | Fischer | 11/1988 | | | |
| 4,890,060 | Shimamoto et al. | 1/1990 | | | |
| 5,076,793 | Aghevli et al. | 12/1991 | | | |
| 5,077,838 | Melby et al. | 12/1991 | | | |
| 5,305,867 | Ostrowski | 3/1994 | | | |
| 5,505,747 | Chesley et al. | 4/1996 | | | |
| 5,607,635 | Melby et al. | 3/1997 | | | |
| 5,652,516 | Miller et al. | 8/1997 | | | |
| 5,679,384 | Miller et al. | 10/1997 | | | |
| 5,685,050 | Murasaki | 11/1997 | | | |
| 5,713,111 | Hattori et al. | 2/1998 | | | |
| 5,722,115 | Theodossiou et al. | 3/1998 | | | |
| 5,791,016 | Murasaki et al. | 8/1998 | | | |
| 5,781,969 | Akeno et al. | 7/1998 | | | |
| 5,792,408 | Akeno et al. | 8/1998 | | | |
| 5,802,445 | Akeno et al. | 9/1998 | | | |
| 5,845,318 | Miller et al. | 12/1998 | | | |
| 5,868,987 | Kampfer et al. | 2/1999 | | | |
| 5,879,604 | Melby et al. | 3/1999 | | | |
| 5,885,792 | Clune | 3/1999 | | | |
| 5,913,482 | Akeno | 6/1999 | | | |
| 5,933,927 | Miller et al. | 8/1999 | | | |
| 5,951,931 | Murasaki et al. | 9/1999 | | | |
| 5,958,966 | Akeno et al. | 9/1999 | | | |
| 5,981,027 | Parellada | 11/1999 | | | |
| 6,000,106 | Parellada | 12/1999 | | | |
| 6,024,824 | Kresch | 2/2000 | | | |
| 6,039,911 | Miller et al. | 3/2000 | | | |
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| 6,248,276 | Buzwell et al. | 6/2001 | | | |
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| 6,475,593 | Hattori et al. | 11/2002 | | | |
| 6,526,633 | Provoist et al. | 4/2003 | | | |
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| 2003/0135964 | A1* | 7/2003 | | | |
| 2004/0033336 | A1* | 2/2004 | | | |
**FOREIGN PATENT DOCUMENTS**
- DE 296 08 260 * 5/1996
- DE 198 28 856 C1 * 6/1998
- DE 10056367 A1 * 11/2000
- EP 0608158 A2 * 11/1997
- EP 0 811 332 12/1997
- EP 0811332 A2 * 12/1997
- GB 2279106 A * 12/1994
- JP 2340704 11/2000
- JP 4,286029 10/1992
- WO 98/02480 8/1982
- WO 99/18387 4/1992
- WO 99/26110 10/1994
- WO 99/14086 4/1998
- WO 99/30381 7/1998
- WO 98/57564 12/1998
- WO 99/1065 12/1998
- WO 99/10161 3/1999
- WO 99/26507 6/1999
- WO 00/00551 1/2000
- WO 00/00553 1/2000
- WO 00/41479 7/2000
- WO 001/24654 * 4/2001
- WO 02/45536 6/2002
- WO 03/028499 4/2003
* cited by examiner
FIG. 1
FIG. 2
FIG. 1A
FIG. 1B
FIG. 1C
FIG. 1D
FIG. 2A
FIG. 2B
FIG. 3A
FIG. 3
FIG. 3B
FIG. 3C
FIG. 4
FIG. 5
FIG. 6
FIG. 7A
FIG. 7B
FIG. 7C
FIG. 8
FIG. 8A
FIG. 8B
FIG. 8C
FIG. 8D
FIG. 9A
FIG. 9B
FIG. 10A
FIG. 10B
FIG. 10C
FIG. 11A
FIG. 11B
FIG. 11C
FIG. 12
FIG. 13
FIG. 14
FIG. 13A
Ultrasonic horn
Preform web
FIG. 13B
Ultrasonic horn
Preform web
FIG. 15A
FIG. 15B
FIG. 16A
FIG. 16B
FIG. 16C
FIG. 17A
FIG. 17B
FIG. 18A
FIG. 18B
FIG. 18C
FIG. 17C
FIG. 17D
FIG. 19A
FIG. 19B
FIG. 20A
FIG. 20B
FIG. 20C
FIG. 21A
FIG. 21B
FIG. 22
FIG. 23A
FIG. 23B
FIG. 23
FIG. 23D
FIG. 23C
FIG. 23E
FIG. 23F
FIG. 23F-A
FIG. 23F-B
FIG. 23F-C
FIG. 23F-D
FIG. 23F-E
FIG. 23G
FIG. 23G'
FIG. 23G"
FIG. 23H
FIG. 23J
FIG. 23M
FIG. 23K
FIG. 23I
FIG. 23L
FIG. 23N
FIG. 23Q
FIG. 23P
FIG. 23Q
FIG. 23R
FIG. 23S
FIG. 23T
FIG. 23U
FIG. 23V
FIG. 23W
Peel (Angle Comparison)
Φ Phi
FIG. 23X
PEEL
FIG. 23Y
FIG. 24
FIG. 24A
FIG. 24B
FIG. 24C
FIG. 24D
FIG. 24E
FIG. 25
FIG. 25A
FIG. 25B
FIG. 25C
FIG. 25D
FIG. 26
FIG. 26A
FIG. 26B
FIG. 26C
FIG. 27A
FIG. 27B
FIG. 27
FIG. 28A
FIG. 28B
FIG. 28
FIG. 29
CFM28-7010 LLDPE 03149-6D T7 MD
| Measurement | Value |
|-------------|-----------|
| 0.35646mm | |
| 0.45367mm | |
| 0.86113mm | |
| 1.00495mm | |
| 0.453821mm | |
FIG. 29A
FIG. 29B
FIG. 29D
FIG. 29C
FIG. 30
FIG. 31
FIG. 32
FIG. 32A
MD
FIG. 32B
MD
FIG. 33
FIG. 33A
FIG. 33B
FIG. 33C
FIG. 33D
FIG. 33E
FIG. 33F
FIG. 33G
FIG. 33H
FIG. 33I
FIG. 34
FIG. 34A
FIG. 34B
FIG. 34C
FIG. 34D
FIG. 34E
FIG. 34A'
FIG. 34G
FIG. 34F
FIG. 34H
FIG. 34I
FIG. 34J
FIG. 35
FIG. 35A
FIG. 35B
FIG. 35C
FIG. 35D
FIG. 35E
FIG. 35A'
FIG. 36E
FIG. 36B
FIG. 36D
FIG. 36A
FIG. 36C
FIG. 36
FIG. 36A'
FIG. 37
FIG. 37A
FIG. 37B
FIG. 37C
FIG. 37D
FIG. 37E
FIG. 37F
FIG. 37G
FIG. 37H
MACHINE DIRECTION →
FIG. 37I
MACHINE DIRECTION →
FIG. 37J
MACHINE DIRECTION →
\[
\frac{\text{chord AB}}{h} \approx 4
\]
**FIG. 38**
\[
\frac{\text{chord AB}}{h} \approx 4
\]
**FIG. 38A**
\[
\frac{\text{chord AB}}{h} \approx 2
\]
**FIG. 38B**
\[
\frac{\text{chord AB}}{h} \approx 2^{1/2}
\]
**FIG. 38C**
\[
\frac{\text{chord AB}}{h} < 2
\]
**FIG. 38D**
FASTENERS ENGAGEABLE WITH LOOPS OF NONWOVEN FABRICS AND WITH OTHER OPEN STRUCTURES, AND METHODS AND MACHINES FOR MAKING FASTENERS
Matter enclosed in heavy brackets [ ] appears in the original patent but forms no part of this reissue specification; matter printed in italics indicates the additions made by reissue.
[This application is a continuation in part of U.S. Ser. No. 09/870,063, filed May 30, 2001, now U.S. Pat. No. 6,708,378, which is a divisional of U.S. Ser. No. 09/231,134, filed Jan. 15, 1999, now U.S. Pat. No. 6,248,276. This application is also a continuation in part of U.S. Ser. No. 09/808,395, filed Mar. 14, 2001 pending.] This application [also] claims priority [from] under U.S. Provisional Application Ser. No. 60/295,937, filed Jun. 4, 2001. The entire contents of [each of] the foregoing are hereby incorporated by reference.
TECHNICAL FIELD
This invention relates to touch fasteners commonly known as hook and loop fasteners and to self-engaging fasteners. In many aspects it deals with the particular case in which hooks engage flexible loops such as are formed of fibers of thin nonwoven materials and the like.
BACKGROUND
The present invention relates to male fastener components that engage in openings of a female component, in particular to loops formed by fibers of a nonwoven female component. The invention more particularly relates to stem and head formations of the male elements that promote loop engageability and to methods and machines for their manufacture, and their use. In other aspects the invention relates to manufacture of male fastener members per se, with application for instance to so-called self-engaging fasteners as well as to hook and loop fasteners. The invention in some respects, also relates to specific products of which the following is one example.
Attachment strips for window screens have been formed of, among other things, the male component of a hook and loop type fastener. To secure the screen, the male fastener elements are inserted through the openings of the mesh material and engage the sides of the mesh openings. It is desirable that the engagement between the male fastener elements and the mesh openings provide good peel strength, so that the screen is not detached by wind, and that the attachment strip be inexpensive and easy to apply.
There is a general need for male fastener components for hook and loop fasteners that provide good peel and shear strength properties in desired single or multiple directions that are relatively inexpensive to manufacture, and a specific need for male fastener components that can function with low cost nonwoven loop materials.
There is also a need to be able to produce male fastener products having differing functional characteristics consistently and efficiently, using techniques that require limited changeover in basic tooling, yet allow for adjustments to produce the desired fastener characteristics.
Furthermore, it is especially desirable to extend the use of hook and loop fastening systems into fields of low cost products and still obtain good fastening performance. Examples include mid- and lowest-cost disposable diapers and sanitary products, disposable packaging for low price products, and disposable lowest cost surgical and industrial clothing and wraps. There are many other recognized low-cost product areas to which such fasteners would be applicable.
In particular it is desirable to obtain good engagement of the male member of the fastening system with low cost nonwoven loop products, which are characterized by their thinness and the low height to which their loop-defining fibers extend.
“Good engagement” in some instances means engaging a large percentage of hooks with low-lying loops.
“Good engagement” in other applications often requires more, as in the case of fasteners for diapers. In such instances the hook component must exhibit strong “peel” resistance when engaged with thin, low cost loop materials.
With such materials, effective loop height does not permit transition of loading from the hook head to the hook stem during peeling action, as does occur with expensive loop products that have higher loop height. For this reason there are special problems to be addressed with hooks for thin loop structures in addition to the need to reduce the cost of the hook component.
To explain the peel considerations more fully, in a hook and loop type fastener, “peel strength” is the resistance to stripping of one component from the other when a force normal to their mating surfaces is applied to the extremity of one of the components. Such peeling force on the component causes it to flex and progressively peel from the other. It is desirable to have such peel strength in a hook and loop fastener that ensures that the closure does not release under normal forces of use, but still permits the components to be separated when required.
When the loop element is thin, as is usually the case for low-cost female fasteners, the structure of individual loops is very short and low-lying. In this condition, with application of a peel force, the loop exerts a force on the hook, which is essentially perpendicular to the sheet-form base and parallel to the stem of the individual hooks. Consequently the force is applied only to the heads of the hooks.
In contrast, when the loop element has a thick pile structure composed of long individual loops, the loop must first be pulled out to its full length before it can exert a significant force on a book. As this occurs, the base webs to which the hooks and loops are attached are enabled to flex away from each other (see FIG. 23Y) so that at the point of separation of hooks from such loops, the mated components are no longer face to face. Therefore the angle at which a loop exerts its force on a hook is less than perpendicular. The longer the loop length, the more that angle diminishes. As a result, with a long loop component, the force not only acts on the head of the hook, but also on its stem. For very long loops, most of the resisting force is on the stem rather than the hook head.
The consequence is that for short loops, the hook head must be strong and provide much of the resistance to peel separation, while for long loops, a short rigid stem with a slight head overhang is sufficient to give high resistance to peel separation. Therefore, in many instances, in order to expand and improve the use of thin and inexpensive loop components, the hook head geometry must be improved to increase strength of engagement and produce an acceptable closure.
In many cases it is desirable to form the male hook members for use with short loop material by molding an array of stems integrally (i.e. monolithically) with a common base, and subsequently to post-treat the stems by a pressed formation step to form loop-engageable heads. In many instances it
is desired to use continuous processes that act in a given machine direction, but to find a way to do this so as to achieve a hook product that has good peel strength characteristics when the user applies peel forces at a substantial angle to the machine direction, and in many cases at right angles, e.g., in the cross-machine direction.
SUMMARY OF THE INVENTION
In many aspects, the present invention employs a method of forming a fastener that includes: (a) forming, from a thermoformalizable material, a preform having a sheet-form base and an array of preform stems and upper structures integrally molded with and extending from the base to corresponding terminal ends; (b) heating the terminal ends of the stems or structure provided above the stems to a predetermined softening temperature, while maintaining the sheet-form base and a lower portion of each stem at a temperature lower than the softening temperature; and (c) contacting the terminal ends with a contact surface that is at a predetermined forming temperature, to reform the terminal ends to form heads therefrom that overhang the sheet-form base sufficiently to engage loops, the geometry and orientation of the preform structure and the condition of reforming the terminal ends of the structure being so related that the formed heads are capable of peel-resistant engagement with loops formed by fibers of thin or ultrathin nonwoven fabrics.
Preferred methods of this aspect of the invention include one or more of the following features. The heating is performed by a non-contact heat source, preferably a convective heat source as by combustion products of a flame. The polymer of the stem or structure is unoriented and is melted into a half-liquid condition. The forming temperature is sufficiently low or other conditions are provided so that the thermoformalizable material does not adhere to the contact surface. Water of combustion or steam is introduced to the contact surfaces as a non-adhering agent. The forming temperature is lower than the softening temperature. The contact surface comprises the cylindrical surface of a roll. The contact surface is cooled to maintain the forming temperature during step (c).
In step (c), the heads that are formed are substantially disc-shaped or mushroom-shaped. The thickness of each disc-shaped head is from about 5 to 15% of the equivalent diameter of the disc, or, in the special case of discrete heads on both sides of the terminal structure as well as the ends, as by hot combustion products, up to about 35% of the equivalent diameter of the disc. The head has a substantially dome-shaped surface overhanging the base. Step (a) includes molding the stems in molding cavities in a mold roll. In step (b), the region extends from the terminal end towards the base a distance equal to from about 15 to 25% of the total distance from the terminal end to the base, or, in the special case of the convective heating method, up to about 30% of that distance. The contact surface is formed first selected from the group consisting of dimpled, smooth, textured, and combinations thereof. The surface finish comprises dimples or other formations that are small relative to the size of the disc or head, discrete and separated in both the X and Y directions and the contact surface includes a density of dimples or other formations per unit area of the contact surface that is greater than or equal to the density of stems per unit area of the base and especially for the said small discrete formations for modifying the under-structure of the discs through transformation of displacement through the thickness of the disc, the relatively small discrete formations number between about 3 and 15 per disc or head. During step (c), the dimples are in at least partial registration with the stems.
In other aspects, the present invention employs a method of forming a fastener that includes: (a) forming a plurality of stems extending from a common base to a terminal end structure from a thermoformable material; (b) heating a region of the terminal end structure to a predetermined softening temperature, to soften the material in the region, while maintaining the remaining portion of the stems at a temperature lower than the softening temperature; and (c) contacting the terminal ends with a contact surface to form heads at the terminal end of the stems, the head a portion of the contact surface having a sufficiently rough texture to impart a loop-engaging surface to at least a portion of the heads.
Preferred methods include one or more of the following features. The contact surface comprises the cylindrical surface of a roll. The contact surface has a sandpaper-like texture. The contact surface has a surface roughness (rugosity) of about 10 to 200 microns. The contact surface defines a plurality of dimples. The contact surface includes a density of dimples per unit area of the contact surface that is greater than or equal to the density of stems per unit area of the base. The surface roughness imparted to the heads is sufficient to increase the peel strength of the fastener by at least 16% to 100%. The contact surface is so related to the thickness and nature of the heads being formed that contact with the upper surface of the heads is effective to transmit the effect through the resin thickness of the heads sufficiently to impart a degree of texture or surface roughness to the peripheral edge of the head or the undersurface of the head or both, in regions contacted by loops during hook-to-loop engagement. Preferably, the contact of the conforming surface with the head imparts discrete depressions distributed in X or Y or both directions and numbering in the range between about 3 and 15 depressions per head.
According to some aspects of the invention there is a fastener element including an elongated stem extending and molded integrally with a substantially planar base, and a head disposed at a terminal end of the stem, at least a portion of the head having a rough surface having a sandpaper-like surface texture.
Preferred fastener elements include one or more of the following features. The rough surface has a surface roughness (rugosity) of from about 100 to 200 microns. The rough surface has sufficient surface roughness to increase the peel strength of the fastener by from 10 to 100%. The head is substantially disc-shaped or mushroom-shaped.
According to some aspects of the invention there is an attachment strip for attaching a mesh screen to a surface. The attachment strip includes (a) a substantially planar base; (b) a plurality of elongated stems extending from the base; and (c) a plurality of heads, each head being disposed at a terminal end of one of the stems. According to one aspect of the invention, at least a portion of the heads have a rough surface having a sandpaper-like surface texture.
The term "sandpaper-like" as used herein, refers to a temperature at which the thermoformalizable material can be formed by a surface pressed against it and includes the melting temperature as well as lower temperatures at which deformation and flow of the material can occur.
The term "disc-shaped," as used herein, refers to a shape having top and bottom surfaces, at least a portion of the top surface being substantially parallel to a corresponding portion of the bottom surface, and having a thickness that is substantially less than its equivalent diameter. "Equivalent diameter" means (a) for a circular disc, the actual diameter, and (b) for a disc having a non-circular shape, the diameter of a circular disc having the same thickness and surface area as the non-circular disc. When viewed from above, the discshape may be substantially circular, irregular in shape but approximately circular, or non-circular, e.g., square or cross-shaped. The disc-shape may be flat, or may have other shapes such as domed, wavy, or pyramidal.
The term “mushroom-shaped”, as used herein, refers to any shape having a domed portion, with the exception of a complete sphere.
The phrase “loop-engaging surface roughness”, as used herein, means a degree of surface roughness that is sufficient to “catch” on a loop fastener element and provide a partial, temporary engagement therewith.
The term “sandpaper-like”, as used herein, means a surface roughness akin to the surface texture of sandpaper.
The fastener elements of the invention have a head geometry that advantageously provides a strong attachment to a female fastener component. The fastener elements are particularly well adapted for use in fastener tapes for attaching an insect screen to a window frame, as the head geometry provides a strong engagement with the mesh of the insect screen. Insect screen fastener tapes of the invention exhibit good peel strength and thus good resistance to detachment due to wind. The methods of the invention allow the fastener elements to be manufactured using a relatively simple and economical process.
Other and very important aspects of the present invention go beyond window screening to provide male fastener elements capable of improved engagement with loops formed by fibers of thin nonwoven materials, or with other open structures.
In one aspect of the invention, a method of forming a loop-engaging touch-fastener product includes forming, from a thermoformable material, a preform product having a sheet form base and an array of stem-form formations integral with and extending from the base to corresponding terminal ends, each of the stem formations including a first portion joined to the base and a terminal second portion extending from the first portion to a terminal end, there being a discrete transition to a lesser cross-sectional area in the second portion relative to the first portion according to cross-sections taken parallel to the sheet-form base; and deforming substantially all of the second portions of at least some of the stem formations to form, for each portion so deformed, an opening-engaging feature, e.g., a loop-engageable feature, overhanging the sheet-form base sheet while leaving the first portion substantially as-molded.
Preferred methods include one or more of the following features. The discrete transition begins at a distance from the sheet-form base at least half way to the terminal end of the stem formation. The discrete transition includes a substantial decrease in the cross-sectional area of the second portion relative to the first portion of the stem formation.
In another aspect, the invention provides a hook fastener preform product for subsequent formation of a loop-engaging hook fastener product, the preform product including a base sheet having a surface of thermoplastic resin; and a plurality of stem formations formed integrally (i.e., monolithically) with the surface of the base to protrude therefrom. Each of the protruding formations includes a first, stem portion intersecting the surface and a second portion extending from the first portion to a distal end, to define a height of the formation relative to the surface. An intersection of the first and second portions occurs at a distance from the surface equal to at least half the height of the formation, the intersection defining a discrete transition in structure of the formation, wherein the second portion is selected to improve the formation of the head or disc of the fastener, e.g., to be more susceptible to deformation energy than the stem portion, for instance being reduced in mass to form a disc or head of reduced thickness, or to be more easily pre-conditioned for being formed into a head, or to be formable into a head structure that has improved loop engagement properties, especially resistance to peel when engaged with loops formed by short or low lying fibers of a thin nonwoven loop material. Variations of this aspect of the invention may include an area of any cross-section of the second portion taken parallel to the surface being less than an area of any cross-section of the stem portion taken parallel to the surface, or outermost (i.e., distal) cross-sections having area less than 50%, or preferably less than one fourth or less of the area of the first stem portion.
In another aspect, the invention provides a hook fastener preform product for subsequent formation of a loop engaging hook fastener product, the preform product including a base sheet having a continuous length, a width and a surface of thermoplastic resin; and a plurality of stem formations formed integrally with the surface to protrude therefrom, each of the protruding formations including a first, stem portion intersecting the surface and a second portion extending from the first portion to a central peak to define a height of the formation relative to the surface, wherein longitudinal edges of the second portion are offset relative to longitudinal edges of the first stem portion toward the central peak. Variations of this aspect of the invention may include each stem formation having lateral edges that taper from the first portion continuously to the terminal end of the protruding formation, a stem having an “M” shape or an “A” frame house configuration being examples, only.
In another aspect, the invention provides a hook fastener preform product for subsequent formation of a loop-engaging hook fastener product, the preform product including a base sheet having a continuous length, a width and a surface of thermoplastic resin; and a plurality of stem formations formed integrally with the surface to protrude therefrom, each of the protruding formations including a first stem portion intersecting the surface and a second portion extending from the first portion to define a height of the protruding formation relative to the surface, wherein the second portion comprises a first peak along a first longitudinal edge, a second peak along a second longitudinal edge and a central valley devoid of resin therebetween.
Variations of this aspect of the invention may include each protruding formation, e.g. in the form of a thin fin, having opposite lateral edges that taper continuously from the first portion to the terminal end of the formation, for instance, to describe the configuration of the letter “M”. In another case the preform product comprises effectively, one half of the foregoing geometry, i.e., a peak is located at a first longitudinal edge of this fin and a relatively low region is at the opposite longitudinal edge. In preferred embodiments of this aspect, the protruding formation has an “M” or an half “M” shape in which the height of the formation decreases linearly from the one or both peaks to the lowest part of the top of the structure.
In another aspect, the invention provides a hook fastener preform product for subsequent formation of a loop engaging hook fastener product, the preform product including a base sheet having a continuous length, a width and a surface of thermoplastic resin; and a plurality of stem formations formed integrally with the surface to protrude therefrom, each of the stem formations including a first stem portion intersecting the surface and a second portion extending from the first portion to define a height of the protruding formation relative to the surface, wherein the first portion comprises a first cylindrical shape of a first diameter, and the second portion comprises a second cylindrical shape of a second
diameter, the second diameter being smaller than the first diameter. Variations of this aspect of the invention may include the second portion being concentric with the first portion.
In the foregoing references to "second portion," it will be understood that the second portion may itself be formed of multiple portions.
According to another aspect of the invention, a new way to manufacture hook products for these and other purposes is achieved by selection of forming conditions to form heads on pre-molded stems or protruding structures, that provide a localized molten mass of the hook resin such that the action of surface tension on the molten mass causes the mass to so overhang a cross-machine extremity of the distal end of the stem, that, when deformed by a conforming surface, such as that of a forming roll, the molten resin is formed into a generally flattened, thin head at a cross-machine extremity of the stem. In preferred embodiments, non-contact heating action melts the distal ends of the preformed structures, and the forming surface is maintained at a lower temperature than that of the molten resin. Also in preferred embodiments, the surface of the forming roll carries a rolling formation that produce irregular edges or corners to the heads being formed that promote engagement and holding of fiber loops after engagement.
According to another aspect of the invention, a method of manufacturing a hook component for a hook and loop fastener is provided comprising (a) providing a continuous length of a preform stem component of thermoflormal resin, the component having a base layer from which extend a plurality of preformed stems with their formable extremities of pre-determined geometry, the stem components having a machine direction, (b) heating said deformable extremities of said stems to provide on each a localized molten mass of resin which, under action of surface tension, so resides on the respective stem as to overhang a cross-machine extremity of the stem, and (c) deforming the molten mass with a forming surface in manner to produce a generally flattened, thin head at the cross-machine extremity of the stem, (d) steps (a), (b) and (c) being so conducted as to produce a loop engageable head defining, in a plan view, a general contour having a peripheral arc AB parallel to the axis of the preform component, the head having an overhang aspect ratio OAR, defined as the ratio of the chord of the arc AB and the height "h" of the line perpendicular to said chord lying at the furthest point of the arc from the chord, OAR = AB/h, where the chord of the arc lies in the plane which defines the cross-machine extremity of the stem and is parallel to said machine direction, the chord lying in or being tangent to the surface of said stem that defines the cross-machine extremity of the stem, said aspect ratio OAR being less than 3.5, preferably about 2.
According to another aspect of the invention, a hook component for a hook and loop fastener is provided comprising a base layer from which extend a plurality of stems having respective loop-engageable heads, at least some of the heads each having a general contour, in plan view, that has a peripheral arc AB parallel to the base, the head having an overhang aspect ratio OAR, defined as the ratio of the chord of the arc AB and the height "h" of the line perpendicular to said chord lying at the furthest point of the arc from the chord, OAR = AB/h, where the chord of the arc lies in the plane which defines the cross-machine extremity of the stem and is parallel to said machine direction, the chord lying in or being tangent to the surface of said stem that defines the cross-machine extremity of the stem, said aspect ratio OAR being less than 3.5, preferably about 2.
The foregoing method or the hook component may have one or more of the following features.
The head has a vertical head thickness, down to its loop engaging region, of no more than about 0.015 inch.
The combined height of each stem and its respective head, measured from the base layer, is no more than about 0.055 inch.
The footprint area of each head is no more than about 4.30x10⁻⁴ square inch.
The stem preform comprises a thin fin projecting from said base, said thin fin having a cross-machine component of orientation of at least about 45 degrees, the fin characterized by a length from the cross-machine extremity of the projection, along the length of the projection, that is greater than about twice the thickness of the fin, the length and thickness being measured at right angles in a plane parallel to the plane of the base of the hook component.
Another aspect of the invention is a hook component for a hook and loop fastener comprising a base layer from which extend a plurality of stems having respective loop-engageable heads, the heads overhanging a cross-machine extremity of the respective stems, the component having a machine direction, the stem comprising a thin fin projecting from said base, said thin fin having a cross-machine component of orientation of at least about 45 degrees, the fin characterized by a length from the cross-machine extremity of the projection, along the length of the projection, that is greater than about twice the thickness of the fin, the length and thickness being measured at right angles in a plane parallel to the plane of the base of the hook component.
Methods or products featuring the thin fin may have one or more of the following features.
The length of the fin is at least 2½ times its thickness.
The length of the thin fin extends in the cross-machine direction.
The stem preform, or the stem, as the case may be, is double-ended, there being a said length of thin fin extending inwardly in opposite directions from cross-machine extremities on opposite ends of the stem preform or stem.
According to other aspects of the invention, it is further found that important special geometries of molded preform elements, and selected techniques of head forming, are effective in achieving important advantages in this context, and more generally.
According to one particularly important aspect of the invention, the molded stem preform comprises a thin fin projection having a significant cross-machine component of orientation, the thin fin characterized by a length from the cross-machine extremity of the projection, along the length of the projection, that is greater than about twice the length and thickness being measured at right angles in a plane parallel to the plane of the base of the hook component, preferably, such length being in the range of about 2½ to 3 times such thickness, to less than 3 times such thickness.
Maximum length of the fins is not dictated by melted configuration considerations.
Preferred aspects of this aspect have one or more of the following features.
A stem preform is double-ended, in that there is such a length of thin fin extending inwardly in opposite directions from cross-machine extremities on opposite ends of the preform member. The stem preform has a stiffening feature that serves to stiffen the preform from columnar collapse during application of postforming force. In certain preferred embodiments the stiffening feature has a height that is less than that of the thin fin, such that, in some embodiments, it is not reformed during the post-forming action, or, in other
embodiments, is not reformed to the degree to which the cross-machine extremity of the thin fin is reformed. In other embodiments, the strengthening projection itself comprises a thin fin having a length greater than about twice its thickness, or more, measured in the same manner as above, and preferably has the other preferred attributes of thin fins mentioned above. In certain preferred embodiments, the stem has multiple thin fins, for instance it is of cross or plus sign form, having four projections from a central region, or it can have, e.g., three or five projections, each having the described thin fin form. In some cases the pairs of oppositely extending fins are aligned with the cross-machine and machine directions, while in other embodiments all projections form acute angles with those directions.
Another important feature of the invention is a thin fin stem preform as described which has its direction of elongation set at an acute angle to the machine direction, for instance 30 or 45 degrees, but has an end surface at its cross-machine extremity that is generally aligned with the machine direction. In certain preferred embodiments this cross-machine extremity is defined by a planar end face that is perpendicular to the base of the hook. In one embodiment aligned with the machine direction, preferably this fin-shaped preform element having long sides that are generally of planar, parallel form, the preform terminating at one corner at the cross-machine extremity with a horizontal profile included angle of substantially less than 90 degrees, for instance 45 degrees. In certain preferred embodiments, the horizontal cross-section of the entire stem is of parallelogram form, in which each cross-machine extremity of the profile ends in a stem portion defining an included angle of substantially less than 90 degrees, e.g. as little as 45 degrees. In another embodiment, the horizontal cross stem is defined as a pair of thin fins of such profile, set at substantial angles to each other, e.g. at 90 degrees, to form a cross of the two parallelograms. In other cases an X,Y array of such preform elements includes bands in which the parallelogram profiles have a first orientation and bands, preferably bands alternating with the first-mentioned bands, having the opposite or mirror image orientation.
Another aspect of the invention employs a thin fin preform element, which, at least in the cross machine direction, has the profile of an “M” with vertically straight sides at the cross-machine extremities and effectively a “V” shaped cut out in its central region that is deepened of resin, so that the outer portions of the preform element are tapered from an upward point to horizontal cross sections of increasing area moving toward the base. With this form, as melting progresses, as when heated by a non-contact heat source, the molten resin preferentially flows over the edge of the straight side to form a molten mass overhanging at the cross-machine extremity. This mass later is formed to provide the desired loop-engaging shape.
In preferred embodiments of these aspects: non-contact heating is accomplished principally by convection heating, preferably by the hot gaseous combustion products of a close-approaching gas flame; the forming surface that engages the molten surface has a molding surface that imparts a degree of roughness or shaped profile to the outer surface at the peripheral edges of the head that is formed, of size and shape enabling telegraph of the disturbance through the mass of the overhanging portion to provide a degree of irregularity, texture or roughness on loop-engaging surfaces of the overhanging head, for instance the peripheral edges of the head’s under-surfaces, that promote retention of the loop on the hook under peel conditions.
Other aspects of the invention comprise hook manufacture employing stem preform products of the geometries described, employing non-contact heating, enabling formation of advantageously sized and/or located rounded masses of molten resin, followed by engagement of the masses with a forming surface.
In preferred embodiments a step is employed to prevent sticking or adherence of the formed head to the forming surface during disengagement. Embodiments of the invention include maintaining the forming surface cooler than the ambient boiling or condensation temperature of water and introducing water or steam to that surface. In one important embodiment, the mode of non-contact heating is by immersing the preforming element in the formation zone flow of hot combustion products of a close-approaching gas flame in such manner that water of combustion condenses on the cooled forming roll and performs an anti-adhesion function.
Another aspect of the invention involves “superheating” a preform element by a non-contact heat source in advance of press-forming the heated resin mass with a relatively cool forming surface, such that, following such press forming, under the influence of gravity and/or surface tension, further forming movement of the resin occurs before stabilizing, e.g. to form a self-engaging structure after formation, as in the case of mushroom formations, or a loop engaging structure, as in the case of heads with a “J” profile.
In preferred embodiments the amount of such “superheating” in relation to heat loss at the forming surface, which is preferably a cooled roll, ensures that the retained heat maintains the resin sufficiently heated to enable the mass to flow into the form of a mushroom, or in other embodiments, is sufficient to enable peripheral portions of the formed mass to droop or self-deform to form a “J” like profile, before solidifying.
In preferred embodiments of this feature the resin for thus forming a mushroom structure following press-formation is low density polyethylene or other resin having a low heat-deflection temperature, and for so forming a “J” like profile, the resin is high density polyethylene or nylon or resins of similar higher heat deflection temperatures.
Another important aspect of the invention is the realization that the property of molecular orientation of the resin of preformed stems intended for subsequent heat forming, contrary to thought of others is not a necessity and indeed can advantageously be avoided with desirable effects. It is realized that pre-heating a mold with resin projection enables a mass of molten resin to form as a ball, depending upon the size and shape of the resin formation melted, and that the physical location of this ball can be advantageously selected and controlled by pre-design of the protruding structure, so that a subsequent press forming (i.e. flat-topping) of the molten resin can distribute the resin to a desired final shape; or a desired distribution geometry, in the case of super-heated resin, such that gravity and/or residual surface tension effects accomplish a further desired deformation. In certain situations, further control of resin distribution before pressing can be employed for determining the final shape.
In preferred embodiments, the sequence is preheating to super-heat condition by convection, preferably by immersion in combustion products of a gas flame, flat-topping with a cooled roll to produce a desired areal distribution of the resin, and allowing the elements to further form from the distributed shape by action of gravity and surface tension. This is followed by air cooling or engagement with a further cooled roll. In some cases, at this point, the product may be engaged by a heated roll to finalize the conformation or surface texture of the product.
Another aspect of the invention concerns convection heating of preform elements, employing a distributed gas flame;
The luminescent flame is positioned to immerse side surfaces of terminal portions of the preform elements as well as the end surfaces, in hot combustion products of the gas flame, at temperature of the order of 1000° C., to achieve rapid heating of the elements and enable the elements to proceed at high production rate through the subsequent press forming (or “flat-topping”) stage.
In preferred embodiments the press forming surface is maintained at a temperature below condensation temperature of water, in preferred cases in the range of between about 5° and 60° C., preferably 10° and 45° C. and most preferably of about 25° and 30° C. The surface is exposed to the combustion products of the flame or a carrier condensation of water over the forming surface in quantity to enhance release of the resin from the forming surface after the forming action. Preferably the forming surface is a chilled conforming or pressing roll.
In the case of using a heated pressing roll following preheating with convection heating as described, anti-adhering material is provided at the interface between the forming surface and the resin. In preferred embodiments the material comprises a Teflon or other anti-stick coating of the forming surface, injection of wetted stems to the interface, or both. In this manner, the speed of operation of the process may be increased while still using developed tooling that employ hot rolls or other heated forming surfaces.
In yet another aspect of the invention, a method of forming a loop engaging fastener product includes providing a preform stem product having a plurality of stems, each of which rises from a base to a distal end and contacting the distal end of at least some of the stems with an ultrasonic horn to form loop engaging heads.
Variations on this aspect of the invention may include one or more of the following features. The ultrasonic horn is rotating while contacting the distal end of at least some of the stems. The preform stem product is introduced between a gap formed by the ultrasonic horn and an anvil and the gap is sized to cause the distal ends of at least some of the stems to contact the rotary horn. The anvil is rotating.
The details of one or more embodiments of the invention are set forth in the accompanying drawings and the description below. Other features, objects, and advantages of the invention will be apparent from the description and drawings, and from the claims.
DESCRIPTION OF DRAWINGS
FIG. 1 is a side view of a fastener including a fastener element according to one embodiment of the invention. FIG. 1A is a top view of the fastener element, with the stem portion shown in phantom lines. FIGS. 1B, 1C and 1D are top views of fastener elements according to alternate embodiments of the invention; these fastener elements have the same profile, when viewed in cross-section, as that shown in FIG. 1.
FIG. 2 is a side cross-sectional view of a fastener element according to an alternate embodiment of the invention. FIGS. 2A and 2B are top views of fastener elements according to alternate embodiments of the invention; these fastener elements have the same cross-sectional shape as that shown in FIG. 2.
FIGS. 3 and 3A are side cross-sectional views of fastener elements according to other alternate embodiments of the invention. FIGS. 3B and 3C are perspective views of fastener elements according to other alternate embodiments of the invention.
FIG. 4 is a front view showing a fastener element of FIG. 1 or FIG. 2 engaged with the mesh opening of an insect screen.
FIG. 5 is a schematic side view of a machine for manufacturing a fastener element.
FIG. 6 is an enlarged view of a portion of the machine shown in FIG. 5.
FIG. 7 is an enlarged side detail view of area A in FIG. 6, showing a portion of the stem-carrying base prior to conformation. FIG. 7A is a highly enlarged view of one of the stems shown in FIG. 7. FIG. 7B is a top view of the portion of the base shown in FIG. 7A.
FIG. 7C is a plan view of the preform product comprising an array of the stems proceeding in the machine direction.
FIGS. 8-8D are side views showing various suitable conformation roll surfaces for forming fastener elements of the invention.
FIGS. 9A and 9B are further magnified side and front views, respectively, of an individual stem formation of the preform stem product of FIGS. 7-7C.
FIGS. 10A, 10B and 10C are unscaled, magnified side, front and top views of a loop engaging fastener product formed from a preform stem product of FIGS. 7-7C.
FIGS. 11A, 11B and 11C are further magnified, side and top views of an individual loop engaging fastener element of the loop engaging fastener product of FIGS. 10A-10C.
FIG. 12 is a schematic illustration of a method and apparatus for forming the preform stem product of the FIGS. 7-7C and for subsequently forming the loop engaging fastener product of FIGS. 3A-3C from the preform stem product in an in-line process.
FIG. 13 is a schematic illustration of an alternative method for forming the loop engaging fastener product of FIG. 12. FIG. 13A is a perspective diagram showing the path of travel of a rotary ultrasound horn parallel to the machine direction.
FIG. 13B is a perspective diagram showing a rotary ultrasonic horn, the axis of which extends perpendicular to the machine direction and the plane of the web of the preform elements.
FIG. 14 is a schematic illustration of an alternative apparatus and method for forming the preform stem product of FIGS. 7-7C.
FIGS. 15A and 15B are side and front views, respectively, of another preform stem formation.
FIGS. 16A, 16B and 16C are side, front and top views, respectively, of a loop engaging fastener element formed from the preform stem formation of FIGS. 15A and 15B.
FIGS. 17A and 17B are side and front views, respectively, of another preform stem formation.
FIG. 17C is view similar to that of FIG. 17A, but illustrating a modified preform stem formation.
FIG. 17D is a cross-sectional view of tooling for forming the preform stem formation of FIG. 17C.
FIGS. 18A, 18B and 18C are side, front and top views, respectively, of a loop engaging fastener element formed from the preform stem formation of FIGS. 17A and 17B.
FIGS. 19A and 19B are side and front views, respectively, of another preform stem formation.
FIGS. 20A, 20B and 20C are side, front and top views, respectively, of a loop engaging fastener element formed from the preform stem formation of FIGS. 19A and 19B.
FIGS. 21A and 21B are side and top views of another preform stem formation.
FIG. 22 is a side view of a loop engaging fastener element formed from the preform stem formation of FIGS. 21A and 21B.
FIG. 23 is a diagrammatic perspective view of an embodiment of a multi-lobed hook element made according to the
invention, while FIG. 23A is a side view taken on lines 23A-23A of FIG. 23 and FIG. 23B is a top view taken on lines 23B-23B of FIG. 23A.
FIGS. 23C through 23E are views of a preform element employed in forming the hook element of FIG. 23, FIG. 23C being a diagrammatic perspective view of the molded preform element, FIG. 23D a vertical side view of the element and FIG. 23E a horizontal section view of the preform element taken on line 23E'-23E' of FIG. 23D.
FIG. 23F is a side view similar to FIG. 23A of the stem after it has passed by non-contact heating zone, before reaching the conforming roll, while FIGS. 23F-A through FIG. 23F-E is a set of figures that illustrates the "balling" of melted resin along the exposed edge of a single thin fin element as a result of convection preheating by a gas flame.
FIGS. 23G is a diagrammatic side view of a forming machine, and 23H is a magnified diagrammatic view of the heading action of the machine. FIG. 23G' is a side view and FIG. 23G'' is a perspective view of a preferred configuration of the machine.
FIGS. 23I and 23J are highly magnified partial cross-sections taken taken parallel to the periphery of respective mold rings for forming the preform element of FIG. 23 while FIGS. 23L and 23M are more highly magnified cross-sections taken on lines 23L-23L and 23M-23M of FIGS. 23I and 23J, respectively.
FIG. 23K is a view similar to FIGS. 23I and J of the two mold rings held face-to-face together in registry to form a plus-form mold cavity, to mold the element of FIG. 23.
FIGS. 23N and 23O are still further magnified views of two assembly patterns achievable with the set of mold rings of FIGS. 23I, 23J, 23L and 23M, with the resulting spacers rings.
FIGS. 23P and Q depict top side diagrammatic views of a fastener formed from a square-profile cross-section stem. FIG. 23R is a vector diagram representing forces applied between a hook and a loop; FIGS. 23S and 23T are views similar to FIGS. 23P and 23Q of a hook formed by a thin fin preform stem while FIG. 23U is a vector diagram for the hook of FIGS. 23S and 23T, of form similar to that of FIG. 23R. FIGS. 23V and W are similar to FIGS. 23S and 23R, respectively, for a hook subjected to pull from a loop at an angle and FIG. 23X is a comparison of angle $\Phi$ and $\theta_{\text{max}}$ over an angular range. FIG. 23Y is a diagram showing hook and loop components being molded from each other.
FIG. 24 is a diagrammatic perspective view of a second embodiment of a single hook element made according to the invention, while FIG. 24A is a side view of the element of FIG. 24 and FIG. 24B is a top view taken on lines 24B-24B of FIG. 24A.
FIGS. 24C through 24E are views of a preform element employed in forming the hook element of FIG. 24, FIG. 24C being a diagrammatic perspective view of the molded preform element, FIG. 24D a vertical side view and FIG. 24E is a horizontal cross-section view of the preform element taken on line 24E-24E' of FIG. 24D.
FIG. 25 is a top view of another embodiment of a single hook made according to the invention, while FIG. 25A is a top view of the preform employed to produce the embodiment of FIG. 25 and FIGS. 25B and 25C are side views of the preform taken respectively on lines 25B-25B and 25C-25C' of FIG. 25A. FIG. 25D) is a plan view of another embodiment, similar to that of FIG. 25, but with the Y dimension fins at the extremities of the machine direction structure.
FIGS. 26 and 26A are side and top views of another embodiment while FIGS. 26B and 26C are side and top views of a preform element used in forming the embodiment of FIGS. 26 and 26A.
FIGS. 27 and 27A are, respectively, plan and side views of another embodiment, while FIG. 27B is a top view of the preform element from which the embodiment of FIGS. 27 and 27A is fabricated.
In the same respect as embodiments above, FIGS. 28, 28A and 28B illustrate another embodiment.
FIGS. 29, 29A, 29B and 29C depict dome shaped mushrooms formed following flat-topping by flow of previously "super heated" polyethylene (FIGS. 29 and 29A referring to use of low density polyethylene) while FIG. 29D illustrates use of two such components as a self-engaging fastener. FIGS. 30 and 31 depict the forming of J configurations by post-forming flow, resulting from use of resins of different flow properties, nylon and high density polyethylene, respectively.
FIGS. 32, 32A and 32B illustrate another embodiment of a quadrolobal hook, featuring J profile formation.
FIGS. 33, 33A and 33B illustrate a quadrolobal M hook while FIGS. 33C, D and E illustrate the molded preform product from which it is fabricated and FIG. 33F illustrates the relationship of the inner end of the preform of FIG. 33D after non-contact heating and before flat topping. FIGS. 33G, H and I are cross-sectional views as noted that illustrate mold tooling for molding the preform element of FIG. 33.
FIGS. 34, 34A and 34B illustrate in the usual manner another embodiment, based on a single M-shaped preform and FIGS. 34C, 34D and 34E illustrate the molded preform product from which it is formed, while FIG. 34A illustrates a hook profile similar to FIGS. 34, but formed in a different manner.
FIG. 34F through FIG. 34I are various cross-sections taken through mold rings of the set as indicated, that define molds for molding the preform stem component of FIGS. 34C, D and E.
FIGS. 35-35E are views corresponding to FIGS. 34-34E of another embodiment, a modified M, and its preform element, while 35A illustrates a hook profile similar to FIG. 35A but formed in a different manner.
FIGS. 36-36E are similar views of an N hook and its preform element, while FIG. 36A is a hook profile similar to FIG. 36, but formed in a different manner.
FIG. 37 is a diagrammatic perspective view of a further embodiment of a single hook element made according to the invention, while FIG. 37A is a side view of the element and FIG. 37B is a top view taken on lines 37B-37B of FIG. 37A. FIGS. 37C through 37E are views of a preform element employed in forming the hook element of FIG. 37, FIG. 37C being a diagrammatic perspective view of the molded preform element, FIG. 37D a vertical side view of it and FIG. 37E a horizontal cross-section view of the preform element taken on line 37E-37E' of FIG. 37D.
FIGS. 37F and G are cross-sections of mold tooling for molding a variant of the element of FIG. 37C, that includes a support or pedestal.
FIG. 37H is a plan view of a male fastener component comprising an X, Y array of the male fastener elements of FIG. 37, while FIGS. 37I and J are diagrammatic perspective views of the array of FIG. 37H.
FIGS. 38 and 38A are diagrams showing the relationship of the chord A3 at the stem face relative to the disk overhang in the case of square and cylindrical stems, represented by an overhang aspect ratio, while FIG. 38B illustrates the different ratio obtainable with a thin fin stem and FIGS. 38C and 38D illustrate, by two examples, the different relationship obtainable employing the principles of construction described in relation to FIGS. 37-37A.
Like reference symbols in the various drawings indicate like elements.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
Referring to FIG. 1, fastener 10 includes a base 12 and a fastener element 14 extending from the base. (Fastener 10 generally includes an array of fastener elements; a single fastener element is shown for clarity.) Fastener element 14 includes a stem 16 and, at the top end or stem tip, a head 18. Head 18 is shaped for engagement with another fastener component, for example a female fastener component having a plurality of loops, a mesh such as an insect screen, or another fastener component similar to fastener 10.
As shown in FIG. 1, head 18 is substantially disc shaped, including a substantially planar top surface 20, and a substantially planar bottom surface 22 that faces and overhangs base 12. It is desirable that the disc be relatively thin, allowing a cooperating fastener element, e.g., a loop or the wire mesh of a window screen, to penetrate into the disc by flexing the disc material. Preferably, the thickness of the disc is about 5 to 15% of the equivalent diameter of the disc. If the disc is thinner, it will tend to have reduced cycle life (i.e., durability during repeated engagement and disengagement of the fastener), whereas if the disc is thicker the fastener may exhibit reduced peel strength. As shown in FIG. 1A, head 18 is substantially circular when viewed from above, and stem 16 is substantially circular in radial cross-section, as shown, or square in radial cross-section. (In other embodiments, head 18 can be irregular in shape (FIG. 1B) or square (FIG. 1C) or cross-shaped (FIG. 1D) when viewed from above.) The disc shape is particularly advantageous for engagement with a mesh screen (FIG. 4) because the sides 25 of the mesh opening can penetrate into the thin disc. As a result, as shown in FIG. 4, secure engagement can be provided even though the disc is smaller than the mesh opening and only engages one or two sides 25 of the mesh opening. The head 18 is also suitable for engagement with loops or with other similarly shaped heads.
In an alternate embodiment, shown in FIG. 2, head 18 includes a domed portion 24, and a correspondingly domed-shaped lower surface 23, a major portion of which is substantially parallel to domed portion 24. Surface 23 faces and overhangs base 12, providing a surface for engagement with a female fastener element or mesh. Head 18 can have various shapes. For example, head 18 can be a disc that is square or rectangular when viewed from the top (FIG. 2A), with two opposed edges of the disc being bent down to form a U-shaped domed portion. Alternatively, head 18 can be a circular disc that is bent down around its periphery to form a mushroom-like domed portion. These head shapes are particularly advantageous for engagement with a mesh screen (FIG. 4). The domed portions allow smooth penetration into the mesh opening 27 and the thin disc shape allows sides 25 of the mesh opening to be embedded into surface 23. Head 18 can also be used to engage the loops of a female fastener component, or to self-engage with another fastener having similarly shaped heads.
In alternate embodiments, shown in FIGS. 3 and 3A, the disc-shaped heads are "wavy". The head 18 may be S-shaped in cross-section, as shown in FIG. 3, or may be W-shaped, as shown in FIG. 3A. The head shapes shown in these figures may be provided with a rough surface, as described below with reference to FIG. 3B.
In another alternate embodiment, shown in FIG. 3B, head 18 includes a rough, sandpaper-like surface 30. Preferably, the texture of surface 30 resembles that of 320 grain sandpaper (used for sanding metals). The sandpaper-like surface includes protrusions that tend to catch on the fastener component with which the head 18 is engaged (not shown), making it more difficult to inadvertently disengage the mated fastener components. As a result, the strength of engagement is generally increased, relative to the strength obtained from a similar fastener element having a smooth surface. In particular, in preferred embodiments the peel strength, as measured by ASTM D 5709-01 ("A" method), is increased by about 10 to 100%. It is preferred that the surface 30 have a surface roughness (roughness) of at least 10 microns, more preferably from about 10 to 200 microns.
In another embodiment, shown in FIG. 3C, the head 18 is pyramidal in shape. Preferably, the surface of the head that overhangs the base has the same contour as the upper surface of the head, so that a major portion of—f the surfaces is substantially parallel.
In all of the embodiments shown in FIGS. 1-3C, the head overhangs the base to a significant extent. Preferably, the surface area A1 of the surface overhanging the base is equal to at least 20% greater than the surface area A2 of the radial cross-section of the stem 16 (e.g., along line A-A', where the stem intersects the head. The surface area A1 may be up to 600% greater than the surface area A2. For example, for a fastener element in which surface area A2 is 0.03 mm², surface area A1 is preferably about 0.05 mm². It is also generally preferred that the amount of overhang be substantially uniform around the perimeter of the stem, to provide a multi-directional engagement. However, for ease of manufacture it will in some cases be preferred that the amount of overhang be non-uniform, as will be discussed below with reference to FIG. 5.
A machine 100 for forming the fastener elements described above is shown in FIG. 5. A supply roll 102, 126 introduces a continuous supply of a stem-carrying base 12 (shown in FIGS. 7-7B) into the machine 100. Stem-carrying base 12 is formed of a thermoflammable polymer. In a previous manufacturing step, roll 102 was wound up as the take-up roll at a molding station (not shown) at which stems 104 (FIGS. 7-7B) were integrally molded onto base 12. The molding station may include a mold roll having a plurality of mold cavities formed therein, and/or plates, e.g., as described for example, by U.S. Pat. No. 4,794,028, the disclosure of which is incorporated herein by reference, or may utilize any desired stem molding technique. As shown in FIG. 7B, the stems may be rectangular or square in radial cross-section, if a rectangular or square head is desired, or may be oval, round, cross-shaped, or any other desired shape, for forming similarly shaped heads (see FIGS. 1A-1D).
The supply roll 102 is unwound by drive mechanism 106, which conveys stem-carrying base 12 into optional pre-heating area 108 which raises the temperature of the stem-carrying base 12 to a preheat temperature that is above room temperature but much lower than the Vicat temperature of the polymer. This pre-heating allows the tips of the stems to be heated to a predetermined softening temperature more quickly during the next step of the process.
Next, the base 12 moves to heating device 110, which heats a portion of the stems. As indicated in FIG. 7A, only a portion P of the stems 104, adjacent their tips 109, is heated by heating device 110, leaving the remainder of the stem relatively cool and thus relatively rigid. Preferably, the length L of portion P is less than 30% of the total length L1 of the stem, more preferably from about 15% to 25% of L1. Portion P is heated to a softening temperature at which portion P can be formed into a desired head shape, typically a temperature that
is greater than or equal to the Vicat temperature of the thermoflexible polymer. The remainder of the stem is not heated, and remains at a temperature that is less than the softening temperature $S$, preferably at least 10% less.
To ensure that only portion $P$ is heated to the softening temperature, it is preferred that heating device 110 include a non-contact heat source 111 (FIG. 6) that is capable of quickly elevating the temperature of material that is very close to the heat source, without raising the temperature of material that is relatively further away from the heat source. Suitable non-contact heat sources include plasma heaters, electrically heated nichrome wire, and radiant heater blocks. To heat portion $P$ to the softening temperature without contact, the heat source typically must be at a relatively high temperature. For example, if the softening temperature is from about 100 to 140 C., the temperature of the heat source will generally be from about 300 to 1000 C., and the heat source will be positioned from about 0.1 to 30 mm from the tips of the stems.
After portion $P$ of the stems has been heated, the base 12 moves to conformation head 112 at which base 12 passes between conformation roll 114 and drive roll 116. Conformation roll 114 forms the desired shape $P$ of the stems into a desired head shape, as will be described in further detail below, while drive roll 116 advances base 12 and flattens it against roll 114 to enhance head uniformity. It is preferred that the temperature of conformation roll 114 (the forming temperature) be lower than the softening temperature. Maintaining the conformation roll 114 at this relatively low temperature has been found to allow the conformation roll to flatten the spherical ("ball-shaped") heads that are generally formed during the previous heating step into a desired head shape. Spherical heads are generally undesirable, as such heads tend not to provide the best engagement with a fastener head. A low forming temperature also prevents adhesion of the thermoflexible polymer to the conformation roll. Generally, to obtain the desired forming temperature it is necessary to chill the conformation roll, e.g., by running cold water through a channel 115 in the center of the roll, to counteract heating of the conformation roll by the heat from portion $P$ of the stems. If further cooling is needed to obtain the desired forming temperature, the drive roll may be chilled in a similar manner.
The surface texture of conformation roll 114 will determine the shape of the heads that are formed. If disc-shaped heads having a smooth surface are desired, the conformation roll will be smooth and flat. If a sandpaper-like surface is desired, the surface texture of the conformation roll will be sandpaper-like (FIG. 8). If mushroom-shaped (domed) heads are desired, the conformation roll will include a plurality of substantially hemispherical indentations ("dimples") to form the dome portion of the heads (FIG. 8A). Disc-shaped heads having a "wavy" shape, e.g., as shown in FIGS. 3 and 3A, can be formed using the conformation roll surfaces shown in FIGS. 8B and 8C. The diamond-lattice conformation roll surfaces shown in FIG. 8D will give the head a pyramidal shape, e.g., as shown in FIG. 8C. The conformation roll may also have a soft surface (not shown), e.g., rubber, to provide a mushroom-shaped head.
Preferably, when the surface texture includes dimples, the density of the dimples is substantially uniform over the roll surface, and is greater than or equal to the density of stems on the base 12. To allow for improper registration between the stems and the dimples, it is preferred that the density of the dimples be substantially greater than the density of stems (if the density is equal, improper registration may result in none of the stems being contacted by dimples).
As discussed above, while the uniformly overhanging, domed head shape shown in FIG. 2 is generally preferred, obtaining this shape may unduly complicate manufacturing, due to the need to maintain substantially complete registration between the dimples and stems. As a result, for ease of manufacturing it may in some cases be desirable to form less uniform head shapes by allowing the dimples and stems to be in partial registration, rather than full registration. In these cases, the conformation roll should have a density of dimples that is significantly higher than the density of stems, to increase the probability of contact between the dimples and stems. In this manner, some of the heads are likely to have the shape shown in FIG. 2, while other heads will have different head shapes resulting from contact of a stem with a portion of a dimple.
The spacing of the conformation roll 114 from the drive roll 116 is selected to deform portion $P$ of the stems to form the desired head shape, without excessive damage to the unheated portion of the stems. It is also preferred that the spacing be sufficiently small so that the drive roll flattens base 12 and provides substantially uniform contact pressure of stem tips 109 against the conformation roll. Preferably, the spacing is approximately equal to the total height of the stem (L, FIG. 7A) less the length of the heated portion $P$ (L', FIG. 7A).
Next, the base 12 moves to a cooling station 118. Cooling station 118 cools the formed heads, e.g., by cool air, preventing further deformation of the heads. Preferably, the heads are cooled to approximately room temperature. The cooled base is then moved through drying station 520 and wound onto take-up roll 522 by winding element 524.
Alternate supply and take-up rolls 126, 128 are provided so that when supply roll 102 is depleted and/or when take-up roll 524 is filled, the appropriate roll can be easily replaced without stopping the process.
Suitable materials for use in forming the fastener are thermoplastic polymers that provide the mechanical properties that are desired for a particular application. Preferred polymers include polypropylenes, such as those available from Montell under the tradename MOPLEN, polyethylenes, ABS, polyamides, and polyesters (e.g., PET).
Other embodiments are of course possible.
For example, while disc-shaped heads have been shown and discussed above, the head may have any desired shape that provides a surface overhanging the base to an extent sufficient to provide a multi-directional engagement having desired strength characteristics.
Moreover, while the process described includes only a single heating of the stem tips and a single pass through a conformation head, these steps may be repeated one or more times to provide other head shapes. Subsequent conformation heads may have the same surface as the first conformation head, or may have different surfaces.
In addition, if desired, the stem tips may be cooled after the heating step and immediately before the conformation head, to form a stiffened head that is then forced down against the stem, embedding the upper portion of the stem in the head to form a mushroom-shaped head.
Further, in some cases it is not necessary to cool the conformation roll. If the desired head shape can be obtained and resin sticking can be avoided, the conformation roll may be used without either heating or cooling, or may be heated.
As illustrated in FIGS. 7, 7A, 7B and 7C, one example of a preform product 9 for producing a fastener product, has a flexible, yet relatively planar base sheet 12 from which stem formations 104 project. Stem formations 104 are formed integrally, i.e. monolithically from the same thermoplastic resin, e.g., polypropylene, as the surface 13 of base sheet 12 from which they project. As shown in the more detailed views...
of FIGS. 9A and 9B, each stem formation 104 has front and back edge surfaces 101, 103 that typically taper very slightly (e.g. 1°, not shown), and fairly continuously from broadly radially intersected intersection surfaces 15 with base surface 13 to a distal end 109 of the stem formation. Side edge surfaces 107 are relatively perpendicular to the base and extend to distal end 109, which is relatively parallel to the base. The slight taper or draft angle of front and back edge surfaces 101, 103 aids in the removal of the stem formations from the mold cavities in which they are formed.
In the example of FIGS. 9A-9B, the stem formations have an overall height $L_1$, from base surface 13 to distal end 109, a constant width, w, between the side surfaces 107 and a length, l, as measured between the top of the tapered front and back surfaces.
In one example, dimensions w and l are equal, e.g. 0.008 inch, to provide a stem of square cross-sectional profile, in which case the height $L_1$ may be e.g. 0.027 in.
Referring now to FIGS. 10A-10C, the preform product can be formed, as further described below, into a fastener product 10 having the same base surface 12 and surface 13, but with the tips of the stem formations flattened relative to the base to form loop engageable heads 18. Each engageable head 18 is generally disc-shaped and extends outward from its respective stem portion 16 to overhang and oppose base surface 13. As illustrated more clearly in FIGS. 11A-11L, discs 18 are slightly oval-shaped, having a major diameter $J$, in the example, of the order of 0.017 inches, extending in the direction corresponding to the side surfaces 107 of stem portion 16 and a minor diameter $N$, of the order of 0.015 inches, extending in the direction of the front and back surfaces of the stem. Discs 18 of this embodiment are also slightly wedge-shaped in vertical cross-section, having a greater thickness near a trailing edge of the machine direction in which they are manufactured (FIG. 4A), as further discussed below.
Fastener product 10 can be formed by the method and apparatus illustrated in FIG. 12. Thermostapic resin 31 from extruder 29 is introduced into nip 32 formed between a supporting pressure roll 34 and a mold roll 36. Pressure in the nip causes thermostapic resin 31 to enter blind-ended stem formation forming cavities 38 of mold roll 36 while excess resin remains about the periphery of the mold roll and is effectively calendared to form base sheet 12. As the rolls 34, 36 rotate in opposite directions (shear deformation), the thermostapic resin proceeds along the periphery of the mold roll until it is stripped from both the mold cavities and the roll periphery by stripper roll 40. The resulting product has base 12 with integrally formed stem formations 104 protruding therefrom as described above. The direction of travel of the material illustrated in FIG. 12 is referred to as the “machine direction” (MD) of the material and defines the longitudinal direction of the resulting preform product 9 and fastener product 10 (indicated by arrows MD in the figures).
A more detailed description of the process for forming such structures protruding integrally from a base is described, for instance in U.S. Pat. No. 4,775,310, issued Oct. 4, 1988, to Fischer, the entire contents of which are hereby incorporated by reference. In preferred cases the mold roll comprises a face-to-face assemblage of circular plates or rings, some having cutouts in their periphery defining mold cavities and others being circular, serving to close the open sides of the mold cavities and serve as spacers.
Once preform product 9 has been stripped from mold roll 36, it proceeds through guide rolls 42 to a head shaping station 50 where the loop engageable heads 18 are formed. Various techniques and apparatus for performing the head shaping function at station 50 are now to be described.
Preferably, as previously described, preform product 9 initially passes adjacent a non-contact heat source, e.g., the combustion products from a gas flame 66 (indicated by dashed lines in FIG. 12), arranged to heat the tips of stem formations 104. Subsequently, preform product 9 passes through predetermined gap 60 formed between rolls 62 and 64 and the tips of stem formations 104 are contacted by a conformation roll 62, as described above.
Gap 60 is less, by a controlled amount, than the overall thickness of the preforms product 9 from the surface of the base opposite the stem formations to the tips of the protruding formations. Thus, the tip portions of the formations contact the roll and are compressed to cause the material to be flattened or formed in the area of 60, in a press-forming action which is sometimes referred to as “flat topping,” though final product may in fact not be flat due to desired conformations applied to the head surface, as with conformation rolls 8-8D, or as a result of further forming influences that follow the press-forming action.
In the presently preferred form, roll 62 is cooled to temperatures significantly below melt or softening temperature of the resin, preferably to a temperature less than the ambient condensation temperature of water for reasons mentioned. A surface temperature of 5° to 60°C. is operable over a wide range of products; for these specifically described here, it is preferable that the surface temperature be between 10° and 45°C., surface temperature between 25° to 30° produce excellent results in cases where the temperature of the combustion gas in which the formation extremities are immersed is in the vicinity of 1000°C. or slightly higher.
In an alternative construction the head 18 is shaped by passing the preform product 9 through gap 60 formed between conformation roll 62 and unheated or cooled support roll 64. A more detailed description of this type of “heated surface” head forming process is provided in U.S. Pat. No. 5,679,302 issued Oct. 21, 1997, to Miller et al., the entire contents of which are hereby incorporated by reference. Even in the case of using such hot roll forming as taught by Miller, it is recognized, according to the present invention, to be advantageous to employ non-contact preheating to forming temperature with especial advantage being obtained using the combustion gas convection heating as described in which the side surfaces of distal portions of the formations are immersed in the hot combustion gases to achieve rapid heat transfer by convection and hence faster line speed and more economical operation.
In yet another example, which is also slow relative to the non-contact heating system of FIGS. 5, 6 and 12, an ultrasound roll is employed for heating and applying a desired head configuration. Speed of operation is enhanced by preheating with a non-contact heater, i.e. a radiant block, or exposure to convective heat transfer with gas at lower temperature.
In the preferred case, roll 62 is a rotary ultrasonic horn and support roll 64 is a rotating anvil. In this example, more clearly illustrated in FIG. 13, anvil roll 64 is mounted on a reducer 65 that allows the vertical position of anvil roll 64 to be adjusted, thereby allowing adjustment of gap 60. A motor 68 drives anvil roll 64 to pull preform stem material 10 into gap 60. Meanwhile, a vibration is imparted to rotary horn 62 causing its outer surface to oscillate at a frequency typically between 18 and 60 kHz. Horn 62 is arranged to vibrate and cyclically compress the contacted portions of the stems as they pass through gap 60, the vibration occurring at a frequency that causes the tips of thermostapic stem formations 14 to flow and be formed by the contacting surfaces. The result is a flattening deformation of the tip portions of the
stems to form the disc-shape, loop engageable heads 18 of FIGS. 11A-C. Subsequently, fastener product 10 is accumulated on take-up rolls 69. More detailed descriptions of ultrasonic horn and anvil arrangements suitable for use in the above-described process are disclosed in U.S. Pat. No. 5,087,320, issued Feb. 11, 1992, to Neuwirth et al., and U.S. Pat. No. 5,096,532, issued Mar. 17, 1992, to Neuwirth. The entire contents of both of these patents are hereby fully incorporated by reference.
In the diagram of FIG. 13A, it is seen that the path of travel of the surface of rotary horn 42 is in the machine direction, m.d., of the stem-forming machine. In this case, the horn surface may function as a pressing or flat-topping surface to reform the top portion of the traveling preform elements.
In the diagram of FIG. 13B, the rotary ultrasound horn 42a has a planar contact surface arranged to brush over the tops of preform elements, with components of the brushing motion extending in all quadrants, creating multidirectional hooks, including, importantly, hooks overhanging their base in the cross-machine directions. An optional water spray may be introduced in advance of the stems to serve as a coupling agent to prevent adhesion of the stems to the rotating surface. By carefully choosing preform shapes and the topology of the stems, resulting from the vibration is brushed plane-wise into the form of thin disc-form heads at the ends of the stems.
In another embodiment, illustrated in FIG. 14, an alternate technique for producing preform stem product 9 is employed. The process is similar to that described above with reference to FIG. 12 except only a mold roll is used, i.e., no pressure roll is necessary. Here, the extruder head 29 is shaped to conform to the periphery of the mold roll and the extruded resin 31 is introduced directly via a gap formed between the mold roll and the extruder head. The remainder of the process proceeds as described above with reference to FIG. 12.
The shape of the engaging heads 18 of the fasterer product is dictated by a number of parameters. For example, the wedge shape illustrated particularly in FIG. 11A is commonly the result of the dragging of the head portion of stem formations 104 as they are deformed in head forming station 50 of FIG. 12. Thus, the wedge is thicker at the rear edge of the engaging head as the material is pressed rearwardly while base 12 moves forward in the machine direction. The difference in thickness between the front and rear of the wedge can be adjusted by, e.g., providing more heat applied (if a heat deformation process is used) and by the adjustment of deforming gap 60.
It is found that particular forms of the shape of stem formations 104 of preform product 9 significantly affect the loop-engageability properties of the male fastener needed, and important aspects of the present invention concern these preform products per se, as well as their effective use in the various forming systems described, and especially systems employing no-contact heating and/or melting. In one example, illustrated in FIGS. 15A, 15B and 15C, a relatively short stem design is employed. The preform stem height, $L_s$, is of the order of 0.018 inches, a width, $w$, of the order of 0.008 inches, and a length, $l$ of the order of 0.008 inches, again providing a stem of square cross-section. While the engaging head 18 (FIGS. 16A-16C) formed from such a preform element can have the same dimensions as the taller fastener element previously described above with reference to FIGS. 11A-11C, the shorter stem portions enable the fastener elements to be more rigid.
In the embodiment of FIGS. 17A, B and C, a particular preform stem shape is used to determine a final fastener product 10 having engagement characteristics different from the above described examples. Preform stem 120 has a first stem portion 122 attached to base 12 and a second portion 124 that extends from portion 122 to define the overall height of the formation. The stem portion 122 extends to a height, $h_1$, of the order of 0.019 inches, the second portion 124 has a height, $h_2$, of the order of 0.008 inches, the overall height, $h_3$, of the formation being of the order of 0.027 inches. Second portion 124 has outer wedges 117, 119 at its front and back surfaces 121, 123 that are of triangular form with base at the transition from stem portion 122 and peak or point at the top or adjacent the respective surfaces 121, 123. Thus it is the shaped central opening occurring at said point that defines the deformable region.
Referring now to FIGS. 17C and 17D, preform stem 120 is a modified version of the preform stem 120 described immediately above. Stem 120' has lateral extensions 125 of material that extend outward and upward from wedges 117, 119'. These lateral extensions, when reformed or deformed, e.g., by flat-topping or any of the other stem reforming operations disclosed herein, provide important features to the resulting fastener element. For example, lateral extensions 125 can be melted and/or pressed downward to create or enhance base overhanging features, and these features can be particularly directional in the cross-machine direction relative to the direction of stem deformation. FIG. 17D illustrates a series of mold roll plates 117", 119" 120" that combine along with outside spacer plates, to form a cavity capable of producing stem 120' of FIG. 17C.
As illustrated in FIGS. 18A-18C, subsequent processing of stem formation 120, using, e.g., one of the above described head forming techniques to deform substantially all of second portion 124 of the FIG. 17 preform element can result in a fastener element 130 having a substantially larger major diameter, $D$, in the machine direction (MD) than its minor diameter, $N$, in the cross-machine direction (CD). This asymmetrical head shape allows for a directional increase in peel and shear forces, as the longer overhang in the machine direction retains, e.g., an engaged loop better than the shorter overhang in the cross-machine direction.
The opposite effect to that of the fastener element just described can be obtained, for example, by using a preform stem shape such as that illustrated in FIGS. 19A and 19B. Stem formation 200 has a first portion 202 of height $h_1$ connected to base 12 and a second portion 204 of height $h_2$ extending to define an overall height, $h_3$, of the stem formation. The second portion 204 of the formation, beginning at a transition at the top of first portion 202, tapers substantially on each side (e.g. at an angle greater than 20°) to provide a significantly reduced dimension $w$ at the top. In an example, first portion 202 has a height, $h_1$, of the order of 0.021 inches while the overall height, $h_3$, of the stem formation is of the order of 0.027 inches.
Deformation of substantially all of second portion 204, employing one of the above described techniques, to form an engaging head, results in the fastener element 210 illustrated in FIGS. 20A and 20B. Fastener element 210 has a major diameter, $J$, in the cross-machine direction substantially greater than its minor diameter, $N$, in the machine direction. The result is a unidirectional increase in engagement forces due to the increased overhang of the engaging head in the cross-machine direction.
In another example, illustrated in FIGs. 21A and 21B, a stem formation 300 has a first portion 302 of a first cylindrical shape and a concentric second portion 304 of a substantially smaller cylindrical shape extends to define the overall height, $h_3$, of the formation. Deformation of substantially all of second portion 304, employing, e.g., one of the above described techniques results in an advantageously thin engaging head, of thickness $K_1$, as illustrated by fastener element of FIG. 22.
This small thickness is a result of having substantially less material in the deformed head portion than in traditional preformed stems. Such thin engaging heads are advantageously capable of penetrating beneath loops with very little loft, a characteristic especially exhibited by certain nonwoven materials, for instance, ultra thin nonwoven materials used e.g., in inexpensive packaging applications in which few cycles of opening and closing are required.
FIG. 23, a highly magnified perspective view, shows a novel quadrolobal hook created by heating and pressure-heading a quadrolobal stem comprised of thin fins 21 extending along the X axis and thin fins 19 extending along the Y axis, that have been heated and reformed at their outer extremities to form hook head 18.
In the side view of FIG. 23A and plan view of FIG. 23B, dimension M denotes the head width in the X axis, N the width in the Y axis, K the head thickness, L₀ the overall hook height, L₁ the stem height prior to pressure-heading and S the overhang of the hook head beyond the side of the stem. For example the dimensions may generally range as follows:
| General Range | Preferred Range |
|---------------|-----------------|
| M = | 0.064 to 0.070 inch | 0.010 to 0.020 inch |
| N = | 0.064 to 0.070 inch | 0.010 to 0.020 inch |
| K = | 0.002 to 0.015 inch | 0.002 to 0.005 inch |
| L₀ = | 0.007 to 0.120 inch | 0.025 to 0.045 inch |
| L₁ = | 0.010 to 0.160 inch | 0.030 to 0.050 inch |
| S = | 0.001 to 0.015 inch | 0.003 to 0.005 inch |
As shown in FIG. 23C and 23E the stem is of a “plus sign” cross-section profile, fins 21, 19 extending symmetrically along the X and Y axes in both directions from a common intersection. The fins have the same length F, G, the same thickness B, H and the same height L₁ prior to pressure-heading.
The fin profile ratio for the X axis fin is F/L₁ and for the Y axis fin, G/B.
The concept of this hook preform element is that with a fin ratio of greater than about 2, preferably around 2½, an improved head overhang is obtainable at the end regions of the fins see the series of FIGS. 23F-A-23F-E for an illustration of the “bulbing” effect of unoriented resin along the top edge of a thin fin, and note the bulbous overhangs at the thin ends of the fins.
With the stem preform of FIG. 23, such overhangs are provided in each sense in orthogonal directions.
According to this aspect of the invention, a ratio of less than about 2 is seen generally to result in a stem that, when heated and pressure-headed, a head of approximately the shape of a circle centered on the center of the stem results. With a fin ratio of about 2, preferably between 2 and 4, most preferably between 2½ and 3, the head is formed differing significantly from a square or circular cross-section stem such that when heated, surface tension of unoriented polymer will form lobes on the ends of the fins that remain somewhat independent, see FIGS. 23F and 23F-A-23F-E, this being especially the case when non-contact heating is employed, with immersion of the side surfaces in the hot convection gases, down to the end of the dashed lines in FIGS. 23A and 23F-E.
Whereas, in general, the extent of non-contact heating is preferably from about 15 to 25% of the total length of the protruding formation, in the special case of convective heating with gases that, from flame combustion, can be about 1000° C., the percentage length heated extends to 30% with good results obtainable.
The presently preferred method for forming this product is shown in FIG. 23G, FIG. 23G', 23G" and FIG. 23H. Extruder 29 provides a traveling molten resin strip to a roll stack comprised of rolls 1, 2, 3 and 4, numbering from bottom to top. The plastic passes through the nip between rolls 1 and 2. Roll 2 is a mold roll, its exposed outer surface comprised of mold cavities such that the molten polymer flowing into the cavities takes on the form of the cavity and then is de-molded to provide preformed stem 104 of substantially unoriented resin.
It is one of the features of this invention that, by the use of non-contact heating, especial advantage is taken of the unoriented nature of the polymer to enable surface tension effects to act to strategically locate and size the deformable molten polymer that highly desirable effects are obtainably by the “flat-topping” i.e. press-forming action.
Referring to reference to FIGS. 23G, G' and H, an array of stems integral with a backing sheet 18, with extent in both X and Y directions are thus molded by roll 2, and are demolded about a take-off roller 5 in making the transition to roll 3. On roll 3, close to the nip with conforming roll 4, the end portions of the stems pass under a non-contact heat source as a first step to create the hook head 18.
In this embodiment, the non-contact heat source is a closely-laying gas burner, and the sides as well as the ends of terminal tip portions of the stems are immersed in the hot gases produced by the burner. Thus the sides are rapidly heated by convective effects as are the top portions, which also receive radiative heating. Given the high surface area exposed to the intense heat, compared to the bounded volume of resin of the exposed terminal portion of the structure, this portion is rapidly melted, with highest temperature and lowest viscosity achieved at the projecting ends of the profile of the thin fins. An example is shown in FIG. 23F.
As also shown in the diagrammatical blow-up view, FIG. 23H, surface tension causes the molten plastic to form as a cylindrically rounded mass along the fin length ending in segments of spheres or balls at the ends of the fins. The circular forms 105 of FIGS. 23G and H are symbolic of the molten form, the precise form depending upon the length to thickness ratio of the fin profile, as well as the selection of the resin and degree of heating, controllable parameters of the process.
In this condition, the stems pass between another nip created between rolls 3 and 4, in which roll 4 presses down upon the molten polymer tips and forms a flattened head shape, to form heads 18 of shape depending upon the characteristics of this roll.
Preferably, the forming roll 4 is cooled, to remain at a temperature below the molten polymer temperature, preferably considerably lower.
With the surface of roll 4 cooled to temperature below the condensation temperature of steam, and in the case of use of flame from a burner to heat the stems in close proximity to a cooling roll, the steam will be condensed and removed from the burning gas fuel condenses on the roll 4 and is found to act as a release agent for promoting clean separation of the formed heads and the surface of the roll as the headed hooks exit from under the forming roll. In this case both the cool temperature of the conforming roll 4 and the moisture promote clean release of the heads 18 from the roll surface without sticking of the heads to the roll, where that is undesirable. Best advantage is obtained by locating the point of heating close to the roll. In preferred embodiments the tip of the burner is within one centimeter of roll 3 and within 2½ centimeters of roll 4, adjustment of the separation of the burner from roll 3 serving as a control for the amount of convective heating obtained.
The air gas mixture of the gaseous fuel and air is introduced to the burner in substantially stoichiometric ratio for optimum combustion, such that substantially complete combustion occurs, producing byproducts essentially only of carbon dioxide and water.
The burner may have a ribbon opening extending across the width of the web, or may comprise jet holes, the spacing between holes being closer than the distance to the heads such that because of air entrainment a substantially uniform turbulent stream of hot gas reaches the top portion of the stems to be melted.
In one preferred embodiment a ribbon burner is used, providing a continuous line of flame. The burner temperature is between about 1000° and 1200° C., produced with a natural gas feed, the primary component of which is methane (CH4)
\[ \text{CH}_4 + 2\text{O}_2 \rightarrow \text{CO}_2 + 2\text{H}_2\text{O} \]
Complete combustion uses 9.5 moles air for each mole of CH₄, thus oxygen in the air gas mix is (2 moles O₂/10.5 moles total) equal to 19.0% O₂.
The burner face is approximately 1" wide. The web carrying the stem preform travels at speeds in the range of 20 to 200 ft/min (depending upon the product desired and operating parameters), and so a stem preform element spends only a fraction of a second underneath the burner. In this amount of time a sufficient amount of heat is transferred into the preform element to enable it to be deformed into a hook. Heat is transferred to the preform element by forced convection. Heat is transferred through the stem tops as well as sides. The amount of heat transferred to the preform element, is controlled by the position of the burner relative to the elements. Simple steps may be followed in set-up for such flat-topping:
1. Extrude and form a web of preform stems on a continuous backing, as described above.
2. Set gap position of the forming roll (Gap between rolls 3 and 4) at a position that corresponds with desired hook height while stem forming is occurring. At this point stems passing through the gap will buckle since their tips are not being heated.
3. Turn on the burner and, step-wise, bring the burner closer to the terminal ends of the stems. The burner position will typically vary from 0.2" to 1" from roll 4. The flame set-up (i.e. flame conditions) is maintained constant, so that the only variable altered is the position of the burner with respect to roll 3.
In some cases the line speed is dependent upon the amount of heat desired to be transferred to the stems. For instance, comparing 2 sets of stems, Group A: 0.008"x0.008"x0.027" vs. Group B: 0.012"x0.012"x0.075". Group B requires more heat per stem, and passing heat through a larger body requires more time for heat to be transferred such that Group B may run at a speed ½ that of Group A.
The mold patterns of FIGS. 21, 22, 23G, 23K, are shown in FIGS. 23I-23M. Rings 70 and 72 are placed face-to-face together in registry such that when viewed from a plan view down upon the periphery of the mold ring pair, a plus sign mold shape is provided, with fin shaped cavities of between about 2 and 3 length to thickness ratio in accordance with the provided explanation. Many sets of rings are placed side-by-side and pressed onto a shaft, providing an axial distribution of peripheral rows of cavities, FIG. 23N. The size of the cavities and their distribution is selected according to the needs of the particular fastening system being constructed. Typically a slight draft angle, e.g. of 1° is employed to enable the molded fin to readily leave its mold. As shown in FIG. 23N, solid spacer rings 73 having no mold cavities are placed between pairs of rings 70, 72. A first set of rings 70, 72 is spaced by a spacer ring from the next set, and so on. In the mold pattern of FIG. 23N the mold cavities of adjacent pairs are aligned axially of the mold roll.
In FIG. 23O, a typical off-set pattern is shown for the tool rings. Adjacent pairs of rings are off-set by 50%, as one useful pattern for enabling engagement with loops.
According to the concept of this embodiment, the plus sign cross-section means 104 with thin fins 19, 21 when pressure-formed by compression roll 6 will provide polymer flow in directions of the four lobes off the ends of the fins. For diaper applications, for instance, where cross-machine directionality of the hook is often important due to the orientation of the machine direction of the fastener in the diaper forming process, this can achieve better engagement with the nonwoven loop component of a diaper than by hooks formed with a round or square profile cross-section design.
To explain why the thin-fin quadrlobal stem preform will provide better cross-machine directionality, referring to FIGS. 23P and 23Q, a square stem with a circular head is shown. In the side view of FIG. 23Q a loop is shown attached to the hook. The loop is pulled upwards, perpendicular to the bottom surface of the hook overhang. The area where the loop is being pulled directly away from the base of the hook can be explained by vectors as in FIG. 23R. In this case the force F exerted on the loop is shown as the vector coming from the outer portion of the hook head down to underneath of the hook head to the mid point of the stem. This vector may be explained to be the sum of a vector A that extends tangent to the circle to the point where the loop exits from underneath the bottom of the hook head, heading away from the stem, and a third vector B drawn at 90 degrees, extending from the end of vector A to the end of vector F, to create a right triangle formed by side vector A, side vector B and hypotenuse vector F. The angle Φ between vectors A and F enables vector A to be written as vector F cosine Φ.
For Φ between 0 to 90 degrees, as Φ increases, vector A decreases, hence the loop becomes less likely to slide off the hook when pulled.
This case is compared with one lobe of head 18 of a thin-fin hook, as shown in FIG. 23S, a top view. The loop filament is at the end point of the stem and is being pulled directly up as shown in FIG. 23T.
In this case, by vector analysis shown in FIG. 23U, the angle Φ is greater than the angle Φ₁ for the circles Φ₂₃₄ is greater than Φ₁₄₅₆. The reason for this is, according to the present concept, the tips and short ends of a thin fin stem are deformed more compared to the long section of the fin due to greater exposed surface area to the heating conditions. The greatest overhang of the hook head then is at the end of the fin. This causes a tangent to the overhanging rim to be closer to horizontal (in plan view) than the tangent line of a similar round head, and the beginning of the widest part of the head lies at the center axis of the structure of the fin. In the case of a circular head on a stem, the widest portion of a circular head (its diameter) lies at the center axis of the stem structure rather than off-set as is the case with the thin fin.
The concept described here rests in part on the proposition that the fin tip heats locally towards its profile ends because of a higher surface to mass ratio, related to surface exposed to the localized, non-contact radiant or convection heat that reaches the side margins of the stem.
Consider the top end of the quadrlobal fins with points A on the end of one fin, B in the middle where the two fins join and C on the end of the opposite fin. When passed under a non-contact heat source points A and C are predicted to acquire more heat per unit volume of polymer and are easier
to deform compared to point B. During pressure forming by roll 14, more resin is pushed off (deformed) in areas A and C compared to the middle, B, because more heat per unit volume has been transferred to the synthetic resin at those points, A and B, and therefore that resin reaches a higher temperature, and consequent lower viscosity, and more readily flows in response to forming pressure.
For a typical square stem that has a cross-section size of 0.008×0.008 inch, the head has approximately two times the width of the stem. Thus the area of the footprint of an individual hook is 0.008²×1, or 2×10⁻⁴ inches², while the stem cross-section area is 6.4×10⁻³ inches². With a thin fin stem construction of the same area of ratio of 2 to 1, (length/width = 2.04×10⁻³), the thickness is about 0.0056 inches and the length about 0.0113 inches. For the same size footprint, comparing the angle Φ between a square stem and a thin fin stem, the angle Φ is considerably greater with the fin for the same footprint than for the Φ of the circular head, or said another way, a thin fin hook of equal peel performance to that of a circular head will have a smaller footprint on the loop surface.
Footprint is important for applications such as diapers, because a small footprint allows for good penetration into a low loop mass, whereas a larger footprint tends more to push down on the loops and not allow the crook or bottom part of the head of the hook to enter under the loops that are pushed down.
This analysis indicates, further, that one can make a thin fin hook with a footprint less than that of a round head that will penetrate loop better, and get more engagement, and it can still be such that the loop tends less to slide off than with the round head.
The relationship so-far described shows the difference between a circle and a fin when the hook and loop are being separated in tension mode, i.e. at their stages of peel which are in tension mode, when the loop is pulled at an angle close to 90 degrees to the base of the hook.
The benefits of a fin may be further explained considering the condition in which the hook is subjected simultaneously to a component of sheer loading. FIG. 23V shows a flat top hook in which the loop is being pulled back at an angle between the loop filament and an imaginary horizontal line extending through the bottom of the hook head in the X, Z plane. When angle ē is introduced with the previous vector work, an equation may be generated to show the relationship between ē and Φ, i.e. the relationship between the angle at which vector A is coming off the angle between vectors A and F. Vector A is the vector in which the loop is coming around the hook and angle ē is the angle relative to the bottom of the hook head. With angle ē=0 degrees, the loop and hook are in perfect sheer mode and with angle ē=90 degrees, the loop and hook are in perfect tension mode. This enables an equation to be generated showing that for a given shear condition and no-slip condition effect, angle ē minimum in relation to Φ minimum is equal to the inverse cosine of the group of cosine Φ divided by sine Φ. From this relationship a graph is created, FIGS. 23X, that shows the minimum no-slip condition relationship between Φ and ē, angle Φ being the angle between vectors F and A and vector A being the force tending to cause the loop to slide off the hook. It shows that for an angle Φ of less than or equal to 45°, ē minimum must be 0. A loop will slide off unless it is in perfect sheer mode for Φ equal to or less than 45 degrees. This graph also shows that there is a sharp portion of the line between Φ=45 and Φ=50 degrees. It is realized that any small increase in Φ between angles from 45 to 50 degrees results in a much larger difference in what is required for ē minimum. Small improvements in Φ result in less of a necessity to be in perfect sheer mode.
An important aspect of the invention concerns the realization that small changes in the head configuration can give relatively larger benefits; hence the important advantage of the thin fin construction for peel mode. Explaining further referring to FIG. 23Y a hook component is shown being peeled from a loop component. At the bottom area of the valley between the hook and the loop component the forces are substantially in tension mode, angle ē being close to 90 degrees, because no sheer force is involved. The hook is being pulled directly upward from the loop at the bottom of the loop during peel mode, similar to the application of forces shown in FIGS. 23P and 23T. Now, so long as the hook can hold onto the loop, as it moves up the V, angle ē starts to decrease.
If a hook at the horizontal portion of the fabric is still mated with a loop, all force is in the shear mode, i.e. resisted by the stem.
This shows the importance of having a large Φ angle to avoid dependence on the ē angle. It is believed the fin designs will have a higher Φ angle when compared with a standard round head product. Therefore, for any given ē angle, the fin design should be more likely to slide off compared to a standard round top hook. These calculations were made with the assumption of no friction; the loop conforms to head shape, thus loop stiffness is negligible, gravity is negligible and the hook is a rigid body.
The analysis applies to a plane single fin, and to the fins 19, 21 of a plus-form hook as well, and to other configurations that provide flow or forming capabilities to increase angle Φ.
In condition where only cross-machining peel strength is important, a hook component formed with single fins lying cross-wise can be employed.
The plus-form or the “quad” configuration allows one to engage in differing directions.
FIG. 24 is a 3-D (three dimensional) view of the quadrabook hook created with (see FIGS. 24C and 24D) fins 21' in the X axis that are shorter than the fins 19' in the Y axis to form a hook 10 with better loop engagement in the cross-machine direction because the profile causes more polymer in the cross-machine direction to be heated and subject to forming a hook compared to the polymer of fins in the machine direction.
In certain instances the fins 21' may be so short that their outer tip portions are not reformed by roll 4. In such case, the X-direction fins act as supports for fins 19'.
FIG. 25 is a top view of a hook created with Y axis fins 21" and 21'" offset from each other, neither being at the center of the X axis structure.
In the case of FIG. 25 fins 19" protrude at the extremities of the X axis structure beyond fins 21", at the forming station at roll 4.
In the alternative embodiment of FIG. 25D the Y direction fins are at the extreme ends of the X direction structure.
Likewise, of course, where the effect is desired for the machine direction, the stem cross-section may be placed at 90° to that which is shown in FIG. 25D.
As shown in FIG. 25D this forms an irregular shaped hook. Under certain conditions, as shown, the head has bulbous ends and reduced width section in-between, e.g. a dog bone or bow tie configuration. Such a configuration enables a loop, that passes the widest point of the hook, to slide towards the middle of the hook, where the head is narrower, effectively trapping such loops to improve hook-to-loop engagement.
FIG. 26 is a side-view of a four feature hook created with X axis fins 21A of considerable length, and Y axis protrusions 17 that are very short in machine direction md. The Y axis
protrusions 17 serve to support the hook during formation and in use as well. Importantly, they reduce the foot print of the hook, allowing for easier penetration into the loop mass e.g. of thin nonwoven fabrics.
FIG. 27 is a top-view of a quadrolobal hook formed with a conformation roll having an array of embossing features much smaller than the head diameter, indicated in the form shown, as square projections. Penetration of these projections into the top surface of head 18 during its formation, serves to displace resin to a useful degree, to the underside though not to as great a degree as at the top surface. This provides roughness or roughness on the undersurface and edges of the head. Such features provide mechanical obstacles, or “catches” to the sliding of loops along that surface, and hence enhance loop engagement.
In other embodiments, pointed pyramidal shapes, rounded dimples and the imprint of randomly placed particles such as those of sandpaper can have like effect on the edges or undersurface of the head.
Preferably, at least three of such deformations are employed and, except in the case of relatively fine sandpaper, preferably no more than less than about 1.5 of the deformations to avoid “wash-out” of the effect.
In certain cases the surface features of the conformation roll are selected to force resin from one X, Y location to another to enhance head overhang in some regions, decrease it in others, or provide edge friction points for improving loop engagement.
The hook form of FIGS. 28 and 28A has the head 28 shifted to one side along axis A aligned with the machine direction. This form may be created by over- or under-driving the forming roll 4 of FIG. 2. Heads of this type are useful in applications that require one-directional engagement.
It is useful to explain use here of the term “superheating.” In general, the non-contact heating step described, when the gas flow rate and orifice sites are set has an established range of heating capability that is controlled by the distance of adjustment and is independent of the particular polymer. Using the set-up technique described above, the heating is readily adjusted to enable flat-topping and stabilization of the forms shaped by the cold forming roll 4. By adjusting the distance of the burner closer to roll 3, more heat than the minimum required for flat-topping may be applied. The system then works within the range of the flat-topping action so that cause, flat-topping is effective to distribute the resin and apply a shape, but a point is reached at which it is readily observed that the emerging forms have not yet frozen, and further, predictable deformation is observed.
It is realized that benefit can be obtained from this secondary, “self-forming” action.
In one case, by choosing a resin having a low heat deflection temperature, the method is useful to form rounded mushrooms of the self-engaging fastener type. For the example of FIGS. 29, 29A, a low density polyethylene (LDPE) having a heat deflection temperature of 113 degrees F. was selected (significantly lower than the heat deflection temperatures of 186 degrees F. and 204 degrees F., of high density polyethylene (HDPE) and polypropylene (PP), respectively). (For nylon and High Density PE, see FIGS. 30, 31.)
With a given coolant flow through the cold forming roll 4, after satisfactory flat-topping of the LDPE heads was established with frozen shapes emerging, the heater was brought closer to roll 3, and the line speed slowed to apply excess heat. As heating was increased, gradual change in the final conformation of the flat-topped product was observed. A point was reached in which, in a stable process, the rounded mushroom shapes shown in FIGS. 29, 29C were produced. In this case flat-topping was effective to flatten and spread the bulbous molten polymer, and following roll 4, the mass sank and rounded to the form shown. Two components of this shape were effectively engaged to serve as a self-engaging fastener as depicted in FIG. 29I).
Thus, the embodiment of FIG. 29 is formed employing an initial preform stem of the form of that of FIG. 23C, however parameters are controlled to form a rounded upper profile. In addition or in combination with previous techniques mentioned for forming round tips, it is found that resin selection and an extra degree of melting, produced by “super-heating” at the non-contacting heating steps can be usefully employed.
By choice of low deflection temperature resin, e.g. certain polyethylenes, and either by making the fin construction very thin and or subjecting the tip portion to large heat transfer by the proximity or intensity of the flame, a condition can be obtained in which useful gravity flow of resin occurs after passing by roll 4. This condition can for instance also be obtained by maintaining roll 4 at such temperature that it does not entirely solidify the tip portions.
With higher deflection temperature resins, e.g., high density polyethylene, a useful self-bending action of outer edges of the flat-topped structure form the “J” profile mentioned.
The process of forming the stem preform by filling dead-end mold voids with polymer, does not orient the polymer. As previously mentioned, heating this preformed stem results in a ball of molten polymer at the top of the stem. After heating, the molten top is reformed with a flat or configured forming roll to form a head structure extending out in all directions to an extent dependent upon the height and mass of the reformed portion.
In the pictures of FIGS. 29, 29A a low-density polyethylene resin was chosen. The tip portions were super heated, i.e. heated in excess of that to be removed by cold flat-topping to retain residual gravity flow capability.
Following flat-topping, the flattened resin head gathers under surface tension to form a well shaped mushroom head.
Under essentially the same thermal conditions, the flattened head of nylon and high density polyethylene bent bodily to turn down the peripheral tips of the heads to provide a J profile, see FIGS. 30 and 31.
FIG. 32 is a side view of a quadrolobal hook with a curved head that has portions at the fin ends shaped as a J style hook. This is accomplished by choice of the resin of which the preform stem element is molded and appropriate control of the non-contact heating and of the end of the stem and softness of the head following reformation by the conformation roll; e.g. roll 4, to enable a degree of slump of peripheral portions of the resin following flat-topping.
The amount of heat provided prior to the forming determines whether the polymer will flow while, as shown by comparison of FIGS. 29, 29A with FIGS. 30 and 31, the type of resin determines whether of the resin will bend up or down the stem giving a curved head or whether the ends of the head bend down to provide the J style referred to. The resultant J form is beneficial to retain loops trapped underneath the head.
FIGS. 33, 33A and 33B, perspective, side and top views, respectively, show a quadrolobal “M” hook, so-named because of the configuration of the preformed stem from which it is formed, shown in correspondingly FIGS. 33C, D and E and FIGS. 33 G, H and I illustrate mold tooling for the element of FIG. 33.
Referring first to FIGS. 17A and 17B, that preformed stem has more polymer at the outer-most portions of the stem in the machine direction, the amount of polymer decreasing linearly moving toward the center of the stem V.
FIGS. 34C, D and E show a similar M stem preform element, oriented in this case in the cross-machine direction, and conceptually formed of two “half M” configuration stem segments, see the corresponding mold tooling shown in FIGS. 34F through 34I.
In the cases of FIGS. 17A and 34, the principle of the thin fin is employed, having more of the resin concentrated at the X direction ends of the fins, adjacent vertical surfaces of the formation. Depending upon the method of deformation, an oval such as the machine direction oval of FIG. 18 or the cross-machine “figure 8” head of FIG. 34B can be obtained. With the quadrolobal M stem of FIGS. 33 similar deformations can be obtained. In the case of the hook depicted in FIG. 33, non-contact heating provides four lobes of molten resin, concentrated at the periphery, see FIG. 33F. Flat-topping of this resin can then produce the head 18B shown in FIG. 33B. The resin, as it melts, finds the path of least resistance to be predominately at the “precipice” provided at the steep sides of the M, with the desirable result of forming a large Φ angle in the flat-topped product, according to the analysis presented earlier. If a “soft contact deformation” is employed, with resins such as Nylon and high density polyethylene, J-shaped profiles are obtainable at the corners.
The M-configuration can usefully be reformed to provide a loop-engageable head by contact heating techniques as well, though potentially at slower speeds. Thus the hot roll and ultrasound techniques described above with respect to FIGS. 12 and 13 may be employed to obtain head shapes that may, in the case of ultrasound or low level heat forming by a heated roll, be more sharply defined as suggested by FIGS. 34 and 34A.
In the case of the non-contact melting followed by flat-topping, steps can be taken also to limit resin flow back toward the center of the “W” shaped void, as suggested by FIGS. 34 and 34A, for instance by limiting the non-contact heating so that only the sharp tips of the M are rendered molten, while the larger cross-sections further down the wedge-form section are rendered mechanically deformable but not molten. Following this, flat topping with a chilled roll below the softening temperature or in some cases with a heated roll at or even above the softening temperature, provides useful hooks for some applications.
FIG. 34A shows the profile of a hook provided by the flame heat-cold roll technique, the thicker hook tips being attributable to the non-contacted heated resin that melted and rounded under surface tension prior to the flat topping action. FIG. 33, the 3-D view of a quadrolobal M hook has larger outer margin portions of the hook head overhanging compared with the hook of FIG. 23. More polymer on the outer portion of the fin is created from a stem that has more polymer on the outer portion of the fins and the distribution of polymer and its proximity to the heat source decreases towards the center of the oval as shown in FIG. 33E.
According to this aspect of the invention, the more the hook heads extend past the stem is beneficial for forming a crook for better engagement, to obtain better holding of loops underneath the hook. A greater distance is then required for the loop to slide off when it is at the top of the stem. When it is at the end of the stem underneath of the head, a greater distance is required for the loop to travel around the head of the stem before disengagement hence the loop will be held better.
FIG. 34B is a top view of FIG. 34A that shows the head of the hook is formed in the cross-machine direction, showing that the bulk of the polymer has indeed been pushed out to the side.
In FIGS. 34A and 34I the Φ angle is approaching 90 degrees, in this case, being high because of the large amount of polymer pressed out to the side. At the loop along the base underneath the hook, by the stem, is at approximately the widest portion of the hook. Therefore, the Φ angle will be very close to 90 degrees and the tendency of the loop to slide off will be very low.
FIG. 34A’ illustrates a hook profile similar to that of FIG. 34A.
In FIG. 34G the tool ring shown is cut at a 30 degree angle, so that when one of the rings of these figures is flipped over and two are placed together, they provide the center two rings of the mold of FIG. 34I: The rings form a peak together, FIG. 34G. In FIG. 34I two outer spacer rings make-up the beginning and end portion of the M profile.
In FIG. 34I, the four different rings are 40, 42, 44 and 46, ring 42 being the one turned over 180 degrees and otherwise is the same as ring 44.
FIG. 35 shows another alternative of the M style hook in which a small rectangular block is placed between the two halves of the M. This design provides a bigger cross-directional hook. Referring to FIG. 35A it allows more volume of polymer to be excluded between the two hooks. When this preformation is flat topped, even more resin is pushed out to the sides. FIG. 35A’ illustrates a hook profile similar to FIG. 35A but formed in a different manner.
FIG. 36 comprises one side of the M hook design sometimes referred to as an “N” design. It can be used by having half the rings face to the left cross-machine direction and half the rings face to the right cross-machine direction. It enables heating and flat-topping a resin to make a hook profile in one direction in the cross-machine direction. The benefits of this hook compared to the M hook are a smaller footprint and allowing better penetration into the loop mass, yet still having cross-machine direction features. FIG. 36A is a hook profile similar to FIG. 36A but formed in a different manner.
FIGS. 37-37b show a hook element again formed entirely by actions in the machine direction to have significant peel properties in the cross-machine direction.
In this embodiment a monolithic fin has a parallelogram profile in cross-section as shown in FIG. 37E, with its long sides set at an angle of 45° to the machine direction and its short sides faces aligned with the machine direction.
As a consequence, the pair of smaller opposed included angles at the corners of the stem are only 45°, creating a localized region of the tip of the stem having a very high ratio of exposed surface to mass. When exposed to non-contact heating, those corners preferentially melt, to be readily deformed by the flat topping action, and indeed, when desired, can be super-heated such that desirable “J” formations can be formed as a consequence of the flow mentioned in respect of FIGS. 30 and 31. Such hook formations have a significant component of orientation in the cross-machine direction.
On the other hand, the other set of corners with large included angle locate a large mass of resin at the cross-machine extremity available to be flattened into a strong loop-engaging disc structure having substantial over-hang beyond the upright stem surface, leading to a large angle Φ. Thus both corners of the parallelogram can contribute significantly but differently to the loop-engaging function.
Referring to FIGS. 37F and G, the mold ring MR for forming the stem preform of FIG. 37C is formed simply by forming an angular passage fully through the thickness of the metal plate that forms the mold ring, the passage having the
required transverse profile end, the thickness of the mold plate thus determining the thickness for the narrow dimension of the thin fin.
The alternating male fastener pattern of FIG. 37H is achieved by orienting the parallelograms of adjacent rows of molds in opposite orientations. This is done simply by reversing adjacent mold tool rings, with a solid spacer ring SR face-to-face between each adjacent mold tool ring pair. The bands of the fastener component in FIG. 37H that correspond with the mold rings are indicated by I and I\textsubscript{R} and the bands that correspond to the mold spacer ring are indicated by II ("I" denoting one direction orientation of a mold ring and "I\textsubscript{R}" the reverse orientation.)
Whereas one embodiment of the parallelogram construction may have straight-sided stems as suggested in FIGS. 37E-37E, another advantageous construction, especially for relatively tall fins, for providing columnar strength, has a thickened pedestal portion of the profile. This is readily understood from the mold cavity shown in FIG. 37G, of length L\textsubscript{p}, with shoulder; of length L\textsubscript{ps}, shown on both of the long sides of the fin.
This form is simple to manufacture. The parallelogram seen in the plan view of FIG. 37E relates to the fin structure and its mold cavity as follows. Parallelograms 430 and 438 correspond to the filet-defining stress-relieving transition at the base. The next inward parallelograms 432, 436 represent the strengthening shoulders of the base pedestal of the thin fin, and the central parallelogram 434 represents the main height of the thin fin, extending to its tip.
All of these cavity portions appearing as parallelograms in FIG. 37E extend at 45 degrees to the machine direction of the mold plate.
In a preferred embodiment, with total height L\textsubscript{p} of 0.05 inch, the pedestal height B may be 0.020 inch, to provide added columnar strength for the flat-topping operation, and, as well, to enable the mold to provide clearance for removal of the entire fin structure from the rotating mold by the usual expedient of turning about the stripping roll 5. The mold ring plate thickness T, may for instance be 0.010 inch resulting in a diagonal tip to tip length for the fin of 0.020 inch, a length along each side of 0.014 inch a thickness t measured normal to the long sides of 0.005 inch and an end profile thickness t\textsubscript{e} of 0.007 inch.
Taking the length of the fin as the full length of one side of 0.014 inch and thickness t measured normal to that side of 0.005, the length to thickness ratio of this fin is 2.8.
With respect to the pointed ends of the fin, flat-topping of those regions can lead to a relatively small radius arc of considerable are extent, with a resultant Φ angle approaching 90°.
It is anticipated when a loop is engaged on that point, the loop will be prone to pass down the sides away from the tip since it will not be riding along a directly opposed stem, but rather a stem that slants at an angle away from the end of the hook.
A sense of the loop engagement capability of the embodiments of FIGS. 37-37G is obtained from the diagrammatic perspective views of FIGS. 37I and J, taken from different points of view.
Another benefit of that hook is similar to that of the quadrlobal thin fin hook of FIG. 23, in that a footprint of size equal to that of current hooks manufactured, results in a larger Φ angle about the entire narrow end of the fin. If a loop is engaged on that end it is believed that the Φ angle will be larger compared to standard flat top products that have a square stem.
As has been indicated, the benefits of using convection heating from a gas flame and forming with a cold roll are considerable.
The process allows the polymer to become molten and permits geometric configurations of the remaining formation and the flat topping step to determine the direction of the polymer flow.
The cold roll is beneficial in that it freezes the polymer quickly. This enables high line speeds and relatively inexpensive production of hooks for high volume applications.
Another non-contact heating approach is the use of a radiant heater to block the heat from the metal, through radiation, with convection, heats the tips of the stems.
As has been mentioned, another way for forming similar hooks is the ultrasonic method whereby vibration is used for localized heating and deformation as determined by surfaces of the ultrasonic horn or the anvil.
A possible benefit is to obtain desired head shapes, as a consequence of a more localized heating, avoiding effects of surface tension and hence not requiring as large a fin ratio. It may also be beneficial in providing more curvature of the heads and in making a head with a smaller thickness for improved loop penetration, but with the drawback of lower line speed.
Another method used is a hot-wire method which would be a contact method. It would be with a heated wire. When the stems pass and touch the wire they could then be formed by a forming roll or nip. Those would be the main flat-topping methods.
Other features and advantages will become apparent from the following Description of the Preferred Embodiments, the drawings and the claims.
Another aspect of the invention is a composite fabric, and the making of such fabric, on which stems have been directly molded in accordance, for instance, with the teachings of U.S. patent application Ser. No. 09/808,395 filed Mar. 14, 2001, which has been incorporated herein by reference above, followed by use of a flame of burning gas jets or the combustion products flowing from the flame, to rapidly soften the extreme ends of the stems, followed by engagement by a cooled press surface such as a cooled forming bar or a forming roll, as described therein. The numerous features of stem design and conditions of forming the male fastener member as presented here are applicable to the manufacture of such composite material.
A number of embodiments of the invention have been described. Nevertheless, it will be understood that various modifications may be made without departing from the spirit and scope of the invention. Accordingly, other embodiments are within the scope of the following claims.
What is claimed is:
1. A hook fastener pre-form product for subsequent formation of a loop engaging hook fastener product, the pre-form product comprising:
- a base sheet having a surface of thermoplastic resin; and
- a plurality of stem formations formed integrally with the surface to protrude therefrom, the stem formations being arranged for engagement with a field of loops after deformation of terminal ends, each of the stem formations including a first portion extending upwardly from the surface and a second portion extending upwardly from the first portion to a distal end to define a height of the stem formation relative to the surface, each first portion having only one second portion extending therefrom, an intersection of the second and first portions occurring at a distance from the surface equal to at least half the height of the stem formation, the intersection...
defining a discrete transition in cross-sectional area of the stem formation that corresponds to a flat upper surface of the first portion, such that the second portions are more susceptible to deformation energy than the first portions, and are sized to form heads that overhang sides of the first portions for releasable engagement with a loop product, when deformed.
2. The hook fastener pre-form product of claim 1, wherein an area of any cross-section of the second portion taken parallel to the surface is less than an area of any cross-section of the first portion taken parallel to the surface.
3. The hook fastener pre-form product of claim 2, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 50% of the area of any cross section of the first portion taken parallel to the surface.
4. The hook fastener pre-form product of claim 2, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 25% of the area of any cross section of the first portion taken parallel to the surface.
5. The hook fastener pre-form product of claim 1 in which each second portion projects above each first portion without overhanging the surface.
6. The hook fastener pre-form product of claim 1, wherein each second portion includes at least four spaced apart projections.
7. The hook fastener pre-form product of claim 6, wherein each spaced apart projection tapers from the intersection of the second and first portions to a narrow distal extremity.
8. The hook fastener pre-form product of claim 6, wherein a width of each spaced apart projection is angled with respect to the surface.
9. The hook fastener pre-form product of claim 1, wherein each first portion is substantially rectangular in shape in transverse cross-section.
10. The hook fastener pre-form product of claim 1, wherein each second portion is substantially rectangular in shape in transverse cross-section.
11. The hook fastener pre-form product of claim 1, wherein each second portion is substantially circular in shape in transverse cross-section.
12. The hook fastener pre-form product of claim 1, wherein each first portion is substantially cruciform in shape in transverse cross-section.
13. The hook fastener pre-form product of claim 1, wherein each second portion defines a pyramid shape, the intersection of the second and first portions being defined by a base of the pyramid.
14. The hook fastener pre-form product of claim 1, wherein each of the first and second portions have different shaped transverse cross-sections.
15. The hook fastener pre-form product of claim 1, wherein each first portion is cruciform in shape in transverse cross-section and each second portion is rectangular in shape in transverse cross-section.
16. The hook fastener pre-form product of claim 1, wherein each first portion is substantially rectangular in shape in transverse cross-section.
17. The hook fastener pre-form product of claim 1, wherein the first portions are of circular transverse cross-section.
18. The hook fastener pre-form product of claim 1, wherein the second portions are cylindrical.
19. The hook fastener pre-form product of claim 1, wherein the second portions are centrally located on their corresponding first portions.
20. A hook fastener pre-form product for subsequent formation of a loop engaging hook fastener product, the pre-form product comprising:
a base sheet having a surface of thermoplastic resin; and
a plurality of stem formations formed integrally with the surface to protrude therefrom, the stem formations being arranged for engagement with a field of loops after deformation of terminal ends, each of the stem formations including a first portion extending upwardly from the surface and a second portion extending upwardly from the first portion to a distal end to define a height of the stem formation relative to the surface, each second portion including at least four spaced apart projections, an intersection of the second and first portions occurring at a distance from the surface equal to at least half the height of the stem formation, each spaced apart projection tapering from the intersection of the second and first portions to a narrow distal extremity, the intersection defining a discrete transition in cross-sectional area of the stem formation, such that the second portion is more susceptible to deformation energy than the first portion, for deformation of the second portions to form over-hanging heads for releasable engagement with a loop product.
21. The hook fastener pre-form product of claim 20, wherein an area of any cross-section of the second portion taken parallel to the surface is less than an area of any cross-section of the first portion taken parallel to the surface.
22. The hook fastener pre-form product of claim 21, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 50% of the area of any cross section of the first portion taken parallel to the surface.
23. The hook fastener pre-form product of claim 21, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 25% of the area of any cross section of the first portion taken parallel to the surface.
24. A hook fastener pre-form product for subsequent formation of a loop engaging hook fastener product, the pre-form product comprising:
a base sheet having a surface of thermoplastic resin; and
a plurality of stem formations formed integrally with the surface to protrude therefrom, the stem formations being arranged for engagement with a field of loops after deformation of terminal ends, each of the stem formations including a first portion extending upwardly from the surface and a second portion extending upwardly from the first portion to a distal end to define a height of the stem formation relative to the surface, each first portion being substantially rectangular in shape in transverse cross-section, an intersection of the second and first portions occurring at a distance from the surface equal least half the height of the stem formation, the intersection defining a discrete reduction in cross-sectional area of the stem formation from the first portion to the second portion, such that the second portion is more susceptible to deformation energy than the first portion, for deformation of the second portions to form over-hanging heads for releasable engagement with a loop product.
25. The hook fastener pre-form product of claim 24, wherein an area of any cross-section of the second portion taken parallel to the surface is less than an area of any cross-section of the first portion taken parallel to the surface.
26. The hook fastener pre-form product of claim 25, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 50% of the area of any cross section of the first portion taken parallel to the surface.
27. The hook fastener pre-form product of claim 25, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 25% of the area of any cross section of the first portion taken parallel to the surface.
28. A hook fastener pre-form product for subsequent formation of a loop engaging hook fastener product, the pre-form product comprising:
a base sheet having a surface of thermoplastic resin; and
a plurality of stem formations formed integrally with the surface to protrude therefrom, the stem formations being arranged for engagement with a field of loops after deformation of terminal ends, each of the stem formations including a first portion extending upwardly from the surface and a second portion extending upwardly from the first portion to a distal end to define a height of the stem formation relative to the surface, each second portion being substantially rectangular in shape in transverse cross-section, an intersection of the second and first portions occurring at a distance from the surface equal to at least half the height of the stem formation, the intersection defining a discrete transition in cross-sectional area of the stem formation, such that the second portion is more susceptible to deformation energy than the first portion, for deformation of the second portions to form overhanging heads for releasable engagement with a loop product.
29. The hook fastener pre-form product of claim 28, wherein an area of any cross-section of the second portion taken parallel to the surface is less than an area of any cross-section of the first portion taken parallel to the surface.
30. The hook fastener pre-form product of claim 29, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 50% of the area of any cross section of the first portion taken parallel to the surface.
31. The hook fastener pre-form product of claim 29, wherein the area of a cross-section taken parallel to the surface and near the distal end of the second portion has an area less than 25% of the area of any cross section of the first portion taken parallel to the surface.
32. A hook fastener pre-form product for subsequent formation of a loop engaging hook fastener product, the pre-form product comprising:
a base sheet having a surface of thermoplastic resin; and
a plurality of stem formations formed integrally with the surface to protrude therefrom, the stem formations being arranged for engagement with a field of loops after deformation of terminal ends, each of the stem formations including a first portion extending upwardly from the surface and a second portion extending upwardly from the first portion to a distal end to define a height of the stem formation relative to the surface, each second portion including at least four spaced apart projections, an intersection of the second and first portions occurring at a distance from the surface equal to at least half the height of the stem formation, the intersection defining a discrete transition in cross-sectional area of the stem formation that corresponds to a flat upper surface of the first portion, each spaced apart projection tapering from the intersection of the second and first portions to a narrow distal end thereof, such that the second portions are more susceptible to deformation energy than the first portions, and are sized to form heads that overhang sides of the first portions for releasable engagement with a loop product, when deformed.
33. The hook fastener pre-form product of claim 32, wherein a wall of each spaced apart projection is angled with respect to the surface.
34. A hook fastener pre-form product for subsequent formation of a loop engaging hook fastener product, the pre-form product comprising:
a base sheet having a surface of thermoplastic resin; and
a plurality of stem formations formed integrally with the surface to protrude therefrom, the stem formations being arranged for engagement with a field of loops after deformation of terminal ends, each of the stem formations including a first portion extending upwardly from the surface and a second portion extending upwardly from the first portion to a distal end to define a height of the stem formation relative to the surface, each second portion defining a pyramid shape, an intersection of the second and first portions being defined by a base of a pyramid, the intersection occurring at a distance from the surface equal to at least half the height of the stem formation, the intersection defining a discrete transition in cross-sectional area of the stem formation that corresponds to a flat upper surface of the first portion, such that the second portions are more susceptible to deformation energy than the first portions, and are sized to form heads that overhang sides of the first portions for releasable engagement with a loop product, when deformed, occurring at a distance from the surface equal to at least half the height of the stem formation, the intersection defining a base of the pyramid, and also defining a discrete reduction in cross-sectional area of the stem formation from the first portion to the second portion, such that the second portion is more susceptible to deformation energy than the first portion, for deformation of the second portions to form overhanging heads for releasable engagement with a loop product.
It is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:
Title Page, Column 1, Item (75) Inventors, line 1, delete “Argentona” and insert --Girona--
Title Page, Column 1, Item (75) Inventors, line 2, delete “Argentona” and insert --Barcelona--
Column 36, line 54, in claim 24, delete “equal least” and insert --equal to at least--
Column 38, line 43, in claim 34, delete “deformed.” and insert --deformed-- |
The Queen's Bath—Bismarck's Secretion at the Hague.
W. J. Bryan is the only Presidential candidate who had a great-grandmother living at the time of his candidacy. She is a well-proportioned old lady, 80 years and lives in New London, Indiana.
The Comtesse Tolstoi, who is an accomplished and beautiful woman, is unusually popular in society, but to please her eccentric husband she denies herself social pleasures and remains a private secretary to the novelist.
The first woman to receive a medal diploma was Dr. Elizabeth Blackwell, who, at the age of 75, has just published her autobiography. She was born in England, but took her degree and pursued the greater part of her studies in America.
Queen Victoria is relaxing the rigid puritanism of her views on the Sunday question. A month ago she sent a troupe from the Crystal Palace to give a performance at Windsor on Sunday, and the ladies wore 200 gowns. Members of Lady Kildare's show were inspected by Her Majesty.
Meanwhile, when Bismarck bought a Bohemian peddler a meerschaum pipe, which was seized as a powerful forecasting the future. The man said that Bismarck would serve three Empires as Chancellor, that three important changes in his life would be foreshadowed by accidents befalling his pipe. Bismarck then discovered three Envelopes. Two days before the present Emperor refused him an audience, the third sign of the pipe came to pieces. Later he chipped a bit off the bowl, and within a month the Emperor dismissed him. The third sign is yet to come.
There is no truth whatever in the story of the escape of ex-Captain Dreyfus, who was sent to the penal colony of French Guiana for having sold French military secrets to Germany. M. Daniel, the French minister, stated that no change has occurred in the position of Dreyfus, so that the sentence will not be commuted in the century (fall to the ground). It was more than improbable on the face of it that a Dreyfus had escaped, the news should have been brought to Europe in a ship when the authorities in French Guiana could have been immediately expected to learn no time in informing the government by cable of the events. As for Major Dreyfus, she has not left France, but is staying in the immediate neighborhood of Paris, at Saint Cloud. Her brother, M. Hadamard, had already in the course of conversation made a flat contradiction to the story, and expressed himself in strong terms on the subject of the charge that Captain Dreyfus had helped his husband to escape. He said that his sister had been ill-treated by the denunciation of her husband, and that she was staying at a villa property in the environs of Paris. She was, like her relatives, convinced of Dreyfus' innocence, and hoped to see him come down to him at any distant date.
In picture frames and mouldings the Pacific Hardware Co. have just received the very newest patterns.
Frances for Citizens' Guard Certificates made to order for from 10c up, each at King Bros., 110 Hotel street.
A. A. Davis, D.D.S., Dental office, Cottage No. 100, Alakea street, telephone No. 615. Office hours 9 a.m. to 4 p.m.
Kroeger Pencils, sweetened in ice, J. W. Armstrong, sole agent, cash or instalments. Warerooms at G. West's Chinese Temple. Office at Thurau's Building. Turning and repairing. Telephone 347.
Wall, Nichola Co. are the sole and exclusive agents for Finney's Hawaiian Directory. A supply was delivered to Honolulu today. People in other islands who wish a copy can secure one promptly by addressing the above firm.
Singers lead the world. Over 13,000,000 made and sold. Highest award in the World's Columbian Exposition. Simplicity of construction, regularity of motion, ease of motion, great speed, adaptability, durability, ease of handling and convenience of arrangement. B. Burgeson, agent, 163 Bethel streets.
T. Murata,
Manufacturer of Straw Hats
For Ladies, Gentlemen, Girls and Boys.
Made to Any Shape by Order
Always Stock Great Variety
MODERATE RATES.
Telephone 188
P. O. Box 106
118 Nuuanu Street.
NEW GOODS
MURATA & CO.
Are about to receive a big stock of
NEW -- GOODS
Look Out For Us! Our Present Stock Will Be Sold Below Cost!
To make room. Come in and investigate. IT WILL PAY YOU.
Bamboo ware, Lacquer ware, Glassware, etc.
AND ALL KINDS OF DRY GOODS!
MURATA & CO., 361 Nuuanu & 2 Hotel streets.
The ... Hawaiian Electric Company,
Cor. Alakea & Hal-kawale Sts.
Has a large assortment of
Chandeliers and Electrical Goods
Constantly on hand.
Estimates given for home wiring and Electrical plants.
Marine Wiring a specialty.
THEO. HOFFMANN,
Manager.
C. H. HAESLOP,
GRINDING and SHARPENING of all Kinds,
Merchant and Richards Streets.
JAS. F. MORGAN,
AUCTIONEER and STOCK BROKER
No. 2 Queen Street.
Expert Appraiser of Real Estate and Furniture.
JOHN PHILLIPS,
PLUMBER,
Hotel St., near Fort. Tel. 302.
H. HACKFELD & CO.
GENERAL COMMISSION AGENTS.
Cor. Fort and Queen Streets, Honolulu.
M. PHILLIPS & CO.,
Wholesale Importers and Jobbers of European and American Dry Goods,
Fort and Queen Streets.
ROBERT GRIEVE
Book and Job Printer
Over Hawaiian News Company's Book Store.
DAVID K. BAKER,
Florist,
Nuuanu Valley, above the Manuleum.
All orders given prompt and faithful attention. No extra charge for delivering Flowers. Send your orders to the Lava, Mountain Greens and Carnations especially.
ALLEN & ROBINSON.
Dealers in Lumber and Coal and Building Materials of all kinds.
Queen Street, Honolulu.
FRANCIS DUNN,
Architect and Superintendent
Office, 303 Fort street,
Spreckels' Block, Room 5.
Residence: Hawaiian Hotel.
The Evening Bulletin, 75 cents per month.
TOM CHUNG KEE,
33 Nuuanu Street.
Dealer in Ladies' and Gentleman's Shoes.
Boots and Shoes to order. I use the best material. Goods warranted toward well.
NOTICE.
This is to inform the Planters that I have made connections with the JAPAN EMIGRATION CO. OF OSAKA, and that before becoming identified with it, I had the opportunity of investigating the status of several other companies. My choice is the one I now recommend, because of their standing in the business community and their reliability.
I am now in a position to supply LABORERS MONTHLY, if desired, on the following conditions:
1. Passage money for males, $30; for females, $25, and all expenses of quarantine and hospital fees.
2. Wages, $12.50 for males; $7.50 for females per month.
3. Contracts to be for three years.
4. I refund a pro-rata sum of money for any period of the contract which may elapse after the departure of the laborer.
We have connections with the JAPAN MAIL STEAMSHIP CO., calling here monthly, the TOYO and NAN YO MARU and another line similar to be established.
Following are the persons who represent the company:
GOZO TATENO, ex Minister to Washington.
HACHISABURO HAMANAKA, owner of TOYO and NAN YO MARU.
HAGIHATO HAMANAKA, owner of TOYO and SAN YO MARU.
SHIGICHI KAGAWA, President of the Twenty-second National Bank.
KAZUO SUZUKI, Manager of Nakanos Bank.
SEIBEI FUJIMOTO, Merchant of Japan.
YOSHIO SHIMANCHI, Merchant of banks and Newelang.
KUJIRU MATSUSHIMA, Mayor of Yodan in Ota Osaka.
We solicit your patronage. We guarantee to give an entire satisfaction, as we have the most experienced and reliable of laborers in Japan in our employ.
G. E. Boardman,
Foreign Agent for the Japan Emigration Company.
SANG YUEN KEE & CO.
Tin-smith,
Dealers in Tinware, etc., Piping Laid and Sheet Metal Work.
Orders solicited; charges very moderate.
No. 369 Nuuanu St., 4 floors above King St.
W. W. Ahana,
MERCHANT TAILOR
Suit to order. Fit Guaranteed. Fine Dutch suits, $5 up. Fine Toned Fours, $4.50 up. All suits, $10 up. All suits painted.
P. O. Box 144;
200 KING STREET,
C. T. AKANA
No. 324, Nuuanu street.
" MERCHANT TAILOR "
Fine Suits made to order at lowest prices
Clothes cleaned and repaired.
SHUN LOY,
203 Fort Street, Yoe Sing Tai Building.
Ladies Dress Maker.
Fine work a specialty. Also very fine suits and coats made to order. All work guaranteed.
417-8m
AHII,
MANUFACTURER : UPHOLSTERER ; AND : DEALER : IN
Furniture, Bedding, Etc., Etc.
Corner Hotel and Hollister.
No. 40, Nuuanu street.
Also on hand Coffins, Camper Trunks, Mattress, Wardrobe, Desk, Mattresses, etc.
Cash in hand accepted.
YEE SING TAI CO.,
Contractors, Builders, Furnishers, Dealers and Painters.
SATISFACTION GUARANTEED.
Fort Street, opposite Club Stables.
WING WO TAI & CO.,
Plumbers
All kinds of tinware, crockery, etc. at lowest prices.
124 Nuuanu street.
Telephone 147-8m
General :: Merchandise.
Fine Manila Cigars, Chinese and Japanese Cigarettes, Matches, Vases of all kinds, Cappagherns, Trays, Button Chairs, A fine Assortment of Dress Silks, Cashmere Shawls, etc., etc. Latest Toss of latest importation.
Fine Linen Fabrics by every steamer.
Mutual Tel.: 266 P. O. Box 158
L. AHLO,
No. 337, Nuuanu street.
Just received a new line of
DRY GOODS, LADIES AND GENTS SHOES and GENERAL MERCHANDISE.
Agent for the following rice plantations—Waipio, Waimea, Waimalu, Waiola, Koloa, and Kapalua.
My rice from Kanoehe is marked 1 and 2, and is the best in the market.
P. O. Box 114.
Telephone 194.
QUONG SAM KEE & CO.,
importers and Dealers in
General Merchandise,
165-ff Corner King and Maunakea Sts.
LEWERS & COOKE
A GREAT INVENTION
The Traveling Lawn Sprinkler
Move itself about your Lawn Travels in a straight line or a curve. Stops automatically. Set for any length of hose.
EAT No such sprinkler has ever been placed on the market before.
Come and See It.
LEWERS & COOKE,
473 Fort Street. Telephone 29.
Commissioner of Deeds
FOR THE
State of California.
Having been appointed by the Governor of California, Commissioner of Deeds for the State of California, I hereby certify that the above named person is duly qualified to act as Commissioner of Deeds for the State of California.
To take and certify the acknowledgment or proof of powers of attorney, mortgages, deeds of trust, grants, deeds or other instruments or record.
A. V. GEAR,
Telephone 256
210 King Street.
David Dayton,
Real Estate Broker.
200 Merchant Street.
FOR SALE AND TO LET.
House on School street, near bridge; convenient, 7 rooms.
House on Yonahala harbor, 2 bedrooms, kitchen, pantry, patent closet, etc.
Lot opposite Lunalilo Home; healthy and fine location.
Rooms; Property in all parts of the city.
Henry Davis,
220 Fort street, near Merchant.
Merchandise Broker,
Commission Agent,
Custom House Broker and Statistician
EXPERT ACCOUNTANT
General Business Agent
R. C. A. PETERSON,
Custom House Broker,
Notary :: Public,
General Business Agent.
Collections carefully attended to.
312 Fort street.
W. H. RICKARD,
General Business Agent
Will attend to Conveyancing in all its Branches, Collecting and all Business Matters of trust.
All Business entrusted to him will receive Prompt and Careful Attention. Office:
Honokaa, Hamakua, Hawaii.
A New Abstract Office.
As a result of 16 year's experience in the Abstract Business, I have prepared to make abstracts of Title in the most thorough, accurate and complete manner, and on short notice.
P. W. MAINEET,
In W. O. Smith's Office, 318 Fort Street.
HAWAIIAN Mercantile Agency
Difficult Collections a Specialty
I. C. ABLES,
Real Estate and General Business Agent
207 Merchant Street.
Telephone 139. Letter P. O. Box 356.
JAS. N. K. KEOLA,
TYPEWRITER, COFFEE, TRANSLATOR (English and Hawaiian) and COLLECTOR.
17 Office with J. Q. WOOD, 425-43
BY AUTHORITY.
PUBLIC LANDS NOTICE.
Sale of Leases of Government Lands.
On Wednesday, Dec. 23, 1896, at front entrances of Judah Building, Honolulu, at 12 o'clock noon, will be made the following Leases of Government Lands:
1st.—Government land in Kamehameha, Wailua, Hilo, Hawaii, lying between the main road and forest line, consisting of certain and particular land formerly leased to the Hawaiian Plantation Co. Area 435 acres more or less. Term 21 years. Upset rental $100. Payable semi-annually in advance.
The Government reserves the right to take at any time such reasonable notice and without prejudice, as may be necessary for improvements upon any portion of the above premises which may be required for construction of new roads or other public improvements, and is liable for such processions said roads or grass, as may be necessary for the construction or improvement of such roads.
2nd.—Portion of the Government land of Kauai, Kauai, being in the vicinity of the Government road to Ha'apai, and extending from the point of the road near the Kauai River to Waimea, containing an area of 432 acres more or less. Term 21 years. Lease of leases from November 13th, 1897. Upset rental $250. Payable semi-annually in advance.
3rd.—Portion of the Government land of Kauai, Kauai, being in the vicinity of the Government road to Ha'apai, and extending from the point of the road near the Kauai River to Waimea, containing an area of 432 acres more or less. Term 21 years. Lease of leases from November 13th, 1897. Upset rental $100. Payable semi-annually in advance.
4th.—The Government tract in Hamakua, Hawaii, lying between heads of Kaali and Kauai, and extending from the Government road to new settlement house, 30 acres more or less. Term 21 years. Lease of leases from November 13th, 1897. Upset rental $100. Payable semi-annually in advance.
5th.—Waters of Niihau Shrimp Ponds, Wai'alea, Kauai. Situate on the land of Kauai, Kauai, and extending from the Government road to new settlement house, 30 acres more or less. Term 21 years. Lease of leases from November 13th, 1897. Upset rental $100. Payable semi-annually in advance.
(Signed) J. F. BROWN,
Agent of Public Lands.
Dated November 25th, 1896.
406 H
Tenders Wanted.
Tenders will be received at the Attorney General's office, 12 o'clock noon on Monday, the 2d day of November, 1896, for furnishing the Oahu Prison for one year beginning on the first of the 1st day of December, with the following supplies at such times and in such quantities as may be required:
1st. Marshal or such other officer as the court directs, will make the requisitions, and all supplies will be subject to his inspection and approval.
The marshal will be required to furnish suitable bond for the faithful performance of his contract.
All tenders must be distinctly marked "Tenders for Supplies, Oahu Prison."
The Attorney General does not bind himself to accept the lowest or any bid.
W. O. SMITH,
Attorney General.
November's Monthly.
Editor H. M. Whitney of the Planters' Monthly had the misfortune to have had part of a sentence of his editorial omitted by the printer. The sentence complete is as follows:
The extraordinary increase in the sugar crop of Hawaii for 1896 affords an object lesson illustrating the value of intelligent, scientific supervision in every stage of the work from furnishing grain to the marketing of the golden product, that should convince every one who may have doubts that modern earth, when rightly sown, is not only in the direction of sugar but that of other products of the soil—is prepared to reward the husbandman by the intelligence and by his increased expenditure in her behalf, even beyond his most sanguine expectations.
Another curious typographical error represents President Searcy of the Hawaiian Planters' Association as calling Professor Koehale the "etymologist" to his country instead of the "etymologist" to Hawaii. This is a case of etymology going wild in one of its own derivatives. This number of the Monthly contains the full text of reports submitted to the Association, so far as they have been included even the exhaustive ones by Prof. Maxwell on the experiment station, on fortification and on manufacture. It is very entertaining to have them all together, but out so soon after the convention. For its information the November number is worth its weight in gold.
The United States, Canada and Hawaii all give public thanks to Providence tomorrow for national and individual blessings of 1996. There is no impressive fact to remind us of the change of heart to the Giver of life, happiness and light. With the divinist this is a duty, or rather a privilege, now every morning to thank the Father of heaven. The exercise of the nation's gratitude for happy conditions cannot be specifically exhibited from day to day, although it may and ought to be individually exemplified by all who are responsible for the welfare of the state—and this comprehends the whole body politic as well as the representative heads of government—by working in harmony with the principles of truth, justice and mercy which we are told come from both earth and sky to hold the perpetual reunion of joy and satisfaction of the human heart coming when they will form the universal constitution. It is good, however, for the nation to have one day in two for the Thanksgiving and the appropriate feast which every ear has called its annual increase for the subsistence of the people. New England has given this glad day to the whole English speaking Western hemisphere, and the American born, that cradle of New World civilization is entitled to the need of everlasting remembrance. The Government of Hawaii has done well in making the day its own, and in leaving it for an American colony to observe in honor of their beloved land. That object is not in their case detracted from, by making the festival one for all inhabitants of the fair isle. Hawaii has had an unusually prosperous and progressive year, one, too, remarkably free from national ills or even embarrassments. Let the people fashion, therefore, without respect to fate, race or creed, unite on the morrow in joyful rendering and exhibition of thanks to heaven for its abounding positive benefactions and its merciful exemptions from civil and disaster.
Timely Topics.
TELESCOPE COFFEE POTS, TEA STRAINERS AND OTHER USEFUL THINGS.
That's all we have to talk about. We have Sporting Shoes made by specialists; Dress Shoes, Slippers and Boots for Ladies and Gentlemen designed by artists. Shoes that fit make pretty feet, all we need care for is to keep at the head of the procession and thus we are doing most magnificently by selling as good shoes as any body else, and selling them for the most part at lower prices than the other fellows.
DIRECTIONS
The coffee used should be ground very fine and placed in the inner chamber. Pour boiling water over the coffee, cover and allow to remain on the stove six or seven minutes. When the coffee is made, raise the inner chamber and fasten with the set screw to strain. The clear amber coffee remains in the Coffee Pot ready to serve.
The inner chamber may be lifted out if desired.
POINTS OF EXCELLENCE
1. ECONOMY.—It is a coffee saver. In a short time it pays for itself.
2. By using finely ground coffee you are enabled to obtain every particle of strength contained in the coffee.
3. The cloth being stretched tightly across the bottom of the inner chamber to strain the coffee, making a large flat surface, the coffee is strained very readily.
4. The cloth used on the inner chamber being adjustable, it is easy to remove.
5. There is no place in the inner chamber, Coffee Pot or otherwise, to collect the sediment that may make the coffee muddy.
6. There is no reason why you should not make coffee exactly alike 365 mornings in the year, without the slightest variation.
7. The coffee will keep hot longer, because the Coffee Pot consists of two thicknesses instead of one.
8. You can make one cup of coffee as well and as satisfactorily as a pot full.
9. The inner chamber may be removed and washed, and the clear strained coffee may be saved for lunch.
10. By not subjecting the Coffee Pot to extreme heat it should last a lifetime.
We have these new coffee pots in one, two, three and four quart sizes and sell them at the San Francisco retail price. We have also a fine line of the old fashioned earthenware teapots and something new in the shape of improved tea strainers, which are both ornamental and cheap.
We have a full line of kitchen ware in tin and agate.
Guaranteed Watches From $3.00 Up.
All made to run, and run well.
THE Hawaiian Hardware Co. LIMITED,
Opposite Spreckels' Bank,
NO. 307 FORT STREET.
SATURDAYS . . . AND . . . SUNDAYS
Trains will leave at 9:15 a.m. and 1:45 p.m., arriving in Honolulu at 3:11 and 5:55 p.m.
ROUND TRIP TICKETS:
Pearl City...........$ 75 $ 20
Ewa Plantation....... 1 00 75
Waianae............. 1 50 1 25
Removal Notice.
Mr. J. YOSHITAKA,
Dealer in Cylindrical Novelties and Jewelry, has moved to No. 4 Hotel Street. 462 36
LOCAL AND GENERAL
Foot ball tomorrow.
See change in Dr. Mori's card.
Dr. Whitney and wife have returned from Hawaii.
Deputy Attorney General E. P. Dale has gone to Maui.
There will be no freight trains on the railroad tomorrow.
The Warrimoo did not get away until daylight this morning.
Senator H. B. Baker returned home from Christine last night.
Thanksgiving dinner and dance at the Hawaiian hotel this evening.
Hawaiian Lodge No. 21, F. and A. M., has a special meeting this evening.
Tomorrow being Thanksgiving Day no paper will be issued from this office.
Co. B and Co. H. are notified in drams paper to march for parade at 8 o'clock tomorrow morning.
Attention is called to the card of the Honolulu Sanitarium. It is a humane plea for public aid.
One important phase of the coffee question is exhibited in the Hawaiian Hardware Co.'s column.
Wall Nichole Co. will close their store Wednesday after Thanksgiving to arrange their holiday display.
Hawaiian Xmas cards for sending to friends abroad, may be gotten at King Bros. 110 Hotel street.
If you want a good Thanksgiving dinner, call at the Ailingaum tomorrow afternoon from 5:30 to 7:30.
J. F. Brown, Agent of Public Lands, advertises a sale of leases of Government lands on Wednesday, December 23.
Prof. Henchaw's platinotype are quite satisfactory to sell early and make your selections. Pacific Hardware Co.
The wife of Captain Simpson of the U. S. G. H. is quite sick at Keonah, and Captain Thompen brought the vessel down in his place.
A meeting of the Sunday School teachers of the Central Union church is called for this evening, after the regular prayer meeting services.
A memorial parade has been ordered for tomorrow morning at 8 o'clock. If the weather continues bad the order will probably be re-canceled.
The full choir will sing at the Thanksgiving service at 11 a.m. in the Central Union church tomorrow afternoon. Special music will be sung.
Don't FORGET—Ushers T. V. E. "The Very Fine" whiskey ever imported to the Islands is now on sale in the Royal Annex. It's Scotch and it's All A.
The Holborn Drug Company's premises are being painted electric blue throughout, the old wiring not being satisfactory to the insurance company.
The Board of Health will hold its usual weekly session this afternoon, when several matters concerning the house settlement will be brought up for action.
Thanksgiving services will be held in most of the churches tomorrow afternoon, in connection of the Christian church, joined with that of the Methodist.
Wilders' steamship Kinau is going to the Honolua railway yard, new plates inserted in place of ones damaged lately by turning bottom side out the water.
Antone Cropp of Koloa and George W. Farechild of Kealia, who came here to attend the meeting of the pleasure, returned to Kauai and the Iwaiwi last night.
Detective Kaapa has two natives here arrested in connection with stealing copper from the bulk bark Samatra. It is supposed they got away with and sold about 400 pounds.
Artist Fred Yates has presented the Pacific Club with a fine portrait of Dr. McKinley, one of the oldest paintings, which is on exhibition at the art rooms of the Pacific Hardware Company for a few days.
DRIFTED SNOW FLOUR
Makes Better Bread and Pastry than Any Other Known Brand.
4th Year Guaranteed.
UNION FEED CO., Sale Agents.
Board and room are wanted.
The Kinau brought no sugar.
Rev. L. Byrde of Kohala is in town.
J. W. Richard is over from Ha-makua.
Capt. R. Leuenberg has returned by the Kinau.
C. B. Dwight has returned from the other islands.
The Misses A. and M. Woods came up in the Kinau.
The new superintendent of the Kohala railroad, is in the city.
Manager C. McLeenan of Lanai-kaia, and wife came to town by the Kinau.
J. T. Waterhouse's grocery department will remain open tomorrow until 10 a.m.
Geo. H. Back of H. Hackfeld & Co., clerical staff, has returned from a trip to windward.
Retail merchants say consider able increase of trade has been noticed in the past two weeks.
There was a meeting of the Board of Trustees of the Honolulu Library Association last night.
The work of putting the cast iron roof over the new reservoir was commenced yesterday, Arthur W. Richardson, formerly of S. S. Richardson & Co., arrived from Hilo in the Kinau.
The Hawaiian band will play at the theatre building this afternoon, and tomorrow at the foot ball game.
Several members of the Frawley company were entertained at lunch on board the U. S. S. Adams today.
There are in all twenty-two cases before the Honolulu Tax Appeal Board, the overwhelming number of which is that of the Island Steamship Company.
W. H. Haskell has been appointed District Magistrate of Waialua. He is a lawyer who has served his country in the Legislature, and ought to make a good judge.
The Hawaiian Hardware Company has made an advance in this issue, in which attention is called to several highly useful and necessary articles for the kitchen.
Jaysaraya has received a large invoice of Cairo goods now on hand, jewelry, etc., for the Indian trade. Many handsome articles are on exhibition at his store No. 6 Hotel street.
City Carriage Co. J. S. Andrade, manager. If you want a hack with a clean and easily running top Telephone 112, corner of Fort and Merchant streets. Attack at all hours.
Send some of your Hawaiian to your friends at home via Xmas King Bros. have some dainty little packages as well as some postcards picturing our Island scenery which they are selling very reasonably.
According to a generally expressed wish and on account of the number of Thanksgiving dinners arranged for tomorrow, the management of the Frawley Company announce that the caterer will not rise above tomorrow's price of $1.50 and $3.00.
Quarantine officials are expecting the arrival of another Japanese steamer, with several hundred additional contract laborers on board about Friday or Saturday. The next regular steamer to bring immigrants will be the China, due on Saturday week.
Two prisoners were brought over by the Kinau this morning in charge of an officer. One was a native accused of attempting to resist an officer, and the other a Japanese woman who was sent up for six months and fined $100 for perjury. The first case has been appealed.
Wanted.
A Young Man wishes Board and Room for the winter. Address "Practical," Post Office.
ROMAN CATHOLIC CATHEDRAL
Thanksgiving Day.
At 9 o'clock a.m.—Special Service.
Mass and Te Deum.
Highest of all in Leavening Strength—Latest U. S. Govt Report.
Royal Baking Powder
ABSOLUTELY PURE
The "Best" Nusser.
Here is a nursing bottle that will prove a comfort to infants. It has points in its favor.
1. It has a valve or air inlet in the nipple, which admits as fast back of food, as fast as the baby can suck, and making it impossible for nipple to collapse, thus preventing wind colic.
2. The valve does not leak, and is easily adjusted, but cannot be pulled out by the baby.
3. Nursing is possible, as there are no nipples or corners in the bottle.
This nusser having an opening at each end, is easily and thoroughly cleaned, a point of the greatest importance.
Price, 25 cents, complete.
HOBRON DRUG CO., Agents.
ASHWORTH FOUND GUILTY.
Some Heavy Pines Imported for Fast Riding on the Street.
Judge de la Vergne accomplished another big morning's work in the District Court this morning. Joe Silva was fined $10 for assault and battery on Akau.
The embezzlement charge against Louis Rich was set for trial on the 30th, and five opium sellers were sentenced. John Kr Jr. and Brito, the two men who indulged in a race race off the boat at the Star of the Sea afternoon, pleaded guilty of burglary and were fined $35 and $25 respectively. John Kr Jr. and Brito is the Portuguese man who ran into Mrs. Hooper's carriage.
The police arrested a man charged with carrying a concealed weapon. Marshal Brown testified that he had been arrested at the bar on Saturday night for being present in a place where a gambling ring was operating. The man was found carrying a revolver and cartridges were found in his pocket when searched at the police station. In his own behalf the defendant produced a license from the Interior Office authorizing him to carry arms. The court took the matter under advisement.
Dr. Thomas Cooke gave his testimony in the Ashworth liquor case and the prosecution closed its case, introducing the evidence of spirits in evidence. The defense resumed its testimony for the right of the court. Judge de la Vergne pronounced the defendant guilty as charged and fined him $250, from which judgment and sentence were entered. The defendant, on time filed an appeal.
Of the two higher cases in which Biggs was the defendant were then taken up and finished. He was found guilty and fined $100 on the charge and dismissed on the other.
DR. C. A. PETTERSON
... REMOVED TO ...
No. 23 Emma Street,
Office Hours: 8 to 10 a.m., 2 to 4 and 7 to 8 p.m. Telephone 752. 467-2m.
Geo. H. Huddy,
D. D. S.,
DENTIST.
552 Fort Street. Hours from 9 a.m. to 4 p.m.
DR. BERT. F. BURGESS, Asapana street.
J. A. BUTTERFIELD,
Contractor & Builder
Estimates given. Repairs and alterations made. Work given prompt attention.
Telephone 851. 439-8m.
Attention, Company B.
ARMY COMPANY B, U. S. A.,
HONOLULU, November 25, 1896.
EVERY MEMBER OF THIS COMPANY is hereby ordered to report at the Drill Shed, TOMORROW MORNING, November 26, 1896, at 9 o'clock sharp, for Parade.
White Troopers, Light Troops and White Glories.
E. A. JACOBSON,
Lieutenant Commanding.
Attention, Company H.
ARMY COMPANY H, U. S. A.,
HONOLULU, November 25, 1896.
EVERY MEMBER OF THIS COMPANY is hereby ordered to report at the Drill Shed, TOMORROW MORNING, November 26, 1896, at 9 o'clock sharp, for Parade.
White Troopers, Light Troops and White Glories.
E. B. MURRAY,
Captain Commanding.
N. FERNANDEZ.
NOTARY PUBLIC AND TYPEWRITER
Office: 268 Merchant street, Campbell Block (next of J. O. Carter College), P. O. Box 356.
Evening Bulletin 75c per month, 466-5t
SPECIAL ATTENTION
THIS WEEK
AT
N. S. SACHS'
530 Fort Street.
A Big Bargain in Silks!
Pure Silks in All Shades and Colors, suitable for Dress Wear or Fancy Work.
FOR 85 CENTS A YARD.
Positively For One Week
in the
Millinery Department.
For this Week Solid Silver Hat Pins Will Be Given Away.
EX MONOWAI
FOR
Thanksgiving!
Refrigerated Turkeys, Tame Geese, Teal, Mallard and Spring Ducks, Chickens, Loins and Ribs of Pork, Pork Tenderloins and Spareribs.
Metropolitan Meat Co.
Thanksgiving Day.
MINCE PIES, CRANBERRY PIES, Apple Pies, Ice Cream (all flavors), Fruit Sherbets and Home-Made Brown Bread.
Horn's Bakery.
TELEPHONE 74.
Thanksgiving.
MINCE PIES, CRANBERRY PIES.
Love's Bakery.
Leave Your Orders Early TELEPHONE 282.
Notice to Intending Purchasers.
As Assignee of the Estate of H. F. Moore, bankrupt, I am ready for negotiations for the sale of his real estate, situated at Kapahulu [Pandanus Park], Waikiki, Map number 1, and the terms and particulars learned by calling on me at my residence at the above address.
JOHN F. COLQUHOUN
Honolulu, Nov. 6, 1896. 453-ff
Meeting Notice.
The Annual Meeting of the Honolulu Library and Reading Room Association will be held in the Library Hall at the beginning of Friday, Nov. 27th, at 7:30 o'clock, and all interested parties are invited to attend the important business.
H. A. PARMELEE,
Secretary.
HOW TO CURE SEASICKNESS.
This Unpleasant Feeling is of an Green Variety, and is caused by the Sea Sickness.
The most American remedy is called "prominization." This is a continuing, not a theory. Bromidization must be begun several days before sailing, continued for three days after leaving port through the voyage. In this case it does not with any weakness.
Treatment of sodium is preferred for the purpose to bromide of potassium, because the latter is more easily and more acceptable to the stomach. A reliable physician who has tried the bromide treatment in his practice for many years, asserts that the quantity necessary to ward off an attack of seasickness is two drachms daily.
Few adults will experience the slightest trouble from taking a 50 grain dose of the bromide of sodium three times a day.
The symptoms of bromidization, when taken in sufficient quantities to prevent seasickness, are dizziness, headache and a heaviness of the limbs. The drowsy feeling of sleepiness, when the mind becomes intoxicated, and the heaviness of the limbs is merely a slight sensation of stuffiness if the patient should rise abruptly from a sitting or reclining position. It is pleasant to know also that this treatment does not interfere with the subject's relief for food.
Seasickness does not arise primarily from intoxication. The nausea, vomiting and depression upon a functional derangement of the nervous system, and upon this theory is based the use of the bromides. Any method that will secure abatement of seasickness, render it amenable and unsensitizing to slight doses of alcohol, is a rational method for preventing seasickness. If the bromide of sodium is taken regularly, in time and in sufficient quantities, nearly every instance the voyager will be exempt from sickness, but the prospective sufferer should be careful to consult a physician as to the proportions to be taken in his or her individual case.
A Mistaken Idea.
SHOCKING!
Frank Lillis' ALL NIGHT Hack No. 14
Telephone 176
Stand: Bethel and King streets.
Fashion Stables Co., Ltd.
HONOLULU, B. I.
SULLIVAN & BUCKLEY, Managrs.
FINEST EQUIPPED CARRIAGES IN THE CITY, WITH COMPETENT AND CAREFUL DRIVERS.
Stand at the Pantheon Stables,
Corner of Fort and Hotel Streets.
Telephone: Haw. & Pacific Stables, 32; Fashion Stables, 148.
AMERICAN LIVERY AND BOARDING STABLES.
Corner Merchant and Richards Sts.
LIVERY AND BOARDING STABLES.
25th Carriages, Surplus Horses at all hours.
Telephone 98.
CLUB STABLES,
Fort Street. - Tel. 477
BOARDING, SALE AND LIVERY.
BREAKING HORSES TO HARNESS AND SADDLE.
WE HAVE THE FINEST DRIVING HORSES IN HONOLULU.
The best of attention given to animals left with us. Careful drivers, responsible attendants, Jacks, Barrels, Brushes, Buggies, Phantoms, Wagons, etc.
Dr. W. L. Moore
Physician and Surgeon.
Hilo, Hawaii.
Special attention given to diseases of the eye and ear.
Office hours 9 to 12 am. 2 to 4 pm.
Wahamene Ave. near Court House, 68-8.
Dr. Sloggett
Physician and Surgeon.
Residence next to H. W. Schmidt, Esq., Beehive street.
Specialty: Diseases of Eye, Ear, Nose and Throat.
731-3m.
I. MORI, M. D.
Office: Corner Fort and Kukui sts.
Residence, Arlington Hotel.
Hours: 7 to 8:30 am; 4 to 8:30 p.m., Saturday and Sunday, 1 to 3 p.m. Tel. 536.
A. C. WALL, D. D. S.
DENTIST.
Hotel Street, Arlington Cottage.
TELEPHONE 434.
GEORGE A. DAVIS
ATTORNEY AT LAW,
Honolulu, B. I.
Office: 141 Merchant street.
GILBERT F. LITTLE,
ATTORNEY AT LAW
HILO, HAWAII.
A. V. GEAR.
Notary Public
Telephone 298. No. 210 King St.
My Back does not tip in this manner, no matter how weighty the load.
CRITERION Shaving Parlors
Fort St. Opp. Pantleone Stables.
PACHO & FERNANDEZ - PROP.
A Delicate Touch! Latest Styles! Artistic Hair Cutting! Comfortable Chairs!
We employ none but the best-experienced Toilers. The most Luxuriously appointed Shop in the Islands.
VETERENO CARREIRO,
Hotel Street Shaving Parlor.
Three Chairs. First-class Work. Clippers and Razors 15 cts. Hair Cutting, 10 cts. Shaving, 10 cts. Hotel street opposite Hotel, 45c-6m.
CENTRAL Kona Sanatorium.
Situated on a Beautiful Hillside Overlooking the Pacific Ocean, 500 feet above sea level.
Only 24 hours sail from Honolulu. Complete Diet. Special care given from fish and melons, especial provision for invalids. Pleasant surroundings for new and outdoor life. Rates $2 per day and up. Medical attendance extra.
Address: DR. H. A. LINDELY, Pahoa, Hawaii.
WHAT IS THIS?
It is GOING UP IN SMOKE!!
Havana or Manila?
HOLLISTER & CO.,
Corner Fort and Merchant Sts.
J. S. WALKER,
General Agent for the Hawaiian Islands
ROYAL INSURANCE COMPANY, LIVERPOOL.
ALLIANCE ASSURANCE COMPANY OF LONDON.
ALLIANCE MARINE & GEN. ASSURANCE CO. OF LONDON.
SCOTTISH UNION AND NATIONAL INSURANCE CO.
WILHELMIA OF MAGDEBURG GENERAL INSURANCE CO.
SUN LIFE INS. CO. OF CANADA.
LIFE, FIRE AND MARINE RISKS.
TAKEN AT REASONABLE RATES.
Rooms 12
SPRECKELS BLOCK
Honolulu, B. I.
BULLETIN, 75c. PER MONTH
A Pastor's Story.
Rev. Mr. Williams Could Not Keep House Without Paine's Celery Compound.
His Wife Strongly Recommends It to Cure Sick Headache.
REV. W. L. WILLIAMS.
409 MASON AVENUE,
CANON CITY, CO., Jan. 13, 1894.
WELLS, RICHARDSON & CO.
Dear Sirs:—We use Paine's Celery Compound in our family and could not keep house without it. Mrs. Williams thinks there is nothing equals Paine's Celery Compound to cure nervous headaches and the like. Success to you in every way.
Respectfully,
Pastor of Cumberland Presbyterian Church.
HOLLISTER DRUG CO.,
Wholesale Agents for the Hawaiian Islands.
E. W. Jordan's
No. 10 Store,
FORT STREET.
JUST RECEIVED
Rugs! Rugs! Rugs!
Velvet Pile, Moquette, Wilton, Dagheian, Brussels.
Sofa Rugs! Floor Rugs!
Mats! Mats!
Tapestry and Carpets, Stair Carpets, Hall Carpets, Crumb Cloths and Druggets.
All Just Received at
JORDAN'S
H. W. Schmidt & Sons
The largest assortment of Ladies' White Linen Embroidered.
The largest and best assortment we have ever shown.
LACES . . .
White and Butter Valenciennes Laces with insertions to match.
Real Maltese Lace with insertions to match.
A Full Stock of
P. D. Corsets!
MULLS
White, Colored and Cream Mulls. Something New!
DENIMS
Plain and Figured all Colors.
"Full assortment of Stamped Goods for embroidery."
RUGS!
Large and varied stock of European and Japanese Rugs. Stair and Carriage Carpets. All sizes and shades.
XMAS TOYS . . .
Rocking horse, swinging horses, police patrol wagons, gig rockers, duxton, shoe fly velocipede, push carts, doll carriages, wagons, white parrot, stick horse, expert sets, all kinds of sewing, simple school drill guns, magic lanterns, a complete assortment of games, mechanical toys, Christmas tree ornaments of all kinds, coniesques and bon-bons.
Dolls! Dolls! Dolls!
Small toys of every kind.
LEATHER GOODS . . .
Ladies' purses, sterling silver mounts, ladies' morocco calf handkerchief bags, ladies' handskin and silk Dorothy bags.
TRIPLE MIRRORS
E. W. Jordan's
No. 10 Store,
FORT STREET.
Subscribers for the Evening Bulletin, 75 cents per month.
Canadian-Australian Steamship Line
Steamers of the above Line running in connection with the CANADIAN PACIFIC RAILWAY Between Vancouver, B. C., and Sydney, N. S. W., and calling at Victoria, B. C., Honolulu and Suva (Fiji).
ARE DUE AT HONOLULU
On or about the dates below stated, viz:
From Sydney and Suva, for Victoria and Vancouver, B. C., to
Star "WILDEMOOR" . . . December 24
Star "WALHIMO" . . . January 3
Star "WILDERMOOR" . . . February 16
Star "WILDEMOOR" . . . March 24
Through Tickets issued from Honolulu to Canada, United States and Europe.
Freight and Passenger Agents:
D. McNeely, Montreal, Canada.
Royal King, Vancouver, Canada.
M. M. Stevens, San Francisco, Cal.
G. Mcll. Brown, Vancouver, B. C.
Agents for the Hawaiian Islands.
Oceanic Steamship Co.
Australian Mail Service.
For San Francisco:
The New and Fine All Steel Steamship "Mariposa."
Of the Oceanic Steamship Company will be due at Honolulu from Sydney and Auckland on or about
Dec. 10, 1896,
And will leave for the above port with Freight and Passengers on or about that date.
For Sydney and Auckland:
The New and Fine All Steel Steamship "Alameda"
Of the Oceanic Steamship Company will be due at Honolulu from San Francisco on or about
Dec. 17, 1896,
And will have prompt despatch with Freight and Passengers for the above ports.
The undersigned are now prepared
Through Tickets to All Points in the United States.
For further particulars regarding Freight or Passage apply to
WM. G. IRWIN & CO., Ltd.,
General Agents.
Wilder's Steamship Co.'s TIME TABLE
C. L. WIGHT, S. B. ROSE, Sea Capt. J. A. LINCOLN, Eng.
Stmr. KINAU, CLARKE, Commander,
Will leave Honolulu at 10 p.m. on reaching at Lahaina, Molokai, Lanai, and Mauna the same day; Makahiki, Kawailua and Lanai the same day, arriving at Hilo the same evening.
Leaves Honolulu . . . Arrives Honolulu
Tuesday . . . Dec. 10 Tuesday . . . Dec. 8
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Will call at Pololuki, Puna.
Leaves Kaupo, Pauoa, will be received after 12 noon on any day of sailing.
Stmr. CLAUDINE, CAMERON, Commander,
Will leave Honolulu Tuesday at 8 p.m., and will call at Lanai, Kahoolawe, Lanai and Kipukai, Maui. Returning arrives at Honolulu the same day.
Will call at Niu, Kauao, on second trip of the day.
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Passengers are required to purchase tickets before embarking. Those failing to do so will be charged an additional charge of twenty-five per cent.
COAL
For Family Use!
Just Received, ex. "G. C. Funk" s cargo of Wellington, Departure Bay, Coal which is offered in quantities to suit.
2240 lbs. to the Ton. DELIVERY FREE.
WILDER & CO., LTD.
301 & 303 Fort street.
A Good Thing
Ohio, Algebra and Pine Firewood Cut and Split (cut for the Stove).
Also,
STOVE, STEAM & BLACKSMITH COAL WHITE AND BLACK SAND At Lowest Fri. - 50c delivered to any part of the City.
TELEPHONE 414
HUSTACE & CO.
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Hawaiian Fertilizing COMPANY Is prepared to furnish 4000 Tons Cane Fertilizer To order for 1896.
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Offered subject to a future delivery.
A. F. COOKE, Manager. |
NMR Studies of Ni-binding Luteinizing Hormone Releasing Hormone
Jin Kim and Hoshik Won*
*Department of Applied Chemistry, Hanyang University, Sa3-Dong 1271, Ansan, Kyunggi-Do, Korea
Abstract: Luteinizing Hormone Releasing Hormone (LHRH) is composed of 10 amino acids, and is best known as a neurotransmitter. Because of the 80% homology in animals, much more concerns have focused on the substances that have similar functions or can control LHRH. Ni,Cu-LHRH complexes were synthesized. The degree of complexation was monitored by $^1$H, $^{13}$C-NMR chemical shifts, and final products were identified by ESI-Mass spectrum. Solution-state structure determination of Ni-LHRH complex was accomplished by using NMR results and NMR-based distance geometry (DG). Interproton distances from nuclear Overhauser effect spectroscopy (NOESY) were utilized for the molecular structure determination. Results were compared with previous structures obtained from energy minimization and other spectroscopic methods. Structure obtained in this study has a cyclic conformation which is similar to that of energy minimized, and exhibits a specific $\alpha$-helical turn with residue numbers (2–7) out of 10 amino acids. Comparison of chemical shifts and EPR studies of Ni,Cu-LHRH complexes exhibit that Ni-LHRH complex has same binding sites with the 4-coordination mode as in Zn-LHRH complex.
Keywords: NMR, EPR, Ni- LHRH Complex, Solution state structure
INTRODUCTION
Luteinizing hormone-releasing hormone (LHRH, or GnRH = gonadotropin-releasing hormone, MW=1,182) is a decapeptide endocrine biomolecule which regulates the secretion of gonadotrophins, luteinizing hormone (LH), and the follicle stimulating hormone (FSH). The LHRH, best known as a main neurotransmitter, has following amino acid sequence pGlu[1]-His[2]-Trp[3]-Ser[4]-Tyr[5]-Gly[6]-Leu[7]-Arg[8]-Pro[9]-Gly[10]-
* To whom correspondence should be addressed. E-mail: email@example.com
NH$_2$. The synthesis and release of this peptide is regulated by the central nervous system and subject to environmental influences such as age, light, olfactory stimuli, and sexual stimulation$^{1-3}$.
Although numerous LHRH analogs have been synthesized and structurally characterized, relatively little is known about the processes by which the LHRH receptor is activated during the hormone action$^{4-13}$. For agonist and antagonist synthesis, the substitution with L-amino acids on the position of Gly[6] decreases activities, whereas the substitution with D-amino acids (D-Ala, D-Val) increases the activity much more than that of native LHRH$^{14-16}$. The properties of dimeric analogs (D-Gly10-[D-Lys6]GnRH-NH$_2$) indicate that the LHRH receptor is more readily activated by a bivalent ligands. Several antagonists were synthesized by using solid phase peptide synthetic method to test receptor binding on the basis of some cyclic peptide analogs of LHRH. The most potent cyclic peptide antagonist analog is known as Ac-D-Phe(p-Cl)-D-Trp-Ser-Glu-D-Arg -Leu-Lys-Pro-D-ala-NH$_2$. Energy minimization methods and molecular dynamic studies$^{18-20}$ show that this cyclic antagonist analog has a modified $\beta$-bend between residue position [5] and [8].
Since Burrows$^{21}$ showed that the chelated copper is a highly potent and possibly endogenous agent which includes the release of LHRH from its neurosecretory cells in the hypothalamus, the metal-binding effect of LHRH has been reevaluated in physiological pathway because of their structurally unique function. The copper, chelated to putative circulating chelators, markedly stimulates LHRH release. Focusing on the stimuli of metal chelator and on the release of LHRH from the hypothalamus into the portal blood, there have been many papers published to discuss various aspects of conformational dynamics and metal binding effects of LHRH. Although lot of LHRH analogs have been synthesized and theoretically studied, detailed mechanistic roles and functions are not known for the free LHRH and metal-binding complexes of LHRH.
Although dose-response experiments (physiological test) provide information on the efficiency of LHRH analogs, it does not give any detailed structural features, including a mechanism of LHRH releasing and the coordination chemistry of metal-binding LHRH which may provide important features of therapeutic agents. The purpose of this paper is to understand the transition metal-dependent regulation of LHRH releasing from hyperthalamus as well as the coordination chemistry of metal-binding LHRH (or affinities
of metal chelators to LHRH) in stimulated LHRH releasing process. Structural characterization by using NMR and NMR-based Distance Geometry (DG) were carried out to obtain further insights of the stimulated LHRH releasing process.
**EXPERIMENTALS**
**Reagent**
Neurohormone LHRH(purity 99%) were purchased from Sigma, and atomic absorption standard solution of metal ions including NiCl$_2$, CuCl$_2$ were purchased from Aldrich. LHRH was dissolved in demineralized HPLC grade pure water (pH 5.3), and subsequently standard metal ion were added for complexation. During the complexation, the pH of each sample adjusted to pH 6.5 ~6.8 by titration of 0.001M NaOH and HCl pertinently. The degree of complexation was monitored by NMR chemical shift change, and the final mass of each complex was identified with ESI-Mass. After drying this solution by freeze dryer, sample was solved in D$_2$O/H$_2$O solvent for NMR experiments.
**NMR Experiments**
NMR sample was prepared by dissolving 10 mg of synthetic peptide into 500 mL of D$_2$O and H$_2$O. All NMR data were collected on Varian 500 MHz and 300 MHz system at 25 °C by using homonuclear and heteronuclear correlation experiments including correlation spectroscopy (COSY), total correlation spectroscopy (TOCSY), nuclear Overhauser effect spectroscopy (NOESY), HMQC, and HMBC techniques. COSY: 2x256x1024 raw data matrix size; 16 scans per t1 increment; 1.5 s repetition delay; 6 Hz Gaussian and 90° shifted squared sine bell filtering in the t2 and t1 domains, respectively. TOCSY: 2x256x1024 raw data matrix size; 32 scans per t1 increment; 1.5 s repetition delay; 65 ms MLEV-16 continuous wave spin lock period; 6.25 kHz spin lock field strength, corresponding to 42µs 90° pulse width; 6 Hz Gaussian and 90° shifted squared sine bell filtering in the t2 and t1 domains, respectively. NOESY: 2x256x1024 raw data matrix size; 64 scans per t1 increment; 2.8 s repetition delay period; 10, 50, 100, 300, 500 ms mixing period for nuclear Overhauser effect (NOE) buildup profile; 6 Hz Gaussian and 90° shifted
squared sine bell filtering in the t2 and t1 domains, respectively. HMQC: 2x128x1024 raw data matrix size; 128 scans per t1 increment; 1.2 s repetition delay; 33 μs $90^\circ$ $^{13}$C pulse widths; 16W RF broad band Walts-16 $^{13}$C decoupling during acquisition period; 3.5 ms defocusing and refocusing delay periods; 800ms "Weft" period; 6Hz Gaussian and $90^\circ$ shifted squared sine bell filtering in the t2 and t1 domains, respectively. HMBC: 2x128x1024 raw data matrix size; 512 scans per t1 increment; 2.0 s repetition delay period; 33 μs $90^\circ$ $^{13}$C pulse widths; 3.5 ms delay period for suppression of one-bond signals; 40 ms delay periods for long-range coupling; $15^\circ$ shifted sine-bell filtering in the t2 domain, and no filtering in the t1 domain.
**NMR Signal Assignment and Structure Determination**
Complete $^1$H-NMR signal assignments of metal free LHRH and Ni-binding LHRH were accomplished by 2D COSY, TOCSY, NOESY experiments $^{22-23}$. The degree of zinc complexation was made by micro titration. Spectral comparisons were made for the spectral region of alpha proton and NH proton. The changes of chemical shift provide the possible metal binding site and structural information (Fig. 1 and Fig. 2). $^1$H-NMR signal assignments were made by determining scalar connectivities within amino acid residues from COSY spectrum and then correlating the signals of adjacent residues on the basis of dipolar connectivities obtained from 2D NOESY data.(Table 1)
Fig. 1. The spectral region of alpha protons of peptide bonds and aromatic protons are shown for LHRH and Ni-binding LHRH
Fig. 2. The spectral region of NH protons of peptide bonds and aromatic protons are shown for LHRH and Ni-binding LHRH
Table 1. Important NOE connectivities used for the structure determination of Ni-binding LHRH.*
| H Signals | Chemical Shift (ppm) | NOE Connectivities |
|-----------|----------------------|--------------------|
| W(NH) | 8.12 | Wa(s), Wβ(vw) |
| G10(NH) | 8.30 | Pa(s), G10a(s) |
| G6(NH) | 8.21 | G6a(s), Yβ(w) |
| R(NH) | 8.20 | Ra(s), Rβ(m), Lβ(m), La(s) |
| H(NH) | 8.03 | Wa(w), Ha(s), Ea(w), Wβ(w), Hβ(w) |
| Y(NH) | 7.09 | Wa(m) |
| S(NH) | 8.42 | Wa(w), Ya(m), Sa(s), G6a(vw), Tβ(m) |
| L(NH) | 7.82 | La(m), G6a(s), Lβr(s), Lβs(m), G6(NH)(m) |
| E(NH) | 7.75 | Ea(m) |
| W4 | 7.57 | Wa(w), Wβ(w) |
| W7 | 7.57 | Wa(w), Wβ(w) |
| W6 | 7.14 | Wa(w), Wβ(w) |
| Y2 | 7.03 | Ya(w), Yβ(m), Y3(s)|
| Y6 | 7.03 | Ya(w), Yβ(m), Y5(s)|
| H4 | 6.83 | Hβ(w), Ha(vw) |
| La | 4.35 | Lβ (m) |
| Y2,6 | 7.02 | W2,5(m), Y3.5(s), W(NH,ring)(m) |
| W2,5 | 7.04 | W(NH,ring)(w), W4,7(s) |
| H(NH,ring)| 10.9 | W(NH,ring)(m), G10(NH₂)(m), W6(s), W(NH)(vw) |
*NOEs are classified into strong(s), medium(m), weak(w), very weak(vw) based on intensity. Prochiral assignment were used for methylene proton as r and s, respectively. Positions of each proton are labeled with Ca (a) and Cβ(β) and numbering scheme for functional group.
Molecular geometry associated with electronic structures of Ni,Cu-LHRH complexes exhibiting paramagnetic properties gave rise to signal broadening and change of chemical shifts near binding sites. X-band EPR spectrum of Ni,Cu-LHRH complexes exhibit that complexes have same binding sites with the 4-coordination as in Zn-LHRH complex. The EPR spectrum of Ni,Cu-LHRH with $g_{\parallel} = 2.207$, $g_{\perp} = 2.067$, $a_{\parallel} = 192.383$ are shown in Fig. 3.
Fig. 3. EPR studies of Ni,Cu-LHRH complexes exhibit that they have same binding sites with the 4-coordination Zn-LHRH complex. X-band EPER spectrum of Ni,Cu-LHRH complexes with $g_{\parallel} = 2.207$, $g_{\perp} = 2.067$, $a_{\parallel} = 192.383$ values were observed.
Structure determinations were carried out using HYGEOM™, HYNMR™. In structural interpretations with distance geometry the experimental NOE constraints are best interpreted as a range of equally probable values for the distances in question. NOE restraints were divided into cross peaks classified as strong, medium, weak and very weak. The ranges of NOE restraints were assigned with 2.0-2.9(strong peaks), 2.0-3.5(medium
peaks), 3.5-4.5(weak peaks), 3.5-5.0(very weak peaks). Standard pseudo atom corrections were applied to the NOE restraints. Distance geometry (DG) structures were generated and refined by using primary restraints. Trial distances generated by selecting random distances between the upper and lower bounds of each element were embedded (Fig. 4). These DG structures were then subjected to conjugate gradient minimization (CGM), affording new structures with penalties in the range of ca. $0.8-2.0\text{Å}^2$. When additional CGM was unable to further reduce the penalty for a particular structure.
**Fig. 4.** Flow diagram used for the NMR-based distance geometry computation
2D NOESY back calculations were performed, and new distance restraints dictated by discrepancies between the experimental and back-calculated spectra were added to the
experimental restraint list. Freshly embedded DG structures minimized with the modified restraints list generally exhibited penalty values lower than those of the previously refined structures and the new DG structures generally gave back-calculated NOESY spectra that were more consistent with experimental data. This cycle of (1) random embedding, (2) minimal simulated annealing and CGM, (3) back calculation and (4) restraints modification was repeated iteratively until structures consistent with the experimental data could be obtained.
The structure was calculated using the DG algorithm HYGEOM™, and 30 separate structures were generated using all constrains and random input. No further refinement by energy minimization was carried out on the output of the DG calculations. RMSD (root-mean-square distances) deviations between the NMR structures were 0.65 Å for the backbone. Back-calculation was made by using GNOE calculation in order to generate the theoretical NOEs. A consecutive serial files, obtained from GNOE calculation were incorporated into HYNMR™ to generate NOE back-calculation spectra which can be directly compared with experimental NOESY spectra. The resultant solution state structures of zinc-binding LHRH were determined and shown in Fig. 5.
Fig. 5. Superimposed 30 restrained molecular dynamics structures of Ni-LHRH with 0.65 Å of root mean square deviation about backbone atoms.
CONCLUSIONS
Complete $^1$H-NMR signal assignments were accomplished by utilizing 2D NMR techniques. NMR-based DG computation enabled us to determine the solution state structure of zinc binding LHRH. The final 30 structures of LHRH having 0.19-0.28 Å$^2$ of penalty value, and 0.2-0.3 Å of root mean square deviations were obtained. Nickel binding sites of LHRH are imidazole nitrogen of His[2], oxygen in peptide bond between His[2] and trp[3], and terminal NH$_2$ of Arg[8]. Refined structure of Ni-LHRH having 0.18-0.31 Å$^2$ of penalty value were obtained. The backbone shape of metal complex resemble free LHRH's, like cyclic form. So far metal-LHRH studies should be focused on understanding the nature of metal-LHRH (Ni,Cu,Zn-LHRH) which may provide insight into the specific biological meanings of these transition metals. Further objectives are to establish the structural features (or coordination geometry) of the stimulated LHRH-releasing process.
Acknowledgement
Financial support from Hanyang University to H.Won is greatly acknowledged.
REFERENCES
1. Matsuo, H., Baba, Y., Nair, R. M. G., Schally, A. V., *Biochem. Biophys. Res. Commun.* **43**, 1334-1339 (1971)
2. Baba, Y., Matsuo, H., Schally, A. V., *Biochem. Biophys. Res. Commun.*, **44**, 459-463 (1971)
3. Schally, A. V., Arimura, A., Carter, W. H., Redding, T. W., Geiger, R., Kraig, W., Wissman, H., Jaeger, G., Sandow, J., *Biochem. Biophys. Res. Commun.*, **48**, 366-375 (1972)
4. Hehrman, H. R., Aten, R. F., Marcolin, Y., *Can. J. Physiol. Pharmacol.*, **67**, 954-956 (1989)
5. Hsueh, A. J., Jones, P. B. C., *Endocrine. Reviews*, **2**, 437-461 (1981)
6. Smith, R. A., Branca, A. A., Reichert Jr., L. E., *J. Biol. Chem.*, **260**, 14297-14303 (1985)
7. Ascoli, M., Segaloff, D. L., *Endocrin. Reviews.*, **11**, 27-44 (1989)
8. Shin, J., Ji, T. H., *J. Biol. Chem.*, **260**, 12828-12831 (1985)
9. van Ginkel, K. A., Loeber, J. G., *Acta Endocrinologica*, **121**, 73-82 (1989)
10. Hooper, N. M., Kenny, A. J., Turner, A. J., *Biochem. J.*, **231**, 357-361 (1985)
11. Hooper, N. M., Turner, A. J., *Bichem. J.*, **241**, 625-633 (1987)
12. Turner, A. J., *Neuropeptides and Their Peptidases*, 165-198, VCH, New York (1987)
13. Carnone, F. A., Stetler-Stevenson, M. A., May, V., Labarbera, A., Flouret, G., *Am. J. Physiol.*, **253**, E317-E321 (1987)
14. Coy, D. H., Coy, E. J., Schally, A. V., Vilchez-Martinez, J., Hirotsu, Y., Arimura, A., *Biochem. Biophys. Res. Commun.*, **57**, 335-340 (1974)
15. Monoahan, M. W., Amoss, M. S., Anderson, H. A., Vale, W., *Biochemistry*, **12**, 4616-4620 (1973)
16. Coy, D. H., Coy, E. J., Schally, A. V., *J Med. Chem.*, **16**, 1140-1143 (1973)
17. Kitajima, Y., Catt, K. J., Chen, H., *Biochem. Biophys. Res. Comm.*, **159**, 893-898 (1989)
18. Paul, P. K. C., Dauber-Osguthrope, P., Campbell, M. M., Osguthrope, D. J., *Biochem. Biophys. Res. Comm.*, **165**, 1051-1058 (1989)
19. Dutta, A. S., Gormley, J. J., McLaclan, P. F., Woodburn, J. R., *Biochem. Biophys. Res. Comm*, **159**, 1114-1120 (1989)
20. Momany, F. A., *J. Med. Chem.*, **21**, 63-68 (1978)
21. Burrows, G. H., Barnea, A., *Endocrinology*, **110**, 1456-1458 (1982)
22. Won, H.; Olson, K. D.; Wolfe, R. S.; Summers, M. F. *J. Am. Chem. Soc.*, **112**, 2178-2184 (1990)
23. Won, H.; Olson, K. D.; Hare, D. R.; Wolfe, R. S.; Kratky, C.; Summers, M. F. *J. Am. Chem. Soc.*, **114**, 6880-6887 (1992)
24. D. Kim, J. Rho, H. Won, *J. Kor. Mag. Reson. Soc.*, **3**, 44-51 (1999) |
The TOWER
Digitized by the Internet Archive in 2016 with funding from North Carolina Digital Heritage Center
https://archive.org/details/tower19521952hild
SCHOOL
SCHOOL
BURKE COUNTY PUBLIC LIBRARY
Printed and Bound in the U. S. A. by
SCHOOL PRINTING SERVICE
CHARLOTTE, N. C.
WE ARE HAPPY...
TO PRESENT
The 1952 Tower
Jimmie Hart, Business Manager; Conrad Brittain, Publicity Manager; Dean Jones, Sales Manager; Mr. Harold Perry, a local merchant.
Standing: Miss Elizabeth Greeson, Advisor; Dean Paige, Art Editor; Piesena Zimmerman, Literary Editor; Edna Young, Class Editor. Seated: Betty Jo Stine, Art Editor; Margaret Brittain, Assistant Editor; Eleanor Williams, Editor-in-Chief; and Jimmie Burns, Sports Editor.
Mrs. Dell B. Wilson
It is with extreme pride and sincerity that we pay tribute to a woman who heard and heeded the plea, "We need you".
With sincere appreciation for the devotion of her time and efforts to help students, we humble dedicate *The 1952 Tower* to MRS. DELL B. WILSON. Her sympathetic understanding of the students' minds and souls has won our admiration; her guidance has won our respect.
Through her, our steps cease to falter, and our spirits lift high to meet the future.
Miss Elizabeth Greeson
To our devoted friend and advisor, MISS ELIZABETH GREESON, we dedicate *The 1952 Tower*.
Her ever present willingness and untiring effort to help us during our high school days will be remembered always.
We, the Seniors of 1952, think it only fitting and proper to dedicate this book to Miss Greeson.
Mr. V. M. McNeely
Principal
Mr. John A. Scott
English
Commercial
Miss Elizabeth Greeson
English
Guidance, Library
Mrs. Kathryn Lackey
Science
Mr. W. E. Hollar
Mathematics
Mrs. Lowaine Wilson
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Mr. R. A. Parham
Vocational Agriculture
Mrs. Dell B. Wilson
Guidance Counselor
Mr. Edison Day
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Mrs. Helen Foreman
English (no picture)
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Mr. Paul F. Logan
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ELEMENTARY FACULTY
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Mr. Fred Carlisle
SEENYERL
FOREST H. BERRY, JR.
President
"Junior"
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MARGARET MARIE BRITTAINE
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MINNIE PEARL HUFFMAN
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CHARLES LAWRENCE RHONEY
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"Fotchie"
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ROY AMOS LINGERFELT
"Goober"
FFA Club 3, 4.
GERALD SPENCER LOCKEE
"Buzz"
FFA Club 2, 3, 4; Band 2, 3, 4;
Most Musical.
DONALD BILLY HUFFMAN
"Don"
FFA 3; Football 1, 2, 3, 4; Baseball
1, 2; Basketball 1; Boys' Chorus 1, 3, 4.
BENNY DEAN PAIGE
"Dean"
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Club 3, 4; Chief Junior Marshal 3.
CLYDE LEWIS PROPST
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Carrier 4.
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Club 1; Glee Club 2, 3, 4. Librarian
3, Glee Club Secretary 4; Senior Play;
Senior Class Prophet.
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Most Devendable; FHA Club 1, 2,
3, 4; 4-H Club 1; Glee Club 3, 4; Good
Citizenship Medal; Class Secretary 3;
Librarian 3; Senior Play.
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"Romeo"
Most Versatile: Jr. Varsity Basketball
2; Band 2, 3, 4; Band Captain 3; Beta
Club 3, 4, President 4. Representative
to State Convention 3, 4; Key Club 3, 4,
Delegate to International Key Club
Convention 4; Junior Marshal; Repre-
sentative to Western N. C. Band
Clinic 3, 4; Boys' Chorus 4; Senior
Play; Mail Carrier 3.
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Most Dignified; FHA 1; Glee Club 2, 3, 4; Beta Club 4; Tower Staff; Usher Senior Play.
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JAMES COLON BURNS
"Scribe"
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OPALFE AIKEN
"Opie"
Most cooperative; 4-H Club 1; Glee Club 2, 3; Debate Team 2; Basketball 1, 2, 3, 4; Softball 1, 2, 3, 4.
DORIS JEAN POOVEY
"Peggy"
Most Athletic; Class Secretary and Treasurer 1; Basketball Mgr. 1, Basketball 2, 3, 4, Co-Captain 3, Captain 4; Softball 1, 2, 3, 4; FHA 1, 2, 3, 4; Usher Senior Play; Class Testator.
RICHARD PAUL PEARSON
"Dick"
Most Likely to Succeed; FFA 2, 3, 4; Beta Club 3, 4; Key Club 3, 4, Representative to International Convention 3; Basketball 2, Jr. Varsity 1; Baseball 1, 2; Football 2; Bus Driver 4; Debate Team 3, 4; Declamation Champion 3; Band 2, 3, Quarter Master 3, Scholarship Medal 2; Senior Play; Lab. Assistant 1.
WILDA NATALIE PERRY
"Peggy"
Most Influential; Beta Club 3, 4, Representative to State Convention 3, 4, Vice-President 4; Cheerleader 1, 2, 3, 4, Chief 4; Girls Glee Club 1, 4; FHA Club 1, 2, 3, 4; Debate Team 3; 4-H Club 1, Vice-President; Senior Class Prom; Office Assistant 2, 3, 4; Junior Marshal; Senior Play Prompter.
BETTY JO STINE
"Jo"
Best All-Around; Beta Club 3, 4, Representative to State Convention 3, 4; Junior Marshal 3; Office Assistant 2, 3, 4; High School Sextette 4; Cheerleader 3, 4; Glee Club 2, 4; Senior Play; Tower Staff; Exitation 2; Public Speaking Club 3, FHA 1.
DARRELL SWEET
"Red-Top"
Friendliest.
CLARA MERLENE TAYLOR
Glee Club 2, 3, 4; FHA 1, 2.
SHIRLEY CATHERINE TAYLOR
"Late"
Most Original; FHA 1, 2, 3, 4; Girls' Glee Club 4.
DOROTHY FRANCES TUCKER
"Dot"
Most Intellectual; FHA 1, 2, 3, 4; Glee Club 1, 4; Basketball 3, 4; Softball 3, 4; Debate Team 3; Senior Play; Librarian 2, 3.
ELEANOR JUNE WILLIAMS
"Ellie"
Most Likely to Succeed; FHA 1; Senior Play; Cheerleader 3, 4; Beta Club 3, 4; Representative to State Convention 3, 4; Girls' Glee Club 2, 3; Tower Staff, Editor-in-Chief; Librarian 4; Office Assistant 4; Football Sponsor 4.
BERTHA EDNA YOUNG
"Edie"
Most Studious; Beta Club 3, 4, Representative to State Convention 4; Librarian 4; 4-H Club 4; Tower Staff; Secretary 1, Class Historian 3, Usher Senior Play; Office Assistant 3.
RALPH KENNETH BOWMAN
"Pete"
Most Intellectual; Beta Club 4; FFA 2, 3, 4; Bus Driver 4; Junior Marshal.
Hal Childres
Garrell Sweet
Dean Paige
Edna Young
Eleanor Williams
Molly Brittain
Faye Hildebrand
Merlene Taulor
Geran Lekke
Jimmie Burns
Dick Pearson
Martha Berry
Opalee Aiken
Jo Stine
Dean Jones
Bennie Ervin
Ardia Shell
Conrad Brittain
Jimmie Hart
Lona Bell Hart
Dorothy Tucker
Jack Hollar
Forest Berry
Minnie Huffman
Donald Huffman
Bob Berry
Imajean Griffin
Shirley Taylor
Wilda Perry
Martha Bowman
SUPERLATIVES
Plesena — Martha
Most Dignified
Bobby — Opalee
Most Cooperative
Jo — Jimmie
Best All-Around
Bobby — Lawrence
Wittiest
Forest — Wilka
Most Influential
SUPERLATIVES
Conrad — Dean
Most Versatile
Dean — Edna
Most Studious
Eleanor — Richard
Most Likely to Succeed
Wayne — Doris
Most Athletic
Golda — Darrell
Friendliest
SUPERLATIVES
Minnie — Alice
Quietest
Margaret — Faye
Most Dependable
Shirley — Harold
Most Original
Dorothy — Ralph
Most Intellectual
Arda — Gerald
Most Musical
"The Senior Play"
"Father Goes Domestic" was a 3 act comedy superbly acted and sparkling with humor. Richard Pearson elegantly portrayed Roger Talcott, a genial man in his late forties who changes places with his wife. Elizabeth Williams energetically played the role of Mrs. Talcott, who runs the management of her husband's ketchup plant. Their three children, Betty (Dorothy Tucker), a vivacious girl with more than her share of common sense; Anne, a smart-looking girl with an air of superiority, charmingly played by Molly Brittain; and Neil (Ray Brady), a typical modern youth who is a bit spoiled, add spice to the amusing upheaval. Betty Jo Stine proved lovable as Roger's mother-in-law, a sprightly old lady with an inventive nature. Fannie Berry's only son becomes involved in some shady dealings with mink furs. But how he can get his mother around his finger! Conrad Brittain and Dean Jones energetically depicted the beaux of the two Talcott sisters. Golda Chapman and Faye Hildebran played the part of two of Anne's friends, and Jimmy Burns is a traveling salesman who brings good fortune to the Talcott home.
CLASS POEM
Behind us are memories of these twelve years,
This class of '52.
Ahead are ambitions that we hold dear,
Joys that will come true.
Together we have worked and played
Here at Hildebran High,
Apart we shall work; though memories fade,
Ambitions will not die.
Many thanks to our teachers we say
With greatest gratitude.
May then in years to come they
See their work was good.
We bid farewell to lower classmen, too,
For they will carry on,
And we hope they will succeed in all they do,
After we have gone.
Jo Stine.
CLASS MOTTO
"Not merely to exist, but to amount to something in life."
CLASS FLOWER
White Carnation
CLASS COLORS
Grey and Gold
CLASS HISTORY
It's of little bashful barefoot beaux; of little queens in calicos; of readin' and 'ritin' and 'ithmetic; and that ever-present hickory stick; of Mrs. Rinehardt's, Mrs. Wilson's, and Mr. Scott's stencils and ink; of Mrs. Cashion's and Miss Jenkin's scissors that pink; of Mr. Hollar's lost x's and y's; of Mr. Scott's jokes so wise; of Miss Greson's and Mrs. Wilson's unknown tongue; of Mr. Day's chorus that sung; of Mr. Parham's hammers and nails; of Mr. Hollar's worms and snails; of Mr. Rinehardt's curly hair; of Mrs. Forman's books so rare; of Miss Greson's, Mrs. Hege's, Mr. Scott's, and Mrs. Forman's dresses; of Coach Ruggles' team so gay; of Mr. McNeely's "What's the use?" when one of our classmates presents an excuse. It's of these memories that the history of the class of '52 is made.
Only twelve years ago, we were little tykes with pigtails and knee pants, just entering the first grade. But those years passed in rapid succession, and soon we found ourselves graduating from the eighth grade into High School. In our opinion, we were a very lucky Freshman class because we were the first occupants of Hildebran's new High School building.
By the time we had reached our Sophomore year we had really begun to wander down the halls in High School fashion.
Our Junior year was one we will never forget. It was May of that year we entertained the Seniors with a banquet at the Lake Hickory Country Club. A lovely Hawaiian theme was used.
With our Senior year came the thrill of finally obtaining our long-looked-for class rings. In January we gave the Senior play, "Father Goes Domestic," an outstanding play filled with much comedy. Next, the '52 edition of THE TOWER! This really had us all in a dither, but when finally finished, it was an annual we were immensely proud of.
Now our school days are over. But we will always remember dear ole Hildebran High—because it has given us much—we've gained knowledge and friends—so, as we are leaving, we say "thank you" to our teachers and principal who have guided us through the years—striving to help us get a good education.
Yes, we've wonderful memories to go with us in the future.
Class Historians:
Martha Bowman
Edna Young
LAST WILL AND TESTAMENT
We, the Senior Class of Nineteen Hundred and Fifty-two of Hildebran High School, in the county of Burke, State of North Carolina, do hereby declare this to be our Last Will and Testament to the following heirs:
Article I. To the faculty, we leave many thanks for their leadership, patience, and kindness toward us.
Article II. To the school, we leave our deep feelings for all scars and marks that we have left unintentionally.
Article III. To the Juniors, we leave the privilege of sponsoring the "Tower" in hopes that they make a success of it.
Article IV. To the Sophomores, we leave our name as being the largest Senior Class in the History of Hildebran High.
Article V. To the Freshmen, we leave our fondness to pester our teachers and to waste time. We hope the freshmen will do a better job than we have.
Wayne Abernathy leaves his title as football captain to Ronald Turner.
Opale Aiken leaves her beautiful blonde curls to Cecil Williams.
Bobby Berry leaves his pretty girl to go to Robert Ritchie and Jerry Abernathy.
Forest Brown Jr. leaves his title as Senior class president to Shirley Stamey and Joan Wilson in hopes that they will do as well as he has.
Martha Berry leaves her dignity to Jay Van Lowman and Hilda Evans.
Rex Bollinger leaves his "tallness" to Carroll Bostain hoping that some day he will grow up.
Martha Bowman leaves her long brown hair to Jean Coffey in hopes that some day hers will look just same.
Ralph Bowman leaves his fondness for a certain freshman girl to Luther Lowman and Harold Orders.
Ray Brady leaves his ability to become engaged before finishing school to Mary Ellen Raby.
Conrad Brittain leaves his cheerleading job to Veda Chronister and Joyce Isbell in hopes that they learn all the stunts.
Margaret Brittain leaves her silly "jiggles" to Priscilla Icard and Billy Joe Newton.
Rosita Brittain and Lona Bell Hart leave their fondness for each other to Anita Childers and Martha McDaniel.
Joanne Burns leaves his cute laugh to Jo Ann Lowman.
Alice Campbell leaves her quietness to Danny Cooke and Joe Sherrill.
Doris Chapman leaves her love for skipping school to Carolyn Bowman.
Golda Chapman leaves her pretty black hair and a bottle of colorback to Bobbie Arney in hopes that she will use it.
Harold Childers leaves his New Model Car to Ted Childers in hopes that he won't lose the motor or bend the fenders.
Bill Cobb leaves his back seat in the Senior Class to Martha Bedford.
Bobby Eckard leaves his crew cut to Jane Cobb and Lorena Lowman, hoping that it will look as good as the one Poovey had.
Bernie Ervin leaves her cure "Bangs" to Gerald Goodwin.
Imogene Griffin leaves her slenderness to Mary Ellen Marshall.
Jimmie Hart leaves his typing skill to Helena Taylor in hopes that she will make ten words a minute.
Mildred Hildebran leaves her pleasing personality to Imogene Beach and Billy Phillips.
Jack Hollar leaves his likeness to trade cars to Shirley Keller.
Donald Huffman leaves his love for cars to Lucille Carpenter.
Minnie Huffman leaves her bashfulness to Tommy Cooke.
Dean Jones leaves his ability to make good grades to George Huffman in hopes that he does as well as Dean has.
Amos Lingefelter leaves his love for one girl to Beatrice Young in hopes that she takes advantage of it.
George Locke leaves his trombone to Peggy Mask and Earnest Riley.
Bill Martin leaves his witty remarks to Mable Huffman.
Dean Parker leaves his resemblance to Jimmy Gilbert.
Richard Pearson leaves his ability to dance in public to Jimmy Mossteller and Rebecca Euiliss.
Wilda Perry leaves her school spirit to Wanda Mull and Sue Stephens.
Doris Jean Poovey leaves her fondness for cutting up in class to Anne Setzer and Nancy Cobb, in hopes that they can get by with it.
Clyde Pearson leaves his job of mail boy to Franklin Eckard and David Martin.
Lawrence Rhoney leaves his football shoulder pads to Joyce Bowman hoping that they fit.
Arda Jane Shell leaves her ability to get along with everybody to Kathleen Griffin.
Betty Ray Sherrill leaves her job of working in the lunchroom to Peggy Burns and Lucille Stephens.
Betty Jo Stine leaves her fondness for the Lenior Rhyne boys to Barbara Webb and Eloise Miller.
Darrell Sweet leaves his fondness for brunettes to Paul Smart.
Merlene Taylor leaves her babyish ways to Gwendolyn Hoyle and Shelly Settlemyre.
Shirley Taylor leaves her turned up nose to Lewis Hudson.
Dorothy Thomas leaves her intelligence to Jackie Hart.
Eleanor Williams leaves her ability to attract the opposite sex to Catherine Adams and Carolyn Eckard.
Edna Young leaves her day dreams to Joe Smith.
Plesena Zimmerman leaves her neatness to Phyllis Wilson in hopes she will never need it.
Doris Jean Poovey
Doris Chapman
Testators
June, 1967
As we were lazily flying around the heavens one sunny afternoon, we came to a silver-lined cloud. It looked so comfortable that we decided we would stop and gaze on the Seniors of '52. Since we had left the old familiar place of learning and flown to our blue heavens, we had lost contact with our classmates. Since we last saw them, fifteen years have sailed by. We got one surprise after another, because things had really changed.
There was Dean Jones, a professional photographer at last; and his bathing beauty model was no other than Plesena Zimmerman.
Then something was brought to our attention: there was Conrad Brittain in the White House, keeping the Yankees on their toes. We always knew Conrad would put the Confederates ahead.
While we were still gazing on the White House we saw Jack Hollar keeping the lawns near and Margaret Brittain running the elevators.
Well, is this Hildebran? It surely has changed! Well, beat my time, here's Jimmie Hart still a manager, managing the Hildebran Moonshiners with Lawrence Rhoney, Donald Huffman, and Wayne Abernathy, the star football players.
So Hildebran has a mayor! Looks as if Dean Paige is doing o.k. for himself. It is Imogene Griffin, late as always. Dean, you should do something about your secretary.
Here's a new building. Harold Childres and Ralph Bowman are Personnel Managers for the company, We Bury You Vertically So You Won't Have That Laid Out Feeling. Look who they are hiring for undertaking secretaries: Faye Hildebran, Minnie Huffman, and Merlene Taylor. Business must be good.
Boy! Hildebran sure has grown. What a large hospital! No wonder it's so large with Junior Berry as head doctor; and assisting him, in the delivery of twins to the former Martha Jean Berry, are two of the head nurses, Eleanor Williams and Shirley Taylor.
My goodness, a police force, too? Edna Young, the Chief Police Woman, arresting Rex Bollinger, home from the Air Force.
As we entered the Hildebran Drug Store, operated by Doris Chapman, we picked up a Hildebran Daily Star. Bill Cobb was the editor. Turning to the sports page we found a big sports writeup by Jimmie Burns. Here's a big headline: "Amos Lingefeldt, World's Champion Boxer." As we turned the page we noticed this item: "Housewives of the Year," formerly Rosita Brittain and Lona Bell Harr. They must be pretty good wives.
We journeyed up to the Hildebran School; it surely has increased its size. There we saw our old friend Bobby Eckard, principal. Two teachers who looked familiar were Jo Stine, teaching the fourth grade; and Dorothy Tucker, teaching the first grade.
As we left the school we met Doris Poovey, Arda J. Shell, and Martha Bowman, who said they were happily married and were busily planning their fifteenth wedding anniversary.
Mercy, what's that noise and excitement? A race track! We got a glance of Bob Berry and Bill Martin racing each other in the stock car races.
As we continued our gazing over Hildebran, we saw a beautiful church. We looked inside and saw Richard Pearson working on his sermon for next Sunday morning services. Alice Carswell was practicing her solo.
We moved our gaze to the airport and there we saw Golda Chapman, hostess, and Gerald Lockee, pilot, arriving from their day's flight.
We continued to move on into the country, where we saw pretty green fields, and as we looked closer, we noticed Ray Brady plowing his corn. In the pretty little farm house nearby, Wilda Brady was cooking dinner for him.
There was one more place to visit—New York. In one of the skyscrapers we saw Opalee Aiken modeling for the Sweet (Darrell) & Progst (Clyde) Modeling Agency. Bennie Ervin and Betty Raye Sherrill were Clyde's and Darrell's secretaries.
Soon after the publication of THE TOWER, we, Golda Chapman and Wilda Perry, were shot back to heaven.
G. C. & W. P.
JUNIOR MARSHALS
Sue Stephens
Carolyn Bowman, Chief
Helena Taylor
Anne Setzer
Shelley Settemyre
Joyce Bowman
TROPHY CASE
Junyerz
JUNIOR CLASS OFFICERS
Joe Smith
President
Ted Childres
Vice-President
Helena Taylor
Secretary-Treasurer
Jerry Abernathy
Katherine Adams
Bobbie Arney
Imogene Beach
Martha Bedford
Carrol Bostain
Carolyn Bowman
Joyce Bowman
JUNIORS
Peggy Burns
Lucille Carreenter
Anita Childres
Veda Chronister
Jane Cobb
Nancy Cobb
Jean Coffey
Danny Cooke
Tommy Cooke
Carolyn Eckard
Franklin Eckard
Rebecca Euliss
Hilda Evans
Jimmy Gilbert
Gerald Goodwin
JUNIORS
Kathleen Griffin
Jackie Hart
Gwendolyn Hoyle
Lewis Hudson
George Huffman
Mable Huffman
Priscilla Icard
Shirley Keller
Jo Ann Lowman
Jay Van Lowman
Lorena Lowman
Luther Lowman
Mary Ellen Marshall
David Martin
Peggy Maske
JUNIORS
Martha McDaniel
Eloise Miller
Jimmie Mosteller
Wanda Mull
Billy Joe Newton
Harold Orders
Bill Phillips
Mary Ellen Raby
Earnest Riley
Robert Ritchie
Shelley Settlemyre
Anne Setzer
Joe Sherrill
Shirley Stamey
Paul Smart
JUNIORS
Lucille Stephens
Sue Stephens
Ronald Turner
Barbara Webb
Joan Wilson
Phylliss Wilson
Cecil Williams
Beatrice Young
Joyce Isbell
(no picture)
SOFMOREZ
SOPHOMORE OFFICERS
Seated: Evelyn Rudisill, Secretary-Treasurer, 2B; Alene Atwood, Secretary-Treasurer, 2A; Doris Ritchie, President, 2B; Maxine Bowman, Vice-President, 2B; Wynelle Whisnant, Secretary-Treasurer, 2C. Standing: Edsel Johnson, Vice-President, 2C; Dorothy Abernathy, President, 2A; Charles Pittman, President, 2C.
Dorothy Abernathy
Jack Abernathy
Patsy Aiken
Alene Atwood
Reba Berry
Paul Bivens
Robert Bliss
Roy Boeke
Maxine Bowman
Paul Brady
David Brane
Charles Bridges
Carson Brittain
Jonell Burgess
Nancy Canns
Wayne Childres
Truette Crump
Janell Danner
DORIS DAY
BERLENE DECKER
JACK DIETZ
CARROL ECKARD
CHARLOTTE ECKARD
JOHNNY ECKARD
CAROLYN EDWARDS
CLINTON EULIUS
HAROLD EVANS
PLEZ FOWLER
MARJORIE FRUELER
JERRY FULBRIGHT
PHYLLIS FULBRIGHT
DONNA JEAN GARNER
J. D. GREGORY
EDDY HARMON
BLANCHE HARR
EUGENE HILDEBRAND
MILOUS HOUSTON
HENRY HOYLE
JACK HUDSON
CHRISTINE HUFFMAN
DORIS HUMPHAN
LUCY INGLE
JACKIE ISBELL
REBECCA JARRETTE
ELAINE JOHNSON
IRIS KAHUPP
JESS KNOX
B. K. LAIL
CALLIE LAIL
NAOMI LEDFORD
SCOTTIE LYNN
GUY MARTIN
SOPHOMORES
Robert Miller
Charles McGalliard
Calvin McNeely
Bobbie Hosteller
Betty Muhl
Henry Paige
Tony Penland
Charles Pittman
Graely Probst
Jo Ann Probst
Nancy Rhoney
Nora Richard
Doris Ritchie
Evelyn Rudisill
Jackie Sherrill
Glenda Shoup
Marge Shoup
Nancy Nell Simpson
Estelle Smith
Johnny Stowe
David Swanger
Jerry Tice
Byron Throneburg
Carolyn Throneburg
Janette Throneburg
Doris Townsend
Gladys Vanhorn
Jalain Vanhorn
Eugene Weaver
Wynelle Whisnant
Betty Wright
Hal Yoder
Mary Sue Kiser (no picture)
Joyce Miller (no picture)
Freshman
FRESHMAN OFFICERS
First row: Sylvia Miller, Vice-President, 1B; Winfred White, President, 1C; Phyllis Burns, Secretary-Treasurer, 1A. Second row: David Cook, President, 1A; Robert Sellers, Vice-President, 1C; Caroll Chapman, Vice-President, 1A; Helen Morrow, Secretary-Treasurer, 1B; Rondell Toney, Treasurer, 1C; James Shumaker, Secretary, 1C.
Nanette Aderholt
Harold Bailey
Jimmy Baker
Carmen Beheler
Rachel Bollinger
Michael Bowman
Martha Bostain
Melvin Brannock
Frances Bridges
R. C. Browning
Nelson Bryant
Dorothy Buchanan
Phyllis Burns
Tommy Carver
Carroll Chapman
FRESHMEN
Roger Childers
Jack Cobb
Carol Colley
Charles Cook
David Cook
Margaret Drummon
Joe Duckworth
Nancy Earley
Barbara Eckard
Billy Eckard
Miles Eckard
Irving Eggers
Henry Evans
Mary Anne Foster
Shirley Franklin
Lucy Fullbright
Paul Greenhill
Betty Jean Gregory
Jackie Hildebrand
Barbara Johnson
Marcus Johnson
Tommy Johnson
George King
Charles Kiser
Basil Knox
Judy Lail
Leon Ledford
Henry L. Lowman
Henry D. Lowman
Rachel Lowman
Rachel Lynn
Robert Martin
Jeanette Miller
Sonia Miller
Helen Morrow
Arcola Munday
FRESHMEN
Robert Orders
Nancy Owens
Latricia Owens
Jo Ann Page
Leonard Page
Betty Mae Fugh
DeWayne Pyatte
Geraldene Roseman
Jimmy Rudisill
Dorothy Sain
Robert Sellers
Myrtle Shoup
Ray Shuford
James Shumaker
Maynard Spann
Richard Spangle
Edna Stephens
Johnny Stephen
Ailene Stilwell
Reda Stilwell
Margie Teems
Jo Ann Thomas
Rondell Toney
Shirley Townsend
Howard Vankhorn
Leonard Watts
Rachel Watts
Winfred White
Katherine Wilburn
Shirley Willis
Dan Wilson
McDowell Wilson
Shirley Ann Wilson
Jean Wright
Gladys Young
MEUZICK
GIRLS’ GLEE CLUB
Dorothy Abernathy .......................................................... President
Martha McDaniel ......................................................... Vice-President
Golda Chapman ......................................................... Secretary and Treasurer
Helena Taylor ................................................................ Librarian
Nancy Nell Simpson ..................................................... Accompanist
This year the High School Girls’ Chorus is the largest and best in the history of the school. We started the school year with sixty-eight members but have since lost five.
The chorus sang Christmas Carols in the halls of the high school building during the Christmas season and has given an assembly program for the high school students.
At present the chorus is working on a three-part treble cantata, “Memories of Easter Morn,” by Loreng, which will be given the afternoons of April 8 and 10 for high school and elementary students and on the night of April 9 for the community.
Plans are underway to make platforms for the girls to stand on while singing. This will elevate each row and add to their appearance and sound. Plans are also underway to secure robes for the chorus. It is hoped that these may be gotten this year—maybe in time for the Cantata.
The performances of the chorus are greatly enhanced by the new piano which was purchased this year and put in the auditorium. This is the first year the chorus has been able to meet in the new music room.
The chorus will appear in a concert with the Boys’ Chorus and Elementary School Chorus in the Annual Spring Concert May 9.
Mr. Edison Day
Director
BOYS’ CHORUS
President: Lawrence Rhoney
Vice-President: Donald Huffman
Secretary-Treasurer: Shelley Settlemire
Librarian: Bill Phillips
Accompanist: Nancy Rhoney
This year we have the largest Boys’ Chorus in the history of the school. Sixteen boys comprise this group and it is hoped that more boys will sign up for it next year.
The boys have sung for our P.T.A. and will sing for the Icard P.T.A. February 14. They will give an assembly program February 26, and will appear on the program with the Girls’ Chorus and Elementary School Chorus on May 9.
The boys have made much progress this year and are doing fine work.
GIRLS’ SEXTET
SENIOR BAND
David Cooke ................................................................. Captain
Walter White ................................................................ First Lieutenant
Gerald Goodwin ......................................................... Second Lieutenant
Nanette Aderholdr ....................................................... Sergeant
Robert Yoder ................................................................ Sergeant
The Senior band this year numbers forty-six.
This is the first football season the band has marched in their new uniforms, which were purchased in February of last year; and this is also the first year the band has had Majorettes. The band played and marched faithfully at all games—home and away—except at Tri-Hi and Oak Hill. The band did not play at Tri-Hi and Oak Hill because it was completely washed away by the rain. However, the majorettes stood in the rain and marched and cheered the team on. At the end of the final game of Scotts, they marched through the mud and rain in support of their school and team.
The band played for the Morganton Fair in Valdese, Drexel, and Morganton. They also played in the Christmas Parade in Morganton.
Two members of the band, Dean Jones and Lucille Carpenter, were selected to play in the Western District All-State Band which was held in Boone, N. C. on January 18 and 19.
The band plans to present a program in assembly, soon.
At present we are working hard on our annual Spring Concert which will be given the night of March 28 in the school auditorium. This shows great promise of being the best concert given by the band yet. The program will be about an hour and half in length and will feature solos and duets by band members with full accompaniment. The numbers on the program will be very ambitious for a band which has only been organized three years. Many older bands would hesitate to program some of the difficult numbers being used.
Plans are being made to build platforms for the band so that each row will be elevated. It is hoped these will be ready in time for the concert. They will aid greatly in the appearance and sound of the band.
The attitude and the discipline of the band members are excellent and account much for the tremendous success they have attained.
JUNIOR BAND
This is the largest Junior Band we have had since the first beginning group was organized in the fall of 1949. We started out with thirteen and now have seventeen. What they lack in numbers they make up for in interest, enthusiasm and volume. Their attitude and their discipline are excellent, and they show much interest in learning to play their instruments.
At present it looks as if all seventeen of them will make the Senior Band next year. If they do, it will give us a Senior Band of fifty-eight members.
ELEMENTARY SCHOOL CHORUS
Gail Perry .......................................................... President
Jeanie Abernathy .............................................. Vice-President
Nan Perry ......................................................... Secretary and Treasurer
Yates Berry ....................................................... Librarian
The Elementary School Chorus is composed of students from grades four through eight and meets three times a week. There are sixty-eight members this year and they are showing good progress. They have a fine spirit and attitude and are learning the music quite rapidly. The chorus will sing on Miss Dillon's Eighth Grade assembly program on February 20. The chorus will also take part on the spring concert with the High School Chorus and Boys' Chorus on May 9.
This year we are fortunate and happy to have a new accompanist, Jeanette Miller, a freshman in high school who comes to us from Icard.
MAJORETTES
Rebecca Eluiss, Peggy Burns, Wynelle Whisnant; Drum Major: David Cooke.
Activités
BETA CLUB
Dean Jones .......................................................... President
Wilda Perry ......................................................... Vice-President
Bobby Eckard ....................................................... Secretary
Forest Berry, Jr. .................................................... Treasurer
The Beta Club is that group of high calibre students who seek to attain and promote the ideals of honesty and service to their school, community, state and nation. The purpose of the organization is to reward meritorious effort and achievement, to encourage fellowship and cooperation, to promote citizenship and leadership, and to inspire honor and tolerance. We are fortunate in having twenty-eight worthy members in this year's Beta Club.
"Let Us Lead by Serving Others"
FUTURE HOMEMAKERS OF AMERICA
Carolyn Bowman .......................................................... President
Helena Taylor ................................................................ Vice-President
Margaret Brittain ......................................................... Secretary
Doris Ritchie ................................................................ Treasurer
Faye Eloise Jenkins ....................................................... Advisor
By striving to develop leadership and intelligent participation in activities related to homemaking, the Hildebran Chapter of F. H. A. hopes to live up to its motto: "Toward New Horizons".
FUTURE FARMERS OF AMERICA
Bobby Eckard .......................................................... President
Lawrence Rhoney .................................................. Vice-President
Conrad Brinkin ..................................................... Secretary
Ronald Turner ....................................................... Treasurer
Billy Joe Newton ................................................... Reporter
Harold Childers ...................................................... Sentinel
R. A. Parham ......................................................... Advisor
The Hildebran Chapter of the Future Farmers of America, now in its third year, has a membership of ninety boys. It is a national organization for boys studying vocational agriculture, "Striving for better days through better ways."
Hildebrand 4-H Club Girls
Hildebrand 4-H Club Boys
Sh-h-h - Quiet! Books are the tools of learning and the doors of knowledge.
Here's where we learn the keys to the business world.
"We don't send to Paris for our fashions; they are 'Hildebrand Creations.'"
"This is what you call Scientific Study! I hope they know what they're doing!"
Our drivers are important and dependable. They keep 'em rolling!
Here we learn to build. There'll be no shortage of houses in the future.
This is strictly business; there is a time and place for everything.
Deep study is needed for learning. These are our future High School Students. Those lucky teachers!
Our favorite period of the day. Yum! Yum!
They are really good cooks!
They keep our buildings clean and neat.
Cleanliness is next to godliness.
KEY CLUB
Jimmie Hart
Vice-President
Shelly Settlemyre
Secretary-Treasurer
Ray Brady
Forest Berry, Jr.
President
Conrad Brittain
Bobby Eckard
Dean Jones
Wayne Abernathy
Richard Pearson
Gerald Goodwin
Jay Van Lowman
Calvin McNeely
Joe Smith
Jimmie Gilbert
Franklin Eckard
Ted Childres
Harold Evans
Paul Brady
Tony Penland
Wayne Childres
Grady Propst
Jakie Hart
Library Club
We help you open them.
"Books are the key to knowledge."
Miss Elizabeth Greeson
Advisor
Margaret Brittain
Eleanor Williams
Shirley Taylor
Edna Young
Joan Wilson
Vice-President
Jalain Vanhorn
Secretary
Lorena Lowman
President
Martha Bedford
Wanda Mull
Treasurer
SENIOR SNAPSHOTS
SNAPSHOTS
ATHLETiCKZ
Their cheers and performances this year took on a definitely different aspect with the acquisition of two male members. We think the cheerleaders did an excellent job in promoting school spirit and how we thrilled at their almost professional half-time acrobatics!
Attired in royal blue and white they presented a striking appearance which was an incentive to their highly successful leadership.
Mrs. Lowaine Wilson, Sponsor.
The 1951-52 basketball season proved to be a rather disastrous one for Coach Fred Carlisle's Royalettes. Due to graduation, injuries, and lack of experienced reserves, the girls have succeeded in winning only one game and have lost 11 at this point. They were the defending champions of the Burke County Conference which was held at Drexel this season. They were knocked out of the tournament this year on opening day. They still have several games and the Gold Medal Tournament at Valdese to play. With a few more breaks they could have won several more games as they dropped three tilts by a margin of less than five points.
Drexel Skein Broken
Hildebran Breaks 25 Win Streak
Hildebran — Hildebran High Royals proved to be the giant killers of six-man football on their afternoon win defending at winning streak.
Hildebran's M. R. Rugg Drexel Wolf Pack and Drexel look in the tabwa Valley Conference. Each team one loss. Drexel game in abc.
Showing up Hildebran we and Ginnard Robert Rhoney and Quartered were red hot infield.
The ball changed hands in but neither team across a score. Hildebran was in the first quarter and was resting on the Hill in the locals' possession. Opened the second quarter fifteen seconds down side-lines to score the first.
Hildebran Over Runs Cliffside
Hildebran — The Hildebran Royals defeated Cliffside here Friday afternoon in the tabwa Valley Conference tussle. Coach M. R. Rugg substituted his Royals freely in the middle third.
Cliffside won the toss and received, but couldn't move the ball as they punted to the Hildebran.
Hildebran Halts Drexel's 25-Game Win Streak At Homecoming, 37-12
By JIMMIE BURNS
EBRAN, Nov. 16—Hildebran's Royal proved to be the giant killers of six-man football today afternoon when they defended state championship. The game was all the more sweet for Hildebran's winning. Coach M. R. Rugg's down the Drexel Wolf Pack.
An interesting aspect of the game is that it combined Hildebran and Drexel into a first team in the new organization. The two-Mr. Rugg's seven wins and seven losses not lost a game for the entire season.
Hildebran Defeats Gamewell
By JIMMIE BURNS
AGIANTON, Oct. 19.—The Gamewell, 39-12 an Royals exploded in the first half with two touchdowns and held an inspired Salem
Hildebran Defeats Gamewell
By JIMMIE BURNS
SCOTTS, Nov. 17—The Scotts High School football team upset the Hildebran Royals here repreOLD ROYALS NEVER DIE.....
They just Graduate!
Bobby Berry
Lawrence Rhoney
Donald Huffman
Wayne Abernathy
31
Manager
Jimmie Hart
Wayne Abernathy 21 George Huffman 31 Lawrence Rhoney 29 Bobby Berry 25 Charles Pittman
Donald Huffman 26 Carroll Chapman 28 Leanard Watts 37 Robert Ritchie 27 Tony Penland
Wayne Childres 23 Basil Knox 24 Ted Childres
Carmen Beheler 33
Franklin Eckard 22
Glenard Shoup 32
Jerry Abernathy 35
Robert Miller 36
Guy Martin 34
Bobby Orders
Charles Bridges
Ronnell Tony
Dan Wilson
Robert Bliss
Gerald Goodwin
Jimmy Burns
Royals
SNAPSHOTS
WE TOOK THEM ALONG FOR THE LAUGHS!!!
A GREAT SEASON FOR '52
TOUCHDOWN
SNAPSHOTS
THE DREXEL SMILE
THE GANG'S ALL HERE
GOOD BYE AND GOOD LUCK NEXT YEAR
EXCITING MOMENTS
BOYS’ BASKETBALL
Left to right: Ted Childers, Franklin Eckard, Bobby Berry, Guy Martin, Jerry Abernathy, Robert Miller, Bobby Eckard, Glenard Shoup, Tommy Cooke, Wayne Abernathy, and Robert Bliss.
VARSITY RECORD
| Team | Score |
|---------------|-------|
| Hildebran 29 | Glen Alpine 30 |
| Hildebran 42 | Oak Hill 39 |
| Hildebran 36 | Salem 31 |
| Hildebran 43 | Valdese 41 |
| Hildebran 41 | George Hildebran 39 |
| Hildebran 38 | Oak Hill 33 |
| Hildebran 44 | Drexel 53 |
| Hildebran 33 | Valdese 54 |
| Hildebran 36 | George Hildebran 37 |
| Hildebran 25 | Drexel 37 |
| Hildebran 53 | Salem 37 |
| Hildebran 41 | Oak Hill 34 |
| Hildebran 41 | Drexel 59 |
| *Hildebran 41 | Oak Hill 36 |
| xHildebran 35 | Granite Falls 52 |
| vHildebran 56 | Lattimore 68 |
xNon-conference games
bButte County Tournament
*Oak Hill from Caldwell County
vValdese Tournament
JUNIOR VARSITY
Left to right, first row: Roger Childres, Carmen Bebeher, Winfred White, Bobby Watts, Reggie Rhoney, Miles Eckard, George King, Bobby Orderys and Jack Cobb.
Standing: Irving Eggers, Tommy Carver, Charles Cooke, Leonard Page, David Cooke, Robert Sellers, Leon Leiford, and Jimmy Houser.
Where's Jimmie Hart???
BASEBALL TEAM
First row, left to right: Wayne Childres, Cecil Williams, Jimmy Burns, Glenard Shoup, Guy Martin, Franklin Eckard. Second row: Calvin McNeely, Wayne Abernathy, Elbert Greenway, Ted Childres, Bobby Berry. Third row: Gerald Goodwin, Mgr., Max Johnson, Nathan Mull, Jerry Abernathy, George Huffman, Jimmie Hart, Mgr. Robert Bliss, Charles Pittman (no picture).
| Player | Team | Score |
|--------------|---------------|-------|
| Hildebran | | 9 |
| Hildebran | | 1 |
| Hildebran | | 5 |
| Hildebran | | 3 |
| Hildebran | | 17 |
| Hildebran | | 6 |
| Hildebran | | 7 |
| Hildebran | | 1 |
| Hildebran | | 4 |
| Hildebran | | 7 |
| George Hildebran | | 0 |
| Drexel | | 8 |
| Granite Falls| | 19 |
| Happy Valley | | 4 |
| George Hildebran | | 7 |
| Valdese | | 16 |
| Valdese | | 14 |
| Drexel | | 3 |
| Granite Falls| | 11 |
| Happy Valley | | 27 |
SNAPSHOTS
Compliments of
HENRY RIVER MILLS COMPANY
Dial 281
HENRY RIVER, NORTH CAROLINA
Best Wishes to the Class of 1952
J. A. CLINE & SON, Inc.
Hildebran, N. C.
Compliments of
Dr. and Mrs. L. L. Coleman
Compliments of
Shoupe Shoe Shop
Shoe Work of All Kinds
Hildebran, N. C.
BERRY and DECKER TRANSFER
All Cargoes Insu
"Dependable Service"
P.O. Box 150
HILDEBRAN, NORTH CAROLINA
Compliments of
Yoder's Store
Dial 251
Hildebran, N. C.
Quaker Meadow Mills,
Inc.
Hildebran, N. C.
Compliments of
Perry Hardware Co.
Phone 257
Hildebran, N. C.
Johnson's Grocery
Flour & Feeds
Hildebran, N. C.
HILDEBRAN DRY CLEANERS
"Service Is Our Motto"
R. H. DEAL & SON
Dial 146
HILDEBRAN, NORTH CAROLINA
Congratulations Class of '52
HILDEBRAN HOISIERY MILLS
HILDEBRAN, NORTH CAROLINA
Dial Hildebran 551
Childers Nursery
Evergreens - Shrubs - Shade Trees
Quality Plants at a Fair Price
Route 2 Connelly Springs, N. C.
1 Mile North of Midway Drive-in
Member N. C. Association of
Nurserymen
B. J. ABERNATHY'S GROCERY
Flour - Feeds
Phone 491
HILDEBRAN, N. C.
Eva's
EVERYTHING IN LADIES' APPAREL
Hildebran, N. C.
Hildebran Grocery
V. E. Hildebran
Groceries - Feeds
Hickory, N. C.
Compliments of
Elite Beauty Shop
Dial 321
Hildebran, N. C.
Childers Hosiery Mill
Hildebran, N. C.
BURKE OIL CO., INC.
DISTRIBUTORS OF PURE OIL PRODUCTS
Kerosene and Fuel Oil — Phone 6J
VALDESE, NORTH CAROLINA
Compliments of
J. Perry Abernathy
THE AUTO MARKET
Sales-Service
“Better Cars at Better Prices”
Dial 24222-Hickory
HILDEBRAN, N. C.
J. C. Noggle Owner
Compliments of
B. & K. HOSIERY MILL
Manufacturers of Men’s Cotton Half-hose and Socks
Highway 70-A West
HICKORY, N. C.
PARAGON MANUFACTURING CO.
Manufacturers of Quality Venetian Blinds
A. L. & C. B. Rhoney, Prop.
Phone 5389 HICKORY, N. C.
Lowman’s Service Station
Gulf Pride Oil — No-Nox Gas
Oliver E. Lowman
Dial 181
Hildebran, N. C.
THE NORTHWESTERN BANK
Every Courtesy and Service Consistent With Good Banking Is Offered by This Institution.
VALDESE, NORTH CAROLINA
SHOOK DRUG CO.
Prescription Pharmacy
"We fill any doctor's prescription"
1809 1st Ave., S. W.
2805 W. 9th Ave.
HICKORY, N. C.
Compliments of
Longview Cleaners
BRITT LAUNDRY AND CLEANERS
SANITONE CLEANER
Phone 400
VALDESE, N. C.
Borden's
TWS REG U.S PAT OFF.
CONTENTS ONE PINT
ICE CREAM
MADE BY THE BORDEN COMPANY
BLUE RIDGE ICE CREAM DIV., HICKORY, N. C.
Compliments of
Burke Farmers' Co-operative Dairy
★
Congratulations and Best Wishes to The Senior Class of '52
★
Morganton, N. C.
Compliments of
WALDENSIAN BAKING, INC.
SUNBEAM BREAD AND CAKES
VALDESE, NORTH CAROLINA
Lazarus of Morganton, N. C.
We Came to Burke County 59 Years Ago
Morganton Hardware Company
Hardware and Furniture Wholesale and Retail
Morganton, N. C.
Compliments of
MERCHANT PRODUCE GROCERY
HICKORY, NORTH CAROLINA
ENJOY
Pepsi-Cola
PEPSI-COLA BOTTLING CO.
Hickory, N. C.
Compliments of
First National Bank
OF CATAWBA COUNTY
Established 1891
Hickory - Newton - Conover
Biltmore Dairy Farms
Hickory, N. C.
Dial 29716
Compliments of
CAPE HICKORY
HOISIERY MILL
HICKORY, N. C.
Compliments of
North Hickory Furniture Co.
Manufacturers
Fine Upholstered Furniture
Slip Covers & Repairing
Hickory, North Carolina
Wagner Furniture Co.
Your Home Should Come First
Furniture and Ranges
Crosley Radios & Electrical Ref.
West Hickory, N. C.
Out of the Higher District
Hickman Hardware Co.
Bring us Your Paint Problems
Check Us For Everything in Hardware
Stores in Hickory & Granite Falls
Atomic Paint Company INC.
Manufacturers of Lacquers, Sealers, Stains, Reducers
Lenoir Road Dial 8126
Hickory, North Carolina
Compliments of Super HAYES Market
1st Ave. S. W. Hickory, N. C.
Free Parking
Compliments of Chicken in Basket
GRADE A CAFE
Short Orders - Sandwiches
Curb Service
E. R. Sherrill
Highway 70
CLARK TIRE & AUTO SUPPLY
HICKORY, N. C.
Compliments of Austins Food Center
Staple Groceries and Western Meats
907 2nd Ave., N. W.
Congratulations Rock Corner Service Station
Washing - Polishing - Lubrication
1349 1st Ave., S. W. Dial 3277
Hickory, North Carolina
Compliments of Hickory Packing Company
Hams, Sausages and Bacon, Lard
HICKORY, NORTH CAROLINA
CLEVENGER COLLEGE
Study in a College With a National Reputation
Where are you going to college this fall? More and more young ladies are taking secretarial training than ever before. Secretarial training opens the door to vast opportunities; to positions where you meet interesting and successful people. More and more young ladies are going to Clevenger College than ever before. They like the atmosphere of college life, the many activities; the free winter vacation in the "Land of Sunshine" in our branch college in St. Petersburg, Florida. Rush inquiry for our illustrated catalogue. Just address Clevenger College of Business Administration, 232—2nd Avenue, N. W., Hickory, N. C. Telephone 2-7171.
Compliments of
B & M Motor Co., Inc.
Tash
DEALER!
510 1st Ave., S. W.
Hickory, N. C.
Congratulations
M. G. Crouch Lumber Co.
Building Material
Hickory, North Carolina
HARPER MOTOR CO.
Sales—Ford—Service
HICKORY, N. C.
HICKORY STEAM LAUNDRY
New Synthetic Dry Cleaning
Fur and Woolen Storage
Fur Cleaning
Receiving Branch Office
Carolina Theatre Bldg. Phone 4716
Plant Phone Highland Ave. 2261
HUFFMAN SAUSAGE COMPANY
Beef - Pork - Sausage - Provisions
Telephone 26186
HICKORY, NORTH CAROLINA
Compliments of
Hickory Telephone Company
Hickory, N. C.
Sherrill Ice & Fuel Co.
Fuel Oil & Coal
Telephone 2307 HICKORY, N. C.
Compliments of
Kasco Feeds
Hickory, North Carolina
Compliments of
Burke Lumber Company
Lumber and Building Materials
"Quality and Service"
Phone 13
Morganton, N. C.
Congratulations!
Carolina and Rivoli Theater
Hickory, N. C.
BASS-SMITH
FUNERAL HOME
Ambulance Service
Dial 2131
HICKORY, N. C.
Todd's Flowers . . . . . .
. . . . . brighten the hours
TODD FLORAL CO., Inc.
Opposite Hickory Memorial Hospital
Phone Hickory 2221
Steele Rulane Service
"Gas Everywhere for Every Purpose"
Hickory Lenoir
Congratulations to Class of '52
BERNARD BUICK CO.
BOBBY C. BERNARD
VALDESE, NORTH CAROLINA
Farm Service Tractor Co.
Dealers in Ford Tractors, McLouch Chain Saws, Simplicity Garden Tractors, Willys Cars and Jeeps.
Morganton, N. C.
Happy Motoring with
Esso
Banks Pontiac Co.
"The Most Beautiful Thing on Wheels"
Sixes and Eights
Phone 2217
Hickory, N. C.
"Reddy is Willing!"
DUKE POWER CO.
BERNARD PONTIAC
"Built To Last 100,000 Miles."
Telephone 847
MORGANTON, NORTH CAROLINA
Mellie Jean Bernard, Owner
Lenoir Rhyne College
A Co-educational Senior College
Fully Accredited
Liberal Arts - Science - Music
Teacher Training - Commerce
Extra-curricular activities include
Band, Orchestra, Choir, Radio, Dramatics, Forensics and Athletics
Emphasis on Christian character
and Scholarship
For Catalogue and other information,
write to
Voigt R. Cromer, President
Hickory, North Carolina
HENRY RIVER STORE
H. M. Aderholdt (Owner)
HENRY RIVER, N. C.
AUTOGRAPHS
AUTOGRAPHS
Ah-h-h-h-h-h
At
Last!
RNC RNC 371.897 Hildebran
The Tower : Hildebran High School Yearbook
33557003429651 ref
The Tower : Hildebran High School Yearbook
RNC371.897 |
PERFORMANCE IN PURSUIT AND COMPENSATORY TRACKING TASKS
AS A FUNCTION OF RATE AND PREDICTABILITY
by
FRANK DOUGLAS FOWLER
B.A., New Mexico State University, 1964
A MASTER'S THESIS
submitted in partial fulfillment of the
requirements for the degree
MASTER OF SCIENCE
Department of Psychology
KANSAS STATE UNIVERSITY
Manhattan, Kansas
1966
Approved by:
[Signature]
Major Professor
# TABLE OF CONTENTS
INTRODUCTION .......................................................... 1
General Problem .................................................. 1
Research .......................................................... 3
General Comparisons ........................................... 3
Control/Display Factors ...................................... 6
Control Lag .................................................... 8
Aiding, Quickening, and Unburdening ......................... 9
Transfer Effects ............................................... 11
Task Predictability and Task Rate ............................ 12
METHOD ............................................................... 19
Subjects .......................................................... 19
Apparatus ........................................................ 19
Experimental Variables .......................................... 21
Task ............................................................ 21
Tracking Mode .................................................. 22
Predictability ................................................ 22
Rate ............................................................ 24
Design ............................................................ 24
Procedure ........................................................ 27
RESULTS .............................................................. 29
Acquisition ...................................................... 29
| Section | Page |
|--------------------------|------|
| Retention | 38 |
| DISCUSSION | 42 |
| Acquisition | 42 |
| Retention | 46 |
| Summary | 49 |
| ACKNOWLEDGMENTS | 52 |
| REFERENCES | 53 |
| APPENDICES | 56 |
INTRODUCTION
General Problem
Two major forms of information display are used to study human tracking behavior. The pursuit mode consists of a target line and a follower or cursor line presented as stimuli. The target is controlled independently by the experimenter and the cursor is controlled independently by the subject or operator. The subject's task is to keep the cursor aligned with the target as the latter moves in the display medium—usually a cathode-ray tube (CRT). The compensatory display mode consists of a stationary target, or null, indicator and a cursor which is controlled jointly by the system input and the subject. The subject's task in this case is to compensate for displacement changes imparted to the cursor by the experimenter, or system input, thus keeping the cursor superimposed on the reference target.
Except for low frequency inputs, the compensatory tracking task has been found to be more difficult to master and to result in poorer performance than the pursuit task. The obvious interpretation of the difference in performance between these two modes of tracking is that the pursuit mode offers more direct information to the operator—target and cursor positions, rate of travel, and instantaneous error—than the compensatory display which offers only an indication of error in the deviation of the cursor from the reference target. If the subject centers his arm
control and does not respond, the path of the cursor on the CRT would be the mirror image of the path of the target in a pursuit task. The subject would then receive the same information as to rate, amplitude, direction, and acceleration as would the pursuit operator. Because the operator must respond, the stimulus information is confounded with feedback of the subject's response. Most of the studies to be reviewed here were interpreted as indicating that this difference in direct information supplied to the subject accounts for the superiority of pursuit tracking.
Research comparing the pursuit and compensatory modes indicates that many experimental variables have been used in attempting to explain performance differences between pursuit and compensatory tracking. Some of the major studies and their conclusions are examined in the next section.
The purpose of this thesis was to examine two task variables, task predictability and task rate, as they affect both pursuit and compensatory tracking. Some of the previous research suggested that different levels of stimulus predictability presented at different rates of target movement might be a possible means of examining performance differences between the two tracking modes.
The necessity for examining and comparing these display modes is two-fold. First, a better understanding of human skilled performance may be obtained from results of experiments of this type. Second, in practical applications, the compensatory display mode (because of
engineering or design limitations) is used more often than the pursuit display which, in most cases, yields the best performance. Therefore, any new evidence with respect to task variables affecting differences or similarities between these two displays may be both theoretically and practically useful.
Research
General Comparisons
Most studies showing a difference in performance between pursuit and compensatory tracking have been favorable to the former. Briggs (1962) reported that this has been the case across a wide variety of manipulated variables including display gain, control gain, and target frequency (Fitts, Marlowe, and Noble, 1953; Noble, Fitts, and Marlow, 1953), visual noise (Howell and Briggs, 1959), and target frequency (Hartman, 1957a; 1957b).
By using a combined display, Senders and Cruzen (1952) showed that a continuum exists on which the pursuit and compensatory display modes are the end points. By varying the percentage of each component, the experimenters demonstrated that, as the pursuit component increased, performance (measured by time on target scores) increased up to the 75% pursuit-25% compensatory condition. The 100% pursuit-0% compensatory condition was not significantly different from the 75%-25% condition; but later Bahrick, Fitts, and Briggs (1957) showed that this may have been due to artifacts in the scoring, and that it was probable that
performance increased significantly as the pursuit component approached 100%.
Senders and Cruzen attributed the superiority of the pursuit display by the general argument given in the first section, namely, pursuit displays allow the subject to examine directly information concerning the direction, rate, and acceleration of the target course. In the compensatory display, if the subject is tracking perfectly, the only information he receives, other than his own response-produced feedback, is that he is tracking perfectly. He has no display information regarding position, rate, or acceleration of either the target or the cursor. Therefore, by increasing the pursuit component in a tracking task, the subject will be able to perceive some of these changes in the target and cursor and his performance level will increase.
Recently Briggs and Rockway (1966), in a study similar to the Senders and Cruzen experiment, attempted to determine whether the amount of pursuit component influenced learning as well as performance. They used the same pursuit-compensatory percentages as the previous study and then transferred one-half of each group to either a 100% pursuit or a 100% compensatory tracking task. For the acquisition phase, they found an increase in performance with an increase in the pursuit component up to and including the 100% pursuit condition. This finding tended to bear out Bahrick, Fitts, and Briggs' (1957) conclusion that Senders and Cruzen's (1952) performance measure (time-on-target) may
have been insensitive at particular levels of performance.
For the transfer condition, the authors found that all groups exhibited 100% transfer. That is, there were no significant differences among any of the groups transferred to the 100% pursuit condition, and they did not differ from the 100% pursuit control group. The same held true for the groups of differentially trained subjects who were transferred to the 100% compensatory condition.
These results were unexpected because the authors assumed that, since more information was available to the groups with a larger pursuit component, these groups would perform proportionately better during the transfer task, just as they did on the training task. They concluded that, "the percentage of pursuit component has a significant effect on performance but little or no differential effect on learning." (p. 169)
Because there was no apparent learning gradient in any of the groups, the authors pointed out "that whereas previous experiments might have obtained different (higher) performance levels with a pursuit display, it is unlikely that the fundamental aspects of skill acquisition would have been different." (p. 169)
In a follow-up of the 1952 (Senders and Cruzen) study, Senders (1953) predicted that, if tracking proficiency is determined by the availability of information as to direction, rate, amplitude, and acceleration, then any increase in the proportion of perceptible rates would enhance tracking performance. He used three techniques to increase the
proportion of perceptible rates. The amount of pursuit component of the task was varied by using the same five combinations of pursuit-compensatory display mode as in the first study. Second, two input signals were used; one with a low rate of change and the other with a high rate. Finally, both light and dark viewing conditions were used in order to provide visual cues (edge of the CRT and grid marks) or no cues as to target rate and acceleration. Four conditions were employed: low rate input and light condition, low rate input and dark condition, high rate input and light condition, and high rate input and dark condition.
Results confirmed the data obtained in the earlier study: an increase in performance was a function of an increase in the pursuit component of the task. Further, except for the high rate-light condition in the 100% compensatory display, tracking in the light condition (perceptible visual references) was superior to tracking in the dark condition (higher threshold for rate perception). Briggs (1962) concluded that the results support Senders' original hypothesis that:
...the availability (perceptibility) of information as to the direction, amplitude, rate, and acceleration of the input signal is a major determinant of tracking proficiency. It follows, then, that Senders has accounted for the positive relationship between percent pursuit component in an information display and performance level. (p. 5)
Control/Display Factors
Two studies (Noble, et al., 1953; Fitts, et al., 1953) varied control and display scale factors and input frequency on both compensatory and
pursuit tracking tasks. They found that the display scale factor affected pursuit performance, but was not significant for the compensatory mode. The latter finding is in disagreement with other studies which have demonstrated that compensatory tracking is enhanced by greater magnification of the error signal. These results may have been due to the narrow range of display gain used or to the relatively high input frequencies used in the pursuit study (Fitts, et al., 1953). Others (Garvey and Henson, 1958; Bowen and Chernikoff, 1958) have found that high display gain factors increased the proficiency on compensatory tasks for low and medium input frequencies, but not for high frequencies. Manipulation of the control scale factor affected both forms of tracking. The interaction between control and display scale factors was non-significant for both modes and indicated that these variables affected performance independently (Fitts, et al., 1953). Others who found that an increase in the amplitude of control movements gave a continuous improvement in performance on both modes were: Rockway (1955), Rockway, Eckstrand, and Morgan (1956), and Hartman (1957a).
Hartman and Fitts (1955) pursued the matter of control and display scale factors further by varying control and display scales, input frequencies, and complexity for both modes and found interactions between several of the control and display factors. This dependency indicated "that a control/display (C/D) factor ratio may be a meaningful index to quantify the gain aspects of the machine portion of the man-machine
control system" (Briggs, 1962).
**Control Lag**
The effects of delaying feedback of the results of a control movement (control lag) on pursuit and compensatory systems was studied by Conklin (1957). Type of lag (exponential or sigmoidal), length of lag time, and input complexity (different sinusoidal combinations) were varied. Results indicated that performance on the pursuit tasks was better than on the compensatory tasks. Performance on both modes was also better with exponential lags than with sigmoidal lags. Performance deteriorated constantly as a function of lag time for all conditions and also as a function of an increase in rate and/or complexity (predictability) of the input signal.
By increasing system gain, Rockway (1954) showed that the effect of lags may be reduced and that in some cases a lag may improve performance, partly because the higher gain effectively reduced the delay in information feedback. A curvilinear function was found to describe the relation between operator performance and lag time for high gain systems. Fitts, Noble, Bahrick, and Briggs (1959) concluded:
...that it is erroneous to assume that any system lag is detrimental to controlling accuracy. Rather, the generalization more accurately stated holds that as system sensitivity is reduced, the presence of exponential lags may degrade performance; however, for higher levels of sensitivity, a system lag may actually improve performance due in part to the fact that the higher gain effectively reduces the delay in information feedback resulting from a particular lag. (p. 12.19)
Aiding, Quickening, and Unburdening
From the operator's point of view, aiding and quickening are identical, but from a system point of view they are different. Aiding involves taking derivatives of the controlled element, feeding them forward, and adding them to the system output. In a quickened system, derivatives of the system output are fed back to the display and added to the information fed back from the system output. As Senders succinctly puts it:
Psychologically speaking, quickening (or aiding) permits immediate knowledge of results, provides a high degree of stimulus-response integrity, and simplifies the computation required of the operator. These effects account for the improved performance of such systems. From the engineering point of view, quickening is a process of response shaping through modification of the closed loop response of the system, resulting in stability and in meeting a criterion of performance. Aiding involves actual changes in the open loop transfer function of the system to the same end. (1959, p. 32)
Unburdening reduces the physical work required of the operator by adding an integral transformation to the machine element in a closed loop system. An example of unburdening would be adding a motor to the operator's control so that, when he manipulates the control positionally, he will obtain a rate or higher order output component. Unburdening is independent of the display output so that the operator's perceptual requirements are not affected. In other words, the subject may move an arm control positionally and impart a rate or acceleration change to his controlled element. What he sees, however, is a function of the display output and this is determined by aiding or quickening techniques. A
combination of aiding and unburdening factors may reduce the operator's perceptual and physical requirements. Applications of these techniques have been fairly extensive in the research literature because of their obvious practical applications and because they offer additional variables to be used in skills research in general.
A series of studies by Chernikoff, Birmingham, and Taylor examined pursuit and compensatory paradigms using aiding and other parameters. Chernikoff and Taylor (1957) studied the effects of aided time constant and input signal frequency, and they found an interaction on both tracking modes. Fitts, et al., (1958) commented on the importance of these interactions and noted that:
in many cases...for complex inputs with high frequencies, positional dynamics are superior to velocity or rate-aided. However, [this study] shows that this superiority holds only for the higher frequency inputs, and that the rate-aided system becomes superior for inputs in the low range and that both velocity and rate-aided systems are superior to positional dynamics in the very low frequency range. (p. 12.30)
In another study Chernikoff, Birmingham, and Taylor (1955) found that for the slowest input signal there was no difference between pursuit and compensatory displays, but for higher frequencies (over 4 cycles per minute) pursuit was better. They concluded that:
Overall, the results lend credence to the hypothesis that pursuit tracking will be superior to compensatory in those cases where target velocity and acceleration information is required by $S$, but that pursuit tracking will lose its pronounced advantage when this information is not needed by the tracker. Furthermore, it appears that the inclusion
within a display of information which is uncorrelated with the tracking behavior required of $S$ is detrimental to performance. Thus, it would appear that recommendations as to whether pursuit or compensatory tracking should be used in specific systems must take into account the precise nature of the informational requirements of the particular tracking task involved. (p. 59)
**Transfer Effects**
Andreas, Green, and Spragg (1954) reported the first of two studies found which examined transfer from pursuit to compensatory and compensatory to pursuit modes. Display mode and input complexity were confounded because the input signal in the pursuit task was more complex than in the compensatory mode. The authors noted that subjects did better transferring from pursuit to compensatory modes than vice versa. This indicated that subjects learned more on the pursuit display, but no clear-cut conclusions may be drawn due to the confounding.
Briggs and Rockway (1966), in a study described earlier in this paper, found no significant differences in performance in transferring from pure pursuit, pure compensatory, or any combination of pursuit-compensatory tracking mode to pure compensatory or pursuit tasks. They stated that there appears to be no learning differences, only performance differences, between the two tracking tasks.
In summary, it must be remembered that, although the pursuit display allows better performance, the decision as to which mode to use must be tempered with consideration of the type of information processing required
of the subject in a particular situation. For example, if it is a low frequency input, then compensatory would probably be equal to or better than pursuit. If the system could utilize aiding or quickening, compensatory could also suffice. If higher derivatives of the input signal are used to determine motor output, pursuit tracking would probably be better than compensatory.
Briggs (1962) noted that "in all the research comparing pursuit with compensatory displays there was no guarantee that the compensatory mode was used optimally. Thus, had display magnification been increased for the compensatory mode, the superiority of the pursuit mode might have been reduced" (p. 11). Therefore, in a system that requires a compensatory display because of engineering limitations or feasibility, use of some of the techniques described herein might enable the operator to approach the performance level which he could attain on a pursuit task.
**Task Predictability and Task Rate**
A series of studies (Trumbo, Noble, Cross, and Ulrich, 1965; Trumbo, Ulrich, and Noble, 1965; Trumbo, Noble, and Ulrich, 1965) have examined the effects of stimulus predictability for step-function inputs in pursuit tracking tasks. Predictability of step amplitudes or of dwell times was based either on digram sequential probabilities or on the proportion of random target events in an otherwise fixed series of targets. These studies have pointed out that a differential learning effect occurs.
as a function of the degree of predictability of the pattern. In other words, the fixed and highly predictable (low proportion of random targets) patterns are tracked with a high degree of skill, while performance scores on the more unpredictable patterns are grouped at a lower level. Retention scores have shown that relatively large losses in performance were evident, especially for the tasks which manifested the greatest improvement during acquisition.
In a recent unpublished study in this series, an attempt was made to apply some of the stimulus coherency (predictability) concepts used in the step-function tasks mentioned above to a continuously moving input. In this experiment three rates of target movement were used in a factorial-design with three levels of predictability. For this pursuit task the target moved across the CRT at a constant rate of speed, reversing itself at various pre-selected positions. Three stimulus patterns were used: completely predictable in the temporal-spatial relationship; semi-predictable so that some movements were fixed while others were random, and completely random.
Results indicated that as rate increased, performance decreased, that is, higher integrated error scores were obtained for the faster rates. Within the different rates, performance was better on the more predictable patterns. As the rate of target movement increased, it was also noted that there appeared to be greater differences between levels of predictability. For example, at the slowest rate there was little difference in
performance on the three different patterns. At the highest rate there were distinct differences as a function of predictability. In other words, it appeared that as the need for quicker responses increased, the necessity for relying on predictable portions of the input in order to "pre-program" responses increased.
Two retention periods were used (one week and one month), and no general pattern of loss was found during either of these periods. For the one week interval there was an apparent average improvement in performance for all patterns over all three rates, but this may have been due to insufficient training trials, since it appeared that performance levels had not asymptoted, or it may have been due to a reminescence-type recovery, for which there was some evidence between sessions of the training phase. There was a general decrement in performance for the highly predictable tasks at the one month interval, but no losses were evident for the less predictable patterns. These findings supported earlier results on step-function tasks (Trumbo, Noble, Cross, and Ulrich, 1965) in that losses were greatest for the tasks in which there were the greatest gains in performance. These results are not in accord with general retention effects reviewed by Naylor and Briggs (1961) in which they found relatively small losses in performance over comparable periods of no practice.
There has been little emphasis on the characteristics of the input stimulus in studies of pursuit and compensatory tracking. It is commonly
known that an increase in the rate of movement for a continuous input results in poorer performance scores (see Senders, 1959; Noble, Fitts, and Warren, 1955) and that an increase in stimulus complexity also increases the difficulty (e.g., Conklin, 1957) on both display modes. No research has been found, however, that examines the effects of both of these variables on both tracking modes.
The fact that the above may be a valid area of study has been suggested by previous research. Two studies examined elsewhere in this paper (Senders and Cruzen, 1952; Senders, 1953) have indicated that the availability or perceptibility of information as to the direction, amplitude, rate, and acceleration of the input signal is a major determinant of tracking proficiency. This would seem to indicate that any increase in the predictability of an input would also enhance performance on the two types of tracking tasks. The fact that this variable may have a differential effect across modes is suggested by Poulton (1952a; 1952b; 1957) who used intermittency of presentation to determine cues in both display modes. He concluded that acquired knowledge of the stimulus is important for both kinds of tracking, but that it is more important in the compensatory mode, since the stimulus pattern is confounded by the process of tracking.
The purpose of the investigation was to examine the effects of rate of target movement and predictability of the input signal on both pursuit and compensatory tracking performance. Several predictions were made:
1. Differences in performance levels between pursuit and compensatory tracking would become greater as a function of an increase in rate. This would be indicated by a mode by rate (MxR) interaction in the analysis of variance computed on the data.
2. Performance on both modes would improve as the degree of stimulus predictability increased.
3. The pursuit mode would allow higher performance levels on the predictable and semi-predictable patterns that would the compensatory mode. In other words, it was predicted that distinctly different performance scores would be attained as a function of pattern predictability on the pursuit mode, whereas the compensatory trackers would be able to distinguish only the completely predictable pattern.
4. Performance would degrade in both modes as stimulus predictability decreased and rate increased.
5. As rate is increased, the effects of increasing predictability would be greater for the pursuit mode than for the compensatory. This would be indicated by an MxPxR interaction.
The first two predictions were suggested from results of previous studies which have shown: (a) only at low rates is compensatory tracking equivalent to or better than the pursuit mode; (b) predictability
enhances performance on both modes (e.g., Conklin, 1957).
The last three predictions were indicated by previous data. The third one was suggested from Senders' (1953) work on the availability of stimulus information. The pursuit tracker is able to perceive more of the pattern and, thus, should be able to discriminate the less predictable patterns better than the compensatory tracker.
Prediction 4 was a logical supposition based on studies which varied predictability (e.g., Conklin, 1957) and studies which varied rate (e.g., Noble, et al., 1955). The first found a decrease in performance with a decrease in predictability, and the second found a decrease in performance with an increase in rate. A combination of these conditions should cause performance deterioration to a greater extent than either condition separately.
The last prediction would follow from the first, third, and fourth predictions. At a higher rate of target travel, the subject may have to pre-program his response movements for several segments of the sequence in order to stay in phase with the target. If so, his performance must necessarily be poorer on the intermediate or partially predictable patterns than on the fixed patterns. His performance would also be worse on the compensatory mode because he would be receiving less information about pattern predictability. In a relative manner, his performance on a slower rate intermediately predictable pattern would be better than on its higher rate counterpart because he could pre-program fewer responses and
therefore correct himself when a random stimulus interrupts the fixed portion of the pattern.
METHOD
Subjects
The subjects were 144 undergraduate, right-handed male students enrolled in various sections of an introductory psychology course at Kansas State University. The subjects ranged in age from 17-28 years. Each subject was given research participation credit and/or paid for the six thirty-minute sessions for which he volunteered to serve.
Apparatus
The subjects were required to track in a one-dimensional, zero-lag (positional) control task. Input to the system was a constant rate triangular-wave function and the display was provided by a 5-in. cathode ray tube (CRT). The subjects' arm control consisted of a lateral beam pivoted at the elbow, with an adjustable handle grip. This control, free of viscous damping and not spring-centered, was attached to the right side of an adapted army dentist's field chair. The CRT display consisted of two 0.5-in. vertical lines which overlapped 0.125 in. when adjusted for zero tracking error.
The input of the triangular-wave function was provided by means of programmed punched tapes, read out by a commercial tape reader, converted to analog voltages by a digital to analog converter and flip-flop network and displayed on the CRT. For the pursuit mode of tracking the
target was the top line on the display and was the direct output of this programmer circuit. The position of the cursor was independently determined by the output of a potentiometer at the pivot of the subject's arm control. For the compensatory mode the target was the stationary upper line on the display and the lower line was the cursor. For this mode the deviation of the cursor at any point was the instantaneous difference between the input signal and the operator's response; that is, the error. Thus, when the subject was tracking perfectly the cursor was aligned with the target in the center of the scope.
Maximum travel of the target and cursor for the pursuit task and for the cursor for the compensatory task was ± 1.6 in. (± 4 cm.) along the horizontal axis. A control movement of ± 18.0 degrees was required to track the maximum amplitude of target and/or cursor movement. The subject was seated in the chair facing the scope. The distance from eyes to the scope was approximately 28 inches. Two identical subject booths were paralleled into the system so that two subjects could be run on the same pattern simultaneously.
Scoring was performed by means of an operational amplifier manifold so that the momentary error in volts was obtained as the absolute difference between the target and the cursor. This difference was integrated over each trial and read out continuously by means of two voltmeters, one for each booth.
The programming unit, integrating amplifiers, intertrial intervals,
and subjects' warning buzzers were automatically controlled with Hunter interval timers. This tracking system is identical in all essential respects to the Kansas State University Versatile Electronic Tracking Apparatus (VETA) which has been described elsewhere (Trumbo, Eslinger, Noble, and Cross, 1963).
An intercom system was used to relay knowledge of results of the integrated error scores for every other trial during the 12-second rest period. The booths were fairly well sound proofed, and, in addition, white noise was piped in over loudspeakers two feet above and to the right of each subject to mask external noise.
Low ambient illumination was provided by shaded 10-watt night lights above and behind each subject.
**Experimental Variables**
**Task**
Each of the 18 groups received a continuous triangular-wave input which varied ±4 cm. from the center along the horizontal axis of the CRT. Nine reversal positions, 1 cm. apart, produced eight distinct 1 cm. lengths of target movement from 1.0 to 8.0 cm. Trials were 72 seconds, separated by a 12-second rest period and anticipated by a 2-second warning buzzer.
Tracking Mode
Two modes of tracking were used: pursuit and compensatory. In the pursuit condition the subject was presented with two slightly overlapping vertical lines called the target (top line) and the follower or cursor (bottom line). The target movement was controlled by external sources (punched tape), and the cursor was controlled by the subject's manipulation of his arm control. The subject's task was to keep the cursor aligned with the target throughout each trial period. A quail hunter following a flushed bird over his gun barrel while standing still is an example of pursuit tracking.
In the compensatory condition the subject was presented with the same two vertical lines except that the target was now a stationary reference point, and the deviation of the cursor from this point represented the difference between the input signal and the subject's response. If the subject responded perfectly, the cursor would never move from the reference target. A radar operator maintaining a target pip in the center of his scope, or a motorist attempting to maintain a constant speed by keeping the speedometer needle on a certain mark are examples of compensatory tracking.
Predictability
Three levels of stimulus predictability were used: Fixed, I3X, and Random. The Fixed pattern was composed of the eight distinct segment
lengths (1.0 to 8.0 cm.) arranged so that the sequence began in the middle position and returned to the middle, from the opposite direction, at the end of one repetition in order that each following sequence would begin in the same direction. These limitations provided only a few possible sequences and one of these was chosen and is given in diagrammatic form in Appendix A. The total length of one sequence, which was the sum of the eight distinct line segments, was 36 cm., and this determined the minimum time for one repetition at the slowest (1.0 cm./sec.) rate to be 36 seconds. A minimum of two repetitions per trial was used thus making the trial length 72 seconds.
The I3X or semi-fixed pattern was constructed by inserting a quasi-randomly drawn segment into the basic fixed pattern at every fourth segment interval. The pattern began with the first three segments of the fixed pattern. The fourth segment, however, was randomly chosen with the restriction that its length did not exceed the ±4 cm. range of the CRT measured from that particular reversal point. The next three segments were those of the fixed pattern--the first segment being the one which normally had its starting point at the end point of the random segment. This procedure was repeated until appropriate trial length (approximately 72 seconds) was achieved. (Appendix A gives the complete sequence for three complete trials).
For the Random pattern all segments were randomly chosen with the following restrictions: trial length equaled approximately 72 seconds.
and each succeeding segment was in the opposite direction of travel of the preceding segment.
These three input programs were identical for both pursuit and compensatory tasks.
**Rate**
Three rates of target movement were used: one, two, and three cm. per second. These rates were controlled by a constant voltage input being fed into an integrator which gave the resulting constant rate output on the CRT. For example, a five-volt input yielded a rate of movement of 1 cm./sec. with the polarity of the voltage determining the direction (left or right) of target movement. The basic fixed pattern at the slowest (1 cm./sec.) rate repeated two times during each trial, while for the 2 cm./sec. and 3 cm./sec. rates it repeated four and six times, respectively. Thus, the basic pattern at the 1 cm./sec. rate had a frequency of 0.125 cps (nine reversal points--two repetitions) while for the 2 cm./sec. and 3 cm./sec. rates the frequencies were 0.25 cps and 0.375 cps, respectively.
**Design**
A 2x3x3 factorial experiment was used with eight subjects randomly assigned to each of the 18 groups (Table 1). The first factor was the tracking task with one-half of the subjects performing with the compesatory display and the other half using the pursuit display. The three levels of stimulus predictability constituted the second factor. One-third of the subjects tracked in each predictability level. The last factor was the rate of target movement, and one-third of the subjects tracked at each rate. A total of 100 acquisition or training trials and twenty retention trials were given each subject. Twenty trials were given each day for five successive days. Twenty retention trials were given on one day after a period of no practice which ranged from five to six weeks with an average interval of 5.2 weeks.
Table 1
Experimental Design
Mode 1
Compensatory
Fixed
I3X
Random
Rate 1
Rate 2
Rate 3
Rate 1
Rate 2
Rate 3
Rate 1
Rate 2
Rate 3
Mode 2
Pursuit
Fixed
I3X
Random
Rate 1
Rate 2
Rate 3
Rate 1
Rate 2
Rate 3
Rate 1
Rate 2
Rate 3
Procedure
Because of equipment limitations it was possible to run only a single tracking mode each week. Within this mode, however, all three rates and all three levels of predictability could be administered. With this restriction, all subjects were assigned by order of appearance to a randomly chosen pattern and rate within the mode which was selected for that week.
Subjects were run in pairs and both subjects were given instructions in booth 1 with the subject assigned to that booth seated in the control chair, and the subject assigned to booth 2 standing next to him with a clear view of the CRT.
Depending on which tracking mode was assigned, the pursuit or compensatory set of instructions was read to the subjects (these are given in their entirety in Appendix B). These explained the nature of the task, performance evaluation through error scores, and feedback of these scores. The strategies of anticipation of direction change and constant rate of movement of the arm control were also pointed out. Subjects were told to look for redundancies in the patterns, but were not told which pattern they would have. They were also told that the pattern would remain the same throughout training. Any questions they had were answered at the end of the instruction period. When the subjects returned for their retention session, they were briefed on pertinent points:
nature of the task, scoring, feedback, types of patterns, and number of trials.
RESULTS
Acquisition
The integrated error scores for the eighteen groups are given in Figs. 1 and 2. Acquisition and retention curves for the compensatory mode \((M_1)\) are shown in the first, and data for the pursuit mode \((M_2)\) are given in the latter figure. The mean integrated error scores are based on blocks of five trials with blocks 1-4, 5-8, 9-12, 13-16, 17-20 representing days 1-5, respectively, for the acquisition phase. The means for the first trial are also shown in order to indicate the relative starting positions of each group. For the retention phase, blocks 1-4 represent the 20 trials of the single retention period in five trial blocks.
In order to examine as many aspects of the data as possible, two separate analyses of variance were computed for the acquisition phase. A \(2 \times 3 \times 3 \times 5\) complete factorial, with eight subjects per group, two modes of tracking, three levels of predictability, three rates of target travel, and with five blocks of the 20 trials conducted each day as a within-subject measure, is summarized in Table 2. Trials were grouped into blocks representing days mainly to simplify computations since interest was in the overall trend of the practice effects and their interactions with experimental variables.
The second analysis was performed on the last block of five acquisition trials in order to examine proficiency levels at the end of training.
Fig. 1. Integrated error scores for the compensatory tracking mode for acquisition and retention.
Fig. 2. Integrated error scores for the pursuit tracking mode for acquisition and retention.
KEY
Rate 1 — Fixed ▲
Rate 2 .... I-3x ■
Rate 3 --- Random ●
Table 2
Summary of Analysis of Variance for Blocks 1 Through 5
of Acquisition Phase
| Source of Variation | df | SS | MS | F |
|---------------------|------|--------|-------|--------|
| Between Ss | 143 | 3586.118 | | |
| M (mode) | 1 | 653.786 | 653.786 | 219.908*** |
| P (predictability) | 2 | 95.971 | 47.986 | 16.141*** |
| R (rate) | 2 | 2231.431 | 1115.716 | 375.283*** |
| MxP | 2 | 11.459 | 5.730 | 1.927n.s. |
| MxR | 2 | 172.096 | 86.048 | 28.943*** |
| PxR | 4 | 34.862 | 8.716 | 2.932* |
| MxPxR | 4 | 11.561 | 2.890 | <1.0 |
| Ss/gps. (error betw.) | 126 | 374.952 | 2.973 | |
| Within Ss | 576 | 374.036 | | |
| B (blocks) | 4 | 214.989 | 53.747 | 410.282*** |
| BxM | 4 | 23.478 | 5.870 | 44.809*** |
| BxP | 8 | 9.245 | 1.156 | 8.824*** |
| BxR | 8 | 38.946 | 4.868 | 37.160*** |
| BxMxP | 8 | 5.892 | 0.736 | 5.618*** |
| BxMxR | 8 | 5.328 | 0.660 | 5.038*** |
| BxPxR | 16 | 5.860 | 0.366 | 2.794*** |
| BxMxPxR | 16 | 4.468 | 0.279 | 2.130*** |
| BxSs/gps. (error w/in.) | 504 | 65.830 | 0.131 | |
| Total | 719 | 3960.154 | | |
* Significant at .05 level
** Significant at .01 level
*** Significant at .001 level
The lay-out of this analysis was identical to the first one except that there were no within-subject measures. The summary of the computations is given in Table 3.
As expected, all main effects were highly significant (p < .001) for both analyses. Integrated error scores at the end of training were higher (7.3 volt mean for the nine conditions) on the compensatory mode than the scores on the pursuit mode (3.9 volt mean for all nine conditions). This difference was also illustrated by the range of scores for each mode: the range of scores over the compensatory conditions was 9.7 volts (2.7 volts to 12.4 volts), and for the pursuit conditions was 4.9 volts (1.5 volts to 6.4 volts).
Input predictability was also a significant effect, indicating that some of the differences in performance were attributable partly to the different levels of difficulty.
Significance of the rate factor suggested that decrements in performance were caused, in part, by the increase in the velocity of the target. Effects of different levels of rate interacted with both the levels of predictability and across modes. The MxR effect is given graphically in Fig. 3 for the last block of trials, and it is almost identical in appearance to the interaction summed across blocks. Since differential effects were indicated by the significant F-term, a Fisher's LSD (Snedecor, 1956) was computed to allow individual comparisons to be made (LSD= 0.776). Results indicated that there was no difference in performance
Table 3
Summary of Analysis of Variance for Block 20
of Acquisition Phase
| Source of Variation | df | SS | MS | F |
|---------------------|----|-------|--------|--------|
| M (mode) | 1 | 73.046| 73.046 | 125.720** |
| P (predictability) | 2 | 29.292| 14.646 | 25.260** |
| R (rate) | 2 | 329.458| 164.729| 283.527** |
| MxP | 2 | 1.079 | 0.539 | <1.0 |
| MxR | 2 | 26.032| 13.016 | 22.402** |
| PxR | 4 | 9.593 | 2.398 | 4.127* |
| MxPxR | 4 | 1.333 | 0.333 | <1.0 |
| Error | 126| 73.246| 0.581 | |
Total 143 543.079
* Significant at .005 level
** Significant at .001 level
Fig. 3. Interaction of mode with rate at the end of the acquisition phase. Brackets denote non-significance between incorporated points.
Fig. 4. Interaction of predictability with rate at the end of the acquisition phase. Brackets denote non-significance between incorporated points.
between modes at the slowest rate ($R_1$), but that performance was significantly different at the two faster rates.
Interpretation of the effects of the Rate and Predictability interaction (P×R) was slightly more complex (Fig. 4). Again, an LSD was computed (LSD=0.709) and comparisons were made between levels of predictability at each rate. At $R_1$ there was no difference in the performance among the three input patterns. At $R_2$, however, performance on the Fixed pattern differed from the Random pattern, while performance on the I3X pattern was not different from the other two. For the fastest rate ($R_3$) separations of both the Random and I3X patterns from the Fixed pattern were significant.
The effects of the independent variables and their interactions across blocks of trials are listed at the bottom of Table 2. This analysis was computed in order to establish that there were no large differences among variables during the learning phase. Because of the large number of degrees of freedom, and the apparent preciseness of the experiment which resulted in a very small error term, all interactions were highly significant. Examination of the graphs of these interactions, however, revealed no startling differences in performance from day to day. The significance of the main block effect (B) indicated that there was some overall improvement in performance as a result of practice. This same conclusion was drawn regarding the significant interactions of the block effect with each independent variable, that is, increases in performance
occurred differentially among various levels of each factor. This was a logical finding since the various levels of each main effect must have differed at some point or points during the acquisition phase in order to be significant overall and at the terminal point.
The three second-order interactions and single third-order interaction were illustrations of the extreme sensitivity of the analysis due to the small error term. Examination of the graphs of these effects (not shown) indicated that the curves of the two-way interactions across blocks differed slightly when compared to the third variable. For example, in the BxMxP effect the BxP curves for M1 were similar to those of M2 except for the compensatory-fixed pattern. Apparently this was sufficient to result in a significance term even though the MxP interaction itself was not significant, either when averaged over blocks or at the terminal point (see Tables 2 and 3). Examination of the raw data revealed that three of eight subjects in the Compensatory-Fixed-R2 condition were "poor" starters, that is, their scores were abnormally high, and this succeeded in raising the average performance for that cell to a value higher than the I3X or Random groups. By the end of training, however, these subjects had improved so that their scores matched those of the remainder of the group (see Fig. 1). This also occurred to a lesser degree with the Compensatory-Fixed-R3 condition to the extent that the mean value after the first ten trials was higher than that of the I3X cell. By the end of training the deviant scores also had dropped to a level comparable to the rest
of the group. Apparently some subjects at the more difficult levels of a compensatory task have considerable difficulty in grasping the concept of compensating for the cursor's movements, but, given sufficient training, they can attain an adequate level of performance.
Retention
To test for significant effects which may have occurred over the 5-6 week retention period, an analysis of variance using the same three main effects (mode, rate, and predictability) was computed. The last block of five trials of the acquisition data and the first block of five trials of the retention phase were the two repeated measures in the design. During the retention phase a total of 26 subjects were lost due to incorrect calibration of the equipment (21) or failure to return (5). These losses were spread over nine of the eighteen retention groups, thereby creating an unequal n situation.
In addition, the three complete groups at the Compensatory-R₃ task (24 subjects) had to be discarded because a faulty timer had decreased trial length and thereby decreased the error scores for those groups. An examination of these scores indicated that their relationship to each other was constant over the retention interval--indicating a decrease in magnitude but no change in the experimental relationship. A trial analysis of variance (including the "bad" data) on all groups across the retention interval showed no overall block effect, that is, no gains or losses
occurred over the retention interval. Considering the type of shift, the nature of the overall results, and initial analysis data, it was decided that these three data points could be estimated effectively. Since no correction factor based on the system error was readily available, the values were estimated statistically.
Compensation for unequal subjects within cells was done using an unweighted means analysis (Winer, 1962; Snedecor, 1956). This analysis involves using group means as single observations within cells, and then multiplying these values by the harmonic mean which was the sum of the reciprocals of the number of subjects within each group. Since a single mean per cell was used, it was then feasible to estimate the means for the three missing cells using the iterative method explained in Snedecor (p. 312).
Table 4 summarizes the analysis. The independent variables were again highly significant ($p < .001$) suggesting that the effects obtained in the acquisition phase were still in evidence over the retention interval. The interaction of mode with rate (MxR) was also highly significant, indicating that the difference in performance on the two modes increased with an increase in target velocity.
The PxR relationship found in acquisition failed to appear at the retention interval. That this absence may be attributed to the effects of estimating the means for the three missing Compensatory-R$_3$ groups may be seen from an examination of Fig. 4. The greatest degree of interaction
Table 4
Harmonic Means Analysis for Retention Interval Using Block 20 of Acquisition and Block 1 of Retention as Repeated Measures
| Source of Variation | df | SS | MS | F |
|---------------------|----|-------|--------|--------|
| Between Ss | 143| 710.812 | | |
| M (mode) | 1 | 87.632 | 87.632 | 67.879*|
| P (predictability) | 2 | 23.583 | 11.792 | 9.134* |
| R (rate) | 2 | 402.735| 201.368| 155.978*|
| MxP | 2 | 1.748 | --- | --- |
| MxR | 2 | 24.377 | 12.188 | 9.441* |
| PxR | 4 | 7.122 | 1.780 | 1.379n.s.|
| MxPxr | 4 | 0.927 | --- | --- |
| Ss/gps. (error betw.) | 126| 162.688| 1.291 | --- |
| Within Ss | 95 | 116.813 | | |
| B (blocks) | 1 | 0.945 | --- | --- |
| ExM | 1 | 0.041 | --- | --- |
| BxP | 2 | 1.120 | --- | --- |
| ExR | 2 | 0.395 | --- | --- |
| ExMxP | 2 | 0.564 | --- | --- |
| ExMxR | 2 | 0.170 | --- | --- |
| BxPxR | 4 | 0.977 | --- | --- |
| ExMxPxR | 4 | 1.271 | --- | --- |
| BxSs/gps. (error w/in.) | 77 | 111.330| 1.446 | --- |
| Total | 238| 827.625 | | |
* Significant at .001 level
$\bar{n}_h = 4.589$
occurred at $R_3$ where both the Random and I3X patterns differed significantly from the Fixed pattern. The estimation procedure for the missing values at this point treated them as independent variables, and the values obtained did not contain "interaction effects." Therefore, in order for the PxR term to have manifested significance, it would have had to depend on half of the observations at the $R_3$ point, along with the observations at the $R_2$ point where differences were not as large. These differences apparently were not great enough to show a significant effect in this analysis.
Neither the block effect ($\beta$) nor any of the interactions of the main effects with blocks were significant, thus indicating no changes in performance (gains or losses) over the retention interval.
DISCUSSION
Acquisition
Results indicated that performance on both the pursuit and compensatory displays deteriorated as the rate of target movement increased. This was expected, for as Senders (1959) observed, "For virtually all signals, for practically any tracking system, and irrespective of the criterion chosen, system performance gets worse as frequency or velocity increases." (p. 7)
As an explanation of this general deterioration in performance, Noble, et al. (1955), in studying frequency response in a pursuit task, stated that, although the subject could probably:
discriminate and/or produce the required amplitudes of movement, ... his inability at these [high] frequencies to perceive the temporal relations between stimulus and response patterns and to control the temporal organization of his own motor behavior...
was the probable cause of this loss of proficiency. Examination of Figs. 1 and 2 suggested that this may indeed have been true here. As rate increased, error scores for both displays increased, but, in general, scores on the more predictable patterns were lower than those on the less predictable patterns for a particular rate. This suggested that amplitudes (Noble, et al., used simple sinusoids) as well as more difficult repeatable sequences were discriminable, but that temporal errors (phase differences between target and cursor) may have been the cause of the
increased error scores.
The fact that the effects of faster response rates may be offset by patterning the input is shown in Fig. 2 for the pursuit display. The subjects were able to learn the Fixed-R\textsubscript{3} pattern well enough so that there was no difference at the end of training between it and both the Random and I3X patterns of the slower R\textsubscript{2}. Furthermore, there was no difference between the Fixed-R\textsubscript{2} pattern and the Random and I3X patterns for R\textsubscript{1}, although the R\textsubscript{2} score did not fall below either of the R\textsubscript{1} scores. It appeared that Senders' (1953) conclusion that performance differences between these two displays is a function of the availability of information regarding direction, amplitude, rate, and acceleration of the target applies directly to the informational characteristics of the input as well as to the amount of pursuit component in a task.
As expected, the first prediction was verified, that is, performance on the pursuit mode became increasingly superior to that on the compensatory mode as the rate increased. Examination of the MxR interaction (Fig. 3) revealed that no significant difference existed between modes at R\textsubscript{1}, but as target velocity increased, separation between the two modes also increased so that a difference existed at both of the higher rates. This finding was in general accord with studies (see Brigg's 1962 review) comparing performance as rate increased on both tracking conditions.
Prediction 2 was also verified: for any given rate, performance on both modes improved as the degree of stimulus predictability increased.
The results on the pursuit mode were similar to those obtained on the earlier unpublished pursuit tracking study mentioned in the Introduction. Since the input patterns were equated for number of cycles and total distance traveled by the target, differential performance indicates that the subjects who were presented the predictable patterns apparently were able to use this information to anticipate future responses.
The third prediction was that the subjects trained on the pursuit mode would better utilize predictability information and track better than their counterparts on the compensatory task, since the information would have greater availability under pursuit than under compensatory conditions. The findings suggested this but did not verify it since there was no significant MxP interaction term in either analysis. It was assumed that subjects on the Pursuit-I3X patterns would be able to discriminate the repeatable portions of the pattern, and thereby perform better than subjects with the Random pattern, while subjects on the Compensatory-I3X tasks would not be able to utilize the input redundancies because of the type of display. Error scores for subjects on the Pursuit-I3X patterns at $R_1$ and $R_2$ were different at the 0.10 probability level from those for the Random patterns, suggesting a tendency for this to occur. However, similar comparisons for the Compensatory display showed almost no difference in error between I3X and Random conditions.
Evidence for the fourth prediction that performance would degrade in both modes as stimulus predictability decreased and rate increased is
presented in Fig. 4. At the slowest rate of movement, no differences existed, but, as rate increased, a significant difference occurred between the Fixed and Random patterns for both modes. At $R_3$ further separation occurred so that the I3X pattern was also different from the Fixed.
These results suggested that at $R_1$ the rate of target movement was slow enough to enable the subject to respond adequately to all levels of predictability. At faster rates of target movement performance on the Fixed pattern was significantly better than on the less predictable patterns indicating that the subjects' responses were facilitated by the redundancies in this pattern. It was expected that differential performance would be evident between the I3X and Random patterns but this was not apparent.
The fifth prediction assumed that the subjects on the pursuit task would show greater improvement on the Fixed and I3X patterns than would those tracking in the compensatory mode. Subjects on both modes were able to use the complete repeatability of the Fixed pattern, but neither group could distinguish the I3X from the Random pattern. As indicated in the discussion of the third prediction, the data did suggest that the fixed portions of the I3X pattern apparently facilitated performance because there was a difference between the Random and I3X patterns at the .10 level of the pursuit task. On the compensatory task there was no difference between the I3X and Random patterns, suggesting that the relatively minute amount of information presented to the subject was inadequate in
that he was unable to use the repeatable portions of the I3X pattern.
It should be mentioned that the data may also support the counter-argument that subjects on both modes were able to perceive differences in predictability, but that the perceptual limitations of the compensatory task did not permit them to become very apparent. That is, terminal scores of the conditions in both modes lie mainly in the order of their predictability (Fixed-I3X-Random). Though there were significant differences only between the Fixed and I3X or Fixed and Random sequences, this general ranking would suggest that learning may have occurred on both modes for the Fixed and I3X patterns, but that the confounding of the subject's responses with the input on the compensatory display masked this conclusion. Depending on the amount of learning that occurred on each tracking mode, the differences between pursuit and compensatory would then be both learning and performance differences. The limiting case would be if compensatory trackers learned as much as pursuit trackers. The differences would then be totally performance differences and not learning differences. This suggestion would support that of Briggs and Rockway (1966) that these measures are performance and not learning.
Retention
Results of the retention analysis (Table 4) clearly showed no losses in performance over the 5.2 week average retention interval. The sumsof-squares from acquisition phase to retention phase (Blocks) was less than unity, as were all of the possible interactions. The F-values of the main effects summed across this interval were at the same significance level ($p < .001$) as they were during acquisition (Tables 2 and 3). Differences of performance between modes as a function of rate of target movement was similarly significant. As previously stated in the Results section, no conclusions may be drawn regarding the interaction of predictability with rate for this phase because of the estimated values for the Compensatory-R$_3$ tasks.
The conclusion that there were no losses in performance over the retention interval as measured by the integrated error data was in general agreement with the findings of Naylor and Briggs (1961). The results were contrary to the earlier triangular-wave study where performance on the predictable patterns showed losses over a one-month retention interval. Part of this difference may be due to differential practice. In the first study the acquisition phase consisted of 55 trials over a three-day interval, and for the present study subjects received 100 trials over a five-day period. Examination of performance curves for both experiments revealed that subjects on the fixed conditions for the prior study were still improving their performance at the end of the 55 trials, while the performance of subjects in the present study had reached a stable level by the end of 100 trials. Subjects in the first study apparently did not receive sufficient practice to completely learn and retain the pattern,
while subjects in the present study appeared to have learned and even overlearned the pattern. This interpretation is supported by Naylor and Briggs' (1961) review in which tasks learned to an adequate level suffered little or no losses during retention.
The agreement of these findings with those in the review article does not necessarily imply contradiction to the findings of Trumbo, Noble, Cross, and Ulrich (1965), who found substantial losses over retention intervals "for those tasks in which greatest gains were realized during training." By examining individual trials of subjects over the total learning and retention period, the authors concluded that a loss in temporal accuracy was the most critical factor for skill retention losses in a task employing a step-function input. For a triangular-wave task the temporal accuracy may also deteriorate during the retention interval, but this would not be evident from the integrated error data. Since the error in both tasks is proportional to the distance and time the cursor is away from the target, very little error would build up due to timing inaccuracies in a constant rate task because the distance between the two increases more slowly than it would on a step-function task. It follows then, that, in terms of performance as measured by integrated error scores, spatial accuracy (i.e., learning the spatial positions), and rate-matching skills may be much more important for a constant rate task than for a discrete task.
Summary
The effects of task predictability and task rate on pursuit and compensatory tracking tasks were studied using a continuous-wave, constant-rate input function with nine reversal points displayed on a CRT.
A 2x3x3 factorial design was used with comparisons between two tracking modes (pursuit and compensatory), three levels of predictability (Fixed, I3X, and Random), and three rates of target velocity (1, 2, and 3 cm./sec.).
It was assumed from a review of previous research that the effects of task predictability would be affected by the type of tracking task and target velocity. Five predictions were drawn from the research:
1. Differences in performance levels between pursuit and compensatory tracking would become greater as a function of an increase in rate. This would be indicated by a mode by rate (MxR) interaction in the analysis of variance computed on the data.
2. Performance on both modes would improve as the degree of stimulus predictability increased.
3. The pursuit mode would allow higher performance levels on the predictable and semi-predictable patterns than would the compensatory mode. In other words, it was predicted that distinctly different performance scores would be attained as a
function of pattern predictability on the pursuit mode, whereas the compensatory trackers would be able to distinguish only the completely predictable pattern.
4. Performance would degrade in both modes as stimulus predictability decreased and rate increased.
5. As rate is increased, the effects of increasing predictability would be greater for the pursuit mode than for the compensatory. This would be indicated by an MxPxR interaction.
Results indicated that:
1. Performance on the pursuit mode became superior to that of the compensatory mode as a function of an increase in rate.
2. Performance as a whole was facilitated by an increase in stimulus predictability.
3. There was a tendency for subjects on the pursuit mode to discriminate between the I3X and Random patterns, but no such tendency was observed on the compensatory mode.
4. An interaction between stimulus rate and task predictability was observed in that, as rate increased, performance on the semi-predictable (I3X) pattern degraded.
5. The deterioration in performance due to the above interaction appeared to be greater in the compensatory mode.
6. No significant retention effects were found for either tracking display.
The overall results tended to support Sender's (1953) hypothesis that tracking proficiency (as measured by performance scores) is determined by the availability of information as to direction, rate, amplitude, and acceleration. It has been suggested by this study that availability of information applies to recurring or redundant patterns of the input stimulus as well as to the amount of pursuit component present in a task as demonstrated by Senders. The results also independently tend to support the conclusion that the superiority of the pursuit mode may be due to performance differences and that learning effects may be approximately equal.
ACKNOWLEDGMENTS
I am indebted to Drs. Merrill E. Noble and Don A. Trumbo for their financial support of this project through Contract NsG 606 between Kansas State University and the National Aeronautics and Space Administration.
Now that this task has been completed and the tension has dissipated, I would like to thank my major advisor, Dr. Trumbo, for his advice and encouragement with this paper.
To those who assisted with the data collection--Rich Wharton, Verna Corke and Jane Quigley--it's been a pleasure.
Special recognition is preferred to my wife, Susan, who had the most demanding task--translating my scrawlings into readable typewritten copy.
REFERENCES
Andreas, B.G., Green, R.F., & Spragg, S.D.S. Transfer effects between performance on a following tracking task (modified SAM Two-Hand Coord. Test) and a compensatory tracking task (modified SAM Two-Hand Pursuit Test). *J. Psychol.*, 1954, 37, 173-183.
Bahrick, H.P., Pitts, P.M., & Briggs, G.E. Learning curves--facts or artifacts? *Psych. Bull.*, 1957, 54, 256-258.
Bowen, J.H., & Chernikoff, R. The effects of magnification and average course velocity on compensatory tracking. NRL Report 5186, U.S. Naval Res. Lab., Wash., D.C., August 1958.
Briggs, G.E. Pursuit and compensatory modes of information display: a review. Tech. Doc. Rep. No. AMRL-TDR-62-93, Wright-Patterson Air Force Base, Ohio, August 1962.
Briggs, G.E., & Rockway, M.R. Learning and performance as a function of the percentage of pursuit component in a tracking display. *J. exp. Psychol.*, 1966, 71, 165-169.
Chernikoff, R., Birmingham, H.P., & Taylor, F.V. A comparison of pursuit and compensatory tracking under conditions of aiding and no aiding. *J. exp. Psychol.*, 1955, 49, 55-59.
Chernikoff, R., & Taylor, F.V. Effects of course frequency and aided time constant on pursuit and compensatory tracking. *J. exp. Psychol.*, 1957, 53, 285-293.
Conklin, J.E. The effect of lag on operator efficiency in a tracking task. *J. exp. Psychol.*, 1957, 53, 261-268.
Garvey, W.D., & Henson, J.B. Interactions between display gain and task-induced stress in manual tracking systems, NRL Report 5204, U.S. Naval Res. Lab., Wash., D.C., October 1958.
Pitts, P.M., Marlowe, E., & Noble, M.E. The interrelations of task variables in continuous pursuit tasks: I. Visual-display scale, arm-control scale, and target frequency in pursuit tracking. HRRC Research Bulletin 53-34, Human Resources Research Center, Lackland A.F. Base, Texas, Sept. 1953.
Fitts, P.M., Noble, M.E., Bahrick, H.P., & Briggs, G.E. Skilled performance: Parts I & II. USAF WADC final Rep., 1959, No. AF 41 (657)-70.
Hartman, B.O. The effect of target frequency on pursuit tracking. AMRL Report 263, Army Med. Res. Lab., Fort Knox, Kentucky, March 1957 (a).
Hartman, B.O. The effect of target frequency on compensatory tracking. AMRL Report 272, Army Med. Res. Lab., Fort Knox, Kentucky, April 1957 (b).
Hartman, B.O., & Fitts, P.M. Relation of stimulus and response amplitude to tracking performance. J. exp. Psychol., 1955, 49, 82-92.
Howell, W.C., & Briggs, G.E. The effects of visual noise and locus of perturbation on tracking performance. J. exp. Psychol., 1959, 58, 166-173.
Naylor, J.C., & Briggs, G.E. Long-term retention of learned skills: A review of the literature. USAF ASD tech. Rep., 1961, No. 61-390.
Noble, M.E., Fitts, P.M., & Marlowe E. The interrelations of task variables in continuous pursuit tasks: II. Visual-display scale, arm-control scale, and target frequency in compensatory tracking. HRRC Res. Bull. 53-55, Human Resources Res. Center, Lackland A.F. Base, Texas, 1953.
Noble, M.E., Fitts, P.M., & Warren, C.E. The frequency response of skilled subjects in a pursuit tracking task. J. exp. Psychol., 1955, 49, 249-256.
Poulton, E.C. Perceptual anticipation in tracking with two-pointer and one-pointer displays. Brit. J. Psychol., 1952 (a), 43, 222-229.
Poulton, E.C. The basis of perceptual anticipation in tracking. Brit. J. Psychol., 1952 (b), 43, 295-302.
Poulton, E.C. On the stimulus and response in pursuit tracking. J. exp. Psychol., 1957, 53, 189-194.
Rockway, M.R. The effect of variations in control-display ratio and exponential time delay on tracking performance. WADC Tech. Rep. 54-618, WADC, Ohio, 1954.
Rockway, M.R. The effect of variations in control-display during training on transfer to a "high" ratio. WADC Tech. Rep. 55-366, WADC, Ohio, 1955.
Rockway, M.R., Eckstrand, G.A., & Morgan, R.L. The effect of variations in control-display ratio during training on transfer to a low ratio. WADC Tech. Rep. 55-10, WADC, Ohio, 1956.
Senders, J.W. The influence of surround on tracking performance: Part I. Tracking on combined pursuit and compensatory one-dimensional tasks with and without a structured surround. WADC Tech. Rep. 52-229, WADC, Ohio, 1953.
Senders, J.W., & Cruzen, M. Tracking performance on combined compensatory and pursuit display. WADC Tech. Rep. 52-39, WADC, Ohio, 1952.
Senders, J.W. Human tracking behavior. MH Aero Document U-ED 6141, Minn. Honeywell Regulator Co., Minneapolis, Minn., 1959.
Snedecor, G.W. *Statistical Methods*, Ames Iowa: Iowa State Univer. Press, 1956.
Trumbo, D., Eslinger, R., Noble, M.E., & Cross, K. Versatile electronic tracking apparatus (VETA). *Percept. mot. Skills*, 1963, 16, 649-656.
Trumbo, D., Noble, M.E., & Ulrich, L. Number of alternatives and sequence length in acquisition of a step-function tracking task. *Percept. mot. Skills*, 1965, 21, 563-569.
Trumbo, D., Ulrich, L., & Noble, M.E. Verbal coding and display coding in the acquisition and retention of tracking skill. *L. appl. Psychol.*, 1965, 49, 368-375.
Trumbo, D., Noble, M.E., Cross, K., & Ulrich, L. Task predictability in the organization, acquisition, and retention of tracking skill. *L. exp. Psychol.*, 1965, 70, 252-263.
Winer, B.J. *Statistical Principles in Experimental Design*, New York: McGraw-Hill, 1962.
APPENDICES
APPENDIX A
Construction of the Fixed, I3X, and Random Patterns
All sequences begin and end at the center of the CRT. Units are in centimeters with the maximum range of target travel ± 4 centimeters. R and L denote movement to the right and left as seen by an observer facing the CRT. Data for the 1 cm./sec. rate (R₁) is shown. R₂ and R₃ were constructed in similar fashion with the necessary increase in cyclic rate due to the increase in rate of movement. The I3X pattern is three trials long to prevent "random" portions of the pattern from occurring too frequently. Underlined figures are the random values. The random pattern was also three trials long to increase "randomness."
| Fixed | I3X | Random |
|-------|-----|--------|
| | #1 | #2 | #3 | #1 | #2 | #3 |
| 4R | 4R | 4R | 4R | 1R | 4R | 2L |
| 8L | 8L | 8L | 8L | 3L | 8L | 6R |
| 6R | 6R | 6R | 6R | 1R | 3R | 8L |
| 5L | 4L | 6L | 1L | 2L | 2L | 4R |
| 7R | 1R | 6R | 1R | 7R | 6R | 1L |
| 3L | 3L | 5L | 2L | 2L | 6L | 5R |
| 1R | 6R | 7R | 4R | 1R | 3R | 7L |
| 2L | 1L | 3L | 1L | 5L | 1L | 4R |
| 4R | 1R | 1R | 1R | 3R | 3R | 1L |
| 8L | 2L | 2L | 3L | 1L | 4L | 5R |
| 6R | 4R | 4R | 1R | 3R | 4R | 8L |
| 5L | 2L | 2L | 4L | 6L | 2L | 4R |
| 7R | 7R | 7R | 1R | 4R | 1R | 2L |
| 3L | 3L | 3L | 3L | 2L | 5L | 5R |
| 1R | 1R | 1R | 6R | 5R | 8R | 1L |
| 2L | 6L | 2L | 2L | 7L | 8L | 2R |
| 6R | 4R | | | 4R | 4R | 6L |
| 2L | 8L | | | 5L | 2R | |
| | 6R | | | 6R | | |
| | 2L | | | 3L | | |
| | | | | 1R | | |
APPENDIX B
Instructions
Pursuit
The task in which you will be participating this week is called a tracking task. The upper line on the scope (E points to the target line) is called the target. When we begin you will see this line move back and forth at a constant rate of speed, reversing itself at different points along the horizontal axis. The lower line is called the follower or cursor (E points to the cursor). The position of this line is determined by the position of your arm control. Try moving the arm control back and forth to see how it works. Your task in this experiment is to keep the follower as nearly superimposed on the target as possible while the target is moving back and forth across the screen. It will look like this when you have the follower positioned properly (E superimposes the cursor on the target).
The primary way in which your performance will be evaluated is in terms of your error score. Error in this case is the amount by which the position of the target and the follower differ. For example, if the position of the follower is here with respect to the target (E positions the follower so that it is not superimposed on the target) this difference (E points out difference between the target and the cursor) represents the error and this error accumulates all during the time the follower is not
superimposed on the target. If there is a large difference between the target and the follower, the error score will build up very rapidly. If there is only a small difference, the error score will build up more slowly. But remember, any time the two lines are not perfectly superimposed, there is always some error building up. At the end of a trial, which lasts about one minute, we record this score. So that you may have an idea of how well you are performing, we will tell you the score you made on every other trial. This will be done by announcing it over the intercom. This will be a number and will be meaningless at first. As you become more proficient, however, your scores will become smaller and smaller.
There are a couple of strategies that can be used to keep your error score as small as possible. One of these is anticipation. As you have more and more experience with the task, you may find that all or part of the sequence of movements repeat themselves during a trial. That is, the distance that the target travels and the positions on the scope where it reverses direction may become familiar so that you may anticipate the directional change. By anticipating this change you eliminate your reaction time which can add a great deal to your error score. The second strategy is, once you superimpose the follower onto the target, move the arm control at a constant rate and you will stay locked onto the target until it changes direction.
Remember, the sequence of movements or pattern may repeat itself
constantly in a completely fixed manner, or only parts of the pattern may repeat, or perhaps no part will repeat. Whatever type of pattern you do have, you will have it for the rest of the week. We do not tell you which of these patterns you will have—we want you to try to determine if there are recognizable parts in the sequence so that you can bring your score down by the strategies mentioned.
Each day you will have twenty one-minute trials with a fifteen-second rest period between each trial. During this rest period we will tell you your score every other time—remember the lower the score the better you are doing. Two seconds before the rest period is over a buzzer will sound and the next trial will begin. Do you have any questions?
Compensatory
The task in which you will be participating this week is what is called a tracking task. The upper line on the scope (E points to the target line) is called the target. This is a reference point and will remain stationary. The bottom line is called the follower or cursor (E points to the cursor). This line is controlled jointly by me in the control room by use of a programmed tape, and by you through manipulation of your arm control. Try moving the arm control back and forth to see how it works. Your task in this experiment will be to counteract the movement that we give to the cursor by moving the arm control in the opposite direction so
that it is brought back to the center and superimposed onto the reference target. Your task then is to maintain the follower exactly in the center of the scope, touching the reference line. A perfect job of tracking would be such that the cursor never deviates from the target. Naturally you will find this impossible to do because changes in direction of movement cannot be seen and only when the cursor suddenly deviates from the target will you know that you must change the direction of movement of your arm control.
An everyday example of this is trying to maintain a car at a constant rate of speed, say, 50 mph. The top line or target might be the 50 mph mark on the speedometer, and the lower line might be the speedometer needle. As you climb a hill, the tendency would be for the car to slow down and the needle would then fall to the left. To maintain the desired speed you would step on the gas (in this case the arm control is the gas control) to increase speed by moving the control to the right. As you top the hill and start down, you must decrease the gas (move the control to the left) because the increased speed would cause the needle to move past the 50 mph mark to the right. This is approximately the same thing you will be doing on this task--compensating for changes from a desired needle setting by manipulating your arm control.
The primary way in which your performance will be evaluated is in terms of your error score. Error in this case is the amount by which the position of the target and the follower differ. For example, if the position of the follower is here with respect to the target (E positions the follower so that it is not superimposed on the target) this difference (E points out difference between the target and the cursor) represents the error and this error accumulates all during the time the follower is not superimposed on the target. If there is a large difference between the target and the follower, the error score will build up very rapidly. If there is only a small difference, the error score will build up more slowly. But remember, any time that the two lines are not perfectly superimposed, there is always some error building up. At the end of a trial, which lasts about one minute, we record this score. So that you may have an idea of how well you are performing, we will tell you the score you made on every other trial. This will be done by announcing it over the intercom. This will be a number and will be meaningless at first. As you become more proficient, however, your scores will become smaller and smaller.
There are a couple of strategies that can be used to keep your error score as small as possible. One of these is anticipation. As you have more and more experience with the task, you may find that all or part of the sequence of movements that you must make with the arm control repeat themselves during a trial. That is, the distance that you move the control before a deviation from the target tells you to change direction may become familiar such that a sequence of these movements can be learned. Or perhaps only some of the movements may remain the same while others change. By anticipating these changes and not waiting for
the sudden deviation of the cursor from the center mark, you can eliminate your reaction time which will contribute a great deal to lowering your error score. The second strategy is, once you superimpose the follower on the target, move the arm control at a constant rate, and you will stay locked onto the target until a direction change occurs.
Remember, the sequence of movements or pattern may repeat itself constantly in a completely fixed manner, or only parts of the pattern may repeat, or perhaps no part will repeat. Whatever type of pattern you do have, you will have it for the rest of the week. We do not tell you which of these patterns you will have—we want you to try to determine if there are recognizable parts in the sequence so that you can bring your score down by the strategies mentioned.
Each day you will have twenty one-minute trials with a fifteen-second rest period between each trial. During this rest period we will tell you your score every other time—remember the lower the score the better you are doing. Two seconds before the rest period is over a buzzer will sound and the next trial will begin. Do you have any questions?
PERFORMANCE IN PURSUIT AND COMPENSATORY TRACKING TASKS AS A FUNCTION OF RATE AND PREDICTABILITY
by
FRANK DOUGLAS FOWLER
B.A., New Mexico State University, 1964
AN ABSTRACT OF A THESIS
submitted in partial fulfillment of the requirements for the degree
MASTER OF SCIENCE
Department of Psychology
KANSAS STATE UNIVERSITY
Manhattan, Kansas
1966
The effects of task predictability and task rate on pursuit and compensatory tracking tasks were studied using a continuous-wave, constant-rate input function with nine reversal points displayed on a CRT. A 2x3x3 factorial design was used with comparisons between two tracking modes (pursuit and compensatory), three levels of predictability (Fixed, I3X, and Random), and three rates of target velocity (1, 2, and 3 cm./sec.).
Predictions were: 1) Performance on the pursuit mode would be superior to the compensatory mode as rate increased. 2) Performance on both modes would improve as the degree of stimulus predictability increased. 3) Performance on the pursuit mode would be superior to that of the compensatory mode as predictability increased. 4) Performance would deteriorate on both modes as predictability decreased and rate increased. 5) As rate is increased, the effects of increasing predictability would be greater for the pursuit mode than for the compensatory mode.
Results suggested that: 1) Performance on the pursuit display was superior to the compensatory display as rate increased. 2) Performance as a whole was facilitated by an increase in stimulus predictability. 3) Pursuit subjects tended to discriminate partially predictable inputs, whereas those subjects on the compensatory display could not. 4) With an increase in rate, the ability to discriminate the partially predictable patterns deteriorated. 5) The compensatory trackers appeared to have
more difficulty in tracking the I3X pattern than did the pursuit trackers.
6) No significant retention effects were found for either display.
The general findings tended to support the theory that tracking proficiency is determined by the availability of information presented to the subject. The results also tended to support the assumption that superiority of pursuit trackers is a performance measure and not a learning measure. |
5700 Athletes from 69 Nations Enter World Championships in Durban
Approximately 5700 veteran athletes from 69 nations have entered the XII WAVA World Veterans Athletics Championships this month in Durban, South Africa.
It will be the second-largest World Veterans Championships ever held, surpassed only by the phenomenal 12,178 participants – including 9701 Japanese – who competed in Miyazaki, Japan in 1993. The XI Championships in Buffalo, N.Y. two years ago drew 5335 participants.
The number of foreign entries is about 3450, close to the record 3699 non-USA entries in Buffalo in 1995. About 2250 entries are from the host country, compared to 1796 USA entries in 1995.
The World Veterans Athletics Championships are the premier international track and field competition for men 40 years of age and over, and for women 35 years of age and over. An additional 6000 accompanying persons
Continued on page 23
Nationals Entry Deadline is July 11
Planning is under way for the 30th annual USATF National Masters Track and Field Championships on August 7-10 in San Jose, Calif.
The event is expected to draw more than 1000 men and women from most of the 50 states and Canada.
The deadline for entries is July 11. Confirmation of entry will be sent to all competitors who register by that date. Late entries received after July 11 will be assessed a $50 penalty.
The entry form is published in this issue on page 2.
This will be the biggest masters meet in the nation. More than 900 participated in last year’s nationals in Spokane, Wash. Competition will be held in five-year age groups for both men and women, starting at age 30-34 and going to age 95+. Performances will range from outstanding to ordinary. Everyone is welcome. There are no qualifying standards, except to be at least age 30. What matters most is hav-
Continued on page 16
Cotton Row is a Russian Affair
by JIM OAKS
HUNTSVILLE, Ala. — There was no roulette related to the two Russian entries in the masters divisions at the WZYP Cotton Row Run 10K on Memorial Day this year.
Both Valery Svetogor of St. Petersburg and Tatyana Pozdnyakova from Ukraine lived up to their top pre-race seeding and took masters wins in the 18th edition of this traditional southern masters race.
Svetogor ran 33:00 for the win, worth $500 in prize money, with Phillip Rowan of Greenville, N.C., a close second ($400) in 33:10. Pozdnyakova was not challenged by the other female masters, and her time of 35:47 was also good for third overall, adding $400 to her $500 for top master. New Zealander Judith Hine, presently residing in Georgia, was second female master ($400) in 39:00.
The men’s field was not as deep as last year, but the masters race was more interesting. In 1996, Antoni Niemczak had run just fast enough in the last 100 meters to win the title.
Continued on page 11
INSIDE:
• 1997 Indoor Rankings – pages 19-22
• Indy Life Circuit – page 5
• Entry Form for Nationals – page 2
Pentathlon participants, Southeastern Masters Meet, Raleigh, N.C., May 2, from left: James Duncan, M60, Jack Gilmore, M60, Marshall Lipton, M60, Ken Morris, M65, Bobby Moore, M60, and Jim Flowers, M65. Story on page 7.
Valery Svetogor, St. Petersburg, Russia, masters winner (33:00), WZYP Cotton Row 10K, Huntsville, Ala., May 26, out front in the second mile. Photo by Jim Oaks
Top five masters women at the WZYP Cotton Row 10K, Huntsville, Ala., May 26, from left: Tatyana Pozdnyakova, winner in 35:47, Judith Hine (39:00), Joyce Deason (39:38), Victoria Crisp (39:48), and Molly Gerke (44:08). Photo by Jim Oaks
CONTENTS
USATF Officers ........................................ 3
Letters to the Editor .................................. 4
NMN Sustainers ......................................... 4
Third Wind ............................................... 6
The Foot Beat ........................................... 8
Fifteen Years Ago ....................................... 8
Five Years Ago .......................................... 9
Racewalking ............................................ 10
On the Run .............................................. 12
The Weight Room ....................................... 14
Ten Years Ago ........................................... 14
Speaker's Corner ....................................... 15
Training Advice ......................................... 16
Age-Grading ............................................. 17
Countdown to Durban .................................. 18
WAVA Officers .......................................... 24
New Age Division Athletes ............................ 25
Report from Britain .................................... 26
WAVA/USATF Specs ..................................... 26
Masters Scene .......................................... 27
Schedule ................................................ 28
All American Standards ............................... 30
Results .................................................. 31
FEATURES
World Championships Preview .......................... 1
Nationals Preview ....................................... 1
Cotton Row 10K ......................................... 1
Freihofer Women's 5K ................................... 5
Indy Life Circuit ....................................... 5
Advil Mini Marathon .................................... 6
Tucson Senior Olympics ................................. 7
Southeast Regionals .................................... 7
Southeastern Meet ...................................... 7
So. Calif. T&F Meet .................................... 8
NationsBank 10K ........................................ 9
Birmingham TC Classic .................................. 9
Senior Sports Classic .................................. 10
Tennessee Classic ...................................... 13
WAVA Entrants by Nation ............................... 18
1997 T&F Rankings ...................................... 19
WAVA Event Entries .................................... 23
WAVA Bid Withdrawals .................................. 25
European 10K ............................................ 26
ENTRY FORMS, ETC.
National T&F Meet ..................................... 2
NMN Subscription Form ................................ 4
The Master Board ....................................... 7
Oklahoma Meet .......................................... 9
Athens Marathon ....................................... 11
Publications Order Form ............................... 13
On Track ................................................ 14
How to Train ............................................ 16
Ageless Games .......................................... 17
Run by the River 5K .................................... 17
Rankings Book .......................................... 22
Masters Return to Illinois ............................ 27
Stretching Video ........................................ 39
Endurox .................................................. 40
Editor and Publisher: Al Sheahan
Senior Editor: Jerry Wojcik
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Contributing Editors: Hal Higdon, Dr. John Pagliano, Mike Tymn, Elaine Ward
Correspondents: Ruth Anderson (CA), George Banker (MD), John Boyle (FL), Maury Dean (NY), Bob Fine (FL), Courtland Gray (TX), Carol Langenbach (WA), Marilyn Mitchell (NY), Mike Miller (GA), Paul Murphy (WI), Jim Oates (AL), Mike Pashkin (NY), Phil Rauhaker (GA), Pete Taylor (PA), Mike Tymn (HI), John White (OH).
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The National Masters News (ISSN-0744216) is published monthly, with a circulation rate of 550. Mail address: 14155 Magnolia Blvd., #138, Sherman Oaks, CA 91423. Mailing address: P.O. Box 50098, Eugene, OR 97405. Periodicals postage paid at Van Nuys, CA 91409.
The National Masters News is the official publication of USA Track & Field and of the World Association of Veteran Athletes. As an independent publication, its editorial policy is not necessarily that of USATF or WAVA.
USATF is a major funding supporter of NMN. Executive Officers of USATF: Pat Rico, President; Ollan C. Castell, Executive Director.
The National Masters News is devoted exclusively to track & field, long distance running, and racewalking for men and women over age 30. Each month it delivers 32 to 48 pages of results, schedules, news, feature articles, age group statistics, clinics, training tips, and all the inside scoops and information that affect the world of masters athletics competition.
Some masters events are sponsored by USATF, the nations governing body for athletics in the USA. Some are sponsored by individuals, clubs or other senior organizations.
Generally anyone age 30 or over may come to a masters event and participate. Some events are limited to age 40, 50 or 55 + (please check the schedule for details). Some events require advance registration. Some require a current USATF card (age 512 to $15 per year, depending on the region). To inquire about a USATF card, call USATF in your area, or 317/261-0500. There are no qualifying standards for most masters athletics events.
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NATIONAL MASTERS OFFICERS OF USA TRACK & FIELD
Chairman: Ken Weinbel
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Rules Coordinator: Graeme Shirley
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Regional Coordinators:
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Championships: Mick Midkiff
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Law and Legislation: Mick Midkiff
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Championship Stats: Norm Green
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Indy Life Circuit: Charles DesJardins
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Awards: Ruth Anderson - Women
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John Boyle - Men
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Rules Coordinator: George Kleeman
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IAAF Veterans Committee: Charles DesJardins
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AGE RULE NEEDS CHANGING
In the WAVA World Veterans Championships in Buffalo in 1995, Vicki Bigelow set a W60 world record in the 1500 meters while finishing seventh against younger women in the W55 age group.
She had turned 60 during the competition, but the rules held her to running as a 59-year-old, rather than with her peers, the 60-year-olds.
Other similar cases abound.
The WAVA rule which holds that an athlete’s age is determined as of the first day of the meet can and should be changed.
There are two possible solutions:
1) The athlete competes in the age division the calendar says they are until their birthday. Once the birthday comes, the athlete is assigned the new division. However, this would probably cause a lot of headaches for meet management.
2) The athlete’s age is determined as of the first day of the first event in which he or she competes.
This issue needs to be put before the WAVA Council at this July’s South Africa meet.
Madeline Bost
Ironia, New Jersey
STUART’S JAVELIN THROW
The excellent mark listed in the June Masters Scene for Stew Thomson was actually for the hammer, not the javelin. In the javelin, Larry Stuart’s throw of 61.16 (200-8) was not mentioned. Seems odd that a 107.9% A-G effort by a 59-year-old in the same meet would be overlooked. In 1995, Larry threw the javelin 215-0 at age 56. Not a bad throw. In 1988, when he threw the javelin the same distance, it was considered the single outstanding performance for the year. Yet in 1995, his effort received no recognition. I wish someone could explain this to me.
Russ Reabold
La Puente, California
(We goofed. The directors of the So. Calif. Striders Meet submitted computer results to us, but did not submit a story or any comment on their meet. Our editors scanned the list of age-graded marks, but missed Stuart’s incredible performance. New glasses have been ordered for those responsible. – Ed.)
NO FALSE START RULE
Virtually every masters sprinter would concur with Lee Gillespie’s take on the “No False Start” rule, as expressed in the June issue of NMN. I participated in the same meet in Santa Ana, Calif., and I was left with only one opponent in my 60-64 age group due to others false starting. This was even sad for me; though I won, most of my buddies were out, leaving me with a hollow victory.
Should there be exceptions to the rule? Yes, of course. Take my personal experience at this year’s indoor Championships as an example. I traveled to Boston, hoping to extend my 1996 national championships in the 60m and long jump into 1997.
I false started in the 60. I was unstable in my blocks because my lane did not have enough room for the rear block. The curb on the edge of the oval track was too close to my particular lane for the way I set my blocks. No room! I complained briefly, but to no avail. I was totally frustrated, and I believe other competitors were as well. Exceptions exist; and a runner must run; win, lose, or draw!
Dick Richards
Encinitas, California
WEIGHT SHENANIGANS
I read with interest Jerry Wojcik’s article regarding possible shenanigans in the throwing events, as I have been investigating these things ever since I started with the javelin about a year ago.
Let me tell you, there is a lot going on!
For instance, I have noticed that good throwers also get their body into the throw, not just their arm! I guess this is legal? I’ve been reluctant to try this in my throwing, as I worry about officials a lot.
This one gentleman, whom I won’t name as it might embarrass him, threw the javelin over fifty feet farther than I . . . and, he is in an older age group! now, come on! Also, his throw was high, straight and kept going (instead of turning to the side and landing flat). His follow-through went farther than my throw.
Anyway, I think I detected a vapor trail in its arc and, when he went to have a drink, I had a good look at the tip of his javelin. As I suspected, there was a small jet engine embedded, along with some trigger device near the grip. Everything was cleverly hidden as it looked like a regular javelin. It is a mystery.
Another thing that just can’t be right, is when these throwers do their approach and do not cross the line and foul . . . ever! This may not be suspect, but it isn’t very fair. I won’t go into their high velocity at the moment of the actual throw, etc., as it all is under investigation.
Some of these things I may try to incorporate into my throwing . . . after all, no one seems to be watching. Who knows, I may get by with a lot of stuff after a while!
Earl Johnson
Orick, California
Continued on page 8
Thirteen Join NMN Sustainers
Each month, NMN publishes a list of “sustainers,” those who help the National Masters News and masters athletics by making contributions. These extra funds allow us to publish more photos, deeper results, an in-depth schedule section, and more.
Special thanks this month go to:
Nash Abrams
Fan Benno
Barry Bertram
Daniel Cannon
Ann Carter
E. B. DeGroot
Steve Demedics
Edward Gonera
Joseph Hehn
Burt Raabe
Lincoln Russin
Duane Rykhus
William Rykhus
Little Rock, Arkansas
Dallas, Texas
Campbellsville, Kentucky
Montrose, Michigan
Aiken, South Carolina
San Clemente, California
Birmingham, Alabama
Bardonia, New York
Flemington, New Jersey
Peoria, Illinois
Northhampton, Massachusetts
Brookings, South Dakota
Lapeer, Michigan
Welzel Takes Over First Place in Indy Life Circuit
Wysocki Sets World Record in Freihofer’s 5K
New masters phenom, Ruth Wysocki continued her record rampage with a 16:06 at the Freihofer’s Run for Women 5K, the fifth race in the Indy Life Circuit Series, in Albany, N.Y., on May 31. Since turning 40 on March 8, Wysocki, Canyon Lake, Calif., has been setting U.S. masters records from the 800 on the track to the 10K on the roads.
Her 16:06, a masters win and 10th overall, in the USA Open Women’s Championship, is a pending U.S. and world masters record. Wysocki, a 1984 Olympian, broke her own national masters record of 16:23, set at the Carlsbad 5000 in April. The old world mark was 16:20 by Heather Mathews of New Zealand at Freihofer’s in 1989.
In each Indy Life Circuit race, Wysocki has set a U.S. record. In March, at the Azalea Trail Run, she ran 33:22 to break the masters 10K record.
For her record-setting effort, she earned $3000 ($600 for 10th overall, $1200 as first master, and $1200 for top age-graded runner).
Defending Freihofer’s masters champion, Jane Welzel, 42, Ft. Collins, Colo., was second in 16:28, and, as important, picked up nine more points in the Indy Life Circuit to move into first place in the masters division with 58 points.
Joan Benoit-Samuelson, 1984 Olympic marathon gold medalist, in her first serious race as a master since turning 40 on May 16, ran 16:31 to finish third.
In the age-graded scoring, five women – Wysocki, Welzel, Shirley Matson, Joan Ottaway, and Samuelson – produced times at the world-class level of 90% or better. Wysocki’s 16:06 scored 94% or an adjusted time of 15:20. The five women shared $2500 in prize money for their age-graded bests.
The overall winner and USATF champion was Elva Dryer in 15:29.
After five women’s Indy Life Circuit events, Terry Mahr, 48, from Oregon, Ohio, with 263 points, has a one-point lead in the age-graded standings over Honor Fetherston, 42, Mill Valley, Calif., with 262 points. Joan Ottaway, 53, Sonora, Calif., is third at 256.
After four men’s Circuit races, Gary Romesser, 46, Indianapolis, with 839 points, has a four-point lead over Doug Kurtis, 45, Northville, Mich., in the age-graded standings. Craig Young, 40, Colorado Springs, Colo., is third with 830.
With no men’s Circuit races last month, Young continues to lead the standings with 55 points. Kurtis (44), Romesser (41) and Steve Plasencia (40) follow.
—from the USATF Road Running Information Center
INDY LIFE CIRCUIT
Upcoming Indy Life Circuit Races:
| Date | Event | Location |
|------------|------------------------------|-------------------|
| July 12 | Bastille Celebration 8K | Newport Beach, CA |
| July 20 | + Chicago Distance Festival 5K | Chicago, IL |
| October 5 | * Twin Cities Marathon | Minneapolis/St. Paul, MN |
| October 25 | Tulsa Run 15K | Tulsa, OK |
* Counts for men only
* The points – overall and age-graded – earned at the Twin Cities Marathon will be multiplied by 1.5.
The inaugural Indy Life Circuit features nine events – eight scoring races per gender – which range in distance from 5K to the marathon. The Circuit offers over $125,000 in total prize money including a final $50,000 Grand Prix purse. The prize money for each race ranges from $5,000 to $38,000.
In the Indy Life Circuit, eligible masters athletes will earn Grand Prix points based on their overall finishing place (top ten) and/or time in each event. To score points, an athlete must be: 1) a member of USA Track and Field, 2) 40 years of age or older – proof of age may be requested, and 3) a U.S. citizen or green card holder.
At each Circuit race, the top ten masters overall earn points in reverse order of place: first place is worth ten points, second (9), third (8), fourth (7), fifth (6), sixth (5), seventh (4), eighth (3), ninth (2), and tenth (1).
Athletes can accumulate points in both categories (finish and age-graded). The top overall Grand Prix finishers in the Circuit will share $50,000 in prize money ($21,000 for the top three male and female masters, and $29,000 for the top five male and female age-graded performers).
1997 Indy Life Circuit Standings
Men (after four events)
| Age | Hometown | State | Total |
|-----|------------|-------|-------|
| 40 | Colorado Springs | CO | 55 |
| 45 | Northville | MI | 44 |
| 46 | Indianapolis | IN | 41 |
| 40 | Minneapolis | MN | 40 |
| 49 | Sherborn | MA | 29 |
| 42 | San Francisco | CA | 28 |
| 40 | Edinboro | PA | 22 |
| 41 | Boulder | CO | 9 |
| 40 | Cincinnati | OH | 9 |
| 49 | Reno | NV | 8 |
Women (after five events)
| Age | Hometown | State | Total |
|-----|------------|-------|-------|
| 42 | Ft. Collins | CO | 58 |
| 42 | Mill Valley | CA | 55 |
| 41 | San Diego | CA | 36 |
| 53 | Sonora | CA | 29 |
| 42 | Sacramento | CA | 28 |
| 42 | Fisher | PA | 27 |
| 48 | Oregon | OH | 24 |
| 40 | Canyon Lake | CA | 20 |
| 56 | Moraga | CA | 18 |
| 48 | Arlington | VA | 9 |
Indy Life Circuit Age-Graded Standings
Men (after four events)
| Age | HomeTown | State | Total |
|-----|------------|-------|-------|
| 46 | Indianapolis | IN | 839 |
| 45 | Northville | MI | 835 |
| 40 | Colorado Springs | CO | 830 |
| 59 | Washington | DC | 823 |
| 52 | Grand Junction | CO | 818 |
| 42 | San Francisco | CA | 804 |
| 60 | El Segundo | CA | 789 |
| 49 | Sherborn | MA | 756 |
| 52 | Chagrin Falls | OH | 713 |
| 40 | Edinboro | PA | 682 |
Women (after five events)
| Age | Hometown | State | Total |
|-----|------------|-------|-------|
| 48 | Oregon | OH | 263 |
| 42 | Mill Valley | CA | 262 |
| 53 | Sonora | CA | 256 |
| 66 | Spokane | WA | 247 |
| 41 | San Diego | CA | 246 |
| 42 | Ft. Collins | CO | 241 |
| 54 | Greenwood | IN | 200 |
| 56 | Moraga | CA | 179 |
| 42 | Sacramento | CA | 130 |
| 48 | Arlington | VA | 130 |
The age-graded scoring system used for the Indy Life Circuit is based on the number of eligible runners who scored 70% or higher (regional class or better) from the 1994 WAVA tables.
At each race, participants earn points in reverse order of the total number of runners over 70%. For example, at the Las Vegas Half-Marathon, ninety-two (92) men scored 70% or higher. The first man earned 92 points, the second 91 points, the third 90 points and so on down to one point for the 92nd man. The other three Indy Life Circuit races had the following number of eligible male masters runners: Gate River Run 15K (120), Azalea Trail Run 10K (121) and Indianapolis Life 500 Half-Marathon (176). For the Indianapolis Life race, runners received triple points (e.g., the first man – 176 times three – earned 528 points). Circuit points at the Twin Cities Marathon on October 5 are worth 1.5 times.
Third Wind
by MIKE TYMN
Former “Boy Wonder” Now Coaching
If you’re in Honolulu and see people running around the streets with little bells on their shoes, don’t assume that they are looking for attention or are already in the Christmas spirit. They’re probably training under the tutelage of former Olympian Gerry Lindgren. “It’s my way of teaching them pace,” explained Lindgren, once referred to as the “boy wonder” of track, and now a professional coach. “I guess you can call it a poor man’s heart monitor. I get them out on the track and ask them to run a quarter in two minutes, eight-minute mile pace, and to pay close attention to the jingle of the bells. Within a few weeks they are listening to their feet and can judge pace without looking at a watch. It really seems to work.”
When Lindgren, 51, decided to get into coaching, he thought he’d work more with elite runners, but it hasn’t worked out that way. “That’s where I had been and I thought I could help the real competitive runners more,” he said, “but I seem to be working more with beginners and intermediate runners. I find that just as rewarding as long as they are committed. You can see the difference, progress, as they’re developing. I have one guy who couldn’t break four hours in his marathon when I began working with him and now he’s down to 16:32 for 5K (a relatively much faster time).”
Focus is the Key
Lindgren believes that just about anyone can be an outstanding runner if he or she is dedicated and willing to put in the time. “I don’t think they’ve identified a gene that is associated with outstanding running ability,” Lindgren continued. “I really believe that you get out of it what you put into it. The key is to be focused.”
As any track buff who was familiar with the sport back during the early 1960s will tell you, there was no one more focused than Lindgren. At a time when most distance runners were training on no more than 40 miles a week, Lindgren was averaging 200-mile weeks. He recalls doing as much as 350 miles one week.
An article by Bob Payne in the February 1971 issue of Track & Field News suggests that Lindgren, probably more than any other individual, revolutionized American training methods while also revising the image of American distance running.
Lindgren did not fit the lean, loping, sinewy runner stereotype. Although slight of build at 5-6 and 118 pounds, he was scrawny with little definition in his muscles. But inside this unathletic-looking teenager was a seemingly unlimited supply of desire, drive, and determination. This apparently more than compensated for what appeared to be physical shortcomings. Lindgren is said to have occasionally gotten up in the middle of the night to take a long run after already having worked out two or three times the previous day.
It paid off in Lindgren winning 11 NCAA titles in cross-country and track at Washington State and also setting a world record of 27:11.6 for six miles (then a more standard distance than the current 10,000 meters).
Russian Defeat
Lindgren is most remembered for his upset victory over the Russians in the 1964 USA vs USSR track meet. Before more than 50,000 screaming spectators at the Los Angeles Coliseum, Lindgren dogged the favored Russians until the ninth lap of the 24-lap 10,000-meter race and then surged to the lead, pulling away to a 22-second victory.
A few months later, Lindgren, only 18, participated in the Tokyo Olympics. But an ankle injury before the final slowed him to a ninth-place finish behind the winning effort of fellow American Billy Mills.
One can’t help but wonder if, given his background, Lindgren might expect too much from the people he is coaching. “I don’t think so,” Lindgren responded. “But I tell them you’ve got to put in the miles. You’ve got to do the work, if you really want to realize your potential. And some of that work has to be specific work.”
Looking back on his 200-plus-weekly miles, Lindgren thinks he may have done too much. “But I have no way of knowing if I would have been able to compete at the international level by not doing as much as I did. I was young and energetic and it didn’t seem to hurt me then,” he adds. “Everyone’s different and maybe I needed all that work more than someone else.”
For the more advanced runners he is coaching, Lindgren recommends at least 70 to 80 miles a week. “But if I can get 40 out of some of them, I consider it an accomplishment, because it’s a lot more than they had been doing.”
Getting in Gear
As Lindgren see it, most beginning and recreational runners have only one gear. “They’re going at the same speed all the time,” he commented, “both in training and in a race. What I try to do is help them develop a second gear and then a third and maybe a fourth gear by getting them running faster for short stretches. Once they develop those higher gears, they can train more relaxed and with less energy.”
“What I try to do more than anything else is give them direction,” Lindgren concluded. “Then it’s up to them how far they go in that direction.” □
(If you are interested in being coached by Lindgren by mail or phone, you can contact him at 808-396-0089.)
Advil Mini-Marathon Held in NYC
by MARILYN J. MITCHELL
The first masters woman over the line for the 1997 Advil Mini-Marathon 10K race on June 7 in New York City was 42-year-old Tatyana Pozdnyakova, with a time of 33:53 for a 13th overall position out of a field of more than 8000 women. Second master was Gillian Horovitz (42, NY) and third, Kari Proffitt (40, NY).
Pozdnyakova was the pre-race favorite for the masters division, with a 10K best of 31:46 and a great marathon time of 2:29:57, posted in the 1995 Los Angeles Marathon. Only the first nine places were awarded prize money, so Pozdnyakova’s earnings for the day would have consisted of whatever appearance fees she was able to obtain.
Overall winner was Kenyan Tegla Loroupe, with a time of 31:45.
Temperatures remained stable at 51°F from race start time to finish with overcast skies, a perfect day for racing.
ESPN announcer and masters runner Robin Roberts was a part of the story this time, having run the race. Her broadcast credits include network coverage of the men’s NCAA Final Four and NCAA women’s basketball tournaments, LPGA events, U.S. Open Tennis Tournament, the Summer Olympics and Wimbledon. A former basketball player herself, Robin has run in the Peachtree 10K and other races but said, “Next year, I want to be back in the lead truck . . . with a bagel!” □
Raschker Sets Three World Records in Tucson
from PHIL MULKEY
Philippa Raschker, 50, set three world and two U.S. W50 records May 23-28 in the UNSNO Sports Classic VI – the Senior Olympics in Tucson, Ariz.
The Marietta, Ga., accountant won seven of the ten events she entered, taking two seconds and a fourth.
Her WRs were set in the 100 (12.65, bettering Irene Obera’s 12.9), 200 (26.12, lowering Marge Allison’s 27.56) and high jump (5-1, raising Renate Vogel’s 5-0).
She also set U.S. marks in the 400 (63.48) and long jump (16-9), both bettering Obera’s marks of 63.7 and 14-6½, respectively.
Yet, so accustomed is she to these running and jumping performances, that she took the most pride in her seldom-attempted throwing events.
“The shot was the second longest mark (30-2½, fourth) I’ve ever made,” she said, “and the discus (78-1, second) was by far my best ever. But the javelin was the most thrilling (99-4, second). Every throw was better than I had ever done.”
Raschker is entered in the WAVA World Veterans Championships in Durban this month, but may not go.
“I’m starting therapy for four weeks on my achilles,” she told NMN, “and the doctor doesn’t think it will hold through Durban.” □
Competitors in the W50 shot put at the Senior Sports Classic VI in Tucson. From left: 1328, Rachel Singleton, DE; Karen Huff, IL; 1180, Phil Raschker, GA; 1407, Erika Szanto, OH; 1393, Lurline Struppeck, LA; 1st; Kathy Jack, AZ.
Messner and Hilliard Set Records in Southeast Regional Championships
from BILL HOFHEIMER
Erika Messner and Vanessa Hilliard turned in record-setting performances in the throws during the opening day of the USATF Southeast Regional Masters Championships, May 10-11, at Disney’s Wide World of Sports track and field complex in Lake Buena Vista, Fla.
Messner, 61, representing the Florida AC, broke her W60-64 U.S. record of 97-3 in the hammer with a toss of 98-0. The next day she registered a shot put mark of 32-2, less than an inch away from Bernice Holland’s U.S. record of 32-2½.
Hilliard, 56, also of the Florida AC, set an outdoor single-age world record of 54-4 with the 16-lb. weight. She, like Messner, barely missed another record on Sunday, with a 105-4 discus throw, just four inches short of her W55-59 national record set in 1996.
On Sunday, Mark Witherspoon, 1984 Olympic gold medalist, and former NFL standout Billy “White Shoes” Johnson headlined the list of athletes competing in the sprints. The 31-year-old Witherspoon, competing for the first time this year, captured the 100m title with a 10.71 and the 200 in 22.17. Johnson blazed to victory in both the M40-44 100 (11.66) and 200 (23.30).
The Florida AC dominated the team scoring in both the men’s and women’s events, finishing with 300 and 120, respectively. The Atlanta TC was runner-up in both the men’s (57.5) and women’s (89) standings.
The Disney Sports Complex is spread over some 200 acres and, besides the nine-lane t&f facility, includes a 5000-set fieldhouse with room for six full-size basketball courts, a 9500-seat baseball stadium, plus facilities for tennis, softball, youth baseball, and soccer. □
Colbert Romps, Hagemann Breaks Record in Southeastern Meet in Raleigh
by JERRY WOJCIK
Larry Colbert, 60, produced the speed and Libby Hagemann, 76, supplied some distance in the Southeastern Masters Meet, Raleigh, N.C., on May 2-4.
Colbert, who broke world records in the 200 (25.15) and 400 (56.32) at the 1997 Indoor Championships in Boston, won the three sprints with age-graded performances in the 90+% range. In the 100, he ran a 12.57, taking the race from Bob Dobbs, 63, also in the 90% level with a 12.91. Colbert won the 200 in 25.64 and the 400 in 58.39.
Hagemann, who broke the U.S. indoor W75 shot put record in Boston with a 6.46/21-2½, smashed the U.S. record of 58-4¾, for the 3kg hammer with a 19.56/64-2½, not far off the world record of 65-7½.
Canada’s Earl Fee, 68, won the 400 in 61.15, an age-graded 94.8%, and had the best masters performance of the meet in the 800, his specialty, with a 96.7% 2:23.0h.
In the distance races, Jack Miller, 60, reeled off an event best 5:02.10 in the 1500, and Phil Rowan, 42, posted the best mark in the 5000 with a 15:40.8h.
Racewalker Robert Mimm, 72, strode to the most noteworthy performances in the 5000 track walk (30:43.30) and 20K road walk (1:10:06).
High jumper Leonore McDaniels hit the 89% level with a 1.14/3-8¾. Male Masters Athlete of the Year in 1996, Jim Stookey, was a multiple winner, topping his marks with an age-graded 92.2% 10.40/34-1½ in the triple jump.
Leonard Olson, 65, was the class of the fields in the shot put (13.05/42-9¼) and discus (46.24/151-8). David Vandergriff, 41, far outdistanced everybody else in the 56-lb. superweight at 10.87/35-8.
In the regular pentathlon, David Ayers, 55, scored an event high 3169 in a field of 24 athletes, including 82-year-old Ian Hume, of Canada.
Olson, the top point scorer (4781) in the 1996 Weight Pentathlon Championships in Bozeman, scored 4460 in the weight pentathlon, the highest in a field of 28 masters throwers, which included nine women. □
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Calluses
Q: I am a 62-year-old long distance runner. I have been getting calluses on my feet for years. Should I worry about them if they don’t hurt?
A: Calluses are very common among runners and other active people. Usually, they are caused by some type of foot abnormality such as high arches, flat feet, hammer toes, bunions and claw toes.
Basically, a callus is a thickening of the outer layer of skin caused by some repetitive stress to the area. Sometimes pain is experienced when the callus is pressed. Usually, calluses overlie some type of bony prominence or bony spur. Often the spur needs to be removed before the callus will go away.
You can use a pumice stone to reduce the size of the callus to the level of the surrounding skin. This often has to be done 2-3 times per week. Over-the-counter chemical agents are available, but I do not suggest their use. They are especially dangerous for people with circulatory problems or diabetes, and could cause healing problems.
If the callus is unmanageable, your foot specialist can reduce and trim the lesion under safe, sterile conditions. To avoid future calluses, switch to a well-cushioned shoe and consider using an orthotic insert. These devices are quite effective in providing relief from painful calluses, and preventing their recurrence. □
(Dr. Pagliano is a runner and a podiatrist in Long Beach, California. He is a member of the American College of Sports Medicine. If you have a foot, ankle or Achilles question, write to Dr. John Pagliano, The Foot Beat, NMN, Box 50098, Eugene, OR 97405.)
Johnston Sets WR in Los Angeles
Nearly 200 athletes took part in the annual USATF Southern California Association Masters Track and Field Championships held June 8 at Occidental College in Los Angeles.
Top performances included:
1) A new world M85 pole vault record of 2.21m (7-3) by Carol Johnston.
2) A U.S. M45 record 14.17 (46-6) triple jump by Milan Tiff, 47 – close to the M45 WR of 14.18.
3) A new U.S. M75 high jump record of 1.32 by Walt Dahlin.
4) Three wins by Alberto Ros in the M35 100 (11.04), 200 (22.57) and 400 (50.58).
5) A 1:57.42 800 by Nolan Shaeed, 47 – close to the M45 AR of 1:56.27.
6) Sid Wing’s return to competition with impressive wins in the M65 400 (64.72) and 800 (2:32.30).
7) Ken Dennis beat Dick Richards, 12.50 to 12.53 in the M60 100, while Richards bested Dennis in the 200, 25.57 to 25.72.
8) Jeanne Hoagland came within two seconds of a new W60 world 800 record with a 2:47.95.
Svetlana Yesayan brought a new group of Armenian masters athletes to the meet, and they performed very well. Another talented newcomer was Jim Kerman, 40, who beat his coach and mentor, Mike Deller, M45, with a 12.73m shot put on his last effort.
The meet was a Miller affair, with meet director Christel Miller doing her usual outstanding job, despite a broken hand and bruised ribs suffered a week earlier. Husband Gary and sons Doug, Nils and Gunnar ably assisted, along with an abundance of excellent officials. □
Write On
Continued from page 4
WHY THE TERM ‘SUBMASTERS’?
In the June issue, USATF Masters T&F Chairman Ken Weinbel asks “Why are age 30-39 athletes called ‘submasters’?”
Before WAVA existed, IGAL conducted world road race championships. There was much disagreement about the minimum age, but most opted for age 40.
When Canada put on the first World Masters T&F Championships in 1975, ages 30-34 and 35-39 were included, but as submasters.
During the meeting at these championships when 800 athletes came to offer their views on a proposed world body, it was felt there should be a positive “space” between open athletes and masters. Since most younger athletes at that time “hung up their spikes” at 30 (women 25), it was decided a 10-year period was appropriate; hence, 40 for men and 35 for women.
Between Toronto 1975 and Gothenberg 1977, there were considerable amateur/professional problems. Athletes who had earlier lost amateur status with the IAAF were competing in masters events. Other athletes who still competed for their clubs were concerned they might be “tainted” by competing with those who had lost amateur standing.
This matter came to a head as we approached the Gothenburg meet in 1977. Former great Arne Andersen lived in Gothenberg and, although declared a professional by the IAAF, was training for the events at age 57. Sweden, athletically structured as it was, and is, applied for meet sanction from their athletic association and was told it could not include Anderssen, or anyone no longer an amateur. Arne’s request for his lifetime ban to be lifted was denied.
Many masters around the world were enraged. Some suggested a dual status, i.e., in open events, IAAF rules; in masters events, masters rules. Others said, “To hell with the IAAF, we’ll go our own way.” Arne did not enter.
During the Swedish meet, the then-IAAF President Adrian Pauliens, a gracious and charming man, came to watch. As President of the newly-formed WAVA, I met with him and broached the subject of concern.
“You people are having such fun,” he said. “Something must be done, but your athletes would have to be beyond normal international competition age – at least 40 for men.”
As good as his word, the following year the IAAF Council agreed that at masters (veterans) meets, WAVA would decide who could compete, provided the minimum ages were observed.
At world meets, we have kept the agreement. At regional and national events, we have allowed younger ages, but have always maintained the distinction.
Don Farquharson
Toronto, Canada
NAPLES MEET
I would like to thank Rudy Vlaardingerbroek for his outstanding job as meet director of the Naples Meets in Florida for the last seven years. My friends and I from Stuttgart, Germany, have competed in his meets for the past three years, arranging our vacation trips to Florida according to the date of the meet. The meet will not be held next year, so I, on behalf of my friends, would like to express our gratitude to Rudy for his personal effort in organizing these meets.
Walter Hillebrand
Stuttgart, Germany
DEADLINE
NMN is written by masters athletes for masters athletes. We need and welcome your reports of meets, races, schedules, photos, comments, etc. Deadline for editorial material and advertising is the 10th of the month before date of issue. Send to National Masters News, P.O. Box 50098, Eugene OR 97405.
Bradley, Hutchison Best in NationsBank 10K
by CLARK ENSZ
Although the open women's race produced a course record and the open men's competition came down to a four-man drag race to the finish, it was the masters competition again providing many of the best highlights in the NationsBank River Run 10K, Wichita, Kansas, May 10. The men's masters age-graded competition put on an especially great show of quality running.
How good was it? Doug Clark of Tulsa set a Kansas M40-44 record and only took fourth in the age-grading. Last year's winner, Paul Hutchinson, improved his 1996 graded time by 34 seconds (he improved his real time to 39:26 at age 66) and dropped to third. Dick Wilson took 21 seconds off his 1996 graded time, set a state M65 record of 39:18; and went from second to fifth.
Fay Bradley, the nationally known 59-year-old, announced his arrival in Kansas by winning the masters age-graded competition with a state record 35:31, which graded to 29:32, worth $400. Dan Lawson, 41, with 31:46/30:32 took the second-place $200 prize. Eleven masters runners ran times that would have been in the top-five money last year.
The women's field was again dominated by the Webb City comet, 51-year-old Jane Hutchison. Although she ran more than a minute slower than last year's 38:18, her 39:20 was still good enough to win the age-graded competition by over two minutes (34:16). Second-place Marla Rhoden, 41 (38:15/36:22), might have put up a stronger battle except that she had run two marathons in the previous three weeks. The very consistent Wichita area trio of Trudy Calloway, Vera Burton, and Barbara Holzman rounded out the top five money list.
Sprinters Excel at Birmingham TC Classic
by GORDON SEIFERT
Rainy weather delayed the start of some of the field events but was not a problem for the sprinters at the 15th annual Birmingham Track Club Classic held at Hoover High School, Birmingham, Ala., on June 7.
All eight of the KC Distance Handicap 100m participants had 90+% performance level qualifying times, with 47-year-old Marion McCoy (9-meter handicap) winning the race. Reggie Mason's 52.87 won the Jim Law 400m award. The other special award was won by Phil Mulkey, Jr., M40, for his 2767 points in the mini-decathlon (five of the ten events).
The BTC also presented a gift certificate to Simpson Pepper, the meet announcer, for his many years of outstanding community service in the promotion of sports in coaching and sports announcing.
FIVE YEARS AGO
June, 1992
• Mike Heffernan (51, 26:18)
Wins 9th Annual Fifty-Plus 8K
• Pierre Levisse (40, 29:33)
and Priscilla Welch (47, 34:38) Top Masters in Sallie Mae 10K
• Payton Jordan, 75, Sets M75 WRs in 100 (13.5) and 200 (28.3)
Charlene Landrum #400, 33, New York, winner W30 200 (28.04), USATF 1997 Masters Championships, Boston. Shemayne Williams #755, 34, New Jersey, was second.
Photo by Mitchell Lovett
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Oklahoma Masters Athletic Meet
Track & Field in the Heartland!
August 1-2, 1997
Spaulpa H.S. Stadium, Tulsa, Oklahoma
Hosts: Team Oklahoma Masters Track & Field Club
Masters Competition in 5-Year Age Groups & Open Division
Entries Fees: Pre-registration by July 21, $10 1st event, $5 additional events, Relays $15
*** Received after July 25, add $5 late fee ***
Entries close 1 hour before scheduled start. Late entries # 918-446-0064.
Schedule: Times are approximate, events ran in order listed:
| Friday Aug. | Saturday |
|-------------|----------|
| 2:00 PM | 1:30 AM |
| Athlete Check-in Open | Athlete Check-in Open |
| 5:00 | 7:30 |
| Javelin | 1 Mile |
| 5:30 | 8:00 |
| Triple Jump| Long Jump|
| 6:00 | 8:30 |
| 100 meters/final | Hurdles |
| 6:30 | 9:00 |
| Pole Vault | 4 X 100 Relay |
| 7:00 | 9:30 |
| Short Hurdles, Shot | Discus |
| 7:30 | 10:00 |
| 400 | 10:30 |
| 8:00 | 11:00 |
| 5000 | High Jump|
| 8:30 | 11:30 |
| 5000 Racewalk | 4 X 400 Relay |
| 9:00 | 12:00 |
| 4 X 800 Relay | 4 X 400 Relay |
All events run as timed finals, except the 100 which will have prelims if needed. USATF sanctioned meet. USATF rules including Masters exceptions. No false start rule in effect. Age groups and sexes may be combined. Meet Director and Certified Officials. Meals to top 10 in each event optional. Directions to track: from I-244 take exit 1-2 and exit on Highway 66 toward Spaulpa. Continue into Spaulpa, turn left on Dewey or Lincoln, 3 blocks to track about 20 Min. from downtown.
Name________________________________________________________Date of Birth_____________________
Address______________________________________________________________
Club Name__________________________________________________________
Phone______________________________________________________________
In consideration of my entry, I, intending to be legally bound, do hereby for myself, my heirs, executors and administrators, waive and release forever, any and all rights, claims or demands I may now or hereafter have against TEAM OKLAHOMA, Masters Track Club, Spaulpa Public Schools, Oklahoma Association of USA Track and Field, individuals associated with the operation of this meet and all sponsors of this meet, their successors, representatives and assigns for any and all injuries suffered by me while traveling to and from and while participating in the Oklahoma Masters Athletic Meet held on August 1 and 2, 1997.
Signature__________________________________________________________Date_______________________
Best 1996/1997 performance in events entered:
| Event | Mark | Event | Mark |
|-------|------|-------|------|
| | | | |
| | | | |
| | | | |
Amount Paid:
Mail entry form with check payable to: TEAM OKLAHOMA, 4217 W. 91st, Tulsa, OK 74132
Questions ? 918-446-0064, e-mail firstname.lastname@example.org
Veterans Games, Durban – What to Expect
The following is from an article submitted by Lionel Lawson on what racewalkers can expect at the World Veteran Games in South Africa. Next month will feature brief biographies of some of the South African racewalkers you may have already met by then, as well as information on Lionel’s new book on racewalking.
What can racewalkers expect in Durban? As it will be winter, it is the best time to compete in Durban. Organization is basically good. We have a long history of race organization and the carry over from road running into racewalking has, by and large, been successful. I am assured that there will be some congestion in various events, due to the high participation expected, so it would be wise to arrive early for all events.
A few things to be prepared for:
Heat: Durban, being tropical, is noted for its humidity and heat, and only racewalkers have set South African records here in the winter or spring events. Even in winter, the daily temperature is likely to climb from 9 to 26 degrees Centigrade (48°F to 82°F) and humidity from 50% in the morning to 70% or more in the later afternoon or evening. Rain is not a major factor in July as the rain usually doesn’t arrive until October, typically the coldest month.
Warm-up and stretching: Warm-up and stretching are very important in Durban. Because of the heat, we are often fooled into thinking we are warm. Not so. Externally, we may be glowing; but internally, the body is still struggling with unequal temperature stresses. The same holds when racing.
Hydration: It is vitally important to maintain an input of at least 200cc of liquid every 15 to 20 minutes. Any less and you are a candidate for the dehydration tent. I have ended up with heat stress in as short a race as 5K. We often provide sponging water for track 10K races. Water is medically mandatory on all road races longer than 5K and has to be provided at least at 3K and 7K. On 20K races, water has to be provided every 3K (walkers every 2K). Overseas, eyebrows are raised at this requirement, but medical research carried out here proves the necessity. A recent Sports Science Institute of SA study showed that after 90 minutes all athletes need not only water, but can benefit from receiving a CHO based drink.
Course: The WAVA course design is my responsibility. At present we are negotiating for the following: 20K – approximately 270m on track, 671m out from track via perimeter road and on to a main road for nine 2K loops. Then the 671m back to the track and finish with 389m on track. The women’s 10K is the same but only has 4 laps of 2K.
The greatest concern about designing the racewalk course is to present a course that complies with the IAAF rules, is fast and flat, and presents the minimum of tight turns or awkward height changes such as curb height transition on a road.
Competitors: How many racewalkers are expected? The organizers do not have all the entries yet, but it looks like there will be several hundred.
Racewalking Clubs: There are no racewalking clubs as such in South Africa. By constitution under Athletics South Africa and the provincial athletics bodies (such as Kwa-Zulu Natal Athletics), all athletics clubs have to be just that and allow membership to athletes in many disciplines. Fortunately, long before the “New South Africa,” athletic clubs were open to all, irrespective of race, color or religion. Athletics prides itself in leading the pace in open sport, and it is not so long ago that all participants ran the Comrades Marathon with black arm bands to protest the authoritarian interdict against darker skinned participation. We won our battle!
Senior Sports Classic Starts at 50
(The following report is by Richard Charles, Event Director of the Racewalks at the Tucson Senior Sports Classic.)
The Senior Sports Classic VI Racewalks were held in Tucson, Ariz., May 25-26. This was the first classic where the competing ages start at fifty. We are seeing more of the experienced and competitive “baby boomer” racewalkers as well as those older athletes seeking additional senior competition. The national organization and host cities must meet the challenge of this changing population.
The 1500m racewalk was held on the Tucson High School track where over 300 male and female entrants aged 50+ competed in 28 heats. The average heat had 16 walkers. The day’s event both started and ended on time. The reaction of the athletes was very favorable and their comments sincerely appreciated by all the officials and other volunteers.
The 5000m road race held on the University of Arizona campus was well administered, but did not provide a satisfactory racing experience for many athletes. Approximately 280 athletes competed in age-groups with staggered starts. The unofficial results were posted within 15 minutes after the last walker crossed the finish line.
When the official results with the DQ’s and possible shock, surprise, disappointment and anger ensued. One hundred seventy entrants had been DQ’d including some of our finest, most experienced athletes. This represented 61% of the starters. I am in the process of evaluating factors that may have contributed to this poor showing, such as:
a. Are there too many entrants for one race?
b. The use of “wave” starts equates to having mini races. Do we need to consider increasing the time between “wave” starts to 10 minutes? 15 minutes? Or more?
c. Were there too many racewalk judges? The spacing between judges was about 500 feet.
d. Should the course be changed from a 5K out-and-back course, to a 2.5K out-and-back course requiring two laps? The shorter distance would reduce the number of judges (with the same spacing between judges) but add the element of “lap counting”.
e. Should consideration be given to a 5K track event?
The above is a short list of items being evaluated. I have requested that athletes, volunteers and officials write me with their suggestions. Some very experienced racewalkers and officials have already responded with great ideas.
Other general items that need to be addressed include:
a. Coordination with State Games committees to assure that athletes who have advanced to the National Classic VII have, in fact, been in a properly judged racewalk. For example, when the qualifying lists of racewalkers are submitted, they must include the names and residences of the racewalk officials.
b. Receipt of athlete qualifying times to allow for “seeding” in the 1500m heats and, if necessary, in the 5K race.
Last, but by no means least, it is absolutely necessary to address the needs of those athletes who, because of physical limitation, can no longer legally adhere to the two racewalking rules. These athletes walk for health and fitness and must be encouraged to continue. The Senior Sports Classic organization can be a leader in this effort by establishing a new monitored event having as its only rule: No Lifting or Loss of Contact. This rule eliminates hopping, skipping, jumping and running. Many local walking events have such a monitored category. A single-rule walking event would accommodate the many athletes who enjoy being in a walking event while preserving the integrity of the rules governing racewalking.
The athletes at Tucson expressed their overwhelming approval of having both a monitored, single-rule walking event and a judged racewalking event. The Senior Sports Classic VI racewalks are history. I am earnestly seeking constructive suggestions for improving the racewalks in 1999. Make your ideas known now! □
(Richard Charles, Event Director - Racewalks, 500 E. Riverside Drive, #227, Austin, TX 78704.)
Cotton Row 10K
Continued from page 1
Svetogor took a five second lead in the first mile, but Rowan closed the gap to a few meters in the next 1.5 miles.
On the steep climb of Mountainwood Hill, Rowan moved ahead for his first lead in the race. By the time they had descended the one-mile downgrade along Bankhead Parkway, Svetogor was back in front.
"I caught him again with about a mile to go," Rowan said. "But on that last downhill just before the 6-mile mark he just had too much leg speed."
Rowan did not use as an excuse the fact that he had run a 32:30 in winning the News-Sentinel Expo 10K two days earlier in Knoxville, Tenn.
Terry Daniel of nearby Guntersville, Ala., was third ($300) in 34:04; Stann Vernon of Lafayette, Colo., finished fourth ($200) in 34:42; and Joe Francica of Huntsville took fifth ($100) in 35:41.
Svetogor is an anesthesiologist back in St. Petersburg, but made it clear through his interpreter that the occupation does not pay as much in Russia as in the United States. He was one of seven Russians who entered Cotton Row this year. They came from two different training bases in Florida. They would stay for three or four months, run as many races as they can, then return home.
He had already won masters titles at the New Bedford Half-Marathon in March, a 10K in Dedham, Mass. in April, and the Hopkinsville (Ky.) 10K; finished second at Cooper River Bridge in 31:13, and at a 10K in Evansville, Indiana; and ran a 2:29:44 for 10th master at Boston. His group was headed to Kansas for another race the following weekend.
In the women's race, Pozdnyakova ran with the two open female leaders (also Russian) for the first two miles before slowing on the hill. She had hoped to break Nancy Grayson's course record of 35:34, but admitted the course was tougher than expected.
Pozdnyakova was a part of Russia's national track and field program for about 15 years, and competed internationally in track and cross-country. This spring she had been almost unbeatable as a master in southern races, with wins at the Carolina Marathon 10K (35:50) in Columbia, S.C., and the Reedy River 10K (34:27) in Greenville, S.C. In these two races she was also third and second overall, respectively. At the Azalea Trail 10K in Mobile, Ala., only Ruth Wysocki's new American record of 33:22 was faster than her 34:31. Even more impressive was her win of the overall female title at the Cleveland Revco Marathon in early May in 2:33:27.
Joyce Deason of Shreveport, La., took third ($300) in 39:38; Victoria Crisp was fourth ($200) in 39:48; and Molly Gerke of Arlington, Va., finished fifth ($100) in 44:08.
For the first time in eight years, Nancy Grayson of Northville, Mich., was not a part of the female masters field. Last year Grayson won her seventh straight masters title at this race and this year decided to leave the race open for a new winner. The race committee missed her warm personality and tough racing spirit this year.
In the older male age groups, Malcolm Gillis won the 60-64 division in 41:25, also only two days after winning the same division in Knoxville. The division win gave Gillis the Running Journal Grand Prix XIX title for his division.
For the past seventeen years, Cotton Row has been the final race in the Running Journal Grand Prix series. Other Grand Prix division winners who ran Cotton Row include Rowan (40-44), Dick Franklin of Huntsville (50-54), Andrew Sherwood of Atlanta, Ga. (55-59), Jack Gough of Clearwater, Fla. (65-69), and Joe Conrad of Gainesville, Fla. (70+).
The only female Grand Prix division winner who ran Cotton Row was Mary Thompson of Columbia, S.C. She finished second in 52:07 in the 50-54 division.
Of the 1,550 finishers this year, 692 (45%) were masters. The overall gender breakdown indicated 1190 males and 360 females. In the master divisions, 574 (83%) were male and 118 (17%) female. □
Tatyana Pozdnyakova (2007) of Russia, first masters woman (35:47), WZYP Cotton Row 10K, Huntsville, Ala., May 26, runs with two open female leaders in the second mile. Photo by Jim Oaks
RUN THE Original...
1997 ATHENS MARATHON
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Derek Turnbull Still Can Wrestle Sheep
Turning up the dirt road of the sheep farm, we came to a gate separating the grazing pens from a wooded area. The wooded area had a sign beside it labeled "The Turnbull Reserve." In ecology-conscious New Zealand, you can get a tax break if you dedicate part of your property to forest for wildlife habitat.
Derek Turnbull got out of the four-wheel-vehicle in which he was giving us a tour of his property and unlatched the fence. We drove through and he got out once again to close the fence so no sheep or livestock could follow us. We continued driving along a twisting, dirt road.
"This must be where you do your training," I said to Derek.
Turnbull looked at me with a knowing smile. "I don't train," he said. "I just run."
Whether or not Turnbull trains or merely runs, he is among the world's greatest masters runners. He is the winner of nearly two dozen gold medals at the World Veterans' Championships. In three of those championships (Rome, Melbourne and Eugene), he won six medals each at distances between 800 meters and the marathon. In 1992 after turning 65, Turnbull broke every world record for flat distance events on the track for those same distances. He also ran a world-best 2:41:47 at the London Marathon that year.
Switch to Multi-Sports
Turnbull has not competed at the World Veterans' Championships since Eugene in 1989, having skipped Turku, Finland; Miyazaki, Japan; and Buffalo, New York. Turnbull claims as one reason the expense (the price of sheep not being what it used to be), but another is that some of his athletic attention recently has been directed toward multi-sport events.
When I visited him this March at his farm near Invercargill toward the bottom of the South Island, Turnbull admitted to having competed the previous evening in a 25-mile bicycle race. There was a road race that evening in Invercargill. He asked if I wanted to attend. I said no, partly because I was running in the New Zealand Veterans Championships in Dunedin the following evening, but more because I would rather hang around the farm and chat with Derek than compete in a road race. Derek seemed content over my decision.
I was in New Zealand on assignment for Runner's World to do a travel article, which will appear in coming months. My wife Rose and I spent three weeks Down Under, furiously traveling by rental car all over that country that seems small by comparison to neighboring Australia, but covers a distance about the same as from Portland, Oregon to San Diego, California and at about an equivalent latitude.
Rushing from landmark to landmark, Rose and I didn't know if we could find time to visit Derek Turnbull, who lives almost as far south as you can get in New Zealand without swimming toward Antarctica. Roger Robinson, another veteran runner, had given us Derek's address, saying he and his wife Pat ran a bed & breakfast, perhaps more accurately a "farm stay" for tourists. Pressed for time, we hesitated to call. Finally, after a visit to Fiordland National Park, we called Derek's number. He wasn't home, so I left a message on his answering machine.
A day later, I called and found Derek home. I asked if he had gotten my message. "Pat's not here," said Derek. "I don't know how to use that machine." He invited us to spend the night, offering directions to his sheep ranch, which was off the main road between Te Anau and Invercargill, just past a spot on the map labeled Tussocks Crossing, more an intersection than a town.
The Wooling Shed
"I'll be in the wooling shed," said Derek.
Turning off the main highway, we arrived at a mailbox with Turnbull's name on it and encountered another vehicle exiting the driveway. It was driven by Derek's son Guy, his partner in the sheep business. Guy indicated that we should follow him to the wooling shed, just passed. The shed was a barn-like building. We entered and encountered Derek standing on a platform shearing a sheep. He wore plain trousers and a short-sleeved black vest that bared his powerful arms. His dress and appearance reminded me of the monster in the old "Frankenstein" movies, except he wore running shoes, a model that appeared to date back to the 1970s. No longer fit for running, they still could be used for shearing sheep.
And shear sheep Derek did. Watching Derek work gave me an insight into what makes him a great runner. A sheep ready to be sheared waited in a holding pen. Derek entered the pen and darted around until he could grab one. He then flipped the 150-pound sheep onto its back and dragged it into a dock, pinning one of the sheep's forelegs beneath his arm. Despite some bleating, the sheep took this abuse good-naturedly. Derek used electric shears to strip the sheep of its wool, then shoved it down a ramp to wait below before being led back to the fields.
As Rose and I watched, Derek and his son sheared two dozen sheep. Over a period of several days, they would shear hundreds—and it appeared to our eyes that Derek worked faster and harder than his son. At the World Veterans' Championships in Melbourne, I had done an interview with Derek about his training for an article that appeared in Runner's World and, later, as a chapter in my book, "Masters Running Guide."
Derek had described his running to me: "I get a long run on Sunday with the boys, a fast-medium run middle of the week, and fiddle around in between." Derek said that running was the easiest thing he did during his day. Seeing how he worked at the age of 70, I wondered how any ordinary mortal, such as myself, whose day was spent staring at a computer, ever could hope to defeat him in a running race.
Different Age Groups
Unfortunately, Derek and I never have competed on the track. His birthday comes a few months after mine, and he is a little less than five years older, so usually he has moved out of the next age group before I have moved in. The one exception was at the World Vets in 1991 at Turku, Finland. I had turned 60 just before that meet and knew Derek Turnbull remained in M60. I entered the 5000 in Turku mainly for the honor of running on the same track with the great Derek Turnbull and finishing (probably) behind him.
Alas for my plans, Derek did not appear. Inquiry on my part suggested he might have been injured. I ran the first five laps of the 5000 as a workout, then dropped out to save myself for the 2000 meter steeplechase, which I later won. As a distance running groupie, I almost would have preferred having
Continued on page 17
Raschker Smashes Records in Tennessee
by DEAN WATERS
The USATF Tennessee Masters Classic, in its 11th year in Knoxville on May 16-17, provided some extraordinary performances that have become the norm for this meet. Last year, Lawrence Johnson, as a special entrant, broke the U.S. record for the pole vault by clearing 19-7½. This year, by jumping into two races she didn’t even intend to run, Phil Raschker obliterated the W50-54 world records for the 80mH and the 100.
Raschker, who was nursing a sore tendon, had not entered either event prior to the start of the meet. Taking advantage of a beautiful, clear morning and a slight tailwind, she entered the hurdles when another hurdlers scratched. She then became the first woman over 50 to run under 13 seconds in the 80mH with a 12.90, caught by the timing system at the University of Tennessee’s Tom Black track.
Those watching judged this record won’t stand for long as Raschker has yet to get her steps down for the distance between the “hurdles” in the 80mH as compared to the 100mH she had been running prior to turning 50.
Three hours later, she crushed the 100 world record when she ran 12.50, 3/10ths of a second ahead of world with a 1.6 meter tailwind. She dropped out of three field events she had entered but finished the day with a 2.90 pole vault.
The age-graded Nolan Fowler Weight Pentathlon was won by Ray Feick, M65, with 4223 points, followed by Pay Carstensen, M65, at 3863.
Local athletes who turned in notable performances included Herbert Collins, M30, 400 (54.75), Scott King, M35, 800 (2:01.13), and Rod Marriott, M75, pentathlon (3601).
The team title, based on scores by athletes 35-and-older, went to the Knoxville TC (156), with Mjolnir, second (70), and Godiva, third (56).
As usual, the excellent performance by the Knoxville Officials Association made the meet management a joy. Everything went off on time thanks to Charles Reeves and Rich Jones (timing), Jane Gaby (starter), Herb Roberts (clerk), and others too numerous to mention.
The turnout of 120 athletes, averaging nearly three events apiece, led to the award of 180 first, 67 second, and 25 third places. Frugality by the director led to an underestimate of medals, so 32 are on back order and will be sent out as soon as they are received from the vendor. □
---
**PUBLICATIONS ORDER FORM**
| Quantity | Total (US$) |
|----------|-------------|
| | |
**Masters Age Records**
Men's and women's world and U.S. age bests for all track & field events, age 35 and up, and for all racewalking events, age 40 and up, as of Oct. 31, 1996. 56 pages. Lists name, age, state and date of record. Compiled by Peter Mundie, WAVA and USATF Masters T&F Records Chairman. $4.00.
**Masters Track & Field Rankings**
Men's and women's 1996 U.S. outdoor track & field 5-year age group rankings. 56 pages. 150-deep in some events. All T&F events. Coordinated by Jerry Wojcik, USATF Masters T&F Rankings Chairman. $6.00.
**Masters Track & Field Indoor Rankings (1996)**
Same as above, except indoor rankings for 1996. 4 pages. $1.50.
**Masters Age-Graded Tables**
Single-age factors and standards from age 8 to 100 for men and women for every common track & field, long distance running, and racewalking event. Shows how to conduct an age-graded event. Tells how to keep track of your progress over the years. Compares performances of different ages/sexes in different events. 60 pages, including samples and charts. Compiled by the World Association of Veteran Athletes. $6.00.
**Masters 5-Year Age-Group Records**
Men's and women's official world and U.S. outdoor 5-year age group records for all track & field events, age 35 and up, as of March 1, 1997; 8 pages. Lists name, age, state and date of record. Compiled by Peter Mundie, WAVA and USATF Masters T&F Records Chairman. $1.50.
**Masters 5-Year Indoor Age-Group Records**
Same as above, except indoor records (M40+, W35+) as of August 1996 (world) and January 31, 1997 (USA). 4 pages. $1.00.
**Competition Rules for Athletics (1996 Edition)**
U.S. rules of competition for men and women for track & field, long distance running and racewalking—youth, open and masters. $12.00.
**USATF Directory (1996)**
U.S. Bylaws and operating regulations. Includes names and addresses of national officers and staff, board of directors, sport and administrative committees, etc. $12.00.
**IAAF Scoring Tables**
Official world scoring tables for men's and women's combined-event competitions. $12.00.
**IAAF Handbook**
1996/1997 rules and regulations handbook. $15.00.
**Masters Racewalking**
Thirty American coaches and athletes share ideas on Technique, Training and Racing. This book is a unique and complete resource. Edited by Elaine Ward. $15.00.
**USATF Logo Patch 3**
Color embroidered 4" x 3". $4.50.
**USATF Race Walking Patch. 3**
Color embroidered 4" x 3" with gold trim. $5.50.
**USATF Cross Country Patch. 3**
Color embroidered 4" x 3" with gold trim. $5.50.
**USATF Lapel Pin. 3**
Color USATF Logo on 7/8" soft enamel lapel pin (nail pin back with military clutch). $5.50.
**USATF Decal. 3**
Color, 3" x 2-1/2". $2.00.
**Guide to Prize Money Races and Elite Athletes 1997**
Published by Road Race Management, the Guide includes elite athlete alphabetical listing (including masters) with over 800 addresses and phone numbers, calendar for over 400 prize money events, and more. $58.00.
**Running Research News**
Bi-monthly newsletter. Contents include the latest scientific information on endurance training, sports nutrition, and injury prevention. $35.00 per year.
**Back Issues of National Masters News**
Issues: ________ ________ ________ $2.50 each.
Postage and Handling $1.50
Overseas Air Mail (add $5.00 per book)
TOTAL $
Send to:
National Masters News Order Dept.
P.O. Box 50098
Eugene OR 97405
Name ____________________________________________
Address __________________________________________
City ______________________ State _______ Zip _______
The Weight Room
Rankings Toppers and Records Smashers
The 1997 indoor rankings in this issue and the recent publication of Pete Mundle’s “Masters Age Records” should keep statistics buffs off the street for awhile. In the indoor rankings, any masters shot putter who can retain a *numero uno* spot in one’s division from one year to the next is a rarity – what with throwers coming into and moving out of divisions, athletes dropping out with injuries and dropping in after recovery, plus having the opportunity to throw in an indoor meet without traveling across the country, and finally having their marks listed or reported for rankings purposes.
Only three throwers maintained their 1996 division top standings in the 1997 lists: M45 Craig Schumaker, who bettered his reported 44-7½ in 1996 with a 46-11½ in 1997; M55 Carl Wallin, who dropped from 50-0 with the 6kg to 47-7¼ but still held on to first; and W60 Mary Roman, who slipped a little from 29-4½ with the 3kg to 28-11.
Spectators at an indoor masters meet are usually seated closer to the throwers than they are at an outdoor meet. At Boston this year, a really rabid fan could stand safely behind a screen about three yards from the ring. Some individual throwers have their own cliques and groupies, but if you want to be up close and personal with one group of shot putters who are fun to watch, I’d like to suggest the M50-54 bunch, headed by Clay Larson, Lad Patakı, and Tom Gage, 1-2-3 in the rankings.
Larson didn’t make it to Boston, but I saw all three in action in the Reno meet in February, where Larson won, heaving the 6kg 52-8. The electricity hangs in the air when these guys go up against each other. Former Olympian Gage is, of course, a premier hammer and weight man, but his competitive juices still run hot in the shot.
Gage heads the 1997 M50-54 indoor weight list at 54-4 with the 35-lb., far outdistancing his competitors, including Patakı. Others with big marks are Ken Jansson, M35, 64-2¼, 35-lb.; Stew Thomson, M65, 56-7½, 25-lb.; Joan Stratton, W45, 39-11½, 20-lb.; and Vanessa Hilliard, W55, 49-2½, 16-lb.
The most striking throws performance in the lists is the 68-4¾ toss by Yuriy Syedikh, 41, of the Ukraine, who threw the 35-lb. in the Dartmouth Relays early in the year. Syedikh is a former USSR Olympian and record holder in the hammer, who has been living in the U.S., giving clinics and coaching under the aegis of Ken Jansson. The last masters thrower in that range was Ed Burke, who peaked at age 43 in 1984 with a 73-10¾.
Pete’s Sheets
I got Burke’s marks from Pete Mundle’s compilation of world and U.S. single-age records, which, to resort to an old saw, is full of characters but thin on plot. It also contains one of the best typos of the year: the 3 gram women’s hammer throw on p.41. However, having just discovered at least two glaring omissions in the indoor rankings, I can sympathize with Mundle.
I’m always curious when I look through the book as to why many younger age marks are worse than older age marks. As an example, Gordon Nordgren holds the age-70 WR for the 800g javelin at 34.16/112-1, set in 1989. In 1990, Manuel White set a record of 36.90/121-1 with the 800g for age 74. Why didn’t Manuel set a record when he was 70? Sore arm? No forms to fill out? Illegal implement? Training for the age-74 record? Preoccupied with silly things like work?
In the 20-lb. weight list on p.43, Vanessa Hilliard’s age-54 WR of 13.60/44-7½ is better than all of the previous marks, including her own, for ages 35 and up; the same pattern is true for her in the 16-lb.
It’s a kind of history of the progress that women throwers have made and also a capsule view of Hilliard’s remarkable improvement in training and technique, I suppose.
Although Mundle admits in the preface that single-age records are not scrutinized as carefully as the age-group records, they do require some paperwork with officials’ signatures, proof of age, etc. In addition, you’ll have to find officials willing to hold up the meet while they re-measure the mark, re-weigh the implement, and such. Most officials are pretty cooperative with this, as long as you don’t become a pain in the tochus about it. If they start screaming for the metal tape, as happens in too many meets I’ve attended, you’ll not endear yourself to your throwing companions either because you’ll be blamed instead of the too-cheap-to-buy-a-couple-of-metal-tapes meet director for holding things up.
Record applications were published in the May issue, and a thoughtful meet director will have some on hand. Many world and U.S. single-age records, especially the women’s, are vacant or weak, so there are opportunities to add your name (if only for a year or so) to the dramatis personae in Mundle’s best seller.
Rescind the No False Start Rule
A committee has been formed by Louise Mead Tricard and myself to rescind the masters no false start rule and return it to the original rule (one warning, then elimination), which governs all non-masters USATF athletes and masters athletes worldwide.
This rule has never been well received by the majority of the athletes and was originally passed against the wishes of 80-90% of the sprinters nationwide. (I was at the convention and saw how it was "railroaded" through by a few people in positions of power and influence.)
Within everyone who has ever been disqualified by this unnecessary rule, and all the other athletes who have to go "passive" at the start for fear of false starting and then get a poor start (for them), there smolders a burning resentment. Some of us won't compete where the current rule is used -- we refuse to be abused this way and it is "abuse."
However, there seemed nowhere to turn since the small group of people who controlled masters track and field for a number of years refused any consideration of what the vast majority of sprinters really wanted.
Grass Roots Movement
Now, however, there is someone to join with -- the "Committee to Rescind the No False Start Rule." This is starting as a grass roots movement, through the petitions of individual athletes and will grow into other areas as well. Our goal is to have 1000 petitions to present at the convention in 1998 in Orlando, Florida when it comes up for a vote. The input of each and every masters sprinter/hurdler (and other athletes and officials) will count this time. We will be utilizing all avenues available to us and have confidence that the rule change will be on the ballot.
There are many arguments against the no false start rule and few for it, especially for seniors.
Masters compete entirely on their own and to put someone out of a race who spent up to 3-5 days and $500-$1000 dollars of their own money, for such a minor offense, is beyond any comprehension of fairness and common sense.
Most masters athletes (generally) train alone and have no one to give them practice starts (and false starts). Thus, they are not as well prepared for starting line dynamics (both the physical and psychological) as they might be otherwise.
By the Rules
The majority of false starts are caused by starters, not sprinters (see article on "Seed Starting" in NMN, November 1987, p.5). When starters start the race correctly, according to the written rules (which most do not, unfortunately) there are very few false starts. I am a starter, as well as a sprinter. At our local senior games, as starter (and also meet director), I had a "NO" disqualification rule for false starts. In four races (50, 100, 200, 400) there were three false starts. Three out of 90 "possibles" is hardly a problem I would say.
The current rule penalizes U.S. athletes unnecessarily in international and world competition, since most of them will have developed "passive" starts (for fear of false starting) while the rest of the world has more "active" starts.
It alters the outcome of the race in other ways (in addition to "passive" starts giving poor starters an unfair advantage):
- Starters (who care about the athletes) will often let false starts "go" rather than call them.
- Caring starters will sometimes fire the gun too quickly (before the athletes are ready) in order to prevent false starts.
Faulty Reasoning
Only two reasons are generally put forth "for" the NFS Rule, both lacking validity when examined more closely.
1) Anyone who false starts is automatically "cheating." This is totally without merit. First of all, there is nothing in the written rules (national and international) that states you can't "guess"; and anything not prohibited is obviously legal (advisable -- no, most people guess wrong, but legal -- yes). So how can you "cheat" a rule that doesn't even exist? Secondly, false starts occur for many reasons other than "guessing." Other, secondary reasons, are excess nervousness, various distractions, lapse of concentration, uncomfortable starting position, etc.
2) Sprinters are the cause of all meet "delays." This is absurd. Many factors can cause a meet to be delayed. Administrators (poor planning of the meet) and officials (poor conduct of the meet) cause/create many delays. Also, distance races can take longer than expected. One sprinter who responded to our petition commented, "The meet was already an hour behind when it got to my race." The throws and jumps can also cause a meet to be delayed, depending on the structure of the meet. Let's not blame the sprinter entirely for something they are only a fractional part of.
Under the regular false start rule (warning, then disqualification), when an athlete false starts and has to go "passive" (for fear of false starting again), this alone is a very heavy penalty/handicap.
Fear vs. Fun
One last comment -- what about fun? Where is the "fun" in getting DQ'ed for one false start (especially when it may be the starter's fault)? In the 1997 Indoor Nationals in Boston, there were eight false starts in the men's 60m. Was it fun for them (one was 70 years old, one came all the way from California, another from Georgia)? Were they all "cheaters" (who must be severely "punished")? I think not. Perhaps it was the starter's fault (most starters in the US do it incorrectly); maybe they were just nervous, distracted, etc. Let's remove the fear and put the fun back in, and give our athletes a second chance like the rest of the world does.
A petition is published on this page. Additionally, if you want to actively assist in the campaign, by taking petitions to meets and soliciting signatures, let us know and we will send you the forms. Address all correspondence to: Committee to Rescind the NFS Rule, 290 Marco Way, N., Satellite Beach, Florida, 32937.
Barbara Zamparelli, 67, winner of the W65 race, Las Vegas Marathon, in 4:44:06. Photo by Tesh Teshima
Putting vs Throwing the Shot
You throw a baseball. You throw a football. You may even throw the bull. But, if you are doing it properly, you do not throw the shot, you put it.
In throwing a ball, the thumb on the throwing hand is pointed upward and the elbow is pointed down. When “putting” the shot, the thumb is pointed down, and the elbow is pointed up. The motion is started with the shot nested at the neck on the underside of the chin. The ball should rest on the pads of the fingers and thumb, not in the palm. The thumb is pointed down. From this position, the elbow is unhinged and the hand and lower arm are thrust forward at an angle of approximately 45 degrees. The hand is not pulled out sideways away from the neck. The hand moves straight ahead with no rotation of the hand or arm. At the completion of the “put,” the thumb is still pointed down and the elbow up.
Proper Form
I recently videotaped some of the shot putters at a masters meet. I reviewed the tape frame-by-frame in slow motion. Almost all of the competitors finished the put with their thumbs pointed either sideways or up. As they started their arm action, they were pulling the hand sideways out from the neck and getting the arm into a throwing position. They were throwing the shot.
Whether gliding or rotating, it is imperative that the transition from the power position to the delivery be properly implemented. When arriving at the stop-board, the chin, knee and toe of the rear foot need to be in alignment with the body weight mainly over the rear foot. If the shot were allowed to drop at this point, it would land slightly behind the rear foot.
Next, the body turn starts at the hip. As the hips are turned, the body weight is transferred from the rear foot to the forward foot. Then the shoulders and face are turned to the front of the ring as the body straightens up and the head faces high. The shoulders should become square to the throwing area and the arm extended at approximately 45 degrees as the power is transferred from the lower body to the upper body. As the fingers are opened to release the shot, the wrist is flexed with a flicking motion to impart a last bit of speed to the ball.
Early Errors
I have found while coaching young high school shot putters that one of the most commonly made errors is that they get too low in the ring. They have not yet developed the necessary leg strength to successfully complete the transition to the upright position. As a result, they often straighten up and then rotate the hips through the power position, rather than performing it as an integrated movement. They stand up then they put. I have observed this to a limited extent in masters shot putters.
There was an article in the Summer 1995 issue of Track Coach relative to the comparison of rotational and glide technique in the shot put. The information had originated in The Thrower, which is published in England. The concluding paragraph reads: “Top level rotational athletes generate greater angular velocity of hips and shoulders than O’Brien technique users and use their legs more effectively to provide significantly increased vertical velocity of the center of gravity. Consequently, only athletes who are capable of capitalizing on these factors will benefit from an adoption of the rotational technique.” This was concluded after a computerized analysis of three-dimensional data obtained at major competitions. If you don’t have great leg, hip and shoulder strength, you probably should not be rotating.
Continuous Motion
The basic, simple fundamental is that the higher the speed of the shot when released from the hand, the farther it will go. All effort must be directed at having the hand reach maximum velocity at time of release. The only reason to spin or glide is to speed up the arm and the hand. If there is any slowdown or pause during the motion, then all action prior to that point is negated. The motion must be smooth, continuous and with ever-increasing velocity.
All of the muscles which contribute to the put must reach maximum velocity at release. The larger, stronger muscles are slower in reaching maximum velocity. The leg muscles are the largest and strongest, so the longer they are pushing against the ring surface, the better chance they have of reaching maximum velocity.
Putting the shot is a skill event, not a strength event. The person with the best form usually wins. Yes, you do need some strength, but you must spend a lot of time working on technique if you want to become a top level competitor.
Guest competitor John Solms, M50, South Africa, 1996 NCCWAVA Regional Championships, Eugene, Ore. Photo by Jerry Wojcik
Rex Harvey, M50, and Everett Hosack, M95, at the Indoor Heptathlon Championships, April 5-6, Hillside, Ill. Photo by Karen Huff
Nationals Preview
Continued from page 1
ing fun and taking part.
All the action will be staged at San Jose City College. A free shuttle will be provided to and from the college, the dorms and the Hyatt San Jose throughout the Championships.
A post-meet barbecue, open to all athletes and their guests, will be held at the end of competition on Sat. Aug. 9 at San Jose City College. There will be a special guest speaker.
Official airlines American and Reno Air and official car rental agency Budget Rent-a-Car are offering discounts for all masters participants and spectators.
San Jose is a 30-minute drive from San Francisco and a three-hour drive from Yosemite National Park, one of the most beautiful and spectacular places on earth. Yosemite is not to be missed if you have an extra day or two after the meet. □ – Al Sheahen
Age Grading
What Are Age-Graded Tables?
Age-graded tables are a series of "age factors" and "age standards" which can be used to compare performances at different ages in track and field, long distance running, and racewalking events.
Age-graded tables show how much a typical person's athletic performance improves during youth and declines during aging. The performances vary by event.
In the *Age-Graded Tables* book, factors and standards are published for both sexes for each age from 8 to 100 for the common track and field, long distance running, and racewalking events.
What's the Purpose of Age-Graded Tables?
The purpose of age-graded tables is twofold:
1) To correct a person's performance, no matter what his/her age, to what it would have been (or will be) in their prime years. By so doing, all kinds of interesting comparisons can be made. You can compare back to your best performances. You can compare your performances to other people of any age, such as open-class athletes, etc.
2) To provide each individual with a percentage value which enables them to judge their performance in any event without bias to age or sex. No matter how old one gets, this performance percentage will always be judged against the standard for one's age. As your performances decline with age, so do the world standards that the tables use to calculate your percentage, giving a true measure of your performance.
The standards correspond approximately to world-record marks for a person of that age and sex in that event.
Achievement Levels
100% = Approximate World-Record Level
Over 90% = World Class
Over 80% = National Class
Over 70% = Regional Class
Over 60% = Local Class
What are the Advantages of Age-Graded Tables?
Age-graded tables can be used to:
1) Keep track of your progress over the years.
2) Compare your own performance in a given event.
3) Compare your own performance in different events.
4) Compare your progress in the current year.
5) Set goals for the current year and future years.
6) Compare back to your best-ever performance.
7) Compare your performance to people of any age.
8) Estimate your performance in new events.
9) Compare performances of older and younger individuals in the same or different events.
10) Select the best performance in an event among all age groups.
11) Select the best overall performance in a meet or race.
12) Select outstanding athletes.
13) Give recognition to good performances in the younger and older age groups.
14) Enable athletes at the upper end of their age groups to compete on an equal level with those at the lower end of their age groups.
15) Make the competition more interesting and exciting.
16) Make awards more meaningful.
17) Establish medal standards.
18) Score multi-events (decathlon, pentathlon, etc.) using standard IAAF scoring tables.
Who Compiled the Tables?
The tables were researched and compiled by the World Association of Veteran Athletes (WAVA), the world governing body for masters (veterans) track and field, long distance running, and racewalking.
For a copy of the 60-page Age-Graded Tables Book, with factors and standards from age 8 to 100, send $7.25 to: National Masters News, PO Box 50098, Eugene OR 97405. □
On The Run
Continued from page 12
Runner's World. His "Masters Running Guide" is temporarily out of print. His writing and information on training can be found on the Internet on his web site: www.halhigdon.com.)
Derek's sheep farm seemed like a scene out of "Far From The Madding Crowd," the novel by Thomas Hardy, but we could stay only one night. We noticed the names of several familiar runners in the guest book, including Gordon Bakoulis, now editor of *Running Times*. In the morning, Rose and I headed to Dunedin where I ran unplaced in the New Zealand championships. Derek had invited me to shear one of the sheep. Perhaps if I had sheared a few more, I would have gotten in better shape.
After we got home, Rose and I compared notes and decided that the high point of our three weeks in New Zealand was our visit to the home of Derek Turnbull. □
(Hal Higdon is a Senior Writer for Runner's World.)
Countdown to Durban
By LINDA BARRON,
Chief Executive Officer
Nearly Five Hours of TV Coverage Planned
With the WAVA World Championships almost upon us, we are updating our web site. For the latest information, access https://www.wava.org.za/. Confirmation of entry has been sent to all participants.
On the sponsorship side, Telkom Communications, Avis Car Rental, MTN Cellular Coms, Synergy Drinks, Panasonic Business Machines, Southern Suns Hotels, Resorts, Condominiums International, and South Africa Airlines are on the list. There are still two others waiting in the wings.
Television coverage on our national broadcasting network has been negotiated. We will have 287 minutes of TV beamed into thousands of South African homes – at least 150 minutes will be live action. International TV coverage is also in the negotiation process.
Increased Staff
On the administration side, the office staff has increased dramatically from four to 18 within the last month. We now have four working shifts: morning, afternoon, evening, and all day. The noise level has increased and the telephones and fax machines never seem to stop ringing or spewing out paper. The spirit in the office is buoyant and there is a sense of excited anticipation.
For those traveling to South Africa, SAA has been requested to make sure there are enough connecting flights out of Johannesburg to Durban, and to try and avoid long layovers for inbound passengers. We will also have good signage at the airports together with a meet-and-greet service and bus transportation.
Telkom, the communications company, will make phone cards available for sale in different denominations (R10, R20, etc.) More public telephones are being added to enable everyone to keep in touch with home.
Some homework you can do before leaving home for Durban is to work out the best time to phone home. The best rates for international calls is during the period 7 p.m. to 7 a.m. on week days and 7 p.m. Friday to 7 a.m. on Monday.
Car Rentals
Avis is offering special discounted car rental rates to competitors. An inexpensive car will cost R80 (US$18) per day and R.81 (US$19c) per kilometer or, for five days or more, R147 (US$33) per day with 200km free per day. These prices include VAT (value added tax), but exclude insurance, fuel, etc. Avis will have a rental desk at registration or you can book in advance quoting the code (6F/6/G).
MTN Cellular will have cell phones for hire during the event.
Tours
Our tour operator, together with many of the other local and national tour operators, has put together an exciting package of tours showcasing the best of what we have to offer. By booking through the central reservations, you will be assured of excellent service, the best prices, and great memories.
The full list of tours will appear both on our web site as well as in booklet form at registration. A central booking site will be in the Championship Village. However, here is a small preview of what will be on offer:
1) Township Tour (Kwa-Muhle museum) to understand the history of apartheid.
2) Township of Clermont. View the informal settlements, visit one of the largest hostels, gaining a full picture of the traditions, lifestyle and history of the larger population of South Africa. Duration 3 hrs. Price R130 (US$30).
3) Half-Day Valley of 1000 Hills: Beachfront, City Centre, Westville and Kloof to Valley of a 1000 Hills and view sites. Crocodile and Snake Park, PheZulu. Enjoy the Zulu Village with tribal dancing and witch doctors. Duration 3 hrs. Price R120 (US$27).
4) Hluhluwe/Umfolozi Game Reserve Tour: North Coast Sugar Belt region through Zululand to Hluhluwe, home of the Big 5. Lunch at Hilltop and a full day viewing game. Duration 12 hours. Price R485 (US$109) including lunch.
5) Wild Coast: Travel along the scenic south coast into Transkei. Enjoy the day at the Wild Coast Sun and Casino. Duration 11 hours. Price R80 (US$18), lunch not included.
6) Drakensburg/Sani Pass/Lesotho: Pietermaritzburg route, through midlands. Scenic views. Transfer 4x4 to the Sani Pass into the Kingdom of Lesotho. Dinner and overnight at local resort. Day 2: Breakfast. Morning spent at leisure to enjoy horse riding, hiking, golf and many other activities. After lunch return to Durban via the Valley of a Thousand Hills. Duration 1 night and 2 days (weather permitting and availability of accommodations). Passports required. Cost R1500 (US$340).
To those who will be competing, we hope your training is on schedule and we look forward to welcoming you to Durban. □
XII WAVA CHAMPIONSHIPS PARTICIPANTS BY NATION
| Nation | Code | Participants |
|--------------|------|--------------|
| ARG Argentina| 88 | |
| AUS Australia| 147 | |
| AUT Austria | 60 | |
| BAR Barbados | 1 | |
| BEL Belgium | 34 | |
| BOT Botswana | 2 | |
| BRA Brazil | 127 | |
| CAN Canada | 70 | |
| CHI Chile | 87 | |
| TPE Chinese Taipei | 30 | |
| COL Colombia | 39 | |
| CRO Croatia | 3 | |
| CZK Czech Republic | 64 | |
| DEN Denmark | 31 | |
| DOM Dominican Republic | 1 | |
| EST Estonia | 34 | |
| FIN Finland | 89 | |
| FRA France | 105 | |
| GER Germany | 517 | |
| GBR Great Britain | 223 | |
| GRE Greece | 35 | |
| GUY Guyana | 1 | |
| HKG Hong Kong| 16 | |
| HUN Hungary | 57 | |
| ISL Iceland | 2 | |
| IND India | 97 | |
| INA Indonesia| 20 | |
| IRL Ireland | 55 | |
| ISR Israel | 3 | |
| ITA Italy | 74 | |
| CIV Ivory Coast | 1 | |
| JPN Japan | 84 | |
| LAT Latvia | 13 | |
| LIB Lebanon | 2 | |
| LIT Lithuania| 20 | |
| MYS Malaysia | 62 | |
| MRT Mauritius| 6 | |
| MEX Mexico | 26 | |
| MAR Morocco | 1 | |
| MLI Mali | 20 | |
| NED Netherlands | 27 | |
| NZL New Zealand | 70 | |
| NOR Norway | 49 | |
| CHN China | 8 | |
| PAK Pakistan | 3 | |
| PAN Panama | 2 | |
| PER Peru | 8 | |
| POL Poland | 38 | |
| POR Portugal | 63 | |
| PUR Puerto Rico | 6 | |
| ROM Romania | 6 | |
| RSA Russia | 101 | |
| SIN Singapore| 13 | |
| SLO Slovenia | 42 | |
| SWE Sweden | 77 | |
| SUI Switzerland | 48 | |
| TZA Tanzania | 3 | |
| TRI Trinidad & Tobago | 15 | |
| TUR Turkey | 16 | |
| UKR Ukraine | 25 | |
| USA United States | 362 | |
| URU Uruguay | 21 | |
| VEN Venezuela| 4 | |
| YUG Yugoslavia | 1 | |
| ZAF Zambia | 8 | |
| ZIM Zimbabwe | 58 | |
*Totals are approximate*
World Games Preview
Continued from page 1
are expected to attend the 11-day event beginning on Thurs., July 17, providing an estimated economic impact of $12 million to the area.
11,363 Event Entries
The total number of event entries is 11,363, down 14 percent from Buffalo. The marathon drew the most entries (2060), more than double the 965 who competed in Buffalo. The next most popular events are the 10,000 (780), 5000 (744), 100 (684) and 200 (630). Except for the marathon and the 10,000, all events drew less entries than did Buffalo, not unexpected due to the higher costs of getting to South Africa. Not counting the marathon, event entries are 9303, down 24 percent from Buffalo's 12,187. Yet, even the least popular event, the pole vault, drew a substantial 133 entries.
Next to the host country's total of about 2250, the largest contingent will come from Germany (517), USA (362), Great Britain (223), Australia (147), and Brazil (127). (Note: these are approximate figures, some inflated by computer duplications; e.g. the exact USA total reported by USA Track & Field is 336.)
Countries represented for the first time are Botswana, Ivory Coast, Morocco, Zambia and Zimbabwe.
Of the estimated 5700 entries, about 30 percent are women, the highest percentage ever for a WAVA World Championships, surpassing the previous women's highs of 27% in Buffalo and 25% in Eugene.
Competition will be held in the traditional five-year age groups through age 95-plus, beginning Thurs., July 17. Opening ceremonies are set for Sat., July 19. Then, action continues through Sunday, July 27, with off days on Monday the 21st and Thursday, the 24th.
Camaraderie
While the competition is the reason for the whole affair, the best experience for most participants in Durban will be meeting and making friends with people from all over the world. It's a rare opportunity to talk to people from other nations in a relaxed and common setting.
The Championships are held every other year under the auspices of the World Association of Veteran Athletes (WAVA). This year, they will be staged by the Durban Organizing Committee, under the leadership of Monty Hacker, Chairman; Harry Naidu, Vice-Chairman; Linda Barron, Chief Executive Officer; and hundreds of volunteers from the Durban community.
Durban is gearing up for the biggest gathering of tourists in its history. Many activities have been planned with the veterans in mind (see "Countdown to Durban" on page 18).
Facilities
Two stadiums in King's Park, about a mile from the Golden Mile hotel area, will be the primary sites for the competition. There will be continuous free bus service running the loop between the housing and competition areas on about a 15-to-30 minute cycle. The distance can also easily be walked in 20-30 minutes.
The overall set-up in the park will include on-site refreshment areas, vendor booths, and other attractions. It will be a very festive atmosphere with a strong feeling of camaraderie.
Under the main stadium are rooms and covered open areas that will be used for registration, declaration, reporting, information, results, etc. Stadium 1 is well equipped with locker, training, medical, press, computer and other specialized rooms. Both stadiums are well lighted.
The cross-country races will be held on a municipal golf course just a half-mile or so from the main stadium area. The road walks will be held on a flat, smooth loop along the beachfront roads.
The marathon will be held Sunday morning, the last day of the Championships. It will be a very fast two-loop course starting outside Stadium 1, going along the entire length of the city beachfront, then looping through the city itself. The marathon will finish within the main stadium.
Officials
Jim Blair, WAVA's Stadia V-P, says "Paul Pretorius has assured me he has the required number of qualified officials to provide the high standard for the Championships." About 600 officials will be involved.
Weather
It's the middle of the South African winter and the Durban weather is at its best of the year. The average high and low are 74°F (23°C) and 61°F (15°C), respectively. The humidity in July is at its lowest of the year, the winds are relatively calm, it's sunny, and rain is rare.
Currency
The rand is the South African currency and is a bargain at 4.5 to the U.S. dollar. Prices in Durban will be comparatively inexpensive.
An Historic Time
South Africa is experiencing a peaceful revolution. It will be exciting to see the dramatic changes the country has made in just a few short years. The world's veteran athletes and their families will be part of helping to bring South Africa into the world community.
South Africans are very friendly and anxious to get to know their visitors. The city is 100% behind the event, and is contributing substantial financial support to make sure the Championships go smoothly.
"South Africa has been included in the final five cities to be considered to host the 2004 Olympic Games," Barron said. "As the decision on the final city will be announced on Sept. 5, 1997, it is imperative that these Championships are well organized. So there is a strong incentive for us to prove we can hold a track and field event of world-class standard."
U.S. Team Meetings
U.S. Team Manager, Sandy Pashkin, will hold daily meetings for all U.S. participants, beginning Thurs., July 17, about one hour prior to the first event of the day at Stadium 1. Athletes are urged to check the message board and attend the daily briefings.
WAVA Meetings
Several important meetings will take place during the Championships, many of which are open to everyone (see meeting schedule).
General Assembly
Everyone is invited to attend the WAVA General Assembly meeting on Thurs., July 24 at the Holiday Inn Crowne Plaza Hotel. Only delegates may vote, however. Contact your
Continued on page 24
World Games Preview
Continued from page 23
national delegate if you have an opinion on some item of business (see page 3 for U.S. delegates).
**Time Difference:**
Durban is six hours ahead of New York and nine hours ahead of Los Angeles. Thus, when it’s 10 p.m. in Durban, it’s 4 p.m. on the U.S. east coast and 1 p.m. on the west coast.
**Jet Lag**
You can’t avoid tiredness and jet lag, but you can make things easier if you: 1) take your shoes off; feet tend to swell during flight; 2) don’t eat or drink too much; 3) get off at transit stops; walk around; 4) stretch your legs by standing on tip-toe; 5) do deep breathing exercises; 6) exercise in any way possible.
**Results**
The results of the Championships will be published in the September issue of the *National Masters News*. A complete results book, available in November, can be ordered in Durban.
**Relay Teams**
Relays (4x100, 4x400) are limited to one team per country per five-year age group. The selection process varies from country to country. U.S. relay teams will be formed by taking the best four U.S. times in each 5-year age group from the 100m and 400m competitions in Durban. Pashkin will coordinate the selections.
**Sections**
The 5000 and 10,000 runs, steeplechases, and 5000 track walks will have seeded sections based on estimated performances. The faster sections will go last. Overall best times from all sections will determine the age-group winners.
**Advancement from Heats**
In track events from 1500 down, heats will be run, if necessary. At least two competitors will advance from each heat to the next round.
---
**NUMBER OF ENTRANTS BY EVENT AT LAST FOUR WAVA WORLD CHAMPIONSHIPS**
| Event | 1991 | 1993 | 1995 | 1997 |
|-------|------|------|------|------|
| 100 | 780 | 1438 | 906 | 684 |
| 200 | 704 | 967 | 868 | 630 |
| 400 | 619 | 668 | 767 | 573 |
| 800 | 572 | 604 | 651 | 468 |
| 1500 | 608 | 738 | 761 | 517 |
| 5000 | 765 | 1025 | 934 | 744 |
| 10000 | 700 | 533 | 671 | 780 |
| SH | 261 | 355 | 320 | 243 |
| SB | 332 | 385 | 373 | 246 |
| SC | 203 | 189 | 224 | 182 |
| HJ | 325 | 362 | 329 | 232 |
| PV | 160 | 164 | 222 | 133 |
| LJ | 475 | 713 | 489 | 364 |
| TJ | 285 | 374 | 301 | 235 |
| SP | 514 | 660 | 567 | 454 |
| DT | 537 | 546 | 590 | 470 |
| TT | 271 | 165 | 190 | 266 |
| JT | 379 | 490 | 422 | 340 |
| DEG | 217 | 175 | 246 | 166 |
| REP | 54 | 57 | 60 | 48 |
| WP | — | 174 | 350 | 284 |
| XC | 824 | 1997 | 851 | 455 |
| MARA | 965 | 5776 | 965 | 2060 |
| SKRM | 4.30 | 394 | 531 | 358 |
| 20KRM | 259 | 177 | 292 | 230 |
| 10KM | 117 | 138 | 162 | 101 |
| TOTAL | 11253| 19207| 13152| 11363|
Entrants 4802 12175 5335 5700
Events per entrant 2.34 1.58 2.47 1.99
---
**PRESIDENT:**
Cesare Beccalli
P.O. Box 76
37010 Brescia di Brenzone
(Vi) Italy
Fax: 39-45-742-0661
**EXECUTIVE VICE PRESIDENT:**
Tom Jordan
P.O. Box 10825
Eugene OR 97404 USA
Phone: 1-541-687-1989
Fax: 1-541-687-1016
**VICE-PRESIDENT:**
(Stadia)
Jim Blair
43 Emile Road
Pinchaven, Upper Hutt
New Zealand
Fax: 64-4-528-2992
**VICE-PRESIDENT:**
(Non-Stadia)
Jacques Serruys
Korte Zilverstraat, 5
B-8000 Brugge, Belgium
Fax: 32-50-334-325
**SECRETARY:**
Torsten Carlius
Smalsandgatan 25
S-25276 Helsingborg, Sweden
Fax: 46-42-128-956
---
**TREASURER:**
Al Sheahen
P.O. Box 2372
Van Nuys, CA 91404 USA
Phone: 1-818-981-1996
Fax: 1-818-981-1997
**WOMEN’S DELEGATE:**
Hannelore Guschmann
Sint Andriesdreef, 9
B - 8200 Brugge – St. Michiels
Phone: 32-50-387612
Fax: 32-50-393032
**IAAF DELEGATE:**
Carlos L. Perez
Camino a la Piedra del Comal No. 24 Col. Tepepan
16020 Xochimilco, D.F.
Mexico
Fax: 52-5-653-3159
**DELEGATE OF NORTH AMERICA**
Rex Harvey
160 Chatham Way
Marlfield Heights, OH 44124
USA
Home Phone: 1-216-446-0559
Business: 1-216-531-3000 x3366
Fax: 1-216-531-0038
---
**SOUTH AMERICA**
Jorge Alzamora
P.O. Box 685
Santiago, Chile
Phone: 56-2-621-1417
Fax: 56-2-696-5006
**ASIA**
Hari Chandra
15 C Jalan 10a) Salam
Singapore 1646
Phone: 65-2426967
Fax: 65-241-3116
**EUROPE**
Wilhelm Koster
Haydnstrasse 28
D-64347
Griesheim, Germany
Fax: 49-6151-880934
**OCEANIA**
Stan Perkins
106 Silkwood St.
Algester, Queensland
Australia
Phone: 61-7-3222-1021
Fax: 61-7-3221-1684
**AFRICA**
Hans van Looyesen
P.O. Box 5180
1403 Delmasville
South Africa
Fax: 27-11-827-7590
---
**ATHLETES WHO HAVE PARTICIPATED IN ALL 11 WAVA CHAMPIONSHIPS**
| Rank | Name | Country |
|------|---------------|---------|
| 1 | Ruth Anderson | USA |
| 2 | Reg Austin | AUS |
| 3 | Norbert Barth | GER |
| 4 | Hari Chandra | SIN |
| 5 | Phil Conley | USA |
| 6 | Isabel Cunningham | CAN |
| 7 | Willie Dunne | IRL |
| 8 | John Dunsford | GBR |
| 9 | Don Farquharson | CAN |
| 10 | Bob Fine | USA |
| 11 | Roland Johansson | SWE |
| 12 | Bob Mimm | USA |
| 13 | Jim O’Neil | USA |
| 14 | Hans Potsch | AUT |
| 15 | Jack Stevens | AUS |
| 16 | Jim Vernon | USA |
---
**Advertising Information & Rates:**
*National Masters News*
33 E. Minor Street
Ennema, PA 18098
FAX: 610/967-7793
Susan Hartman, Advertising Mgr.
610/967-8316
Karen Jennings, Advertising Rep
610/967-8758
Closing is the 10th of the month prior to the cover date.
Victoria, Kuala Lumpur Withdraw Bids
Two of the three cities which were planning to bid for the 2001 WAVA World Veterans Athletics Championships have withdrawn, leaving Brisbane, Australia as the sole bidder for the 14th biennial championships.
Kuala Lumpur dropped out without giving a reason. Victoria, Canada, withdrew because of financial problems with the sanction fee and entry fees proposed by WAVA. Victoria said it hoped to work the problems out, and bid for the 2003 Championships two years from now.
In 1995, Gateshead, England, was chosen to host the 1999 Championships.
Non-Stadia Championships
In 1995, the 1998 Non-Stadia Championships (10K, 25K, road walks) were awarded to Kobe, Japan. Three cities will bid for the Non-Stadia Championships in 2000: Cardiff, Great Britain; Portland (OR), USA; and Valladolid, Spain.
The sites will be chosen by delegates to the WAVA General Assembly in Durban on Thursday, July 24. Over 175 delegates, plus the 14-person WAVA Council, are eligible to vote. (The USA has five delegates, see names on page 3). The meeting will begin at 8 a.m. at the Holiday Inn Crowne Plaza Hotel.
Proposed Amendments
Also on the agenda in Durban will be various proposed amendments to the WAVA Constitution and By-laws.
- To increase the period for WAVA Council members from the current two years to four years with a limit of three consecutive terms.
- To include non-stadia participation in the basis for voting delegates to the General Assembly.
- To change the procedure for impeaching an officer.
- To limit the weight pentathlon to four events.
- To reduce the weight of the weight implement for women.
- To include men age 35-39 in World Championships.
- To hold the decathlon/heptathlon on the last two days of the Championships, rather than the current first two days.
- To reduce the distance of the short hurdles from 100m to 80m for W35.
- To reduce the distance of the long hurdles from 400 to 300 for W35-49.
- To lower the height of the hurdles for W60+ to .600m (300m) and .650m (80m).
- To reduce the javelin weight for M50-59 to 700 grams.
- To appoint a commercial manager to raise funds for WAVA.
- To formalize the role of WAVA's Executive Vice-President in dealing with organizational matters.
Council Elections
Also on the agenda will be election of officers. The nominees are:
**President:** Torsten Carlius (Sweden), Al Sheahan (USA).
**Executive Vice-President:** *Tom Jordan (USA).
**Vice-President, Stadia:** *Jim Blair (New Zealand).
**Vice-President, Non-Stadia:** Ron Bell (Great Britain), *Jacques Serruys (Belgium).
**Secretary:** Monty Hacker (South Africa).
**Treasurer:** Jose Figueras (Uruguay), Giuseppe Galfetti (Switzerland), Norm Green (USA). (*Incumbent)
Women's Meeting
The WAVA Women's delegate to the Council will be chosen at the WAVA Women's Meeting on Monday, July 21 at the Holiday Inn Crowne Plaza at 6 p.m. The only known candidates are Hannelore Guschmann (Belgium), the incumbent; and Bridget Cushen (Great Britain), the former Women's Chair (from 1981-1993). However, nominations are permitted at the meeting.
Regional Meetings
The meetings of the six WAVA regions (Europe, Africa, North America, South America, Asia, and Oceania) will be held simultaneously at 10 a.m. at the Holiday Inn on Monday, July 21.
Committee Meetings
The Stadia and Non-Stadia Committee meetings will also be in the Holiday Inn on July 21 at 2 p.m.
Generally, all meetings are open to everyone.
---
**NATIONS REPRESENTED**
in Buffalo, but not in Durban
Albania
Antigua
Armenia
Belarus
Bermuda
Bolivia
Congo
Costa Rica
Djibouti
Fiji
Jamaica
Moldova
Nigeria
Papua New Guinea
Philippines
Slovakia
Turkmenistan
in Durban, but not in Buffalo
Botswana
Ivory Coast
Morocco
Thailand
Zambia
Zimbabwe
---
**CALENDAR OF EVENTS**
XII WAVA World Veterans Athletics Championships
| Day | Date | Event |
|-------|------------|--------------------------------------------|
| Day 1 | Thursday, July 17 | Decathlon and Heptathlon Cross-country |
| Day 2 | Friday, July 18 | Decathlon and Heptathlon Start of Track & Field Competition |
| Day 3 | Saturday, July 19 | Opening Ceremonies |
| Day 4 | Sunday, July 20 | Road walks |
| Day 5 | Monday, July 21 | Non-competition day WAVA Regional meetings, 10 a.m. WAVA Committee meetings, 2 p.m. WAVA Women's meeting, 6 p.m. |
| Day 7 | Wednesday, July 23 | A Night at the Shebeen |
| Day 8 | Thursday, July 24 | Non-competition day WAVA General Assembly, 8 a.m. |
| Day 11| Sunday, July 27 | Marathon Relays Closing Ceremonies |
---
**ATHLETES WHO ENTER A NEW DIVISION THIS MONTH JULY 1997**
| ATHLETE (RESIDENCE) | BIRTHDATE | AGE GROUP |
|---------------------|-----------|-----------|
| EDWARD BENHAM (OCEAN CITY, MD) | 7-12-7 | 90-94 |
| DEREK BOGBEY (TAMPA, FL) | 7-15-42 | 55-59 |
| STEPHEN BROWN (SAN ANA, CA) | 7-15-42 | 55-59 |
| HARRY GATHERCOLE (AUS) | 7-6-7 | 90-94 |
| JUAN GONZALEZ (GUAYNABO-SAN JUAN, PR) | 7-13-42 | 85-89 |
| OLAF GRANOS (NORWAY) | 7-13-42 | 85-89 |
| AMER HESSELAENDER (SANTA MONICA, CA) | 7-10-22 | 75-79 |
| RONALD HUGHES (MINNEAPOLIS, MN) | 7-10-22 | 75-79 |
| BOB KREWSON (SANTA MONICA, CA) | 7-4-32 | 65-69 |
| ALAN REED (LAKEWOOD, CO) | 7-4-32 | 65-69 |
| CHARLES MILLER (SAGINAW, TX) | 7-28-37 | 60-64 |
| ROBERT NELSON (HAWAII) | 7-28-37 | 60-64 |
| JACK NORTON (LYNN, MA) | 7-2-47 | 60-64 |
| DAVID PAIN (LA JOLLA, CA) | 7-11-27 | 70-74 |
| JOHN PETERS (SUNNYVALE, CA) | 7-10-32 | 65-69 |
| MANFRED PREUSSGER (EG) | 7-10-32 | 65-69 |
| MICHAEL ROTH (BETHESDA, MD) | 7-10-32 | 65-69 |
| JOSE SANCHEZ (SPA) | 7-21-42 | 55-59 |
| IVAN SANDROV (SPA) | 7-21-42 | 55-59 |
| GUY SEVERIN (NOR) | 7-10-32 | 65-69 |
| YOSHIO TASAKI (JPN) | 7-29-7 | 90-94 |
| TONY TURLEY (ARROYO GRANDE, CA) | 7-29-7 | 90-94 |
| FRANS VANDEPERDE (BEL) | 7-3-37 | 60-64 |
| RAY WILLIAMS (SANTA BARBARA, CA) | 7-24-17 | 90-94 |
| LARRY WOOD (SUNNYVALE, CA) | 7-24-17 | 90-94 |
| MARY BOWEMASTER (FAIRFIELD, OH) | 7-26-17 | 80-84 |
| CLIFFORD BROWN (SUNNYVALE, CA) | 7-26-17 | 80-84 |
| JANE COVERLEY (SAN DIEGO, CA) | 7-3-17 | 80-84 |
| MARIA CRISPI (IT) | 7-19-32 | 45-49 |
| MARGIE DOUGHERTY (CA) | 7-19-32 | 45-49 |
| JOAN DUGAN (THORNTON, CO) | 7-21-32 | 65-69 |
| JAMES FERGUSON (SUNNYVALE, CA) | 7-21-32 | 65-69 |
| BETTY HALDEN (MINNETONKA, MN) | 7-19-22 | 75-79 |
| JUDY HAMILTON (SUNNYVALE, CA) | 7-19-22 | 75-79 |
| MARLYS HAYDEN (KENTFIELD, CA) | 7-12-32 | 65-69 |
| SUSANNE HOULTON (ATLANTA, GA) | 7-23-47 | 50-54 |
| LINDA HUGHES (SUNNYVALE, CA) | 7-23-47 | 50-54 |
| ALICE LEICHT (SAN DIEGO, CA) | 7-26-32 | 65-69 |
| JUDY LINDQUIST (PHILADELPHIA, PA) | 7-26-32 | 65-69 |
| KAY MOORE (DENVER, CO) | 7-28-42 | 55-59 |
| NEIL MCGREGOR (VICTOR, LA) | 7-25-22 | 75-79 |
| RANDY PAXTON (NEW YORK, NY) | 7-25-22 | 75-79 |
| KATHLEEN PIERCE (CORTLAND, NY) | 7-28-47 | 50-54 |
| LINDA RABE (SUNNYVALE, CA) | 7-28-47 | 50-54 |
| JOAN REISS (SACRAMENTO, CA) | 7-11-37 | 60-64 |
| LAURIE ROTHROCK (CA) | 7-18-42 | 55-59 |
| LINDA SCHMITT (SUNNYVALE, CA) | 7-18-42 | 55-59 |
| LORI SCHUTT (WEST Linn, OR) | 7-28-42 | 55-59 |
| JUDY SHAW (SUNNYVALE, CA) | 7-13-27 | 70-74 |
| JEAN SPIERLING (ARROYO GRANDE, CA) | 7-13-27 | 70-74 |
| MARGE TIMBERLAKE (CA) | 7-9-42 | 55-59 |
| ROBERTA TOWNSEND (WAYNE, IND) | 7-21-47 | 50-54 |
| ROSEMARIE ALEXANDER (GBR) | 7-21-47 | 50-54 |
| ROBERTA BELL (GBR) | 7-21-47 | 50-54 |
| ALPHILD BRENN (NOR) | 7-5-12 | 85-89 |
| ROBERTA CHAPPELL (GB) | 7-8-47 | 50-54 |
| ROBERTA FORREST (GB) | 7-8-47 | 50-54 |
| MARGARET DUNBAR (AUS) | 7-28-37 | 60-64 |
| JUDY ELLIS (NZ) | 7-28-37 | 60-64 |
| G. JONES (NZ) | 7-29-42 | 55-59 |
| SIRPA KIVIMAKI-KALLANEN (FIN) | 7-29-42 | 55-59 |
| WILTRUD LOHNER (NZ) | 7-25-37 | 60-64 |
| BIRGIT MARTIN (FRA) | 7-20-47 | 50-54 |
| SARAH MARTIN (GB) | 7-20-47 | 50-54 |
| PIKKO MARTIN (FIN) | 7-16-37 | 60-64 |
| PETER MARTIN (FIN) | 7-16-37 | 60-64 |
| ASTA SEVERINKANGAS (FIN) | 7-31-37 | 60-64 |
| SUSAN THOMPSON (GB) | 7-8-32 | 65-69 |
| MARIA IZQUIERDO TORRE (COL) | 7-16-12 | 85-89 |
Compiled by Pete Mundie, World and U.S. Masters T&F Records Chairman
Report from Britain
by BRIDGET CUSHEN
National Road Relays Draw Record Entry
The current buoyant state of veteran athletics in Britain was amply demonstrated May 17 by the record entry for one of the most prestigious trophies in the racing calendar, when 95 teams with eight runners per team, entered the M40 age group; 58 x 6 in the M50 and 28 x 3 in the M60, whilst 62 teams of three each turned out in the women's event.
At the end of a long day's superb racing, Barrie Moss took Red Hill Road Runners Club safely home to get their name engraved alongside some of the most distinguished clubs in Britain. Ex-international athletes Jane Shields, Frances Gill, Sally Ellis and Janet Holt ran super stages in the women's relay.
World Championships
Two hundred and twenty-nine British athletes (158 men and 71 women) have entered for Durban. Slightly less than anticipated, but there are some outstanding athletes and some ex-internationals entered for the first time in the younger age groups.
European 100, 200, and 400 gold medalist, Dr. Stephen Peters comes up against Kwadwo Ansah, the British 100m champion. They have not yet had a head-to-head clash. Tony Wells, M45, will compete in the hurdles, defending champion, Peter Browne in the 400 and 800 and Wilbert Greaves will make his veteran debut in the hurdles. Pat Gallagher has now moved into the W50 group and is in cracking form. Carina Graham is in the W60 group and recently set two world records.
WAVA General Assembly
There are two candidates from Britain seeking election to the WAVA Council. Ron Bell is standing for Vice President, Non-Stadia, while Bridget Cushen is standing for Women's Representative.
Drug Suspension
Drug testing was carried out at the European Veterans Track & Field Championships in Malmo last July. It has now been confirmed by EVAAs that Hans Schouten from Holland has been suspended for four years by the IAAF. It is understood that he refused to take the test. This means the M45 shot put silver now goes to V. Koca, (Tch), and Karld Trumm (Estonia) moves up from 4th to take the bronze. Schouten's silver medal in the discus now goes to L. Baraldo, Italy. Viktor Zhurba from the Ukraine gets the bronze.
Gates Scores a Double in European Veterans Championships
by MARTIN DUFF and BRIDGET CUSHEN
Nigel Gates, M40, took firsts in both the 10K and half-marathon at the windswept Hague in the European Veterans Championships, Netherlands, May 31-June 1. In his last championship venture on the continent, Gates led most of the way in the 10K, only to get jumped in the closing stages. This time he made no mistake. The wind-restricted times were modest (30:56 and 68:16) by his standards, but he beat his conquerors at the World Championships last June.
The course was a three-lap affair, and, for the first two small circuits, a large group played cat and mouse in the difficult crosswind before going through 5K in 15:45. The Frenchman Alex Gonzales hit the front, with Gates giving chase. After a couple of slower kilometers, the Toronto world champion sped away to victory, but Gonzales claimed the M45 gold in 31:09.
Reinhold Leibold, Germany, took the M50s in 32:52, and Les Presland, Great Britain, won the M55 with a 33:52, chased home by the brilliant M60 Ukrainian Anatoly Prisyaznuk, whose 34:06 must challenge the M60-64 world best.
Irish lass Mags Greenan, W35, was a narrow winner of the women's section in 36:37 over Holland's Geeske Jansen (36:43). Irene Castets, France, in the W40 (37:23), Felicity Garland, Great Britain, W45 (38:46), and Eileen Quinton, Great Britain, W65 (48:25), were all good winners.
For the half-marathon, the wind was blowing even more strongly, so again there were reluctant leaders in the men's race. Gates employed the same tactics and followed every move. Finally, after about 15K, Mike Girvan, M40, Great Britain, silver medalist in the world 10K last year, made a brave run for home. It was all the more so because he opted to race one of the local trams as well as the rest of the field.
Gates followed the break, which took the leading two clear of Ireland's Gerry Kiernan, before sprinting past Girvan in the closing stages for a 20-yard victory. The brilliant Ukrainian Prisyaznuk again came out well ahead in the M60 group with a 76:02.
Silvia Lencina, W35, Spain, got away from Britain's Sandra Edwards in the second half.
What the walks lacked in quantity, they more than compensated for in quality, with no fewer than 18 nations being represented. The traffic-free roads within the confines of Zuiderpark in The Hague proved ideal, flat, fast, and shaded, with good international judging. Four competitors were disqualified. Holland's Henk Plasman (M40, 2:26:28) won the men's 30K, while Switzerland's Heidi Maeder (W50, 1:50:11) defeated all her younger rivals in the women's 20K.
Masters Scene
NATIONAL
- Jerry Crockett, USATF Masters LDR Chairman, announced that Charles DesJardins will serve as team manager and Ruth Anderson will act as assistant manager for the cross-country and marathon relay teams at the WAVA Championships in Durban.
- Judith Flannery, 57, whose picture appeared on p. 12 of the NM June issue, was killed when struck by an automobile driven by an unknown teen-ager while she was in the 22nd mile of a 55-mile training run. Flannery was a nationally-ranked triathlete.
EAST
- Bill Rodgers (49, 32:50) showed the masters how it was done at the NYRRC Battle of the Running Cities 10K, Atlantic City, NJ, May 18. Mary Hickey, 60, 41:00, prevailed over the women's masters field. Deserve winners in their age-groups were Annette Fresch (56, 47:26) and Joe Porter (61, 50:34).
- Sean Doyle (42, 33:32) sped to a first place masters finish (4th overall) at the NYRRC Running New York 10K, Central Park, NYC, May 4. Gillian Horowitz (41, 37:35) once again led the masters women (3rd overall). Age-group standards were set by both men and women with an 81% AG performance. Horowitz (41, 17:54) swept the entire field at the women's Advis' 5K Tune-Up, Central Park, NYC, May 11, with an 85.1% AG performance. A strong performance was also turned in by W65 winner Thelma Wilson (65, 25:05).
- Tom Stevens, 41, 48:44, Middletown, MD, and Cathy Ventura-Marsel, 41, 59:40, Arlington, VA, garnered masters firsts, George Washington Parkway 15K, Mt. Vernon, VA, April 20. Age-graded honors went to Fay Bradley, 50, Washington, DC, M55 winner in 54:18 (91.4%), and Hedy Marque, 79, Alexandria, VA, W75 first in 85:05 (88.3%).
- Jane Fonseca, 45, 28:42, and Mary Gallagher, 44, 34:19, captured masters firsts in the Run For Freedom 5 Mile, Newark, NJ, May 12. The race was started by Frank Schiro, 44, NYC, 12 years ago to benefit programs that offer help to recovering addicts. In 1977, he was about to be pulled off life-support systems after collapsing from a heroin overdose and walking pneumonia, but his mother refused, and he survived. In 1995, for his work in helping rehabilitate users, he was honored by a meeting with Nancy Reagan. "I am not a registered Republican, but I am a registered felon," he quipped in an interview prior to the White House visit). Schiro now runs about 50 miles a week. This year's race featured top names and national champions, including Sid Howard, 58, Victor Cruz, 57, Paul Dickson-Taylor, 43, Dudley Healy, 83, and Vincent Carnevale, 80.
SOUTHEAST
- Phil Raschker began her outdoor season on April 13 with two pending W50-54 world records. Competing in the USATF Georgia Open Championships, she high jumped 1.54/5-0", bettering the previous mark of 1.53/5-0" by Renate Vogel of Germany, and raised the long jump mark of 5.25/7-2" by Jan Hines of Australia to a 5.40/11-0", which earned her world senior silver medal in Chicago the week before.
- Roberto Castillo, 40, Miami, won his fourth consecutive road race overall in the Run For Youth 5K, Plantation, FL, April 5, with a 15:48. Castillo, who finished third master in the Jacksonville River Run, has PRs of 3:55 in the 1500 and 4:10 in the mile. Kimberly Halliday, 40, was the W40+ winner (18:36). Runner Linda Stein, 49, opted to run indoors and won the W45 race in 21:19, leaving Elizabeth Nelson, 47, to place first overall in the walk in 30:04, with Daniel Koch, 53, first male overall in 31:43.
- Phil Rowan, 42, Greenville, NC, in 32:30, and Alendia Vestal, 45, Brevard, NC, in 39:03, breezed to masters wins, Expo 10K, Knoxville, TN, May 24. Grandmasters (50+) winners were Harry Purdy, 52, Oak Ridge, TN, 39:03, and Martie Ulmer, 55, Knoxville, 48:39.
- In the 21st Run "For The Hills 10K, Gatlinburg, TN, June 7, masters wins went to Craig McDaniel, 40, Colorado Springs, CO, in a 32:08, and Marietjie Ceronio, 40, Clarksville, TN, with a 39:01. Grandmasters victors were Scott Barrow, 50, Nashville, TN, 37:12, and Mary Priessel, 50, Signal Mountain, TN, 42:01.
- Grabbing the masters titles at the Memorial Day Family Affair 5 Mile, Boca Raton, FL, May 26, were Gary Bloome (43, 27:48) and Marla Buechner (37:29). Bill Springer (52, 30:21) defended his division with an 83% AG performance.
- Virginia's Leonore McDanels set a new W65 WR of 2.04m in the pole vault at the Senior Sports Classic in Tucson, May 23-28.
MIDWEST
- At the USATF National 15K Racewalk Championships, May 18, in Elk Grove, IL, Max Green smashed the M65 U.S. record. His 1:25:38 wiped out the 1:32:55 set by Jack Starr last year. Overall masters winners were Mike De Witt (46, 1:17:21) and Sandra DeNoon (41, 1:31:29).
MID-AMERICA
- The 1997 edition of the Boulder Boulder 10K drew over 34,000 runners to Boulder, CO., on May 26. Topping off the masters field in this mega-event were Craig Young, (40, 31:40), and Jane Welzel (42, 35:29). Williams Royal, 91, completed the course in 1:54:17, with lone Smith, 82, winning her division in 1:45:10.
SOUTHWEST
- Throwers Carol Finsrud, W40, and Wendell Palmer, M65, set a total of four new U.S. records at the 6th Waterloo Championships, Buda, TX, May 17. In the discus, Finsrud threw 170-5 to obliterate Janet Wilson's 146-7 set in 1993. Palmer's 178-8 wiped out Theresa McDermott's 163-1 set in 1984. This duo was equally impressive in the shot put with Finsrud raising the standard to 42-5 (old record 39-7, Joanne Grissom, 1980) and Palmer upping the ante to 44-3 (old record 43-0, Phillip Brusca, 1993).
- Cool temps made for good times at Mississippi's largest road race, the Bank of Mississippi Gum Tree 10K, Tupelo, May 10. Battle of the ages was won by the women where masters Nancy Grayson, 38:00; Judith Hine, 38:04; and Vicki Crisp, 38:06. Men's masters champ was Brad Pace, 31:59. Grand masters champs were Jerry McCath, 36:02, and Sherry Rhodes, 47:52.
NORTHWEST
- Mark Dickey, M40, 33:55, and Debbie Hanson, W40, 41:05, took masters titles in the Salt Lake City Classic 10K in SLC, May 31. National record holder Stephen Lester ran 35:11 in winning the M50-54 race.
CANADA
- Dave Reed, 42, won the age-graded Mundy Masters Mile, with an 88.1% 4:32.3, Coquitlam, BC, June 1. Peter Ladner, 48, was second (87.5% 4:47.0). Debbie Collum, 45, was the first woman, ninth overall (84.5% 5:27.2).
INTERNATIONAL
- Sue Ellen Trapp, 51, Ft. Myers, FL, reached a new level in ultrarunning by completing 235.19 miles virtually non-stop for 48 hours around a 301.50m track in the 48 Heures De Surgeres, France, May 4-5. Trapp stopped once for a 20-minute rest and broke the world record for women by some eight miles to finish third overall of 18 runners from seven countries in the
Masters Return To Illinois
Track and Field Championship
Saturday July 12, 1997
Libertyville, Illinois
Full Day Seminar
Friday July 11, 1997
Herbs, Hormones & Change 'Altering The Faces of AGING'
SEND SASE
Craig Dean MD.
719 Stonegate Ct.
Libertyville, Illinois 60048
USA track and field events feature competition for men and women over age 30 unless otherwise noted. Long distance events generally are open to all age groups with the exception of national masters championships, which may be limited to men and women over age 40. International T&F meets are generally limited to men over 40 and women over 35. Entry blanks for national and regional championships will generally be printed in the newspaper 30-60 days prior to the event. Please send any additions or corrections to NMN, P.O. Box 50098, Eugene OR 97405.
**TRACK & FIELD**
**NATIONAL**
August 7-10. 30th annual USATF National Masters Championships, San Jose, Calif. San Jose Sports Authority, 99 Almaden Blvd., Suite 975; San Jose, CA 95113. Steve Haas, meet director, 408-288-2935.
August 16. USATF National Masters Weight & Superweight Championships, Seattle, Wash. Ken Weisel, 4103 Hillcrest Ave. S.W., Seattle, WA 98116. 206-932-3923; fax: 206-932-3916.
September 20-21. USATF National Masters Decathlon & Heptathlon Championships, Thomasville, N.C. Bill Busby, 11 Calhoun Ave., Thomasville, NC 27360. 910-476-1228(h); 475-8141(w).
October 11. USATF National Masters Weight Pentathlon Championships, Orlando/Disney Sports Complex. Jeff Wentworth, PO Box 10000, Lake Buena Vista, FL 32830-1000. 407-363-6627; fax: 407-363-6601.
July 30-August 2, 1998. 31st annual National Masters Championships, Orono, Maine.
**EAST**
Connecticut, Delaware, Massachusetts, Maryland, Maine, New Hampshire, New Jersey, New York, No. Virginia, Pennsylvania, Rhode Island, Vermont
July 9, 16, 23, 30. Philadelphia Masters Developmental Meet, Swarthmore College, Pa. Timothy Dickens, M.D., 610-828-5528; Bill Krieger, 215-516-2283.
July 12. USATF East Regional Masters Championships, U. of Maine, Orono. Site of 1998 Championships. Rolland Ranson, 5747 Memorial Gym, U. of Maine, Orono, ME 04469. 207-581-1077.
August 6. Philadelphia Masters Developmental Meet, Swarthmore College, Pa. Timothy Dickens, M.D., 610-828-5528; Bill Krieger, 215-516-2283.
August 17. Philadelphia Masters Championships, Swarthmore College, Pa. (See Aug. 6.)
August 30-31. Potomac Valley TC Games, Williams HS, 3330 King St., Alexandria, VA. 703-671-2520.
September 19-21. New Hampshire Granite State Senior Games, Laconia. GSSG, PO Box 1942, Rochester, NH 03866-1942. 603-322-0053.
**SOUTHEAST**
Alabama, Florida, Georgia, N. Carolina, S. Carolina, Tennessee, Virginia
July 19. Jacksonville TC Summer Classic, Bolles School, 7400 San Jose Blvd., Jacksonville, FL. 5 pm. Lamar Strother, 1511 S. McDuff Ave., Jacksonville, FL 32205. 904-388-7860.
**MIDWEST**
Illinois, Indiana, Kentucky, Michigan, Ohio, Wisconsin, West Virginia
July 12. Masters Return to Illinois Meet, Libertyville HS, Libertyville. Craig Dean, 847-367-6347.
July 12. USATF Indiana Championships, Carmel HS, Carmel. SASE to USATF Indiana, 1338 E. Maple Ave., Noblesville, IN 46060. Bill McCormick, 317-773-4027.
July 26. USATF Midwest Regional Masters Championships, Carmel HS, Carmel. (See July 12.)
August 2. Cleveland Track Classic, Independence High School, Independence, OH. SASE: Norman Thomas, 9065 Gettysburg, Twinsburg, OH 44087.
**MID-AMERICA**
Colorado, Iowa, Kansas, Minnesota, Missouri, New Mexico, N. Dakota, Nebraska, S. Dakota
July 17. Denver TC Meet, All-City Stadium. 6 p.m. Andre Raveling, 2760 E. 2nd Ave., Denver, CO 80206. 303-320-0750.
July 27. Blue TC Meet. All ages. Mike Meyers, 1478 Butler, Blair, NE 68008. 402-426-5955.
August 3. The 21st Century AGELESS GAMES. EMRec. UofMN. See entry info page 17, and/or SASE to Rachel Lyga, 122-NE 63½ Way, Minneapolis, MN 55432. 612-574-9661.
August 5-10. Rocky Mountain Senior Games, Greeley, Colo. Cole Kathman, 970-350-9433.
August 21. Denver TC Meet, All-City Stadium. 6 p.m. Andre Raveling, 303-320-0750.
August 30-31. Rocky Mountain Masters Games, Boulder, Colo. Jim Weed, PO Box 889, Lake Crystal, MN 56055. 507-726-2452; Dave Simmons, 303-443-4919.
**SOUTHWEST**
Arkansas, Louisiana, Mississippi, Oklahoma, Texas
July 5. Texas Masters Championships, U. of Texas, Arlington. Dallas Masters T&F Club, 1501 W. Lavender Ln., Arlington, TX 76013. 817-274-0448. e-mail: Dallas email@example.com.
July 12. USATF South Texas Association Championships, Clemens HS, San Antonio, Texas. Don Austin, PO Box 39148, San Antonio, TX 78218. 210-354-2891.
July 17-19. USATF Southwest Regional Masters Championships, East Ascension HS, Gonzales. 10-event pentathlon, heptathlon, 100m, weight pentathlon. Jeff Baty, 321 E. Josephine St., Gonzales, LA 70374. 504-644-6930.
August 1-2. Oklahoma Masters Athletic Meet, Spaulila H.S. Stadium, Tulsa, Okla. 918-446-0064.
August 20-24. Pioneer Senior Games, Stillwater. 50+. Pioneer Sr. Games, Box 1449, Stillwater, OK 74076. 405-747-8080.
**WEST**
Arizona, California, Hawaii, Nevada
June 24-July 31. All-comers meets, Los Angeles. Tues: Banning High; Wed, Birmingham High; Thurs: Bell High. 7 p.m.
July 12. USATF West Regional Masters Championships, San Jose City College, Calif. Site of 1997 National Championships. Monica Townsend, 138 Johnson, Los Gatos, CA 95032. 408-395-9486.
July 17-July 20. San Jose Senior Games, San Jose, Calif. 50+ SJ Senior Games Headquarters: 408-297-0247.
July 26. Santa Barbara Fiesta Pole Vault Championships on the Beach, West Beach, Santa Barbara, Calif. Steve Morris, 805-965-7979; 569-1289.
October 4. Club West Meet, Santa Barbara City College, Santa Barbara, Calif. Beverley Lewis, 805-969-5851.
October 12. Sri Chinmoy Masters Games, Cal State Long Beach, Long Beach, Calif. 40+. Bigalita Egger, 310-645-0271.
November 15. Long Beach Senior Games, Long Beach City College, Long Beach, Calif. 50+. Karla Yuki, 310-570-1776.
**NORTHWEST**
Alaska, Idaho, Montana, Oregon, Utah, Washington, Wyoming
July 12-13. Oregon State Games, Portland, Mt. Hood CC. 503-520-1319.
July 19-20. USATF Northwest Regional Masters Championships/Key Bank Classic, Seattle, WA. Ken Weinbel, 4103 Hillcrest Ave. S.W., Seattle, WA 98116. 206-932-3923.
**CANADA**
August 16-17. Canadian Masters AA National Championships (M40+/W35+), Metro T&F Centre, York U., Toronto. Non-championships: M35+/W30+. Jim Flowers, 479 Drewry Ave., Willowdale, Ontario, M2R 2K9, Canada. 416-226-4713.
September 6. Canadian Masters AA InterClub Championships, Metro T&F Centre, York U., Toronto. M35+/W30+.
**ON TAP FOR JULY**
**TRACK AND FIELD**
The XII WAVA World Veteran Athletics Championships will draw over 5000 M40+ and W35+ athletes from all over the world to Durban, South Africa, for 11 days of competition and camaraderie from the 17th through the 27th; 336 U.S. athletes are expected to participate. Events include cross-country, a marathon, and racewalks. Here, regional championships are set for the East in Orono, Me., and West in San Jose, Calif., on the 12th; the Northwest in Seattle on the 19th-20th; and the Midwest in Carmel, Ind., on the 26th. Additional action is available in Texas on the 5th and in Illinois, Oregon, and Texas again on the 12th.
**LONG DISTANCE RUNNING**
Two Indy Life Circuit Races top the list: the Bastille Day Celebration 8K, Newport Beach, Calif., on the 12th, and Chicago Distance Festival 5K (points count for men only) on the 20th. Not to be snubbed, however, are these major races: Peachtree 10K, Atlanta, on the 4th; San Francisco Marathon and Boilermaker 15K, Utica, N.Y., on the 13th; Quad City 5ix 7, Davenport, Iowa, on the 26th; and Wharf To Wharf 10K, Santa Cruz, Calif., on the 27th.
**RACEWALKING**
The USATF Masters Men's 10K Championships take off in Niagara Falls, N.Y., on the 12th.
**AWARDS – age-graded basis.** Jim Flowers, 479 Drewry Ave., Willowdale, Ontario, M2R 2K9, Canada. 416-226-4713.
**INTERNATIONAL**
July 10-25. 15th Maccabiah Games, Tel Aviv, Israel. US Maccabiah Committee, 1926 Arch Street, Philadelphia, PA 19103. 215-561-6900.
July 11-13. Russian Championships, Moscow, Vadim Marshev, 8 Pervomaiskaya St., Himki, Moscow Region, 141400, Russia. Phone/fax 7-095-573-4150; 7-095-412-4475; 7-095-456-1815.
July 17-27. XII WAVA World Veterans Athletics Championships, Durban, So. Africa. P.O. Box 1044, Durban 4000, South Africa. 27-31-239-821. Fax: 27-31-239-874.
September 28-29. Russia-Germany-Ukraine Match, Sochi, Russia. Vadim Marshev, 8 Pervomaiskaya St., Himki, Moscow Region, 141400, Russia. Phone/fax: 7-095-573-4150; 7-095-412-4475; 7-095-456-1815.
October 24-November 1. Australian
Continued from previous page
Masters Games, Canberra. The Games Company, GPO Box 1497, Canberra 2601, Australia. Hotline: 06-207-5997.
January 17-28, 1998. 9th Oceania Veteran Games, Hawkes Bay Jim Tobin, Box 7144, Taradale Napier. Phone/fax: 06-844-5072; mobile phone: 025-240-8880.
August 9-22, 1998. 4th International Masters Games (multi-sports), Portland, Ore.
LONG DISTANCE RUNNING
NATIONAL
July 12. Bastille Day Celebration 8K, Newport Beach, Calif. Indy Life Circuit Race. Food Distribution Center, 426 "A" W. Almond, Orange, CA 92866. 714-288-9080.
July 20. Chicago Distance Festival 5K, Chicago, Ill. Indy Life Circuit Race (counts for men only). Carey Pinkowski, 54 W. Hubbard #600, Chicago, IL 60610. 312-527-2200.
September 1. USATF National Masters 8K Cross-Country Championships, Pasco, Wash. Jim Peterson, 520 Franklin, Richland, WA 99352. 509-376-6731.
October 5. USATF National Masters Marathon Championships, Minneapolis/St. Paul, Minn. Indy Life Circuit Race. 1/2 Xplore, Scott Schneider, 708 N. First St., #CR-33, Minneapolis, MN 55401. 612-673-0778.
October 25. USATF National Masters 15K Championships, Tulsa, Okla. Indy Life Circuit Race. Jack Wing, 4038 E. 48th St., Tulsa, OK 74135. 918-742-5418.
EAST
Connecticut, Delaware, Massachusetts, Maryland, Maine, New Hampshire, New Jersey, New York, No. Virginia, Pennsylvania, Rhode Island, Vermont
July 13. Utica Boilermaker 15K, Utica, New York. Box 4729, Utica, NY 13504. 315-853-3941.
July 19. Long Island Women's 5K, Farmington, N.Y. Irene Robinson, 516-422-3366.
July 29. Yankee Homecoming 10 Mile, Newburyport, Mass. Jon Pierson, PO Box 366, Newburyport, MA 01950. 508-454-9735.
August 3. Manhattan Half-Marathon, Central Park. NYRRC, 9 E. 89th St., NY, NY 10128. 212-860-4455; fax: 860-9754.
August 9. George Sheehan Classic 10K, Red Bank, NJ. John Haulenbeek, PO Box 157, Spring Lake, NJ 07762. 908-974-8457.
August 10. USATF New England 10K Championships, Salem, Mass. SCNA, PO Box 8608, Salem, MA 01971-8608. 508-921-1700.
August 17. Falmouth 7.1 Mile, Falmouth, Mass. 508-540-7000.
September 14. Harvard Pilgrim 5K, Providence, R.I. Pilgrim 5K, PO Box 1940, East Greenwich, RI 02818. 401-331-4034.
September 14. Runs For Life 10K & 3K, Picatiny Arsenal, Dover, N.J. Runs For Life, PO Box 210, Wharton, NJ 07885.
Pete Richardson (#261), captured the M60 800 gold medal in 2:27.4. Dennis Duffy won the M50 race in 2:25.7. Visalia Classic, Visalia, Calif. May 3.
Hotline: 201-927-8823; e-mail: firstname.lastname@example.org.
September 20. Great Cow Harbor 10K/RRCA Championships, Northport, N.Y. SASE to GCH 10K, PO Box 41, Northport, NY 11768.
November 2. New York City Marathon. SASE for "How To Apply" brochure to NYC Marathon, 9 E. 89th St., NY, NY 10128. 212-860-4455; fax: 860-9754.
SOUTHEAST
Alabama, Florida, Georgia, N. Carolina, S. Carolina, Tennessee, Virginia
July 4. Peachtree 10K, Atlanta. SASE (after March 1) to Atlanta TC, Peachtree, 3097 E. Shadowlawn Ave., Atlanta, GA 30305. 404-231-9064.
July 4. Yorktown Freedom 5K, Yorktown, Va. Masters money. Harry Fagan, 757-873-3627(w); 898-9251(h).
August 16. Big Dog 10K/Little Dog 5K, Ft. Eustis, Va. Mike Cicero, 757-878-2097.
August 23. Maggie Valley Moonlight 8K, Maggie Valley, N.C. 704-926-1686.
August 30. Cheatham Lake 6K, Williamsburg, Va. Rick Platt, Colonial RR, PO Box 657, Williamsburg, VA 23187. 757-229-7375.
September 1. U.S. 10K Classic, Atlanta Classic, 6400 Highlands Pkwy., Suite C, Smyrna, GA 30082. 770-432-0100.
September 2. Run By The River 5K, Clarksville, Tenn. $9600 for M&W masters & grandmasters. SASE to RBTR 5K, PO Box 3899, Clarksville, TN 37043. 615-647-3855.
MID-AMERICA
Colorado, Iowa, Kansas, Minnesota, Missouri, New Mexico, N. Dakota, Nebraska, S. Dakota
July 4. Coast To Coast Freedom Run 8K, Brookings, S. Dak. Eric Rasmussen, 425 22nd Ave. S., Brookings, SD 57006. 605-692-7775.
July 5. Alien Chase UFO 5K & 10K, Roswell, N.M. 505-624-0251.
July 6. Fair Saint Louis 10K & 3K. Masters & grandmasters money. Nick Whiteside, 217-753-2359(h).
July 26. Quad City Times Bix 7, Davenport, Iowa. 319-359-9197.
August 17. Pikes Peak Marathon, Manitou Springs, Colo. PPM, PO Box 38235, Colorado Springs, CO 80937. 719-473-2625.
SOUTHWEST
Arkansas, Louisiana, Mississippi, Oklahoma, Texas
July 4. Baytown Heat Wave 5 Mile, Baytown, Texas. 713-383-7283.
August 2. Texas Avenue Mile, El Paso. 915-533-9062.
WEST
Arizona, California, Hawaii, Nevada
July 4. Huntington Beach July 4th Parade 5K, Huntington Beach, Calif. Kinane Events, 2987 Highland Dr., Carlsbad, CA 92008. Hotline: 714-374-1535, X4.
July 13. San Francisco Marathon. Pacific Association, 120 Ponderosa Ct., Folsom, CA 95630. 1-800-722-3466 (CA only), 916-983-4622.
July 27. Wharf To Wharf 10K, Santa Cruz, Calif. SASE to WTW, PO Box 307, Capitola, CA 95010. 408-475-2196.
August 17. America's Finest City Half-Marathon, San Diego. 619-297-3901.
September 19-20. The Relay -- Napa To Santa Cruz, Calif. 194 miles/12-member teams. Starts in Calistoga. The Relay, 570 El Camino Real, Suite 150, Redwood City, CA 94063. 415-508-9700; fax 508-9703.
NORTHWEST
Alaska, Idaho, Montana, Oregon, Utah, Washington, Wyoming
July 26-August 1. Eugene Running Camp, Eugene, Ore. Coaches & speakers Bill Dellinger, Tom Heinonen, Mike Manley, & Joe Henderson. Limited to 40 adults, all levels. 800-622-8444.
August 22-24. Hood To Coast Relay, Mt. Hood to Seaside, Ore. 195 miles. Also shorter Portland To Coast Run Relay & Walk Relay. New categories: 50+ men's, women's and mixed teams. SASE to HTC Relay, 5319 SW Westgate Dr., Suite 262, Portland, OR 97212. 503-292-4626; fax 292-4113.
September 20. Idaho Women's Fitness Celebration 5K, Boise. Maryanna Young or Anne Audain, 511 W. Main St., Boise, ID 83702. 208-331-2221; fax: 331-2223.
INTERNATIONAL
July 4-13. Road race series near Galway, Dublin and Cork, Ireland. Roadrunner Tours, PO Box 1034, Michigan City, IN 46360-1034. 219-879-0133. Internet: http://www.halhigdon.com.
July 17-27. XII WAVA World Veterans Athletics Championships, Durban, South Africa. P.O. Box 1044, Durban 4000, South Africa. 27-31-239-821. Fax: 27-31-239-874.
August 31. BAVF Marathon Championships, Stokes Ferry, Norfolk, England. Tony Hunt, The Dell, Stokes Ferry, Norfolk, England. Tel: 01366500309.
October 26. Athens Marathon, Athens, Greece. Apostolos Greek Tours, Inc., 3145 S. Akron St., Denver, CO 80231. 970-669-8377.
RACEWALKING
July 12. USATF National Masters Men 10K Racewalk Championships, Niagara Falls. Dave Lawrence, 94 Harding Ave., Kenmore, NY 14217.
July 17-27. XII WAVA Championships, Durban, South Africa. W10K roadwalk; M20K roadwalk; 5000m track. See T&F International Schedule.
August 7-10. USATF National Masters T&F Championships, San Jose, Calif. W10K roadwalk; M20K roadwalk; 5000m track. See T&F National schedule.
September 7. USATF National Masters 40K Racewalk Championships, Long Branch, N.J. Elliott Denman, 28 N. Locust Ave. West Long Branch, NJ 07764. 908-222-9080. Ray Funkhouser, 908-341-7386.
September 13. USATE National Masters 5K Racewalk Championships, Kingsport, Tenn. Bobby Baker, 318 Twinhill Dr., Kingsport, TN 37660.
September 14. BAVF 10K Racewalk Championships, Leicester, England. Peter Adams, 7 University Close, Syston, Leicester, LE7 2AY, England. Tel: 0116 2606628.
October 12. USATF National Masters 1-Hour Racewalk Championships, Cambridge, Mass. Justin Kuo, USATF New England, PO Box 1905, Brookline, MA 02146-1905. 617-821-3000; 731-9062.
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Respects paid
Commemoration: Local residents paid their respects at the Terang and Noorat war memorials on Saturday and Tuesday in remembrance of the 75th anniversary of the end of World War II and Vietnam Veterans Day, 2020. For the full story turn to Page 8.
New members join Mount Noorat committee
A NUMBER of new, as well as familiar faces, have joined the Mount Noorat Management Committee.
Tim Sargeant, Rhett Blain, Susan Morrison, Peter McSween and Dr Craig Wood were all appointed to the committee on four year terms at Corangamite Shire’s July Ordinary Meeting of Council.
Mr Sargeant, Mr Blain and Ms Morrison join the committee for the first time while Dr Wood and Mr McSween re-join as returning members having previously served terms.
Alongside the appointment of the committee members, council also received the 2019/20 annual report from the committee.
The report highlighted a number of committee achievements in 2019/20 which included the development of the Mount Noorat Management, risk management and draft vegetation management plans and upgrading the walking track via a $40,000 State Government ‘Pick my Project’ grant.
It also acknowledged the start of discussions with ACCIONA about a $50,000 grant for a wind farm viewing area, new walking tracks and associated infrastructure.
The report also highlighted a number of projects aimed for completion at the end of the 2020/21 financial year including the installation of shock-exclusion fencing, finalisation of the Vegetation Management Plan and elimination of remaining Boxthorn plants among others.
Councillor Helen Durant congratulated the committee on the “extensive work that has been done over the past 12 months”.
“They’ve been a very active and committed group who have achieved a lot in a relatively short period of time,” she said.
“A comprehensive management plan has been developed and external funding sourced that has allowed the committee to address key issues including a much-needed upgrade to the walking track, and the development of a vegetation management plan that will help to identify suitable areas for revegetation and weed control treatments.”
Cr Durant also took the opportunity to commend the committee on its decision to form a Friends of Mount Noorat group.
The committee noted the high level of interest in people joining the committee when advising of its decision to form the group.
Fifteen nominations were received for the positions.
“In a time when many community groups are struggling for numbers, it is a sign of how much Mount Noorat means to the community when 15 applications are received for five vacancies,” Cr Durant said.
“I’d like to commend the committee on their decision to establish a Friends of Mount Noorat group so that this willingness to be involved will not be lost to the community, and those who are less able-bodied will still have the opportunity to be involved,” he said.
Cr Durant also thanked outgoing members Heather Hicks, Harold Craven and Stephen Hampson for their efforts while serving on the committee.
Resident makes generous donation
A “GENEROUS donation” from a Noorat resident to the Mount Noorat Management Committee is set to pave the way for a number of works at the mount reserve.
The committee has received a $30,000 contribution from local resident Pamela Knight for fencing of the mount’s crater to keep out livestock and protect remnant vegetation, and for future plantings of local native species.
“My great interest is towards the reestablishment of native vegetation to Mount Noorat,” she said.
“I see the crater as the easiest commencement site but as time progresses, I hope further areas can be fenced and planted with native flora.”
Mrs Knight moved to Noorat in 1950 with her late husband Robert and immediately fell in love with the place.
“I have always been a lover of native bush. I grew up in the outer suburbs of northern Sydney, next to the bush,” she said.
“It is important for our nation that we rediscover our country that we have destroyed.”
Mrs Knight said she wanted the crater looking close to how it appeared before European arrival.
She said the endangered Silver Banksias, for example, are important. The last one in the crater died five years ago.
Informative signs also feature in Mrs Knight’s vision for the mount.
“I want information on native flora, information that the crater is being revegetated and how this is being done,” she said.
“I would love to see Dead Man’s Gully revegetated.”
Mrs Knight said initially plants would need to be purchased but establishing a native plant nursery would be “a splendid longer-term solution”.
“I am mad about the environment,” she said.
“We need to protect the eagles.”
Chair of the Mount Noorat Management Committee Chris O’Connor welcomed the contribution.
“Mrs Knight’s vision of the mount aligns closely with the recently completed Management Plan,” he said.
“Her contribution will go a long way to implementing some of the initial projects highlighted in the plan.”
Noorat Shire Council formally thanked Mrs Knight for her gift at its July meeting.
Central Ward Councillor and Noorat resident Helen Durant praised her generosity.
“The philanthropy of Pam Knight and her late husband Robert, and their passion for the environment, is well known in the Noorat community,” she said.
“Pam’s incredibly generous contribution of $30,000 towards native vegetation and fencing is one that I am very happy to formally acknowledge.”
Masks on the make for local cause
A WILLINGNESS to help others has turned into a notable local cause.
Terang’s Reicha’s Drapery proprietor Michael Reicha said locals including Dorothy Whiting, Elizabeth Clarke, Louise Cowdale, Tracey Boley and Terang College students (under the guidance of Narelle Holliday), plus Terang Progress Association members had made masks.
But he said rather than the shop proffering from their generosity, they have decided to donate the profits to local community groups who can greater utilise the funds.
“Dorothy did most of the groundwork; she made the first 300 so we decided under her tutelage to split the money between Terang Mortlake Health Service and the Terang Lake project,” Mr Reicha said.
“At this stage we have raised around $2000 from $5 sales.”
Mr Reicha said 400 to 500 masks had been made between the group, who have also donated a lot of the fabric and elastic for sewing.
“They’ve been really generous with their time and providing materials as well,” he said.
“Not everyone in the community has got a mask or can afford it so we’re very lucky to have such people in the community who think more of others than making dollars.”
Member for Western Victoria Bev McArthur acknowledged the efforts of the mask makers in her members’ statement in parliament recently, after collecting her own masks from the store.
“The level of generosity across Western Victoria is not surprising and an example of a ‘get on with it and solve a problem’ attitude which so defines a strong country community like ours,” she said.
“My heartfelt thanks go to Dorothy, Michael Reicha and the students at Terang P-12 and all other helpful and generous people across the region who are doing whatever they can to assist their communities through this COVID crisis.”
The masks are available at Reicha’s Drapery for $5 each.
Recycling reminder issued following contaminated loads
MOYNE Shire Council has urged residents to recycle correctly after revealing a number of truckloads have been rejected due to contamination.
Six months on from the introduction of purple, glass-only bins, council is urging residents to recycle right, and ensure there is zero glass in yellow recycling bins.
Mayor Daniel Meade said recent changes in council’s recycling contract meant any glass discovered to be mixed in with other recyclables could contaminate the whole recycling truck and be sent to landfill.
“We’re calling on all residents and businesses to separate glass from other recyclables,” he said.
“We need every person to get it right – just one yellow bin containing glass contaminates the whole truck load of recyclables and can lead to all of it going to landfill.”
Cr Meade said yellow bins containing glass may not be picked up from the roadside due to additional costs involved in processing recycling loads rejected by council’s recyclables processor.
“Council’s waste team are doing bin checks across the shire and if you have put glass in the yellow recycling bin, your bin may not get picked up,” he said.
“We are working hard to improve our recycling rates and minimise the amount of landfill.”
Council has a contract with Victorian company Australian Paper Recovery (APR) for its recyclables. APR has local markets for the processing, reuse and value-adding of paper, cardboard, good quality plastics and cans but does not have a market for glass nor the equipment to process it.
“APR sorts recyclables from your yellow recycling bin for reuse by Victorian remanufacturers,” Cr Meade said.
“These companies are demanding clean product – paper and plastics that don’t have shards of broken glass in them.
“It is not possible to reuse paper and cardboard to create products like egg cartons or fruit trays which are used to carry food, if there’s any chance they may have pieces of broken glass stuck to them.”
He also urged residents to separate plastics into the correct bins.
“Since the introduction of the four kerbside bins system, council is only collecting materials in the yellow bins that can be recycled here in Australia,” Cr Meade said.
“This includes only plastics with the recycling symbol 1 or 2, paper, cardboard, aluminium and steel cans.
“Soft plastics, long-life and tetra-paks cannot be recycled in Australia and therefore need to be disposed of in the red bins.”
For more information on the correct use of the four kerbside bins, including a Better4Moyne video, visit council’s website moyne.vic.gov.au/better4moyne.
Terang College VCAL students continue school soup tradition
TERANG College students have continued a longstanding tradition at the school despite moving to remote learning.
The school’s VCAL class has traditionally made vegetable soups each week at the college during terms two and three for a number of years.
Not wanting to see the tradition stop, Azra Harris and Caytlyn Sharp are continuing to make the soup this year during remote learning.
The pair attend school during remote learning to prepare the soup each Tuesday before sharing it with the college community every Wednesday.
Last Wednesday, 46 people were onsite to share the soup, which is served with multigrain bread.
Operations manager Narelle Holliday said the idea behind the project was to expose students to new and varied healthy soups, to use produce from the school’s Stephanie Alexander Kitchen Garden and to increase the amount of vegetables student’s eats in a day.
She said the soup was very popular as a hot lunch during normal school time at the year 5-12 campus and had been a welcome addition to the week for the students studying remotely at school.
Tradition alive: Terang College students Azra Harris and Caytlyn Sharp made soup for the school community during remote learning last Wednesday.
Make sure you are enrolled to vote
CORANGAMITE Shire residents have been urged to make sure they are enrolled to vote ahead of the upcoming general election.
The Victorian Electoral Commission is preparing to deliver a safe election during the extraordinary circumstances of the COVID-19 pandemic.
The Corangamite Shire Council election will be conducted entirely by post in October.
Electoral commissioner Warwick Gately issued a call to Corangamite Shire residents and ratepayers to be ready to have their say.
“Make sure you’re enrolled correctly by the close of roll, which is 4pm on Friday, August 28,” he said.
“As this is a postal election, it’s important to check your address details are correct – this includes any alternative postal address.
“If you’re an Australian citizen and you’ve recently turned 18 or moved, and you haven’t enrolled or updated your address, or if you’ve just closed your post office box with Australia Post, you can enrol or update your details online at vec.vic.gov.au/enrolment.”
Non-Australian citizens who occupy and pay rates on a property or business in Corangamite Shire, or people living outside Corangamite Shire who pay rates for a property they own in Corangamite Shire Council, can apply to the council to enrol by calling 5593 7100.
Non-resident owners who were enrolled at the most recent election (including any by-elections) for Corangamite Shire Council will be automatically enrolled.
“Voting in local council elections is compulsory if you’re a State-enrolled voter, and we encourage council-enrolled voters to vote,” Mr Gately said.
“Your local council makes important decisions about your community facilities, services and local business community, so it’s important to have your say by voting in this election...
Voters who will be away during the election period can have their ballot pack redirected to an address of their choice by making a request in writing by Thursday, September 17.
More information is available by calling 131 832 or at vec.vic.gov.au, where State-enrolled voters can also sign up to the free VoterAlert service to receive important election reminders by SMS and email.
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Dog tidy bag dispensers installed at rec reserve
Users walking their dogs at Mortlake’s D.C Farran Oval will now have no excuse not to tidy up after themselves with dog tidy bag dispensers installed at the reserve earlier this week.
Mortlake Recreation Reserve Committee of Management administration officer Dianne Murphy said local builder Todd Robertson installed two dispensers – one at the north western end and one at the south eastern end – at the reserve.
She said the committee had broached the idea of installing them for some time, with the installation completed on Monday.
“Nothing has been done before so we thought we would do something,” Mrs Murphy said.
“We felt it was time, obviously for the benefit of all users of the reserve, to have these dispensers.”
“The rec reserve has brought the dispensers and bags and Todd, a member of the committee, has installed them for us.”
Mrs Murphy said the leaving of “dog droppings” had been an ongoing problem at the reserve and created an “unnecessary job” for committee members to resolve.
She said the addition of the dispensers would hopefully improve the convenience for everyone to keep the reserve neat and tidy.
“Some owners are not concerned with leaving droppings or tidying up after themselves at the reserve so this will save users from having to bring their own bag,” Mrs Murphy said.
“It will also eliminate waste on the ground and also reduce the committee clean up of the reserve.”
“It’s an unnecessary job to do for the committee members to clean up.”
The committee of management also issued a reminder to ensure dogs remained on leads at all times when at the reserve.
Council: get tested if sick
Corangamite Shire residents with even mild symptoms of COVID-19 need to get tested at their nearest location to reduce potential spread from one area to the next, according to shire mayor Neil Trotter.
“Under the three restrictions it is important for people to reduce their travel and only go out for essentials in their local area. That includes coronavirus testing,” he said.
“If you are feeling unwell, don’t go out anywhere. Call your local general practitioner and they will tell you how to visit them for a test or will refer you to a pathology provider.
“The test takes around a minute and involves taking a sample swab from the back of your throat and nose.
“After you’ve been tested you need to go straight home and wait for your results. Don’t take any detours on the way home and don’t go to work or go shopping. Stay at home.”
State Government directions for isolating at home include:
• Stay in a different room to other people as much as possible;
• Sleep in a separate bedroom and use a separate bathroom if available;
• Stay at least 1.5 metres from others in the home;
• Everyone in the household should continue practising good hygiene through washing hands regularly and coughing or sneezing into an elbow or tissue; and
• Do not share food, drink or household items like plates or glasses.
Cr Trotter said people usually got their results by phone or SMS in one to three days.
“If you have been waiting for more than five days, call the location where you were tested. If you test negative, you can go back to normal activity, subject to the restrictions in place,” he said.
“If you test positive you will need to self-isolate until health officials direct and be retested once symptoms have passed.
“You must have a negative test before returning to work or returning to the state-wide restrictions.”
Cr Trotter said diagnosing COVID-19 early and self-isolating helps slow the spread of the disease and keeps our families and communities safe.
“Getting tested means that you can take the appropriate action to protect yourself, your loved ones and the wider community,” he said.
Victorians will be eligible for a $300 Test Isolation Payment while they wait for results and a $1500 Worker Support Payment while they quarantine at home as instructed by the Department of Health and Human Services.
For information about COVID-19 testing or payments visit dhhs.vic.gov.au/coronavirus or call the 24-hour coronavirus hotline on 1800 675 398.
Cr Durant to end council term
A DESIRE to have more flexibility with her time is behind Corangamite Shire Central Ward councillor Helen Durant’s decision not to stand in this year’s council elections.
Cr Durant, who was appointed to council in 2016, last week announced she would not be renominating for her position.
“I’m just not prepared to commit to another four years,” she said.
“I have some other personal interests I wish to pursue and since I first nominated (in 2016) we now have a grandchild so we want a bit more flexibility with our time.”
Cr Durant said she had enjoyed her time in the role despite its challenging nature.
“It’s been very challenging. I’ve certainly been out of my comfort zone at times and I’m not too confident being in the public eye – it’s not something I seek out,” she said.
“There are also big and important decisions to make, particularly around planning, and those decisions you make can have a big bearing on people’s lives so they’re always hard to make.
“But I’ve particularly enjoyed being able to help members of the public with issues they have had such as getting a disabled carpark or footpath put in or streetlights fixed.
“These things are really rewarding when you can help someone and usually they are quite simple decisions to be made.”
Cr Durant said the highlights of her term included speaking on behalf of council when Mount Noorat was gifted to council to manage, on behalf of the committee, in 2017.
“I was also really pleased to guide and support the formation of the Terang Noorat Arts in the Avenue project, I think that was a great outcome for the community,” she said.
“Another was advocating to support the local community with their concerns of safety, proper planning and transparency around wind farm transmission lines.
“I’ve also been a great supporter of funding contributions for local community places such as the Terang Wetlands and Noorat Walking Track.”
Other highlights Cr Durant noted were the upgrade of the Castle Carey Bridge, helping council eradicate its debt and more recently being a part of council’s response to COVID-19.
She encouraged local residents to consider standing for council in the upcoming elections.
“I think people need to understand it’s a big job with big responsibilities – you have to have the interests of the community utmost in your mind,” Cr Durant said.
“It’s challenging but very rewarding; you have to be prepared to do a lot of preparation and reading but I certainly haven’t ever regretted making the decision to stand.”
Cr Durant thanked her fellow councillors for their support over the last four years and her husband Rob who she said had been her biggest supporter and encourager.
Time’s up: Corangamite Shire Central Ward councillor Helen Durant has announced she will not stand in the upcoming local council election. 2020
LOCAL residents paid their respects on Saturday and Tuesday as Australia commemorated the 75th anniversary of World War II as well Vietnam Veteran’s Day.
Terang RSL president Steve Bloxham said wreaths were laid on Saturday, known as Victory in the Pacific Day (VP), and Tuesday at both the Terang and Noorat war memorials.
“VP Day remains an occasion to commemorate all those Australians who served and died in WWII, and especially those who served and fought in the war in the Pacific,” he said.
“Members from the Terang RSL laid wreaths at the Terang War Memorial and at the Noorat War Memorial; a wreath was laid by Eve Black, the president of the Noorat Residents’ Association.
“Terang RSL is fortunate to have Len Pomeroy, a surviving WWII veteran as a member, who joined our RSL in 1945.
“I would like to thank our community for its continuing support in keeping the Anzac spirit alive…Lest We Forget.”
On Tuesday, RSL vice president Terry Fidge, who served in Vietnam in 1971 at Vung Tau in the 106 field workshop maintaining military vehicles, laid a wreath at 6pm (the time the war started) at the Terang War Memorial.
He said Vietnam Veterans’ Day was a “day of recognition” for those who served in the “very powerful war that divided Australia”.
“For anyone who served in Vietnam it’s a significant day in which everyone in Australia recognises as Vietnam Veterans’ Day,” Mr Fidge said.
“Everyone pays their respects in their own time and their own way because it’s a day of remembrance.”
Lynn Patzel also laid a wreath at Noorat War Memorial on Tuesday, with Terang RSL remembering Paul Navarre from Terang, who was killed in action while serving in Vietnam on June 6, 1970.
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It is very easy to overlook foot care in the elderly.
Often, more attention is paid to the ‘bigger issues’ such as mental health, illnesses and joints.
Stuck at the end of our body and hidden away in a pair of comfy slippers, we can easily forget how important it is for older people to have healthy feet.
Taking care of an elderly person’s feet and keeping an eye out for problems is important.
Foot problems can quickly deteriorate a person’s mobility.
If it’s painful or difficult to walk, an elderly person will walk less; this limits exercise, reduces independence and risks the development of deep vein thrombosis.
Healthy feet can also help improve balance in the elderly and, as a result, reduce the risk of falls.
Feet can also help alert you to health problems at an early stage.
Problems such as diabetes, arthritis, poor circulation and nerve damage can all have a noticeable effect on feet or toenails.
Getting into good habits and routines in terms of foot care will help keep an elderly person’s feet in great shape, which will help maintain quality of life.
Feet should be checked at least twice a week.
Look for redness, sores, bruises, swelling, cuts, blisters and ingrown or infected toenails.
If bending poses problems, it is a good idea to purchase a long-handled mirror for the elderly.
Regular washing helps avoid infections and soreness, but make sure feet are not soaked for longer than 10 minutes because this can cause skin to dry and crack.
When drying feet, be sure to pat rather than rub and take care to dry properly between toes.
Talcum powder is helpful, especially if feet are prone to sweatiness.
So many foot problems are caused by ill-fitting shoes (especially in women) so make sure the correct size is worn.
Various brands are designed with the elderly in mind – they provide adequate comfort, support and grip.
And just like shoes, socks are also important.
Badly fitting socks can also pose problems with circulation.
It’s best to avoid socks with elasticated tops.
Looking after our Seniors
Keep fit, stay independent
REGULAR exercise can help keep you fit and independent as you age. Exercise can also help promote faster recovery from illness, reduce your risk of chronic disease and better manage existing medical conditions such as osteoarthritis.
Here are some tips to help you stay active in your senior years.
- **Build exercise into your daily routine.**
Offer to walk a friend's dog, spend more time in the garden or walk to the bus or shops.
- **Reduce your risk of falls.**
Do some balance and co-ordination exercises each week. This could include tai chi or even just balancing on one leg.
- **Improve your heart and lung fitness.**
Aim for any activities that result in you breathing hard but are not feeling breathless.
- **Look after your bones.**
Weight-bearing exercises can help to reduce your risk of bone loss and osteoporosis with age.
- **Build muscle tissue with strength training.**
Try lifting weights or a modified form of calisthenics.
- **Improve your flexibility.**
This may include stretching exercises, yoga, dancing or even lawn bowls.
- **Make exercise a social occasion.**
Invite friends to join you or sign up for a group class so you can meet new people while getting fit.
- **Start small.**
Aim for small improvements as you go along.
Be guided by your doctor as to how long and how frequent you should exercise.
For extra motivation, use a diary to keep track of your progress.
- **Check with your doctor.**
Make sure you check with your doctor before starting any new exercise program.
If you suffer from obesity or chronic illness, or have been sedentary for a long time, some activities may not be appropriate.
- **Choose activities that you could manage and would find enjoyable to do.**
Exercise should be fun – and you will be more likely to stick to your routine if you enjoy it.
Supporting active, healthy, independent ageing
Social support and activities are a great way for you to feel valued and connected. They help to prevent loneliness and isolation, particularly in this current climate.
During Stage 3 restrictions, we are unable to offer our usual range of face to face activities and excursions. Our service is providing alternative ways of delivering social support during COVID-19, while members stay safely at home.
We are staying connected through:
- A regular, friendly phone call from our trained staff
- A weekly newsletter filled with fun activities, jokes, shared recipes, gardening tips and news.
- We provide contact-free delivery of activity and care packs.
All these services aim to improve health and wellbeing and are tailored to the interests of our members.
We value the input and feedback of members and provide lots of opportunity for members to contribute to the program design.
Our emphasis is to provide enjoyment and fun!
What is dementia?
DEMENTIA can affect a person’s thinking, behaviour and their ability to perform everyday tasks.
It is a collection of symptoms that are caused by disorders affecting the brain – brain function is affected enough to interfere with the person’s normal social or working life.
While most people with dementia are older, it is important to remember that not all older people get dementia.
It is not a normal part of ageing.
Dementia can happen to anybody but it is more common after the age of 65 – while people in their 40s and 50s can also have dementia.
There are a number of conditions that produce symptoms similar to dementia. These include some vitamin and hormone deficiencies, depression, medication clashes or overmedication, infections and brain tumours.
It is essential that a medical diagnosis is obtained at an early stage when symptoms first appear to ensure that a person with a treatable condition is diagnosed and treated correctly.
If the symptoms are caused by dementia, an early diagnosis will mean early access to support, information and medication (if it is available).
The early signs of dementia are very subtle and vague; therefore they may not be immediately obvious.
Some common symptoms include progressive and frequent memory loss, confusion, apathy and withdrawal, personality change, and loss of ability to perform everyday tasks.
There is currently no prevention or cure for most forms of dementia.
However, some medications have been found to reduce some symptoms.
Help from families, friends and carers can make a positive difference to managing the condition.
Bored in Iso?
We have the cure...
We are still printing photos
Our staff can scan old prints and edit out any blemishes
Call us today to organise your prints
Talk to us about how YOU can download an app, select your photos and send to the pharmacy for printing - all from the comfort of your couch
**Positions Vacant**
**WEBBER & CHIVELL FERTILISERS**
**SPREADER DRIVER**
We are seeking a full-time skilled machine operator to join our progressive fertilizer company.
The position will be based at our Cobden depot driving modern machinery applying fertilisers and soil amendments to our clients farms.
The successful applicant will be operating with the latest technology in spreading equipment and be expected to meet our high standards of service to our clients.
A heavy commission licence and tractor/agricultural experience would be preferred; training can be arranged for the right applicant.
We are seeking someone who is well presented, highly motivated and has good communication skills.
For further information please contact Mark at Webber & Chivell on 03 55 946 294, email: email@example.com
---
**Deaths**
**DAVIS, Christopher**
8/3/1952 – 2/8/2020
Dearly loved son of Noel and Dorothy and stepson to William.
Much loved brother to Alan, Michelle, Leanne, John and Kenneth.
Adored by all his other family members and friends.
*Rest peacefully*
**McDONALD, Colin Keith**
4/7/1948 – 8/8/2020
Late of “Lochaber” Mortlake.
Adored husband of Shelley, beloved father of Felicity and Nicholas and proud grandfather of Harriett, Sybil and Fleur.
Beloved son of Noni and Geoff (dec).
Brother of David and Robin.
After a 15 year courageous battle Colin passed away peacefully at home in Port Lincoln with Shelley, Felicity and Nicholas by his side.
Private cremation.
A memorial to celebrate the life of Colin will be held at a later date.
**KINGS FUNERALS**
Geelong 5249 3444
---
**Milk Vats**
**Paying $150 - $1,000**
Any reasonable condition considered
Phone Telly Katsaros on 0427 368 261
---
**Public Notices**
**THOMSON HAIR**
“Choose a job you love and you will never have to work a day in your life.”
Here at Thomson St Hair Design we love what we do...colouring, styling, we love it!
With friendly, experienced staff caring for all your hair needs – with professional advice and service every time.
Book your next appointment by calling 5592 1550 or booking online using ‘MySalon’
This week’s opening hours:
Thu 20th: 8.30am–8.00pm
Fri 21st: 8.00am–6.00pm
Mon 24th: 9.00am–5.30pm
Tue 25th: 9.00am–5.30pm
Wed 26th: 9.00am–8.00pm
Thu 27th: 10.00am–8.00pm
Be sure to follow us on Facebook and Instagram for the latest salon updates.
---
**For Hire**
**LAWRIE’S SKIP BIN HIRE**
ALL SIZES 2, 4, 6, 10, 12 UP TO 25 AVAILABLE
FREE QUOTE
0408 522 043
---
**Churches**
NOTICE
Please contact your local parish for more information on how church services are affected
---
**Have you been snapped by one of our photographers recently?**
---
**HAY FOR SALE**
190 rolls of Dry Cow Hay
5x4 $43.00 inclusive GST
DAVID
0407 878 213
---
**RUBBER STAMPS MADE TO ORDER FROM WD NEWS**
---
**EMERGENCY SERVICES**
Ambulance Service
Fire Brigade
Police
State Emergency Service
EMERGENCY 000
EMERGENCY 000
EMERGENCY 000
TERANG AND MORTLAKE 132 500
---
**TRAIN TIMETABLE**
**TO MELBOURNE**
**MONDAY TO FRIDAY**
| Time | W'well | Terang | Cobden | Geelong | W'well |
|--------|--------|--------|--------|---------|--------|
| 8.00am | 6.40am | 7.20am | 7.30am | 8.31am | 9.31am |
| 9.25am | 9.05am | 10.16am| 10.47am| 11.54am | 12.55pm|
| 12.05pm| 12.41pm| 1.25pm | 1.32pm | 2.27pm | 3.28pm |
| 5.41pm | 6.17pm | 7.01pm | 7.14pm | 8.15pm | 9.16pm |
**SATURDAY AND SUNDAY**
| Time | W'well | Terang | Cobden | Geelong | W'well |
|--------|--------|--------|--------|---------|--------|
| 7.37am | 8.11am | 8.26am | 8.35am | 10.10am | 11.21am|
| 11.47am| 12.21pm| 1.25pm | 1.31pm | 3.23pm | 4.34pm |
| 5.34pm | 6.10pm | 7.05pm | 7.13pm | 9.06pm | 10.06pm|
**FROM MELBOURNE**
**MONDAY TO FRIDAY**
| Time | Melb | G'town | Cobden | Terang | W'well |
|--------|------|--------|--------|--------|--------|
| 7.30am | 4.29pm| 5.44pm | 10.52pm| 11.16pm| 11.08pm|
| 1.05pm | 2.03pm| 3.17pm | 5.45pm | 6.00pm | 4.37pm |
| 5.13pm | 6.18pm| 7.25pm | 8.02pm | 8.16pm | 5.58pm |
| 7.15pm | 8.15pm| 9.22pm | 10.09pm| 10.23pm| 11.48pm|
**SATURDAY AND SUNDAY**
| Time | Melb | G'town | Cobden | Terang | W'well |
|--------|------|--------|--------|--------|--------|
| 7.00am | 4.11am| 5.17am | 8.33am | 10.05am| 10.47am|
| 11.00am| 1.00pm| 2.06pm | 4.22pm | 5.54pm | 7.56pm |
| 7.05pm | 7.58pm| 9.04pm | 9.53pm | 10.46pm| 10.53pm|
---
**Photos are available to order from our office**
Available in A4, A5 and A6
Call in today, phone 5593 1888 or email firstname.lastname@example.org
---
**JOIN OUR TEAM**
**PLANT OPERATOR**
**CORANGAMITE REGIONAL LANDFILL**
- Permanent full time, based at Naroghid
- Band 2/3 depending on experience and qualifications
- 9 day fortnight
Applications close 5 pm, Friday 28 August.
Interested applicants are encouraged to obtain a position description and apply online at: www.corangamite.vic.gov.au/careers
Chief Executive Officer Andrew Mason
---
**NOTICE OF MEETING**
A virtual Meeting of Council will be held on:
**Tuesday 25 August 2020 at 7 pm**
Livestreamed via Council’s website
The meeting will be broadcast live on www.corangamite.vic.gov.au
The Meeting will include an Open Forum, during which residents may ask a question.
Questions should be emailed to email@example.com no later than 4 pm on Tuesday 25 August.
---
**HIRING?**
**RENTING?**
**BUYING?**
**SELLING?**
**LEASING?**
**ADVERTISE NOW**
CROSSWORD
ACROSS
1. Try hard (6)
4. Arises (6)
9. Sorting out (9)
10. One of seven deadly things (3)
11. Hand over money for something (3)
12. Earth (8)
13. Never exclusive (5)
15. Observes (5)
20. Depot (9)
22. Bump; jolt (3)
23. Drink distilled from molasses (3)
24. Defacing of property, eg (9)
25. Privileged; choice (6)
26. Terminates (6)
DOWN
1. Gets rid of (6)
2. Hazardous (6)
3. Erupting mountain (7)
5. Taunt (5)
6. Most prying (7)
7. Mental health (6)
8. Adversary (5)
14. Soft toffee (7)
16. Introduction (7)
SUDOKU
| 8 | 5 | | 3 | 6 |
|---|---|---|---|---|
| 3 | 1 | 5 | | 9 |
| 9 | | | | 4 |
| 1 | | 3 | | 7 |
| | 2 | 8 | | 4 |
| 6 | | 9 | | 4 |
| 1 | | 8 | | 7 |
| 4 | | | 7 | 3 |
| 3 | 7 | | 4 | 2 |
17. Prizes (6)
18. Humorous (5)
19. Painting borders (6)
21. Widespread destruction (5)
22. Links (5)
THIS WEEK’S PUZZLE SOLUTIONS
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Ph 5593 1888 or email firstname.lastname@example.org
The Challenge has been postponed due to COVID-19 Stage 3 restrictions
Stay tuned for more information
**BULLCROSS:**
- MA & CM Joiner frsn 600kg at 278c, $1834.80.
**HEIFERS:**
- MA & H Castle frsn 580kg at 280c, $1788.40; Wilamma Trust, frsn 565kg at 280c, $1740.20; Delwyn Holsteins, frsn 590kg at 280c, $1747.80; & J Rogerson 530kg at 280c, $1632.40; C & D Dwyer Family Trust frsn x 370kg at 250c, $1017.00.
**GRASS STEERS:**
- Rifle Ridge Beef p/l, hrfd, 1150kg at 320c, $4048.00; RC & EJ Mair, jrsy, 575kg at 270c, $1707.75.
**FRIESIAN COWS:**
- JW & VL Wetterich, frsn x 745kg at 250c, $1835.50; L & S Benson, frsn, 715kg at 285c, $2241.52; RC & EJ Mair, frsn, 700kg at 285c, $2191.50; C & P Bank, frsn x, 715kg at 270c, $2155.01; L & J Rogeron, frsn, 710kg at 274c, $2139.94; Maggies Creek Dairy, frsn x, 585kg at 285c, $2144.00; Huns Farm Contracting, frsn, 710kg at 262c, $2046.22; Wilamma Trust, frsn, 640kg at 280c, $1808.00; L & J Rogeron, frsn, 620kg at 262c, $1786.84; C & D Dwyer Family Trust, frsn, 662kg at 252c, $1835.06; Wire Lane Holdings, frsn, 705kg at 242c, $1876.71; Jansen & Finch, frsn x, 545kg at 230c, $1246.81.
**X BRED COWS:**
- L & S Benson, aus Red x, 595kg at 250c, $1844.42; Ripplebank, frsn x, 580kg at 250c, $1661.55; Goldenbank, frsn x, 565kg at 265c, $1646.97; C & P Alexander, frsn x, 575kg at 255c, $1744.45; B & J MacKenzie, frsn x, 520kg at 238c, $1387.54; D Santori, frsn x, 520kg at 235c, $1344.20; Maggies Creek Dairy, frsn x, 440kg at 235c, $1137.40.
**JERSEY COWS:**
- M & H Castle, 515kg at 268c, $1418.20; S J Moore, 497kg at 245c, $1148.15; Rippled bank, jrsy x, 480kg at 268c, $1415.04; “Sunday Ridge Dairies, 450kg at 210c, $1039.50.
**WEALERS:**
- B & G Hand Family Trust, frsn x, 540kg at 348c, $1907.12.
**COWS:**
- JHW Paterson & Son, ang, 725kg at 320c, $2552.00; JHW Paterson & Son, jng, 620kg at 320c, $2182.00; McSween, frsn x, 580kg at 320c, $2041.60; PJ & LK Kemp, frsn, 740kg at 320c, $2380.10; McSween, vale P/L, frsn x, 632kg at 265c, $1842.28; Fleming Partnership, frsn, 620kg at 320c, $1718.84; Booronga Dairy, frsn x, 610kg at 265c, $1778.15.
**BULLS:**
- T J McSween, jrsy, 645kg at 264c, $1873.08.
---
**MORTLAKE STOCK MARKET REPORT**
**BULLCROSS:**
- V Wright, ang, 590.8kg at 288c, $1651.74; Evans Farming, ang x, 656kg at 350c, $2296.00; Yorkshire Park, angx, 536.3kg at 340c, $1823.42; Evans Farming, frsn, 546kg at 320c, $1747.42; Mortlake Park, 320kg at 330c, $1755.00.
**STEERS:**
- MG & LE Hunt, highland, 665kg at 270c, $1795.50; Eden Browns, kim x, 423.3kg at 384c, $1625.47; N. Stewart, lim x, 386kg at 395c, $1524.70.
**VEALERS:**
- MG & LE Hunt, spec Park, 337.5kg at 423c, $1427.625; MG & LE Hunt, spec Park, 352kg at 420c, $1418.00; MG & LE Hunt, spec park, 337.5kg at 405c, $1366.87.
**HEIFERS:**
- JD & MI Boyd, ang, 585kg at 383c, $2240.55; Weerite Park, ang x, 516kg at 305c, $1573.80; Eden Browns, lim x, 395kg at 370c, $1485.50.
**COWS:**
- Koowarrahe, hrfd, 68.3kg at 310c, $2133.73; TA Saddler, ang, 635kg at 320c, $2032.00; Struan Trading frsn, 734kg at 264c, $1876.76; Nickerson, frsn, 650kg at 288c, $2417.32; Robbons Run, frsn, 690.8kg at 245c, $1692.46.
**BULLCROSS:**
- A & L Girvan, hrfd, 622kg at 323c, $2231.00; Elsham Pty Ltd, ang, 616kg at 398c, $2450.00.
**TRADE STEERS:**
- Elsham Pty Ltd, ang, 548kg at 401c, $2199.00.
**VEALERS:**
- DP & JT Gale, ang, 369kg at 406c, $1456.00; Elsham Pty Ltd, ang x, 293kg at 386c, $1129.00; DC Clark, short x, 405kg at 370c, $1499.00.
**TRADE HEIFERS:**
- JW & GK McaManony, ang, 514kg at 376c, $1933.00.
**COWS:**
- Bundur Farms, ang x, 675kg at 310c, $2093.00; Eddington Past, ang, 619kg at 302c, $1869.00.
**BULLCROSS:**
- P & J Wines and 505kg at 411c, $2075; AG Couch, frsn x, 580kg at 309c, $2102; RA & JK Brook, s/horn, 507kg at 395c, $2004; DS & HJ Brooks, s/horn, 650kg at 386c, $2509; RA & JK Brook, s/horn 603kg at 386c, $2328.
**STEERS:**
- M & J Delaney, ang, 519kg at 410c, $2126; M & J Delaney, ang, 496kg at 402c, $1993; RA & JK Brook, s/horn, 448kg at 395c, $1769; DS & HJ Brook, s/horn, 456kg at 385c, $1741; T & S Molley, ang, lim x, 418kg at 411c, $1719; M & J Delaney, ang bb, 445kg at 414c, $1848.
**VEALERS:**
- T & S Molley, ang bb, 335kg at 407c, $1367; T & S Molley, ang, 332kg at 395c, $1344.
**HEIFERS:**
- Bermuda Trust, s/horn, 381kg at 386c, $1471; M & J Delaney, ang, 402kg at 370c, $1487.
**COWS:**
- AG & N Branson, ang, 651kg at 305c, $1988; AG Couch, frsn x, 744kg at 265c, $1971; AG Couch, jrsy x, 605kg at 265c, $1603; AG Couch, frsn x, 650kg at 250c, $1737; Taylor Sharrock, g/way, 460kg at 280c, $1288; Trudy Sharrock, g/way, 508kg at 255c, $1295.
---
**NATIONAL LIVESTOCK REPORTING SERVICE**
The core field of buyers attended a small yarding of 198, plain quality cattle, 175 head less than last week. Prices were equal, to dearer for the mainly dairy breed offering.
Cow weaners from 5c to 10c higher, dairy bulls made 10c better and grown heifers made from 10c to 15c/kg more than last week. The penning comprised of 10 steers, 18 heifers, 160 cows and 10 bulls.
A single C3 yearling heifer made 348c, but most of the lean conditioned young cattle sold from, 278c to 270c, with a re-stocker paying 302c/kg for a light weight steer.
The D1 dairy breed manufacturing grown steers sold very well from, 278c to 285c/kg. The dairy bred D2 grown heifers made from, 280c to 290c/kg.
Just three beef cows were penned and they too sold very well to make 320c/kg. The better covered D2 dairy cows made from, 244c to 285c, with leaner D1’s making 230c, 240c to 280c/kg.
The poor to prime condition dairy cows sold mainly from, 230c to 240c, with a single to a restocker making 255c/kg. Two very good beef bulls sold for 320c, with the dairy bulls from 264c to 280c/kg.
**AIR CONDITIONING**
Ward Refrigeration & Air Conditioning
- Installation
- Repairs
- Maintenance
Call Tim 0409 532 630
email@example.com
**CARPENTER / HANDYMAN**
Carpenter Handyman
All maintenance and repair work around the home
Call Alan 0407 646 798
**CONCRETE / BRICK LAYING**
Brendan Simmonds Concrete Constructions
For all your concrete and brick laying needs.
Shed floors - Patios - Footpaths - Driveways
Crossovers - Carports - Concrete panels
Dairy yards - Feed pads - Much more
Phone 0407 933 452
firstname.lastname@example.org
**ELECTRICAL**
Chris Walsh 0418 529 997
email@example.com
**EQUIPMENT HIRE**
Hereskip Waste Management Solutions
Bin and portalo hire, Permanent or short-term hire.
Residential, rural, industrial and commercial.
Phone 0418 853 940
firstname.lastname@example.org
www.hereskip.com.au
**MOTOR REPAIRS**
Vogels Motors Servicing & Repairs to all makes and models
VACC accredited • Hand book servicing
Batteries and bolts • Range of ag oils available
Spare parts also available
Lot 2 Cobden Rd, Simpson Phone 5594 3288
**ELECTRICAL**
KMS Electrical Contracting
All Electrical Installations & Maintenance
Air Conditioning Installation
No job too big or too small
Scott Narik 0400 486 376
Office 5593 2069
24-hour On Call Number 0447 511 232
**ELECTRICAL**
Pollard’s Electrical Contracting
Solar Panel Installations
Simon Pollard
28 Campbell Street, Camperdown
Phone 5593 1900
**ELECTRICAL**
Gerard Ryan Electrical
Servicing South West Victoria since 1966.
www.gerardryanelectrical.com.au
Phone: 55933033
**EQUIPMENT HIRE**
Cobden Mobile Coolrooms For Hire
plus mobile toilets for weddings, social events, etc.
Phone John or Bernadette Brewer – 0409 351 106
**PAINTER**
Dynamic Painting Now
ABN: 52338796528
Reliable local professional with over 20 years’ experience
- Interior & exterior
- Feature walls & splashbacks
- Free quotes
- We also assemble flat pack furniture
- Plaster/crack repairs
- Repairs & maintenance
- Quality service
For more information or a quote, please contact David 0418 888 779
Would you like to advertise here? Please call 5593 1888
PEST CONTROL
O’BRIEN PEST CONTROL
For any commercial or domestic pests including:
• Spiders • Ants • Rodents • Termites
• Nuisance bees and wasps
Please call O’Brien’s 0400 921 831 or 5592 1353
FULLY LICENSED
PLUMBER
BAKER PLUMBING
24 Henderson St, Camperdown Lic. No. 29444
PLUMBERS AND GASFITTERS
DRAIN CLEANING • GENERAL PLUMBING
0438 676 027
Keith Baker email@example.com
PLUMBER
DEITER MCDONALD
PLUMBING
AND GAS FITTING
Lic. No. 38484
Fast, reliable and professional service
• Commercial & Domestic
• Gas fitting & maintenance
• New & existing homes • Roofing • Hot water heaters
• Gas fitting • Drainage work • Rain water tanks & pumps
• 1.5 ton excavator and truck hire
Servicing Camperdown and the Corangamite region 0417 013 370
PLUMBER
molan plumbing
& civil
Tony 0408 548 297 Phone 5593 3291
Mark 0408 549 194 Fax 5593 2004
Greg 0408 149 804
PLUMBER
T.S. McQUINN & SON
Master Plumber & Gas Fitter
Greg McQuinn
58 Curdie Street, Cobden 5595 1061
0408 583 738 / 0428 145 285
Email: firstname.lastname@example.org
Lic. No. 21083 ABN 39670218937
PLUMBER
Walsh Plumbing
• NEW HOMES & RENOVATIONS
• ROOFING • GAS FITTING
• DAIRIES • DRAIN CLEANING
• WINDMILLS & PUMPS
0407 951 933
email@example.com
ROOFING
James Cook Roofing
Specialists in tile roof repairs
• Low cost
• Experienced tradesman
• Guaranteed quality
• No job too big or small
• Free roof inspections
0411 313 577
ROOFING
Coastal Re-Roofing
firstname.lastname@example.org
Call Joe Gilbert - 0417 304 837
All aspects of metal roofing:
New homes, Metal roof replacement,
Tile roof conversion, Shed construction, Industrial sheds,
Large scale commercial work
Vic Licence: IOI463
TOOLS & TRAILERS
COBDEN TOOLS & TRAILERS
Trailer sales, spares, repairs and hire.
A large range of tools for the mechanic or hobby engineer.
Telephone (03) 5595 2040
47 Curdie Street, Cobden
Email: email@example.com
CONTRACTING
John & Jenny Inglis
3 x 10,500 litre effluent tankers
2 stirrers
Irrigation pump for water and effluent
(no set up or pack up costs)
John – Mobile 0428 987 282
CONTRACTING
ARAMBY CONTRACTING
RURAL FENCING AND FARM MAINTENANCE
Pull down and clean up
Erect new or repair old fences
Allan and Nathan Beasy
0429 052 224 (Allan) 0412 698 208 (Nathan)
5594 6268 (AH)
CONTRACTING
POUSTIE AGRICULTURAL CONTRACTING
1051 Coortemungle Rd Coortemungle 3268
Phone 03 5598 7283
Mob: 0409 330 079
Effluent: Empty effluent ponds quickly with umbilical hose and dribble bar – continuous flow – no wrecking of banks or compaction or downtime between loads.
Fertiliser: Supply fertiliser and ag lime, cartage in bulk. Professional spreading service. Gravel and topper work, grader hire.
Complete Harvest Package: Fine crop self propelled or loader wagon pit sludge and round sludge plus all other harvest equipment.
TYRES
THE TYRE FACTORY
WARRNAMBOOL
• Batteries, car servicing, wheel alignments
• Call out service for on-site tyre repairs
Geoff Cook 5562 9784
180 Raglan Parade, Warrnambool East
Email: firstname.lastname@example.org
MILKING MACHINES
TOTAL DAIRY SERVICE
AND COWELD FEED SYSTEMS
Farm supplies Installations/upgrades
Service and repairs Bulk milk tanks
24 HOUR BREAKDOWN SERVICE
TIMBOON 111 Bailey St
Phone 5598 3337
WARRNAMBOOL 50 Caramut Rd
Phone 5561 3252
Crawley shoots for the top
Jake Crawley has his sporting sights set high – and with his height and his athletic ability, he is more than capable of fulfilling those dreams.
The Terang teenager has long been regarded a basketballer with plenty of potential.
Although modest to speak of his success on the court, the 12 year-old Mercy Regional College student has plenty of trophies and medallions to reflect both his commitment to the sport and his natural ability.
Jake has just returned home from Albury where he spent a week representing country Victoria (the Victorian Bushrangers) in the under 14 Australian Country Cup. - Feb 11, 2010
Success for Terang ladies
The prestigious Cobden Cup saw Terang teams fill the top two places with 2010 winners (l-r) Marion Brophy, Heather Holmes and Janet Saunders victorious by one stroke from Judy Carmody, Jean Lucas and Aileen Clarke.
All three golfers had a nett 70 in the winning team.
- March 4, 2010
Johanna Glennen is relishing her opportunity in the Bloods’ A grade team, named among the best against the Saints. - May 6, 2010
Sweet victory in Terang Pacing Cup
Winning his former hometown pacing cup was sweet success for Greg Sugars in the Terang Pacing Cup on Saturday night.
Sugars driving Ti Vogliobene ($9) stormed home to defeat the favourite Ohoka Nevada ($4.60) with Mendelico third.
Ti Vogliobene connections receive the Terang and District Co-Op Pacing Cup winner’s rug.
Ti Vogliobene is trained at Avenel by Greg Norman who has had a long association with the Sugars family.
“The two families have been connected for nearly 50 years,” Sugars said.
- Feb 18, 2010
Bloods fall over the line against South
Bloods coach Damian O’Connor flies to spoil his Roosters opponent.
Terang Mortlake were lucky to come away with a win from Saturday’s round five of Hampden football.
After getting the jump on South Warrnambool, the Bloods kicked six first quarter goals.
The highlight of the term was an outstanding running goal that demonstrated good team play.
- May 13, 2010
Schafer departs Mortlake
MORTLAKE cricketer Tyler Schafer is bound for Warrnambool, with the opening batsman signing for the upcoming season with Russells Creek.
Schafer, a five-time premiership player for Mortlake, was unveiled as Russells Creek’s newest player on Monday after he revealed he had missed out on receiving the Cats’ captaincy for a second season.
He led the Cats to the semi-final last year in a double season and all that but has now decided to test his cricketing prowess in Warrnambool.
“I’m excited for it,” Schafer said.
“I’m looking forward to taking my game to the next level.”
“I didn’t get the captaincy at Mortlake so I thought it was time to test myself otherwise I wouldn’t have done it all.
“The timing was right I thought.”
Schafer said his decision to join Russells Creek centred on increased one-on-one coaching opportunities and video analysis, a notion which he said appealed to him.
He said it was hard to leave his home club, but felt it was in his best interests after missing out on the leadership role.
“Russells Creek was there right from the start,” Schafer said.
“They were the first club to message me about two weeks before and I liked what they had to offer so I thought I’d be loyal to that.
“It was obviously hard (to leave Mortlake) but I’m just doing it for myself and my cricket.
“If I didn’t do it I don’t think I would have enjoyed it at Mortlake.”
Schafer said the opportunity to play all three forms of cricket in Warrnambool was also appealing, as was the move to turf cricket.
“I’ll go from playing on three different pitches (in South West) to playing every game on turf which is real cricket if you ask me,” he said.
“I can’t wait for it; hopefully we get a season in.”
Schafer has already commenced preparations for the upcoming season, with weekend coaching sessions with Russells Creek coach Andrew Thomson.
He thanked his friends and family for “sticking by me” as he made the decision to leave the Cats.
Mortlake president Todd Lamont said the club was disappointed to see Schafer leave, but hoped he would one day return.
“The club is disappointed to lose Tyler, as he has been a valued member of the club playing a prominent role in our premiership success,” he said.
“We wish him all the best and we hope he returns to the club in the future.”
Lamont said Mortlake will announce the club’s new leadership roles following its annual general meeting in mid September.
“The club has been working very hard behind the scenes to best prepare itself for the future,” he said.
Wilson to start new chapter of decorated horse racing career
NEVILLE Wilson is set to embark on a new chapter of his lifelong involvement with horse racing.
The Camperdown local applied for a trainer’s licence in July, with his application approved by Racing Victoria last Wednesday.
The move into training replaces Wilson’s storied involvement with the sport, which saw him start as an apprentice jockey at 14.
Wilson would go on to ride more than 2000 winners in a decorated riding career before a horror fall in 2012 ultimately saw him hang up his saddle.
Following his retirement from the jockey ranks, Wilson then moved into stable duties as an assistant to local trainer and great friend Geoff Daffy. The pair had already built quite the combination as a trainer-jockey pairing and continued to enjoy success as a training partnership over the past 10 years.
Their training partnership came to a sudden end earlier this year when Daffy passed away aged 77.
Wilson said he never expected to become a trainer but was looking forward to the new challenge racing presents him.
“Under the circumstances I wish I wasn’t (becoming a trainer) with Geoff’s passing but it will be quite good to be a trainer,” he said.
“I’ve been an assistant trainer for the last 10 years so it will be much different — only this time it will be in my name instead of Daff’s.
“I was a jockey for a long time too so this is an extension of that.
“I’m looking forward to it; I’ll only have two or three horses at a time.”
Wilson’s stable is set to include Daffy’s former galloper Campo as well as Silkstream, a four year-old mare previously under the tutelage of Warrnambool’s Colin Chandler.
Campo is currently on the comeback trail from a tendon injury sustained in December, while Silkstream has only recently started its racing career.
Silkstream will be Wilson’s first official runner at today’s Warrnambool meeting.
Bloods lock in Kenna for 2021
TERANG Mortlake coach Ben Kenna is looking forward to season 2021 after re-committing to the club.
The Bloods announced on Monday Kenna had re-signed for season 2021 after his first season at the helm was wiped out by COVID-19.
The non-playing mentor said he was eager to continue in the role after taking some time to come to his decision.
“I’m looking forward to it,” Kenna said.
“This year is obviously a strange year for everyone, there was no footy or netball which has taken a bit to get around but as you can see coaches are re-committing right across the league.
“Most of my thinking was towards doing it again, I just needed to get my head around it with a few things but generally I was pretty keen to do it the whole way through.”
Kenna said he would now review his playing list and endeavour to lock them in for season 2021 before turning his attention to recruiting.
He expects most clubs to field similar lists next season, but he will look to add to the Bloods’ depth with prospective recruits where possible.
“Over the next few weeks I’ll get across our current players and gather their thoughts,” Kenna said.
“That’s probably the first thing to tick off and then I’ll look at recruiting.
“I get the feeling most clubs might look similarly next year as to what they would have this year.”
Bloods acting general manager Michael Williams said the club was thrilled to lock away Kenna as its senior leader.
“We’re really happy to have him recommit for next year,” he said.
“Obviously his first season wasn’t really a season but to have him recommit now creates a bit of stability around the club and will help with recruiting for next year.”
Williams said Kenna “handled the COVID-19 situation as well as he could” and led from the front in the uncertain period.
“He was restricted obviously by the regulations at the time and overall the committee’s measures put in place limited what could be done,” he said.
“But he was very keen to keep everyone active and involved during those times and it showed too.
“He then went and helped Ben Finneity with coaching the under 18.5s on Thursday nights after the junior season was cancelled.”
The Bloods also locked in almost all of its remaining coaches, with Martin Wynd, Neil Kelly, Tim Carroll and Clayton McMaster also reappointed to their roles.
Wynd will lead the reserves, while Kelly, Carroll and McMaster will take charge of the under 16s, 14s and 12s respectively.
Williams said the club was pleased to appoint the coaches, leaving just an under 18.5 coach to be confirmed, which he hoped would occur in the near future.
“Again the key thing with those reappointments is stability, but those coaches did an awful lot of groundwork through the pre-season and when the junior season was going,” he said.
“They started to bring in a lot of recruits and interest to the players and I think having those coaches, particularly the three junior coaches, recommit will only build on that further.”
Ben Kenna has recommitted to coaching Terang Mortlake in season 2021.
Local trainers to contest Terang’s latest meeting
HARNESS racing is set to return to Terang tonight (Thursday).
An eight-race card is scheduled to kick off at 5.35pm, with the last race set down for 9pm. Among the events is a 46 to 55 class and 56 to 95 class trots, while 52 to 55 and 56 to 66 class pace races will be held.
A two year-old pace, a pace for three year-olds in 46 to 55 class and paces for 30 to 49 and 46 to 51 class horses aged four and above will also be staged.
Local trainers Anthony O’Connor, Matthew Craven, Paddy Lee, Barry Beasley, Stephen Lambart, Marg Lee and Jeff McLean will all have horses in events.
O’Connor will race Aboutagirl and Abbey Fields, while Paddy Lee has the sole runner in Tip Top Eurasian.
Craven will be out to attain a hat-trick of wins with his pacer Rock On Playboy, while Gus An Maori will go head-to-head with Marg Lee’s Keayang Livana.
Beasley is looking to add another winner to his recent victory with Aldebaran Rocky and Tedkane, Lambart is hoping for a strong run from Leica Gem and McLean will contest the two year-old pace with King James.
Fellow locals Xavier O’Connor, Tim McLean, Sofia Arvidsson, Jason Lee and Matt Horsnell have been engaged for drives.
Meanwhile, Terang’s meeting on September 12 will hold metro status, with a metropolitan Saturday night meeting to be staged at the club.
Metropolitan class racing has been shared between Ballarat, Bendigo and Stawell during region-based racing as stage four restrictions in metropolitan Melbourne have limited the ability for trainers to head to Melton as normal.
The meeting will include a significant increase in prize money with the quality of races expected to attract the cream of the crop from regional Victoria’s harness racing ranks. |
The large gamma-ray flare of the flat-spectrum radio quasar PKS 0346−27
R. Angioni\textsuperscript{1,2}, R. Nesci\textsuperscript{3}, J. D. Finke\textsuperscript{4}, S. Buson\textsuperscript{5}, and S. Ciprini\textsuperscript{5,6}
\textsuperscript{1} Max-Planck-Institut für Radioastronomie, Auf dem Hügel 69, 53121 Bonn, Germany
e-mail: email@example.com
\textsuperscript{2} Institut für Theoretische Physik und Astrophysik, Universität Würzburg, Emil-Fischer-Str. 31, 97074 Würzburg, Germany
\textsuperscript{3} INAF/IAPS, Via Fosso del Cavaliere 100, 00133 Roma, Italy
\textsuperscript{4} US Naval Research Laboratory, Code 7653, 4555 Overlook Ave. SW, Washington, DC 20375-5352, USA
\textsuperscript{5} Space Science Data Center – Agenzia Spaziale Italiana, Via F. Moruzzi, 10, 50133 Roma, Italy
\textsuperscript{6} Istituto Nazionale di Fisica Nucleare, Sezione di Perugia, 06123 Perugia, Italy
Received 13 March 2019 / Accepted 19 June 2019
ABSTRACT
Aims. In this paper, we characterize the first γ-ray flaring episode of the flat-spectrum radio quasar PKS 0346−27 (z = 0.9911), as revealed by Fermi-LAT monitoring data, and the concurrent multi-wavelength variability observed from radio through X-rays.
Methods. We studied the long- and short-term flux and spectral variability from PKS 0346−27 by producing γ-ray light curves with different time binning. We complemented the Fermi-LAT data with multi-wavelength observations from the Atacama Large Millimeter Array (radio mm band), the Rapid Eye Mount telescope (near-infrared) and Swift (optical-UV and X-rays). This quasi-simultaneous multi-wavelength campaign allowed us to construct time-resolved spectral energy distributions (SEDs) of PKS 0346−27 and compare the broadband spectral properties of the source between different activity states using a one-zone leptonic emission model.
Results. PKS 0346−27 entered an elevated γ-ray activity state starting from the beginning of 2018. The high-state continued throughout the year, displaying the highest fluxes in May 2018. We find evidence of short-time scale variability down to approximately 1.5 h, which constrains the γ-ray emission region to be compact. The extended flaring period was characterized by a persistently harder spectrum with respect to the quiescent state, indicating changes in the broadband spectral properties of the source. This was confirmed by the multi-wavelength observations, which show a shift in the position of the two SED peaks by approximately two orders of magnitude in energy from the quiescent value. As a result of the relativistic jet emission, we identify a possible significant contribution from the dust torus and accretion disk during the high state. The broadband SED of PKS 0346−27 transitions from a typical Low-Synchrotron-Peaked (LSP) to the Intermediate-Synchrotron-Peaked (ISP) class, a behavior previously observed in other flaring γ-ray sources. Our one-zone leptonic emission model of the high-state SEDs constrains the γ-ray emission region to have a lower magnetic field, larger radius, and higher maximum electron Lorentz factors with respect to the quiescent SED. Finally, we note that the bright and hard γ-ray spectrum observed during the peak of flaring activity in May 2018 implies that PKS 0346−27 could be a promising target for future ground-based Cherenkov observatories such as the Cherenkov Telescope Array (CTA). The CTA could detect such a flare in the low-energy tail of its energy range during a high state such as the one observed in May 2018.
Key words. galaxies: active – galaxies: jets – quasars: individual: PKS 0346−27 – gamma rays: galaxies
1. Introduction
Radio-loud active galactic nuclei (AGN) are the most common astrophysical source class in the γ-ray sky. Their relativistic jets produced by the central black hole emit bright non-thermal radiation across a wide range of wavelengths and energies, from radio to TeV. The vast majority of γ-ray detected AGN are blazars, that is sources where the relativistic jet is aligned at a small angle with the observer’s line of sight, leading to strong relativistic Doppler boosting and beaming effects. Blazars have historically been divided into two subclasses: flat-spectrum radio quasars (FSROs), showing strong broad emission lines in their optical spectra, and BL Lacertae objects (BL Lacs), which typically have weak or absent optical spectral features. There is also evidence that flat-spectrum radio-loud narrow-line Seyfert 1 (NLS1) galaxies host low-power blazar-type jets aligned with our line of sight (Berton et al. 2018). The broadband spectral energy distributions (SED) of blazars show a typical double-peaked structure. The low-energy peak is produced by synchrotron emission from the relativistic electrons in the jet. The emission processes giving rise to the high-energy emission peak are somewhat less clear. The simplest models invoke inverse Compton (IC) emission from the same electrons producing the low-energy synchrotron emission (the so called leptonic emission models), while more advanced models involve relativistic protons as well (lepto-hadronic emission models, see, for example, Böttcher et al. 2013). Abdo et al. (2010a) introduced an alternative classification scheme for blazars based on the peak frequency of the synchrotron component \( \nu_{\text{peak}}^{\gamma} \). Sources with \( \nu_{\text{peak}}^{\gamma} < 10^{14} \text{ Hz} \) are called low-synchrotron-peaked (LSP), those with \( 10^{14} \text{ Hz} < \nu_{\text{peak}}^{\gamma} < 10^{15} \text{ Hz} \) are called intermediate-synchrotron-peaked (ISP), and those with \( \nu_{\text{peak}}^{\gamma} > 10^{15} \text{ Hz} \) are called high-synchrotron-peaked.
(HSP). FSRQs and blazar-like NLS1s are typically LSP, while the peak synchrotron frequency in BL Lacs can range across the three classes (Abdo et al. 2010a). While this is true when considering archival multi-wavelength data, some sources have shown extreme changes in their broadband spectral properties during flaring states. This implies that their place in classification schemes such as the ones mentioned above should be considered as time-dependent. Exemplary cases of time-dependent blazar classification are PKS 2155−304 (Foschini et al. 2008), PKS 1510−089 (D’Ammando et al. 2011), PMN J2345−1555 (Ghisellini et al. 2013), 4C +49.22 (Cutini et al. 2014) and PKS 1441+25 (Ahnen et al. 2015).
PKS 0346−27 (also known as BZQ J0348−2749, Massaro et al. 2009), with coordinates RA = 57:1589354\textsuperscript{+} and Dec = −27.8204344 (J2000, Beasley et al. 2002) is a blazar source located at a redshift $z = 0.991$ (White et al. 1988). It was first identified as a radio source in the Parkes catalog (Bolton et al. 1964; 1966). Initially, White et al. classified it as a quasar based on its optical spectrum. It was later revealed as an X-ray source by ROSAT (Voges et al. 1999, and references therein). In the γ-ray band, it was not detected by the Energetic Gamma-Ray Experiment Telescope (EGRET, Thompson et al. 1993), but it was detected by Fermi-LAT and included in the Fermi-LAT First Source Catalog (4FGL, Abdo et al. 2010b). In the latest catalog, the Fermi-LAT Fourth Source Catalog (3FGL, The Fermi-LAT Collaboration 2019), it is associated with the γ-ray source 4FGL J0348.5−2749. No elevated state of γ-ray activity from this source has been reported and studied in detail so far.
A near infrared (NIR) flare from PKS 0346−27 was first reported based on data taken on 2017 Nov. 14 (MJD 58071, Carrasco et al. 2017). A few months later, strong γ-ray flaring activity was reported on 2018 Feb. 02 (MJD 58151) based on Fermi-LAT data (Angioni 2018). The source was found in an elevated state, reaching a daily γ-ray (>100 MeV) flux more than 100 times larger than the average flux reported in the 3FGL, and a significantly harder spectrum with respect to the one reported in the 3FGL. This prompted multi-wavelength follow-up observations which revealed enhanced activity in the optical-NIR (Nesci 2018a; Valletti et al. 2018), ultraviolet (UV) and X-ray (Nesci 2018b). The high-energy flare continued over the following months, showing a second, brighter peak on 2018 May 13 (MJD 58251, Ciprini 2018), with a daily flux ∼150 times the 3FGL catalog level.
In this paper, we characterize the flaring activity of PKS 0346−27, probing the temporal and spectral behavior in γ-rays. We investigate the changes in the broadband SED using quasi-simultaneous, multi-wavelength and archival data, and comparing the observations to theoretical models. In Sect. 2 we describe the data acquisition and analysis in the different bands. In Sect. 3 we discuss the variability observed with each instrument, with a focus on the object’s γ-ray properties. In Sect. 4 we qualitatively describe the time-resolved quasi-simultaneous SEDs of PKS 0346−27, and in Sect. 5 we discuss a theoretical modeling of the SEDs. Throughout the paper we assume a cosmology with $H_0 = 73 \text{ km s}^{-1} \text{ Mpc}^{-1}$, $\Omega_m = 0.27$, $\Omega_\Lambda = 0.73$ (Komatsu et al. 2011).
## 2. Data set and analysis
In this section we present the data set and describe the data reduction process in the γ-ray band (Sect. 2.1), optical-UV and X-rays (Sect. 2.2), near infrared (Sect. 2.3) and radio-mm (Sect. 2.4).
### 2.1. Fermi-LAT
The Large Area Telescope (LAT) is a pair-conversion telescope, launched on 2008 June 11 as one of the two scientific instruments on board the Fermi Gamma-ray Space Telescope (Atwood et al. 2009). Its main energy range is 0.1–100 GeV, but its sensitivity extends down to 20 MeV and up to >1 TeV (Ajello et al. 2017). In the third LAT point source catalog, the γ-ray source 3FGL J0348.6−2748, with a 0.1–300 GeV flux of $(9 \pm 2) \times 10^{-9} \text{ photons cm}^{-2} \text{ s}^{-1}$ and a power-law spectrum with index $2.4 \pm 0.1$.
We have used the Python package Fermipy (Wood et al. 2017) to analyze the Fermi-LAT data. We used Pass8 event data (Atwood et al. 2013) and select photons of the SOURCE class, in a region of interest (ROI) of $10^\circ \times 10^\circ$ square, centered at the position of the target source. We included in the ROI model all point sources listed in the 3FGL and located within 15° from the ROI center, along with the Galactic (Acero et al. 2016) and isotropic diffuse emission (gll_iem_v6.fits and iso_P8R2_SOURCE_V6_v06.txt, respectively). We performed a binned analysis with 10 bins per decade in energy and 0.1° binning in space, in the energy range 0.1–300 GeV, adopting the instrument response functions P8R2_SOURCE_V6. A correction for energy dispersion was included for all sources in the model except for the Galactic and isotropic diffuse components.
We first performed a maximum likelihood analysis over the full time range considered here, that is 2008 Aug. 04 15:43:36.000 UTC to 2018 Sep 01 00:00:00.000 UTC (MET 235737-217 to 537452805). In the initial fit, we modeled the ROI sources adopting the spectral shapes and parameters reported in the 3FGL catalog, and fit as free parameters the normalization and spectral index of the target source, and the normalization of all sources within 5° of the ROI center, in addition to the isotropic diffuse and Galactic components. Since our data set more than doubles the integration time with respect to the 3FGL catalog, we looked for potentially new sources, present in the ROI, with an iterative procedure. We produced a Test Statistic (TS) map. The TS is defined as $2 \log(L/L_0)$ where $L$ is the likelihood of the model with a point source at a given position, and $L_0$ is the likelihood without the source. A value of TS = 25 corresponds to a significance of 4.2σ, when accounting for two degrees of freedom (Mattox et al. 1996). A TS map was produced by including a test source at each map pixel and evaluating its significance over the current model. We looked for significant (TS > 25) peaks in the TS map, with a minimum separation of 0.3°, and added a new point source to the model at the position of the most significant peak found, assuming a power-law spectrum. We then fit again the ROI, and produced a new TS map. This process was iterated until no more significant excesses were found\textsuperscript{2}. We also performed a best-fit position localization for the target source and all new sources with TS > 25 found in the ROI.
In order to investigate the temporal variability of PKS 0346−27, we computed several light curves with different time binning (see Sect. 3.1). In each light curve, we performed a full likelihood fit in each time bin. The number of free parameters in the fit depends on the statistics in each bin. We first attempted a fit leaving the normalisation and index of
\textsuperscript{1} Mission Elapsed Time, that is seconds since 2001.0 UTC.
\textsuperscript{2} The source finding process resulted in the addition of four point sources to the 3FGL starting model. None of these are close or bright enough to the ROI center to significantly affect the results on the target source.
the target source and the normalization of all sources in the inner 3° of the ROI free to vary. If the fit did not converge or resulted in a non-detection (TS > 25), we progressively restricted the number of free parameters in the fit in an iterative fashion. First we reduced the radius including sources with free normalization to 1°, then we left only the spectrum of the target source free to vary, and finally we fixed all parameters to their average values except for the target source’s normalization. We consider the target source to be detected if TS > 9 in the corresponding bin, and the signal-to-noise ratio (that is, flux over its error, or $F/\Delta F$) in that bin is larger than two. If this is not the case, we reported a 95% confidence upper limit.
### 2.2. Swift-XRT/UVOT
PKS 0346−27 was observed with the *Neil Gehrels Swift Observatory* (Gehrels et al. 2004) as a Target of Opportunity (ToO), following the detection of the first γ-ray flare (Angioni 2018). The *Swift* data were analyzed using the tools available at the ASI Space Science Data Center (SSDC). The source has no nearby potential contaminants either in X-rays nor in optical, so it was possible to use the standard aperture photometry technique to evaluate the source parameters. Archival *Swift*-XRT observations of this source are available on 2009 Mar. 29 and 2009 May 18. Unfortunately, for both dates the exposure times were too low to perform a meaningful X-ray spectral fit. Spectral fits were possible during the high state in 2018, modeling the source emission with a single power law, the $N_H$ absorption frozen to the Galactic value ($9.1 \times 10^{20}$ cm$^{-2}$; Kalberla et al. 2005), and a number of energy bins ranging between 4 and 12.
*Swift*-UVOT images in six bands were obtained for most of the pointings. Aperture photometry for all bands was obtained using the on-line tool available at the ASI SSDC, which provides magnitudes in the Vega system and fluxes in mJy. No reddening corrections were applied, which are on the order of a few hundredth magnitudes at most, and therefore comparable to the photometric errors. Given the source redshift ($z = 0.991$), the interstellar UV absorption band of the host galaxy at 2200 Å, if present, falls outside the UVOT range, and therefore does not affect these observations.
### 2.3. REM
The Rapid Eye Mount (REM) telescope is a 60 cm robotic instrument located at La Silla Observatory in Chile, and operated by the Istituto Nazionale di Astrofisica (INAF)\(^3\). Follow-up observations of PKS 0346−27 with REM started a few days after the first reported γ-ray flare in February 2018, using the ROSS2 camera for the $r$ and $i$ bands, and REMIR for the $J$ and $H$ bands. Time sampling was initially daily, then reduced to two days and weekly. Aperture photometry with IRAF (using apphot) was performed using nine nearby comparison stars from the 2MASS catalog with AAA quality flag, and twelve stars from the Fourth US Naval Observatory CCD Astrograph Catalog (UCAC4, Zacharias et al. 2013). The aperture diameter was set at twice the FWHM of the images, which was not the same in different nights. This is not critical because no nearby sources were present in any filter at our sensitivity level. Conversion from magnitudes to mJy for all REM bands was computed using the on-line tool from the Louisiana State University\(^4\). No Galactic reddening corrections were applied.
### 2.4. ALMA
PKS 0346−27 has been observed in the mm-band as a calibrator for the Atacama Large Millimeter Array (ALMA) since 2012. The flux density measurements in Bands 3 (84–116 GHz), 6 (211–275 GHz) and 7 (275–373 GHz)\(^5\) are publicly available as part of the ALMA calibrator catalog\(^5\).
### 3. Multi-wavelength variability
In this section we report on the variability observed in the γ-ray band (Sect. 3.1), optical-UV and X-rays (Sect. 3.2), near infrared (Sect. 3.3) and radio-mm (Sect. 3.4).
#### 3.1. Fermi-LAT
We show a weekly binned γ-ray light curve of PKS 0346−27 in Fig. 1. A pronounced peak is seen already in December 2017, lasting only one week. A more extended flaring period is seen between April and June 2018, with a peak 0.1–300 GeV flux of $(1.25 \pm 0.06) \times 10^{-6}$ photons cm$^{-2}$ s$^{-1}$ in the week centered on 2018 May 13. With a photon index of $1.88 \pm 0.04$, this translates to a luminosity of $(9.6 \pm 0.5) \times 10^{40}$ erg s$^{-1}$. Finally, a period of renewed activity is observed again in October 2018, but not at the same magnitude as the events in May 2018.
We investigated the presence of significant short-time scale variability in PKS 0346−27 during the brightest flaring period in May 2018. The 6 h, 3 h and orbit-binned light curves are shown in Fig. 2. The γ-ray flux of the source in this time period is high enough to yield significant detections in most bins, even on such short time scales. Fast variability appears evident at a visual inspection. To quantify its significance, we computed the so-called variability index (see Abdo et al. 2010b). The variability index is defined as
$$V = \sum_i w_i (F_i - F_w)^2$$
(1)
where $F_{w,i}$ is the weighted average and $w_i$ is the weight, which is computed as
$$w_i = 1/\sigma_i^2$$
(2)
for bins with a significant detection and
$$w_i = [(F_i^{\text{UL}} - F_i)/2]^2$$
(3)
for bins where an upper limit is placed ($F_i^{\text{UL}}$ is the 95% confidence flux upper limit). The variability index follows a $\chi^2$ distribution with $N_{\text{bins}} - 1$ degrees of freedom. The results of the test are listed in Table 1.
The variability appears to be the most significant (>10σ) on six hours and three hours time scales, but is still strongly significant on orbital scales. In order to provide a more quantitative estimate of the shortest significant variability time scale, we have computed the doubling or halving time using two-point flux changes, following Eq. (1) from Foschini et al. (2011). In this procedure, we only consider bins with significant detections where the flux difference between consecutive bins (with no upper limit in between) is larger than two times their 1σ uncertainty (that is, their error bar). In all three light curves, we find a shortest doubling or halving time scale consistent with the bin size.
---
\(^3\) [http://www.rem.inaf.it/](http://www.rem.inaf.it/)
\(^4\) [http://morpheus.phys.lsu.edu/~gclayton/magnitude.html](http://morpheus.phys.lsu.edu/~gclayton/magnitude.html)
\(^5\) [https://almascience.eso.org/alma-data/calibrator-catalogue](https://almascience.eso.org/alma-data/calibrator-catalogue)
Fig. 1. Weekly binned Fermi-LAT light curve of PKS 0346−27 in the energy range 0.1−300 GeV, showing flux (top panel) and photon index (bottom panel). The latter is only plotted for bins where it was possible to fit it as a free parameter (see Sect. 2.1). Filled blue points represent significant detections, downward grey arrows represent 95% confidence level upper limits. The detection threshold is set at TS > 9 and $F/\Delta F > 2$. For ease of representation, the length of the arrows has been set as equal to the average error for significantly detected bins. The dashed line in the bottom plot indicates the average photon index during the quiescent state (see Table 3). A zoom-in of this light curve to the period after 2017.5 (MJD 57936.5) is shown in Fig. 4.
Fig. 2. Short-time scale Fermi-LAT γ-ray light curves of PKS 0346−27 in May 2018. Top to bottom panels: six hour, three hour, and orbital (95 min) binning, respectively. Filled blue points represent significant detections, downward gray arrows represent 95% confidence level upper limits. The detection threshold is set at TS > 9 and $F/\Delta F > 2$. For ease of representation, the length of the arrows has been set as equal to the average error for significantly detected bins in the corresponding light curve. The dashed blue lines represent the average flux considering only bins with significant detections.
The variation in γ-ray photon index is shown in the bottom panel of Fig. 1. It appears that the source transitioned to a different spectral state for the period approximately between January and July 2018 (2018.0−2018.55), showing a consistently harder spectrum with respect to the average value. We indicate this time interval as “hard state”. There is a quite clear
Table 1. Results of $\chi^2$ test for short-time scale variability for the light curves represented in Fig. 2.
| Binning | V/d.o.f. | $p$-value | Significance |
|---------|---------|-----------|-------------|
| 6 h | 3.50 | $4 \times 10^{-14}$ | 11.7$\sigma$ |
| 3 h | 2.66 | $3 \times 10^{-15}$ | 11.1$\sigma$ |
| Orbital | 1.50 | $3 \times 10^{-5}$ | 4.6$\sigma$ |
**Fig. 3.** Histogram of photon index from the *Fermi*-LAT light curve shown in Fig. 1, for bins when it was fit as free parameter. The filled blue area represents the total distribution, while the hatched areas indicate the distributions for the hard state time interval and for all the other bins.
The number of available *Swift*-XRT observations is not sufficient for a detailed characterization of variability and higher-level processing such as cross-correlation analysis with the $\gamma$-ray data. The optical-UV and X-ray data all show enhanced emission with respect to the quiescent values. The XRT and UVOT light curves are shown in Fig. 4. The resulting X-ray spectral parameters are listed in Table 2. It is interesting to note that during the peak of the $\gamma$-ray activity in May 2018, PKS0346–27 was significantly more active in optical-UV than in X-rays. This reflects the shift in the position of the low-energy SED peak to higher frequencies in this period (see Sects. 4 and 5).
### 3.3. REM
The source flux varied coherently in the four bands ($r$, $i$, $J$, $H$), showing significant variability also on a daily scale. These variations are fairly well correlated with the $\gamma$-ray ones. A mild correlation ($r = 0.67$) between the $(r-H)$ color index and the optical-NIR flux is present, hinting at a redder when fainter behavior, albeit with a large scatter. The average spectral slope in the range $r-H$ covered by REM is $-0.33$ in the plane $\log(v)-\log(\nu F\nu)$.
### 3.4. ALMA
The $\gamma$-ray flaring activity in PKS0346–27 was accompanied by an enhanced state in the radio band as well, as revealed by the mm-band data from ALMA, shown in Fig. 4. The flux density increased by a factor of three, rising from $\sim 0.5$ Jy at the onset of activity up to $\sim 1.5$ Jy at its peak. In this case as well, the sampling is not dense enough to perform a detailed analysis of correlated variability with other bands.
### 4. Time-resolved SEDs
We have constructed time-resolved SEDs of PKS0346–27, by using contemporaneous data taken during the high-energy flaring state and archival data from different ground and space-based observatories. The time interval for each SED were chosen in order to probe different phases of activity, as traced by the $\gamma$-ray light curve. The multi-wavelength data for each time-resolved SED were selected based on the integration time used to produce the corresponding LAT spectrum. For example, if the LAT data for one SED were integrated over three months, all multi-wavelength data taken during this time interval are considered to be contemporaneous and are used to build the time-resolved SED. The SEDs are shown in Fig. 5, while the $\gamma$-ray properties in each of the states are summarized in Table 3.
The different activity states are defined as follows. For the quiescent state, we consider data until 2016 Jan 01, as this is the date after which the source started to be significantly detected on weekly time scales (see top panel of Fig. 1). Since this was the first flaring episode observed in PKS0346–27, the quiescent *Fermi*-LAT spectrum has been produced integrating from the mission start until 2016 Jan. 01 (MJD 54682.66 to 57388). Together with the archival multi-wavelength data from the ASI SSDC, this provides a well-sampled SED for the quiescent state of PKS0346–27, which is shown in the upper left panel of Fig. 5. The data show a well-defined synchrotron peak at a frequency of $\sim 10^{12}$ Hz. A thermal emission component is clearly visible, peaking in the optical-UV region, which corresponds to the so called Big Blue Bump. The $\gamma$-ray spectrum is relatively steep, and combined with the X-ray data it constrains the high-energy SED peak to $\sim$MeV energies.
Fig. 4. Multi-wavelength light curves of PKS 0346−27. Top to bottom: 0.1−300 GeV γ-ray flux (filled blue points represent significant detections, downward grey arrows represent 95% confidence level upper limits; the detection threshold is set at TS > 9 and $F/\Delta F > 2$), γ-ray photon index, γ-ray photons with energy larger than 10 GeV, Swift-XRT flux between 2 and 10 keV, Swift-UVOT optical-UV flux density, REM NIR magnitude, ALMA radio flux density.
Table 2. *Swift*-XRT/UVOT observations details.
| Date | Count rate (c/s) | Photon index | $\chi^2$ (d.o.f.) | $U_{\text{mag}}$ | V-W2 slope |
|---------------|------------------|--------------|-------------------|-----------------|------------|
| 2009-03-29 | 0.017 ± 0.003 | * | * | 17.66 ± 0.06 | * |
| 2009-05-18 | 0.012 ± 0.003 | * | * | 18.06 ± 0.10 | −0.54 |
| 2018-04-19 | 0.072 ± 0.006 | 1.95 ± 0.23 | 1.43(4) | 15.66 ± 0.02 | * |
| 2018-04-20 | 0.073 ± 0.004 | 1.72 ± 0.11 | 1.11(10) | 15.70 ± 0.02 | −0.13 |
| 2018-05-16 | 0.085 ± 0.006 | 1.64 ± 0.12 | 0.43(7) | 15.36 ± 0.01 | −0.37 |
| 2018-05-18 | 0.086 ± 0.005 | 1.98 ± 0.10 | 1.56(12) | 14.60 ± 0.01 | −0.18 |
| 2018-05-20 | 0.081 ± 0.005 | 2.34 ± 0.14 | 1.04(8) | 14.69 ± 0.01 | −0.12 |
| 2018-05-22 | 0.042 ± 0.004 | 1.32 ± 0.27 | 2.33(2) | 16.29 ± 0.04 | −0.43 |
| 2018-05-15 | 0.070 ± 0.008 | 2.01 ± 0.10 | 0.60(4) | * | * |
| 2018-09-16 | 0.097 ± 0.008 | 1.56 ± 0.17 | 1.33(4) | 15.53 ± 0.02 | * |
| 2018-09-17 | 0.061 ± 0.006 | 1.09 ± 0.25 | 0.41(2) | 16.44 ± 0.03 | * |
| 2018-10-18 | 0.121 ± 0.008 | 1.51 ± 0.13 | 0.84(7) | * | * |
| 2018-10-21 | 0.147 ± 0.009 | 1.70 ± 0.13 | 0.69(9) | 15.85 ± 0.01 | * |
We compare this quiescent-state SED with several others constructed using multi-wavelength data taken after the start of the flaring activity in PKS 0346−27. First, we defined a period of intermediate γ-ray activity between 2018 Jan. 01 and 2018 Apr. 01, which we indicate as “flare A” (MJD 58119 to 58209). During this time interval, the LAT spectrum is complemented by ALMA data in the mm-band and REM data in the NIR (see Fig. 4). The corresponding SED is shown in the upper-right panel of Fig. 5. Given the large scatter in the REM data due to variability, we have averaged the data and taken its standard deviation as error, in order to be consistent with the averaged γ-ray spectrum. A shift in theSED peak positions is already evident in this intermediate state: the synchrotron peak lies now in the region $10^{13}–10^{14}$ Hz. The combination of the peak shift and the change in normalization implies that the thermal component is now swamped by the non-thermal jet emission. The LAT spectrum is virtually flat, indicating a high-energy peak at GeV energies.
It is possible to construct an SED with data from the same day on 2018 Apr 20 (MJD 58228), probing a further higher activity period for PKS 0346−27, intermediate between the long-term flaring and the flare peak, occurring in May. The daily SED is shown in the center-left panel of Fig. 5. The synchrotron peak is constrained by the REM and UVOT data, while the XRT and *Fermi*-LAT data probe the high-energy peak. The synchrotron peak position is shifted further up to $\sim 10^{14}$ Hz, and the simultaneous spectrum from NIR to UV is featureless, confirming that this region of the SED is completely dominated by non-thermal jet emission in this state. The most prominent change is the strong hardening of the γ-ray spectrum, suggesting a peak at $\sim 10$ GeV.
*Swift* data allowed us to build an SED probing the week of highest flaring activity, on 2018 May 16 (MJD 58254), at a time when it was not possible to observe PKS 0346−27 with ground-based facilities. The resulting daily SED is shown in the center-right panel of Fig. 5. The highest normalization of the high-energy peak is not accompanied by the hardest spectrum (see Table 3), with a peak energy on the order of tens of GeV.
Interestingly, another daily SED taken on the following week, on 2018 May 20, (MJD 58258, see lower-left panel of Fig. 5), shows a synchrotron peak position which appears to have shifted further right, to $\sim 10^{14.5}$ Hz. Because of this, the X-ray data shows a clear synchrotron contribution at low energies, which causes a break in the spectrum. To better quantify the significance of this spectral feature, we have fit the XRT spectrum from 2018 May 20 with a power-law (PL) and a broken power-law (BPL), using a simple $\chi^2$ regression. We defined the functions following their definition in XSPEC (Arnaud 1996), that is:
$$\frac{dN}{dE} = KE^{-\Gamma} \quad (4)$$
$$\frac{dN}{dE} = \begin{cases} K E^{-\Gamma_1} & \text{for } E \leq E_b \\ K E_b^{\Gamma_1 - \Gamma_2} E^{-\Gamma_2} & \text{for } E > E_b \end{cases} \quad (5)$$
for the PL and BPL models, respectively, where $K$ is the normalization at 1 keV, $\Gamma$ indicates the power-law photon index and $E_b$ is the break energy. For the PL fit, we find $K = (6.3 \pm 0.5) \times 10^{-4}$ photons keV$^{-1}$ cm$^{-2}$ s$^{-1}$ and $\Gamma = 2.3 \pm 0.2$, with a reduced chi-squared $\chi^2 = 1.687$ and five degrees of freedom. For the BPL fit, we find $K = (5.1 \pm 0.7) \times 10^{-4}$ photons keV$^{-1}$ cm$^{-2}$ s$^{-1}$, $\Gamma_1 = 3.2 \pm 0.4$, $\Gamma_2 = 1.9 \pm 0.3$, $E_b = (1.1 \pm 0.2)$ keV, with a reduced chi-squared $\chi^2 = 0.126$ and three degrees of freedom\footnote{The number of degrees of freedom is given by $v = N - k$ where $N = 7$ is the number of bins and $k$ is the number of free parameters in the fit, that is, $k = 2$ and $k = 4$ for the PL and BPL models, respectively.}. The XRT spectrum and the two models are shown in Fig. 6. An F-test to assess the significance of the BPL model with respect to the PL one yields $F = 31.98$ and a p-value $p = 0.0306$. The break is therefore significant at the 95% confidence level.
Finally, we constructed a daily SED probing the period of renewed γ-ray activity in September–October 2018, namely on 2018 Oct. 18 (MJD 58409, see lower-right panel of Fig. 5). While the normalization of the high-energy peak is comparable to the levels observed in May 2018, the spectrum is significantly softer (see Table 3). Together with the hard X-ray spectrum, this indicates a peak in the $\sim 100$ MeV range.
5. SED modeling
The quiescent and flaring states defined in Sect. 4 were modeled with the one-zone leptonic model described by Finke et al. (2008) and Dermer et al. (2009). A brief description is given here. The model assumes emission from an isotropic and homogeneous single spherical emitting region (“blob”) moving at speed $b c$ at small angle to the line of sight $\theta$ giving it a bulk Lorentz factor $\Gamma = (1 - b^2)^{-1/2}$ and Doppler factor...
Fig. 5. Time-resolved SEDs of PKS\,0346$-$27. The color coding indicates different states of activity (see Sect. 4). The corresponding activity states for each SED, indicated in the legend of each panel, are (top left to bottom right): quiescent, flare A, 2018 Apr 20, 2018 May 16, 2018 May 20 and 2018 Oct. 18, respectively. The lines represent the resulting model SED for each state, where the solid line is the total emission, and the dashed line is the EBL-absorbed total emission. The different emission components included in the model are listed in the legend of the quiescent SED, and include the dust torus, Sakura-Sunyaev (SS) accretion disk, synchrotron, synchrotron self-Compton (SSC) and external Compton (EC) emission. In the quiescent SED, an adaptation of the optical spectrum from Baker et al. (1999) is included (B99 in the legend). The black solid lines indicate the CTA south sensitivity curves, for 50 h of integration in the quiescent and Flare A states, and 5 h of integration for the daily SEDs.
\[ \delta \rho = [\Gamma(1 - \beta \cos \theta)]^{-1}. \] We assume \( \Gamma = \delta \rho \). The blob has radius \( R_b^c \) in the frame comoving with the blob and is filled with a tangled magnetic field of strength \( B \). The model includes emission components from synchrotron, synchrotron self-Compton (SSC), and external Compton (EC) scattering of some external radiation field. The external radiation field is assumed to be monochromatic, isotropic and homogeneous in the stationary frame, which is a reasonable approximation for scattering of a broad line region or dust torus (see for instance, Dermer et al. 2009; Finke 2016). We chose the external radiation field parameters to be similar to what one would expect for a dust torus. Based on the dust model of Nenkova et al. (2008), this implies the external radiation field has an energy density
\[ u_{\text{dust}} = 2.4 \times 10^{-5} \left( \frac{\xi_{\text{dust}}}{0.1} \right) \left( \frac{T_{\text{dust}}}{10^4 \text{ K}} \right)^{5/2} \text{ erg cm}^{-3}. \]
Most blazars do not show significant signs of absorption in their \( \gamma \)-ray spectra from BLR photons (see for example, Costamante et al. 2018; Meyer et al. 2019). PKS\,0346$-$27 does not show emission above 10 GeV, and thus it is not clear if these absorption features are present in its spectra. Nevertheless, we
Table 3. Results of Fermi-LAT analysis on the different activity states of PKS 0346–27.
| State | Flux (a) | Photon index | TS |
|------------------------|----------|--------------|------|
| Quiescent | 1.3 ± 0.1| 2.43 ± 0.07 | 289 |
| Flare A | 20 ± 1 | 2.07 ± 0.04 | 1278 |
| 2018 Apr. 20 | 50 ± 10 | 1.8 ± 0.1 | 180 |
| 2018 May 16 | 170 ± 10 | 1.89 ± 0.06 | 1100 |
| 2018 May 20 | 70 ± 10 | 1.8 ± 0.1 | 280 |
| 2018 Oct. 18 | 90 ± 10 | 2.2 ± 0.1 | 379 |
Notes. (a) Total flux in the energy range 0.1–300 GeV in units of $10^{-8}$ photons cm$^{-2}$ s$^{-1}$.
do not think models involving scattering of BLR photons are well-motivated any longer unless the SED of a blazar cannot be explained by other models. Emission components from a Shakura-Sunyaev accretion disk (Shakura & Sunyaev 1973) and a blackbody dust torus were also included.
The electron distribution in the emitting region was assumed to be a broken power-law
$$N_e(y') \propto \begin{cases}
y'^{-p_1} & y'_1 < y' < y'_{\text{brk}} \\
y'^{-p_2} & y'_{\text{brk}} < y' < y'_2
\end{cases}$$
(7)
where $y'$ is the electron Lorentz factor in the comoving frame.
The short-time scale light curves (Fig. 2), show significant variability down to $t_v \approx 6$ h (see Table 1). This constrains the size of the emitting region $R^*_e \lesssim t_v \beta_D c/(1 + z)$. All our size scales in the modeling are consistent with this.
Our modeling results can be seen in Fig. 5 and the model parameters can be found in Table 4. Based on the Mg II line measured from the optical spectrum of Baker et al. (1999) and the virial relations from Shen et al. (2011), we estimate the black hole mass of PKS 0346–27 to be $M_{\text{BH}} \sim 2 \times 10^8 M_\odot$.
The small implied size scale $R^*_e$ indicates that significant synchrotron self-absorption occurs at radio frequencies, so that the radio emission must be from a larger portion of the jet (see for instance, Blandford & Königl 1979; Finke 2019). The absorption of $\gamma$-rays by the extragalactic background light was included based on the model of Finke et al. (2010).
For the low state SED, we used a black hole mass consistent with the optical spectrum of Baker et al. (1999). The disk (modeled as a Shakura-Sunyaev disk, Shakura & Sunyaev 1973) and synchrotron emission were modeled so that their combined emission is in between the Baker et al. (1999) spectrum and the UV data while reproducing the WISE data. We note that Baker et al. (1999) quote a 20–50% error on their spectroscopic calibration. The UVOT data were likely taken when the source was in a higher state. The WISE and LAT quiescent state spectra give similar spectral indices, indicating that they are generated from the same electron population. The disk parameters are not well-constrained by the SED, but we use an inner disk radius of $6 R_S$, which may not be consistent with a black hole with high spin.
For the Apr. 20, May 16, and May 20 flares, the X-ray spectra cannot connect smoothly with the LAT $\gamma$-ray spectra. This indicates that the X-rays are likely produced by SSC, and the soft excess in the May 20 X-ray spectrum indicates a contribution from the tail of the synchrotron component. The hard X-ray spectrum in the Oct. 18 flare indicates it is produced by the EC mechanism. The lack of X-ray data during the flare A period implies that $R^*_e$ and other parameters are not well-constrained for this time period.
The constraints (EC from a dust torus, compact emitting region, X-rays dominated by SSC during some flares) indicate that a large $\Gamma$ is required to describe the SED, that is $\Gamma = 60$. Such a large value is consistent with the apparent speed of jet components seen with radio Very Long Baseline Interferometry (VLBI), which can be as high as $\beta_{\text{app}} = 78$ (Jorstad et al. 2017). In previous modeling efforts, it was found that varying only the electron distribution was necessary to reproduce several states from FSRQs (see for example, D’Ammando et al. 2013; Ackermann et al. 2014; Buson et al. 2014) although this is not always the case (see for instance, Dutka et al. 2013, 2017). For the SEDs of PKS 0346–27, we attempted to model all states varying only the electron distribution. These efforts failed. We then varied the size of the emitting region and the magnetic field to model the states. Therefore, based on the classification of Dutka et al. (2013, 2017), all of the modeled flares from PKS 0346–27 are type 2 flares.
The highest jet power is reached on 2018 May 16 and 2018 Oct. 18, with $P_{\text{j, tot}} = P_{\text{j,e}} + P_{\text{j,B}} = 5.0 \times 10^{45}$ erg s$^{-1}$. The accretion power is $P_{\text{acc}} = L_{\text{disk}}/\eta = 1.3 \times 10^{47}$ erg s$^{-1}$ and the ratio $P_{\text{j, tot}}/P_{\text{acc}} = 0.04$. The quiescent state and all flares except the flare A state have the jet power dominated by electrons; however, as mentioned earlier, the model for the latter state is poorly constrained due to the lack of X-ray observations at this time. The general relativistic magnetohydrodynamic simulations by Tchekhovskoy et al. (2011) indicate that the ratio $P_{\text{j, tot}}/P_{\text{acc}}$ can be as large as 1.4 if the jet is extracting power from the spin of the black hole. The values of the total jet power calculated here can be considered lower limits, since we do not include the uncertain power carried by protons in the jet.
We computed the radiative cooling time scale in the observer frame at 1 GeV from the model parameters (Finke 2016),
$$t_{\text{cool}} = \frac{3m_ec^2}{4\pi\sigma_T[\Gamma^2u_{\text{seed}} + B^2/(8\pi)]}\left(\frac{E_{\text{obs}}}{1 \text{ GeV}}\right)^{-1/2}\left(\frac{T_{\text{dust}}}{2000 \text{ K}}\right)^{1/2},$$
(8)
and we list the results in Table 4. The cooling time scale should be less than the variability time scale, which is indeed the case.
7 Dutka et al. (2013, 2017) classified flares into type 1, which can be modeled by changing the electron distribution only, and type 2, which require changes in other parameters such as the magnetic field strength or emission region size.
Table 4. Resulting parameters from SED modeling.
| Parameter | Symbol | Quiescent | Flare A | Apr. 20 | May 16 | May 20 | Oct. 18 |
|------------------------------------------------|--------|-----------|---------|---------|--------|--------|---------|
| Redshift | $z$ | 0.991 | 0.991 | 0.991 | 0.991 | 0.991 | 0.991 |
| Bulk Lorentz factor | $\Gamma$ | 60 | 60 | 60 | 60 | 60 | 60 |
| Doppler factor | $\delta_D$ | 60 | 60 | 60 | 60 | 60 | 60 |
| Magnetic field [G] | $B$ | 3.1 | 2.6 | 1.2 | 0.82 | 1.4 | 1.3 |
| Comoving radius of blob [cm] | $R_0^*$ | $1.0 \times 10^{15}$ | $4.4 \times 10^{15}$ | $1.6 \times 10^{15}$ | $3.4 \times 10^{15}$ | $3.0 \times 10^{15}$ | $3.6 \times 10^{15}$ |
| Low-energy electron spectral index | $p_1$ | −2.0 | 2.0 | 2.2 | 2.3 | 2.2 | 2.0 |
| High-energy electron spectral index | $p_2$ | 3.7 | 3.3 | 3.2 | 3.3 | 3.2 | 3.3 |
| Minimum electron Lorentz factor | $\gamma_{\text{min}}$ | 1 | 1 | 10 | 10 | 10 | 1 |
| Break electron Lorentz factor | $\gamma_{\text{brk}}$ | 50 | 410 | $1.1 \times 10^3$ | $1.3 \times 10^3$ | $1.3 \times 10^3$ | $20$ |
| Maximum electron Lorentz factor | $\gamma_{\text{max}}$ | $3.0 \times 10^3$ | $8.5 \times 10^3$ | $1.3 \times 10^4$ | $8.7 \times 10^3$ | $2.0 \times 10^4$ | $8.7 \times 10^3$ |
| Black hole mass [$M_\odot$] | $M_{\text{BH}}$ | $2 \times 10^8$ | $2 \times 10^8$ | $2 \times 10^8$ | $2 \times 10^8$ | $2 \times 10^8$ | $2 \times 10^8$ |
| Disk luminosity [erg s$^{-1}$] | $L_{\text{disk}}$ | $1.4 \times 10^{45}$ | $1.4 \times 10^{45}$ | $1.4 \times 10^{45}$ | $1.4 \times 10^{45}$ | $1.4 \times 10^{45}$ | $1.4 \times 10^{45}$ |
| Accretion efficiency | $\eta$ | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 |
| Inner disk radius [$R_\odot$] | $R_{\text{in}}$ | 6.0 | 6.0 | 6.0 | 6.0 | 6.0 | 6.0 |
| Seed photon source energy density (erg cm$^{-3}$) | $u_{\text{seed}}$ | $3.7 \times 10^{-4}$ | $3.7 \times 10^{-4}$ | $3.7 \times 10^{-4}$ | $3.7 \times 10^{-4}$ | $3.7 \times 10^{-4}$ | $3.7 \times 10^{-4}$ |
| Dust Torus luminosity [erg s$^{-1}$] | $L_{\text{dust}}$ | $7.0 \times 10^{45}$ | $7.0 \times 10^{45}$ | $7.0 \times 10^{45}$ | $7.0 \times 10^{45}$ | $7.0 \times 10^{45}$ | $7.0 \times 10^{45}$ |
| Dust Torus radius [cm] | $R_{\text{dust}}$ | $6.9 \times 10^{17}$ | $6.9 \times 10^{17}$ | $6.9 \times 10^{17}$ | $6.9 \times 10^{17}$ | $6.9 \times 10^{17}$ | $6.9 \times 10^{17}$ |
| Dust temperature [K] | $T_{\text{dust}}$ | $2000$ | $2000$ | $2000$ | $2000$ | $2000$ | $2000$ |
| Jet power in magnetic field [erg s$^{-1}$] | $P_{j,B}$ | $7.0 \times 10^{43}$ | $3.6 \times 10^{44}$ | $1.0 \times 10^{44}$ | $2.1 \times 10^{44}$ | $4.7 \times 10^{44}$ | $6.0 \times 10^{44}$ |
| Jet power in electrons [erg s$^{-1}$] | $P_{j,e}$ | $2.5 \times 10^{45}$ | $5.1 \times 10^{44}$ | $2.9 \times 10^{45}$ | $4.8 \times 10^{45}$ | $2.4 \times 10^{45}$ | $4.4 \times 10^{45}$ |
| Observer cooling time scale [s] | $t_{\text{cool}}$ | $8.0 \times 10^5$ | $8.6 \times 10^5$ | $5.0 \times 10^2$ | $1.0 \times 10^3$ | $9.6 \times 10^2$ | $1.0 \times 10^3$ |
During all the flaring states, the peaks of both the synchrotron and Compton components of the SED shift to higher frequencies. This is similar to the flares detected by the FSRQ PKS 1441+25 (Abeysekara et al. 2015; Ahnen et al. 2015), although in that case the shift was even more extreme. For PKS 1441+25 the synchrotron peak was as high as $\approx 10^{15}$ Hz, while for the flares from PKS 0346−27 reported here the peak reaches a frequency of $10^{14-15}$ Hz. The source PKS 1441+25 was detected by MAGIC and VERITAS. This fact, together with the hard LAT spectra from PKS 0346−27 during the Apr. 20, May 16, and May 20 flares suggests that it might have been detectable by current imaging atmospheric Cherenkov telescopes such as H.E.S.S. (the only one able to access the relevant decimation range). However, our model shows that the steadily falling high-energy peak would make a TeV detection challenging. To test whether PKS 0346−27 would be a good target for the upcoming CTA (The Cherenkov Telescope Array Consortium 2017), we plot the latest CTA sensitivity curves for CTA south\footnote{From https://www.cta-observatory.org/} in Fig. 5. It can be seen that a detection might be possible for states such as 2018 May 16 and 2018 May 20 in the low-energy tail of the CTA energy range, that is few tens of GeV.
6. Summary and conclusions
In this paper we reported on the γ-ray flaring activity from the FSRQ PKS 0346−27, and the associated multi-wavelength follow-up observations. The available data set, including mm-band radio, NIR, optical, UV, X-ray and γ-ray data, allowed us to investigate variations in the broadband SED of the source, and to probe its physical jet parameters through theoretical modeling of the SED in different activity states.
PKS 0346−27 entered an elevated activity state between the end of 2017 and the beginning of 2018, with the flaring activity continuing over the whole year. We investigated the presence of fast variability during the brightest phase of flaring activity, and found significant variability down to time scales of hours, constraining the emission region to be very compact. Throughout 2018, the source showed a consistently harder spectrum with respect to the quiescent state, suggesting a drastic change in its broadband spectral properties.
We investigated this by modeling the SED of the source in its quiescent state and comparing it to the one observed during several different stages of activity. The resulting time-resolved SEDs confirm that the multi-wavelength flare coincided with strong broadband spectral variability, with the two SED peaks shifting up by ∼2 orders of magnitude in energy during the peak of activity. While a clear thermal signature from the accretion disk is visible in the low-energy part of the quiescent SED, during the flare this component is completely swamped by the non-thermal jet emission. According to our one-zone leptonic modeling, the high-state SEDs require a lower magnetic field, larger emission region size, and higher electron Lorentz factors.
The time-resolved SEDs of PKS 0346−27 show another example of a blazar with variable spectral classification. According to Abdo et al. (2010c), PKS 0346−27 in its quiescent state would be classified as Low-Synchrotron-Peaked (LSP) blazar, as its low-energy SED peak is located at $v_{\text{syn}} < 10^{14}$ Hz. However, the shift in the synchrotron peak position during the flaring state puts it in the range of Intermediate-Synchrotron-Peaked (ISP) objects. Such a behavior has been observed before in the case of the LSP blazar PKS 1441+25, which showed an HSP-like SED during the elevated state which led to its TeV detection (Ahnen et al. 2015). Another example of a similar time-dependent SED classification is the FSRQ 4C +49.22 (Cutini et al. 2014). Similarly to what we observe for PKS 0346−27, 4C +49.22 showed a two orders of magnitude shift in its synchrotron peak position during a multi-wavelength flaring episode in 2011, transitioning from LSP to ISP. Moreover, the fact that the non-thermal emission is dominant in the optical band during the flare suggests that PKS 0346−27 could possibly appear as a “masquerading BL Lac” in its high state, that is, a blazar with intrinsically strong broad optical lines which are diluted by the non-thermal continuum, to an
extent that would lead to its classification as a BL Lac based on its optical spectrum (Giomi et al. 2012, 2013).
The hard γ-ray spectrum suggests that PKS 0346−27 could have been observed by Cherenkov telescopes in the TeV regime; however, the SED modeling shows a steep cutoff in the high-energy peak after ∼10 GeV. By comparing the model with current sensitivity curves from the upcoming CTA, we conclude that such a flare from PKS 0346−27 might have been visible in the low-energy tail of the CTA energy range. Incidentally, if PKS 0346−27 was detected in the TeV range, it would be the highest redshift VHE source (z = 0.991), surpassing the gravitationally lensed blazar S3 0218+35 (z = 0.944, Ahnen et al. 2016) as well as PKS 1441+25 (z = 0.940, Ahnen et al. 2015). Because of this, detecting PKS 0346−27 at VHE would also be relevant for EBL studies.
Constraining the nature of the GeV sky by the Fermi-LAT is crucial in order to observe more flaring events from high-redshift (z > 1) blazars and establish the duty cycles of γ-ray activity in relativistic jets. Moreover, the Fermi-LAT is an invaluable tool in order to trigger pointed observations by ground-based γ-ray observatories such as Cherenkov telescopes, including the upcoming CTA. Therefore, continued operations of the Fermi-LAT into the CTA era would be instrumental in order to gain insight into the physics of blazar jets, both in the local universe and at cosmological distances.
Acknowledgements. We thank the anonymous journal referee, the Fermi-LAT internal referee, Michael Kreter, the MPIR internal referee, Laura Vega García, as well as Vaidehi Paiya, Philippe Briel and David Thompson for useful comments which improved the manuscript. This research made use of Astropy (http://www.astropy.org), a community-developed core Python package for Astronomy (Astropy Collaboration 2013, 2018). The Fermi-LAT Collaboration acknowledges generous ongoing support from a number of agencies and institutes that have supported both the development and the operation of the LAT as well as scientific data analysis. These include the National Aeronautics and Space Administration and the Department of Energy in the United States, Commissariat à l’Energie Atomique and the Centre National de la Recherche Scientifique/Institut National de Physique Nucléaire et de Physique des Particules in France; the Agenzia Spaziale Italiana and the Istituto Nazionale di Fisica Nucleare in Italy; the Ministry of Education, Science, Sports, and Culture, Technology (MEXT), High Energy Accelerator Research Organization (KEK), and Japan Aerospace Exploration Agency (JAXA) in Japan; and the K. A. Wallenberg Foundation, the Swedish Research Council, and the Swedish National Space Board in Sweden. Additional support for science analysis during the operations phase is gratefully acknowledged from the Istituto Nazionale di Astrofisica in Italy and the Centre National d’Etudes Spatiales in France. This work was performed in part under DOE Contract DE-AC02-76SF00515.
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Donors and domestic politics: Political influences on foreign aid effort
Dustin Tingley
*Politics Department, Princeton University, 130 Corwin Hall, Princeton, Princeton, NJ 08540, United States*
**Article history:**
Available online 20 October 2009
**JEL classification:**
F35
F36
F59
**Keywords:**
Foreign aid
Aid effort
Ideology
International political economy
**Abstract**
The vast majority of scholarship on foreign aid looks at either the effectiveness of foreign aid or why particular countries receive aid from particular donors. This paper takes a different approach: what are the domestic sources of support for foreign aid? Specifically, how does the donor’s domestic political and economic environment influence ‘aid effort’? This paper uses a time-series cross-sectional data set to analyze the influence of changes in political and economic variables. As governments become more conservative, their aid effort is likely to fall. Domestic political variables appear to influence aid effort, but only for aid to low income countries and multilaterals while aid effort to middle income countries is unaffected. This suggests that models solely emphasizing donor economic and international strategic interests as determinants of donor aid policy may be miss-specified. These results also suggest sources of aid volatility that might influence recipient growth prospects.
© 2009 The Board of Trustees of the University of Illinois. Published by Elsevier B.V. All rights reserved.
1. Introduction
Foreign aid is an important but variable source of income for developing countries. Part of that variation stems for fluctuating levels of donor aid effort (the percentage of its GDP a donor decides to allocate to foreign aid). What influences these decisions to change aid effort? While public opinion surveys show large differences in support for aid across a liberal–conservative political spectrum, evidence that the ideological position of political parties in government influences aid effort is mixed at best. These mixed results are surprising as they suggest a strong role for domestic politics in explaining aid policy. This paper provides new evidence that party liberal–conservative positions influence aid effort.
The literatures on aid effectiveness and allocation frequently highlight the role of politics in explaining aid allocation (Alesina & Dollar, 2000; Boone, 1996; Burnside & Dollar, 2000; Clemens, Radelet, & Bhavnani, 2004; Maizels & Nissankar, 1984; McKinlay & Little, 1977). But the political variables employed in these literatures typically focus on relationships between the donor and recipient country. Domestic political variables in the donor country are absent from these analyses and the role of politics is cast at the international level. Other scholars stress the influence of domestic politics on donors aid policy (Fleck & Kilby, 2001, 2006; Irwin, 2000; Lancaster, 2007; Milner & Tingley, 2010; Noel & Therien, 1995; O’Keefe & Nielson, 2006; O’Leary, 1967; Riesebach, 1966; Ruttan, 1996; Therien & Noel, 2000). This literature suggests that political parties and domestic political institutions play an important part in shaping foreign aid policy.
This paper investigates the role of domestic political variables in determining aid effort. While the focus of the paper is establishing the role of domestic politics, the upshot of the analysis is a better understanding of factors that could influence both aid effectiveness and aid allocation. Discussions about aid effectiveness would benefit from a firmer understanding of donor domestic politics. For instance, changes in the power of donor political parties might lead to changes in foreign aid priority and hence aid volatility, which has been linked to negative growth effects (Arellano, Bulir, Laneb, & Lipschitz, 2009; Bulir & Hamann, 2003; Bulir & Lane, 2002; Eifert & Gelb, 2005; Lensink & Morrissey, 2000). Likewise, domestic political factors can also influence the motivation for giving aid and hence the characteristics of preferred recipients (Fleck & Kilby, 2006). Results in this paper suggest that support for aid to countries with various levels of development differs across the types of domestic political actors influential in government.
The analyses presented below focus on the influence of political party ideology on foreign aid effort. Here political ideology is the liberal–conservative orientation of political parties and the governments they compose. Do governments that become more liberal become more likely to increase their foreign aid effort? I
† I would like to thank Raymond Hicks, Christopher Kilby, Bob Keohane, Helen Milner, Kris Ramsay, Greg Wawro, Jeff Colgan, Sarah Bermeo, and participants at the 2007 International Political Economy Society Annual meeting. All mistakes are my own.
E-mail address: firstname.lastname@example.org.
doi:10.1016/j.qref.2009.10.003
conceptualize liberal/conservatism in terms of views on the role of government in the economy. I also examine other political variables, such as the influence of welfare state institutions (Noel & Therien, 1995; Therien & Noel, 2000) and economic variables that may influence aid flows, such as the trade position and economic health of the country. This analysis dovetails with a range of work in comparative political economy that stresses the role played by political parties and their ideological orientation in shaping foreign economic policies (Beare, 2003; Boix, 1998; Garrett, 1998).
A second contribution is the analysis of within-country changes in foreign aid effort using time series cross-sectional data. Most previous cross-sectional studies on aid effort have only analyzed cross-sectional variation at a handful of ‘snapshots’ in time. This analysis examines more closely the within-country dynamics that change aid effort. A third contribution is that I break aid out by different categories (e.g., low-income versus high-income developing countries) and channel (bilateral versus multilateral). The influence of domestic political and economic factors may be more salient for one type of aid, and looking only at aggregate aid would obscure this relationship.
The results suggest that as governments become more conservative their foreign aid efforts are likely to fall. This relationship is statistically significant in many, though not all, models, and provides new evidence about the relationship between political ideology and foreign aid over time. This effect is most significant in aid to poorer developing countries; aid to countries with higher levels of income appears relatively unaffected by changes in the ideological orientation of parties in donor countries. Year to year changes in welfare state institutions, a commonly cited source of donor aid policy, have little effect on foreign aid policy within a country but remain an important explanation of broader trends.
2. Literature review
The literature on the role of donor country politics in foreign aid allocation decisions is relatively small and predominantly in political science. The vast majority of donor country empirical analysis has considered between country differences at snap shots in time. The existing literature offers little systematic empirical support for the perhaps “conventional” wisdom that as governments become more conservative they decrease foreign aid effort.
Noel and Therien (1995) correlate separately by year donor aid effort with various measures of government policy/political orientation in 1965, 1970, 1975, 1980, 1985, and 1988. They test a partisanship hypothesis but find no significant link between partisan orientation and foreign aid effort. Instead, they argue that strong welfare state institutions best explain foreign aid spending patterns.
Therien and Noel (2000) re-analyze the partisanship hypothesis using between-country differences from two ‘snapshots’ in time: 1980 and 1991. They argue that the effects of partisanship are only cumulative which year-by-year measures of partisanship would not capture. They also argue that the influence of partisanship is indirect, operating through other policies like social-democratic welfare state institutions and social spending. Hence we should not see direct changes in foreign aid budgets as parties with different ideological orientations move into government. Their argument seems to imply little within country changes in aid effort, as they see any changes in welfare state institutions to be incredibly slow (p. 155) and use a constant measure of welfare state institutions for both years in their sample. Breuning (1995) and Imbeau (1989) also use between-country analyses and find mixed results on the relationship between ideology and foreign aid budgets.
Several recent papers that use similar data panels as this paper also find little influence of political ideology. Round and Odedokun (2004) find a relationship between “pro-poor” policies in the donor and subsequent aid budgets, but no influence of a discretized ideology score [−2,2] taken by adding ideological classifications of the executive and legislative branches (Beck, Clarke, Groof, Keefer, & Walsh, 2000). Lundsgaarde, Breung, & Prakash (2007) focus on the influence of imports from developing countries, but simultaneously enter sectoral party vote shares as a control variable in government measures. They report no significant relationships with the party variable. Chong and Gradstein (2008) find mixed results using a dummy variable for whether the party in control of the executive is coded as “left-wing”.
Flipping the perhaps conventional wisdom on its head, Moss and Goldstein use commitments to Africa from the United States to suggest that Republicans in fact may be more generous than Democrats (Goldstein & Moss, 2005; Moss, 2007). Republican administrations in their sample give more aid than all Democrat administrations. Goldstein and Moss review several possibilities for why this might be the case: Republican Congresses tend to be less divided than Democratic Congresses or because “Republicans may in general be better able to articulate foreign policy objectives and make the link to specific instruments, such as foreign aid” (Goldstein & Moss, 2005, p. 1298). They go on to document the rising support for foreign aid within the Bush II administration. Thus, at least for the case of US aid to Africa in recent years, the conventional wisdom may go the wrong way.
Fleck and Tingley (2006) investigate a more nuanced relationship between ideology and foreign aid. They find that during periods of Republican control of the United States Congress, foreign aid programs were driven more by commercial interests. When Democrats control the Presidency and Congress development concerns govern aid allocation more than when the Congress and/or Presidency are controlled by Republicans. Also, geopolitical interests get more weight with a conservative President. Thus, the relationship between ideology and foreign aid policy may depend on the economic characteristics of recipients. This paper further examines this possibility.
Several of the above studies are perhaps perplexing given work on public opinion about foreign aid and analyses of legislative voting on foreign aid. Lumsdaine (1993, pp. 144, 153) found compelling evidence that foreign aid was responsive to public opinion and that, furthermore, respondents self-identifying as conservative (liberal) were more likely to oppose (support) foreign aid. Similar results are reported by others (Chong & Gradstein, 2008; Milner & Tingley, 2008; Tingley, 2007). Indeed, Philip Converse’s classic in American political behavior used the example of opinions over foreign aid as an illustration of the role of ideology in the preferences of (politically sophisticated) voters (Converse, 1964, p. 317). Finally, liberal–conservative ideology plays a powerful role in determining legislator support or opposition to foreign aid in the US Congress (Fleck & Kilby, 2001; Milner & Tingley, 2010). A number of studies in international political economy demonstrate the important role of ideology and political parties (Broz, 2005).
3. Domestic political influences on donor foreign aid effort
Conceptualizing liberal–conservative ideology as about the role of the government in the economy arrays parties along a single left–right dimension. This is both a common and reasonable assumption, and is pertinent here as foreign aid is fundamentally about the governmental transfer of resources away from taxpayers to some other entity. Foreign aid represents redistribution of resources by government, albeit to recipients who are not voting constituents. If political parties represent the preferences of people who vote for them, and preferences for foreign aid array along liberal-conservative lines, then representative parties may enact changes in foreign aid policy following their election. These changes may be relatively quick, an assumption others find likely as well.\(^1\) Hence ideological beliefs channeled through an electoral process could lead to important changes in donor foreign aid policy.\(^2\)
Conservative governments should generally oppose foreign aid for several main reasons. First, it represents interference by the government with both the donor and recipient economies. Ceteris paribus, more foreign aid implies higher taxes and any associated efficiency losses. “The voices raised against aid were long those on the right, and they opposed aid specifically because of its similarity to the welfare state: they felt that in a free market, poor countries would do well, and that aid only increased bureaucracy and created big government and dependence. Milton Friedman, P.T. Bauer, the American Enterprise Institute, taxpayer groups, Edward Banfield, and so on opposed aid” (Lumsdaine, 1993, p. 140). Furthermore, survey evidence suggests that conservatives in the US are less likely to believe that foreign economic aid is good for the US economy.\(^3\)
Second, foreign aid might crowd out investment opportunities in recipient countries, opportunities that could be fulfilled more efficiently by private actors. “The MDBs [multilateral development banks] duplicate many private sector activities, particularly lending. Many of the MDB loans could be secured from private financial institutions. Indeed, over the last decade, there has been a flood of investment capital pouring into the developing world. The fact that many World Bank loans could be easily privatized makes the current its lending activities are redundant” (Holmes, January 31, 1995). Thus, many conservatives believe foreign aid is an obstacle to the operation of more efficient markets that may be better equipped to improve the welfare of citizens in both donor and recipient countries (Thorton, 2002).
Liberal governments, on the other hand, should generally be more favorable toward foreign aid. Foreign aid in principle can help fill gaps where market mechanisms fail, such as in public good provision in developing countries. Second, it is consistent with accepting the role of the state in pursuing egalitarian outcomes and being actively involved in the economy. Hence irrespective of the ‘internationalist’ orientation of a government, liberal beliefs about the role of the government in the economy can lead to more support for foreign aid. Because the focus of this paper is on domestic political factors, I focus on a single key hypothesis: *Increases in government conservatism lead to decreases in foreign aid effort (foreign aid commitments as a percentage of GDP).*\(^4\)
### 4. Data
#### 4.1. Dependent variables
The main dependent variable, aid effort, comes from the online OECD/DAC database (aid commitments, Table 2a). I include all OECD/DAC countries except Luxembourg, Greece, Portugal, and Spain, all of which had significantly shorter panels, though my results do not change if they are included. Data availability for the measure of welfare state policies limits the analysis to years 1971–2002, though the effects of parties remain salient if the time series is pushed back to the mid-1960s. The data appendix describes all variables in further detail.
I break foreign aid down by recipient development income classification and channel (multilateral vs. bilateral). Breaking down foreign aid by recipient income classification allows for the possibility that the effects of ideology differ across different types of aid recipients. Milner (2006) suggests that multilateral channels might “lock-in” levels of aid, making this channel especially opposed by conservatives. Survey evidence from the US suggests that if aid is to be given, individuals who are more conservative are more likely to favor bilateral foreign aid.\(^5\) Each of these ways to break down foreign aid has advantages and disadvantages. Making the analysis more fine-grained runs the risk of covering up more general relationships. I focus on the following categories: total aid, multilateral aid, aid to LDC (“Least Developed Countries”), OLIC (“Other Low Income”) recipients, and aid to OMIC (“Other Middle Income”) and UMIC (“Upper Middle Income”) recipients.\(^6\) I operationalize each category as commitments divided by the country’s nominal GDP from the World Bank’s World Development Indicators and then multiply by 1000 for ease of presentation.
#### 4.2. Independent variables
##### 4.2.1. Ideology
I construct measures of government ideological orientation using a common underlying data source: the Comparative Manifestos Project (CMP) (Budge et al., 2001; Klingemann, Volkens, Bara, Budge, & MacDonald, 2006). The CMP-coded party manifestos for every donor country election on a number of fields, each based on several components. I focus on the economic field because this most directly captures the economic concept of ideology, i.e., the role of the government in the economy, on which this paper focuses. The economic field, for example, captured references to the importance of free enterprise systems, market regulation, government facilitation of productivity, demand management, and other ways governments could be involved with the economy.
To construct ideological scores for individual parties at particular points in time I use a procedure similar to that advocated by Gabel and Huber (2000). This procedure extracts the first dimension from a factor analysis of all components of the economic field.
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\(^1\) In their study of US aid disbursements Fleck and Kilby also note the responsiveness of US aid budgets to political changes. “This assumed aid response (i.e., one-year lag) of US aid disbursements to political changes fits well with the institutional literature on both the Congress and the president” (Fleck & Kilby, 2006, p. 213). For a similar dynamic picture of changes in aid budgets see (Cox & Duffin, 2008).
\(^2\) There are certainly countermotivations to this logic. A variety of forces can motivate politicians on aid and overseas development aid beyond their own beliefs about the government and economy. For example religious beliefs may motivate decision-makers (Busby, 2007). And it might be that while governments that are more liberal favor redistribution, they would prefer resources to remain within the country and not be transferred to governments in recipient countries for foreign policy, and thus less keen on using foreign aid for geopolitical purposes. The empirical tests that follow provide a needed investigation of the effects of partisan ideology.
\(^3\) In 1975, 1979, and 1982 the Chicago Council series on America’s Foreign Policy and Public Opinion asked “Do you think the United States should give aid to other countries generally or only to those that are our friends?” (Yes/No). Pooling these questions together for the General Public surveys and estimating probit models with this question as a dependent variable and a measure of ideology (along with standard demographic controls) yields a negative and significant coefficient on ideology \(p < .05\). Further, the model regresses the same question on elites and finds a positive and statistically significant coefficient for Ideology. In 2008, the author fielded a similar survey and replicated these results. Hence it appears that both amongst the general public and elites, more conservative individuals are less likely to see economic aid as being good for the US economy (all results available from author).
\(^4\) A 2008 YouGov/Polimetrix survey conducted by the author and Helen Milner asked “Would you prefer that the U.S. give aid directly to a country or give aid to an international organization (such as the World Bank or IMF) which then would give aid to the country? Respondent ideology was a significant predictor of response, including controlling for wide range of potential confounding variables. Full results available from author.
\(^5\) Reporting for LDC/OLIC and LMIC/UMIC aid did not occur for several countries in several years and so sample sizes are slightly different.
of the CMP data set. Then regression scores are calculated that place each party along the factor, after which rescaling permits us to place governments onto a 0–10 scale, with higher values representing more conservative governments. Hence, this index of ideology is continuous, focuses on the role of government in the economy, is based on stated policy positions of the parties, and allows for changes over time. I also tested measures based on the ‘international’ field of the CMP data. This measure was not significantly related to aid effort. I also tested the influence of a measure than includes all fields of the CMP data, which Cabell and Huber (2000) advocate. The results are robust to using this ‘Vanilla’ measure.
Given the individual party scores, how should we aggregate these to the country level? I use two techniques. First, I construct a single partisanship score for each group of parties responsible for executive control of the government, IdeoGov. To do this I identify each party that was part of the government and then weight their ideology score by the percentage of votes they received relative to the total votes received by all parties in government. I then add up the weighted score from each party within government to obtain a government ideology score.\(^6\) A second variable, IdeoAll, calculates the vote-weighted average of all party ideological scores in an election. Thus, while the government might be composed of a subset of parties, aid budgets could still be influenced by the ideological positions of parties outside of the government, and indeed the ideological composition of the government as a whole.\(^7\)
Finally, I also consider changes in the cumulative effect of the percentage of cabinet seats occupied by right parties, and likewise for left parties. Tingley and Budge (2000) argue that these cumulative measures have an indirect effect on foreign aid. I include these measures (LTCABCUM and RTCABCUM) from Huber, Rajin, Stephens, Brady, & Beckfield (2004). For example, while right parties are part of the government the RTCAMCUM score is increasing. Noel and Therien (2000) argue that the presence of parties in government can have long lasting effects, even after their departure, a logic derived from the historical institutionalism literature (Pierson, 1996).
### 4.3. Control variables
#### 4.3.1. Welfare state institutions
Therien and Noel argue that the influence of political parties is only cumulative and operates indirectly through welfare state institutions (2000). According to this argument, aid effort is likely to be higher in countries that have established resilient systems of redistribution. However, Therien and Noel’s empirical analysis does not test whether changes in a country’s welfare programs also lead to changes in aid effort. Although Therien and Noel argue that welfare institutions are relatively fixed, recent scholarship disputes this claim, so that the latter measures are descriptive rather than causal (Allan & Scruggs, 2004). To address this issue I use a dynamic measure of welfare state institutions. I analyze changes in state welfare institutions by including the time varying ‘generosity’ measure calculated by Scruggs (2006). This measure begins in the early 1970s and is a comprehensive documentation of welfare state institutions in OECD countries. Higher scores on the generosity measure indicate more comprehensive welfare state institutions. Including other measures, such as government spending as a percentage of GDP on government programs, do not change the results reported below. The generosity might relate directly to the liberal/conservative ideological variable I am interested in, though some have argued that this party effect has become small or non-existent (Pierson, 1996). This claim remains debated, with some recent support for the role of parties (Allan & Scruggs, 2004). Hence including a welfare state measure provides a harder test for the party ideology variables.
#### 4.3.2. International economic position
A common theme in the aid allocation and growth literatures is that economic characteristics of recipient countries can influence aid patterns due to the use of aid to impact the economic policies of recipients, especially the openness of the recipient economy to international trade (Alegría & Dollar, 2000; Heron, 2008; McKinlay & Little, 1978). Countries that rely more on trade may see foreign aid as a useful tool to promote trade and hence increase their exports. There are a number of ways to measure a country’s trade position in the international economic system, but a measure of how exposed a country is to trade, Openness, which is measured as (Exports+Imports)/GDP. Other measures, for example ones that focus on export orientation (Exports/(Exports+Imports)) or measures that only take into account trade with the subset of countries in a particular aid recipient category produce similar results.
#### 4.3.3. Economic health
Do country changes in domestic economic circumstances generate changes in the percentage of GDP given to foreign aid? With a diffuse constituency and uncertain benefits, foreign aid may be viewed as an expendable item and subject to cuts under more difficult economic circumstances. Indeed, numerous speeches made in the United States Congress illustrate the stark trade-off between continuing foreign aid and domestic spending during tough economic times (e.g., Congressional Record, June 28, 1995). While these arguments may mask underlying motivations and dispositions, they all point to a relationship between a country’s economic circumstances and its foreign aid policy. Existing evidence suggests that aid is not pro-cyclical from the donor’s perspective (Pallage & Robe, 2001). I measure the economic health with the real GDP growth rate, \(GDPGrowth\). The predicted coefficient for this variable is positive.
#### 4.3.4. Cold war
Foreign aid can serve a number of different purposes for donors. If, as many have argued, aid can be used for geopolitical purposes, then the structure of the international system may influence foreign aid commitment patterns. The period I consider includes both a pre and post-Cold War era. To control for differences in aid effort patterns during the two eras I include a dummy variable equal to 1 if the year is less than 1991 and 0 otherwise.
### 5. Statistical models and analysis
I constructed a time-series cross-sectional data set with observations at the country-year level for the sample covered by the OECD/DAC. In order to analyze within country changes I estimate models in first differences. Donors must decide aid effort levels and these levels can either be increased, decreased, or kept the same. I argue above that changes in government ideology bring in decision-makers with different preferences over foreign aid. These changes lead to changes in aid budgets, which could happen quite quickly (Fleck & Kilby, 2006, p. 213). Barring more complicated lag struc
significantly correlates with declines in aid effort for all except the LMIC/UMIC models. Conversely, the coefficient on cumulative percentage of left party cabinet positions was positive but insignificant in each model. Together these results suggest strong support for the role of partisan ideology in changing aid effort. Instead of operating indirectly and only in some cumulative fashion (as suggested by some in the literature), changes appear to be direct and follow closely in time.
While estimating the effect of changes in the independent variables directly on changes in the dependent variable follow the theory more closely, fixed-effects estimation may identify other relationships because it does not impose the rigid dynamic structure of first differencing on the data. This also gives a robustness check as the two procedures make different assumptions about the serial behavior of the error terms. Tables 3 and 4 report results from a fixed effects OLS model with a lagged dependent variable to account for contemporaneous correlation and robust standard errors clustered by country.\(^{11}\)
The party ideology variables again were negative and significant in the total, multilateral, and LDC/OLIC models. These variables were also negative in the LMIC/UMIC model, but only barely significant in one model that used the overall ideological measure (\textit{IdeoAll}). As with the first difference models there was no significant influence of these party variables on aid to LMIC/UMIC countries. The only cumulative partisan measure that was significant was the left party score for aid to LMIC/UMIC countries. The balance of evidence suggests a tight relationship between partisan ideology and aid to LDC/OLIC countries and multilateral institutions, but a weak relationship between partisan ideology and aid to LMIC/UMIC countries.
### 7. Control variables
Tables 1 and 2 show that changes in welfare institutions have very little effect on changes in aid effort. Coefficients for the \textit{Generosity} variable from the first differences estimation were always positive but only significant for LMIC/UMIC aid. Even taking a direct and time varying measure of welfare institutions (which the literature previously has not done), there appears to be very little dynamic relationship between welfare institutions and foreign aid. Given the results discussed above, changes in party ideology appear to have a more direct influence. The \textit{Generosity} variable was positive and significant in some of the models across each of the aid types in the fixed effects analysis. This was quite different from the first differences section, where this measure of welfare state institutions was never statistically significant. The potential relationship between government ideology and welfare institutions could lead to problematic results when both variables are included.
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\(^{11}\) The use of fixed effects to compare deviations from time means within countries is partially justifiable because there is significant variation in the country level intercepts. An F-test rejects the null hypothesis that fixed-effects should not be included. There are several specific reasons why fixed effects would not be fixed effects with some amount of persistence in the data. Persistence can be due to correlation between the error terms in periods \(t\) and \(t+1\), or persistence due to a dynamic causal model where current policy outputs depend on previous policy (Beck & Katz, 1996). While the former can be thought of as a statistical nuisance, the latter is a matter of debate (see Durbin–Watson statistics and other measures of autocorrelation suggest that persistence is present in the data. Net accounting for this process can lead to incorrect calculation of standard errors. But including a lagged dependent variable in order to remove the serial correlation in the errors can also introduce bias and inconsistency. A number of methods exist to deal with this problem, but how to deal with this type of data remains lively (Beck & Katz, 1996; Green, Yeon Kim, & Yoon, 2001; Judson & Owen, 1999; Kristensen & Wawro, 2007). Dynamic panel estimators such as Arellano-Bond are inappropriate here because the consistency of that estimator is based on settings where \(1 \gg t\).
Table 3
Total and multilateral aid; fixed effects w/ SE clustered by country.
| | Total: 1 | 2 | 3 | 4 | 5 | 6 | Multi: 1 | 2 | 3 | 4 | 5 | 6 |
|------------------|----------|---------|---------|---------|---------|---------|----------|---------|---------|---------|---------|---------|
| Ltotal | 0.589* | [0.045] | 0.612** | [0.042] | 0.612** | [0.045] | 0.612** | [0.042] | 0.572** | [0.047] | 0.576** | [0.042] |
| Lmulti | | | | | | | | | | | | |
| IdeGov | -0.392** | [0.135] | -0.305* | [0.148] | | | -0.779* | [0.263] | -0.538* | [0.294] | | |
| IdeAll | | | | | | | | | | | | |
| RT CAB CUM | | | | | | | | | | | | |
| LTCABSUM | | | | | | | | | | | | |
| Generosity | 0.106* | [0.046] | | | | | 0.112* | [0.048] | 0.124* | [0.056] | 0.080 | [0.050] |
| Openness | -0.006 | [0.014] | 0.001 | [0.015] | -0.004 | [0.013] | 0.003 | [0.014] | -0.017 | [0.016] | -0.019 | [0.018] |
| GDPGrowth | -1.462 | [2.874] | -3.033 | [3.005] | -0.336 | [2.970] | -2.319 | [3.081] | 1.008 | [3.362] | 0.454 | [3.435] |
| ColdWar | 0.553* | [0.212] | 0.477* | [0.200] | 0.563* | [0.200] | 0.483* | [0.201] | 0.290 | [0.291] | 0.832* | [0.249] |
| Constant | 3.714* | [1.774] | 5.404* | [1.478] | 5.387* | [2.080] | 6.530* | [1.922] | 2.616* | [1.426] | 2.032 | [1.448] |
| Observations | 562 | 562 | 562 | 562 | 526 | 526 | 562 | 562 | 562 | 526 | 526 | 526 |
| R² | 0.429 | 0.422 | 0.431 | 0.423 | 0.417 | 0.415 | 0.413 | 0.407 | 0.417 | 0.409 | 0.410 | 0.408 |
Standard errors in brackets [].
Table 4
Aid by income category; fixed effects w/ SE clustered by country.
| | LDC/OIC 1 | 2 | 3 | 4 | 5 | 6 | LMIC/OMIC 1 | 2 | 3 | 4 | 5 | 6 |
|------------------|-----------|---------|---------|---------|---------|---------|-------------|---------|---------|---------|---------|---------|
| LLDC OLIC | 0.537* | [0.069] | 0.557** | [0.062] | 0.557** | [0.071] | 0.557** | [0.062] | 0.546** | [0.060] | 0.552 | [0.061] |
| LLMIC UMIC | | | | | | | | | | | | |
| IdeGov | -0.183** | [0.051] | -0.155* | [0.058] | | | -0.384* | [0.108] | -0.299* | [0.110] | | |
| IdeAll | | | | | | | | | | | | |
| RT CAB CUM | | | | | | | | | | | | |
| LTCABSUM | | | | | | | | | | | | |
| Generosity | 0.031* | [0.017] | | | | | 0.031* | [0.018] | 0.028 | [0.018] | 0.025 | [0.017] |
| Openness | -0.003 | [0.007] | -0.001 | [0.008] | -0.002 | [0.007] | 0.000 | [0.008] | 0.006 | [0.008] | 0.005 | [0.003] |
| GDPGrowth | -0.282 | [1.205] | -0.771 | [1.289] | 0.245 | [1.241] | -0.422 | [1.341] | 0.848 | [1.421] | 0.767 | [1.439] |
| ColdWar | 0.374* | [0.115] | 0.341* | [0.104] | 0.380* | [0.104] | 0.342* | [0.104] | 0.323* | [0.139] | 0.351 | [0.104] |
| Constant | 1.171 | [0.865] | 1.729 | [0.734] | 2.043 | [0.859] | 2.451* | [0.801] | 0.579 | [0.801] | 0.541 | [0.801] |
| Observations | 555 | 555 | 555 | 555 | 519 | 519 | 545 | 545 | 545 | 509 | 509 | 509 |
| R² | 0.436 | 0.431 | 0.440 | 0.433 | 0.427 | 0.427 | 0.201 | 0.198 | 0.204 | 0.199 | 0.198 | 0.206 |
Standard errors in brackets [].
* p < 0.10.
** p < 0.05.
*** p < 0.01.
Thus I report several models that drop the *Generosity* variable and the ideology variables generally became more significant. Given the existing literature’s emphasis on welfare institutions over government ideology I also report models that include the *Generosity* variable.
The *GDPGrowth* and *Openness* variables were never significant in the first differences estimates for any type of aid. The fixed effects models estimated positive coefficients on *GDPGrowth* for both income classes, but in these models the influence of *GDPGrowth* was consistently significant only for LMIC/UMIC aid. Across time periods with above average economic growth correlate with higher aid effort to richer countries, while aid effort to poorer countries appears less dependent on the donor’s economic situation. Hence while the null results for economic health on total aid are consistent with previous results (Pallage & Robe, 2001), more research needs to be done linking donor economic performance and aid to particular types of developing countries. Finally, donor openness was generally not a significant factor in determining aid effort.
The *ColdWar* variable captures a structural break in the international system. For the first difference model this variable captures an interaction between time and the Cold War period. This was positive and highly significant in the first difference models for total and multilateral aid and positive but less significant in models with aid split out by income type. The intercept in these models was negative and significant but an F-test on the intercept + *ColdWar* was not significant, indicating a downward trend in aid effort in the pre-Cold War period. The fixed effects models tell a similar story. The coefficient here was positive and significant for total, multilateral, and IDC/OLIC aid. The coefficient was generally negative but insignificant for LMIC/UMIC aid. Average aid effort during the Cold War was higher, but this difference appears mostly concentrated in aid to multilaterals and poorer developing countries.
### 7.1. Substantive effects
I now consider the substantive impact of the economic ideology variables for each aid category. To calculate substantive effects I use the following procedure. First, I estimate the first difference model 2 in Tables 1 and 2. Next, I calculate the mean and standard deviation by country for each of the variables in the models. For the differenced variables this represents the average changes in the variables. Then I generated predicted changes in aid effort for each country by using the estimated coefficients, the country specific means, and fixing *ColdWar* to 1. Next, I decreased the change in *GovIdeo* measure by one standard deviation from the mean level of change for each country while fixing all other variables constant, and once again calculated predicted changes in aid effort. By subtracting this later predicted amount from the former, I obtain a quantity that measures how much aid budgets change when a country’s ideology measure changes at an average rate compared to when it changes at in a more liberal direction. Finally, I multiply the country specific change in aid effort by the country’s mean GDP and divide by 1000 (given the scaling discussed above). The resulting measures represent the increase in aid we should expect if a country’s political parties in government changed in an above average liberal direction. Fig. 1 presents these results for total aid for each country. While the substantive impact on commitments/GDP is relatively small, this can still translate into very large sums of money (nearly $750 million increase in total aid from the US) even with relatively small (1 standard deviation) increase in government ideology change. The paper’s appendix reports a similar figure using the fixed effect model.
### 8. Conclusion
A common and very robust result in the public opinion literature is that individuals who are more conservative are also less likely to support foreign aid. The literature on legislative voting on foreign aid in the US finds a similar pattern. However, the evidence based on cross-country analyses has been more mixed. This paper presents the first analysis that systematically explores the domestic political determinants of aid behavior over time and within countries. I have argued that political and economic variables play an important role in capturing trends in foreign aid. Notably, as governments become more conservative, the share of GDP committed to foreign aid effort declines.
Interestingly, economic ideology appears to matter more for aid to poorer developing countries and multilateral institutions than aid to wealthier developing countries. This is broadly consistent with Fleck and Kilby (2006) who find that more conservative US governments to give more aid to trading partners, while more liberal US governments give more aid to countries needy countries. This also suggests that aid to richer countries could possibly be more about trade or geopolitics.
These results have important implications for how we understand the economic impact of foreign aid. First, changes in domestic political ideology through regularly occurring elections could introduce changes in aid levels, which in turn create volatility in aid. The magnitude of this volatility and its effect is of course an open empirical question. But volatility in aid is an increasingly cited cause of aid ineffectiveness (Arellano et al., 2009; Bulir & Hamann, 2003; Bulir & Lane, 2002; Eifert & Gelb, 2005; Lensink & Morrissey, 2000). However, this literature generally has been silent on the causes of volatility. Insofar as the policy prescriptions from this literature generally seek to limit volatility, a more thorough understanding
---
12 I report a series of robustness checks in the paper’s appendix. I broke apart the aid categories further, considered alternative measures of ideology, an extended time period, a year trend variable, and included alternative control variables. I also estimate the fixed effects specification with Cold War and post-Cold War time trends, parallel to the first difference specification. I generally found similar results.
13 Results are similar if *ColdWar* is set to 0.
14 Simulation results are nearly identical if only a subset of large donors (US, UK, France, Germany, and Japan) is included for estimation of the statistical model and simulations.
of the sources of volatility—for example, donor politics as outlined in this paper—seems worthwhile.
Another contribution is that the analyses show that changes in donor level political variables lead to changes in aid effort that differ across particular types of aid. Hence, governments may have different strategic and economic interests depending on their ideological orientations. Constancy in the international political environment could mask important domestic sources of change in economic and strategic interest. This could help improve the validity of identification strategies used in the aid effectiveness literature. The results of this paper echo a conclusion laid out by Fleck and Kilby (2006, p. 220): “Our results point to an important caveat for those attempting to instrument for aid with political variables: the political circumstances in donor countries are likely to affect not only the amounts of aid to developing countries, but the motivation for providing that aid—including the extent to which aid is focused on reaching development objectives. Thus, political variables may instrument, in part, for the purpose of aid. And the purpose of aid will likely influence the effects of aid on development” (see also Fleck & Kilby 2008; Kilby & Dreher 2009). As a result of changes in aid motivation, the strength of instruments may change over time, as could the satisfaction of the exclusion restriction. Treating country interests as though they are fixed and independent of domestic politics leads to faulty assumptions in attempts to solve endogeneity problems in the analysis of the relationship between aid and growth.
While domestic ideological factors appear to influence aid effort, undoubtedly other ideological and structural factors can influence commitment decisions. For example, the literature argues that there may be some externalization of ‘moral’ beliefs (Lumsdaine, 1993). While my analysis controlled for domestic welfare state policies, changes in the debate about the morality of aid might influence aid effort. For example, consider the recent warming to foreign aid from conservative Republicans in the United States. Pundits and scholars attribute this fact to changes in moral agendas of Evangelical Christian groups that have come to see foreign aid to poor countries as an important function of government (Busby, 2007). Geo-political and security concerns could overwhelm otherwise salient ideological positions, as could international influence following broader consensus across donors (Lumsdaine, 1993, p. 140). It will be an interesting empirical question over the next decades to see if other changes at the international level have an effect on the type of political coalitions in donor countries that support foreign aid.
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The Madwoman in the Attic: The Woman Writer and the Nineteenth-Century Literary Imagination is a 1979 book by Sandra Gilbert and Susan Gubar, in which they examine Victorian literature from a feminist perspective. Gilbert and Gubar draw their title from Charlotte Brontë's Jane Eyre, in which Rochester's wife (née Bertha Mason) is kept secretly locked in an attic apartment by her husband.
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This book by Gilbert and Gubar was groundbreaking literary criticism when it was first published, and paved the way for an explosion in feminist literary criticism that allowed much existing work to be re-evaluated and enriched by what women had to say
The Madwoman in the Attic: The Woman Writer and the ... The Madwoman in the Attic: The Woman Writer and the Nineteenth-Century Literary Imagination, co-authored by Sandra M. Gilbert and Susan Gubar, is a nonfiction scholarly text comprising 16 interconnected essays. Published in 1979, this lengthy volume is now widely considered a foundational text of feminist literary criticism.
The Madwoman in the Attic Summary and Study Guide DOI: 10.2307/1185602. JSTOR: 1185602. The Madwoman in the Attic : The Woman Writer and the Nineteenth-Century Literary Imagination @inproceedings{Gubar2017TheMI, title={The Madwoman in the Attic : The Woman Writer and the Nineteenth-Century Literary Imagination}, author={Susan Gubar}, year={2017} }
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Sandra M. Gilbert and Susan Gubar Quotes Sandra M. Gilbert is professor of English at the University of California at Davis. Susan Gubar is professor of English and women's studies at Indiana University. They are the co-authors of the three-volume No Man's Land, also published by Yale University Press.
The Madwoman in the Attic: The Woman Writer and the ... The madwoman in the attic: the woman writer and the nineteenth-century literary imagination by Sandra M & Susan Gubar Gilbert | 1 Jan 1984 Paperback
Amazon.co.uk: the madwoman in the attic: Books An analysis of Victorian women writers, this pathbreaking book of feminist literary criticism is now reissued with a substantial new introduction by Sandra Gilbert and Susan Gubar that reveals the origins of their revolutionary realization in the 1970s that "the personal was the political, the sexual was the textual."
The Madwoman in the Attic: The Woman Writer and the ... In 1973 Gilbert and Gubar met as professors at Indiana University; they taught a women's literature course together and The Madwoman in the Attic was born out of this teaching partnership. The Madwoman in the Attic Edit Background and Historical Context Edit
Called "a feminist classic" by Judith Shulevitz in the New York Times Book Review, this pathbreaking book of literary criticism is now reissued with a new introduction by Lisa Appignanesi that speaks to how The Madwoman in the Attic set the groundwork for subsequent generations of scholars writing about women writers, and why the book still feels fresh some four decades later. "Gilbert and Gubar have written a pivotal book, one of those after which we will never think the same again."—Carolyn G. Heilbrun, Washington Post Book World
Published in 1979, Gilbert and Gubar's The Madwoman in the Attic was hailed as a pathbreaking work of criticism. This thirteenth-anniversary collection adds both valuable reassessments and new readings and analyses. The authors take as their subjects specific nineteenth- and twentieth-century women writers, the state of feminist theory and pedagogy, genre studies, film, race, and postcolonialism, with approaches ranging from eoeofeminism to psychoanalysis.
The 1979 publication of Susan Gubar and Sandra M. Gilbert's ground-breaking study The Madwoman in the Attic marked a founding moment in feminist literary history as much as feminist literary theory. In their extensive study of nineteenth-century women's writing, Gubar and Gilbert offer radical readings of Jane Austen, the Brontës, Emily Dickinson, George Eliot and Mary Shelley tracing a distinctive female literary tradition and female literary aesthetic. Gubar and Gilbert raise questions about canonicalisation that continue to resonate today, and model the revolutionary importance of re-reading influential texts that may seem all too familiar.
The 1979 publication of Susan Gubar and Sandra M. Gilbert's ground-breaking study The Madwoman in the Attic marked a founding moment in feminist literary history as much as feminist literary theory. In their extensive study of nineteenth-century women's writing, Gubar and Gilbert offer radical readings of Jane Austen, the Brontës, Emily Dickinson, George Eliot and Mary Shelley tracing a distinctive female literary tradition and female literary aesthetic. Gubar and Gilbert raise questions about canonicalisation that continue to resonate today, and model the revolutionary importance of re-reading influential texts that may seem all too familiar.
A re-assessment of the Gothic in relation to the female, the 'feminine', feminism and post-feminism This collection of newly commissioned essays brings together major scholars in the field of Gothic studies in order to re-think the topic of 'Women and the Gothic'. The 14 chapters in this volume engage with debates about 'Female Gothic' from the 1970s and '80s, through second wave feminism, theorisations of gender and a long interrogation of the 'women' category as well as with the problematics of post-feminism, now itself being interrogated by a younger generation of women. The contributors explore Gothic works from established classics to recent films and novels from feminist and post-feminist perspectives. The result is a lively book that combines rigorous close readings with elegant use of theory in order to question some ingrained assumptions about women, the Gothic and identity. Key FeaturesRevisits the long-running debate about women, the Gothic and identityEngages with the political agendas of feminism and post-feminismPromotes the concerns of woman as reader, author and criticOffers fresh readings of both classic and recent Gothic works
V.1 the war of the words. V.2 sexchanges. |
SUNDAY, MAY 16, 2021
SOLEMNITY OF THE ASCENSION OF THE LORD
THE HOLY SACRIFICE
OF THE MASS:
Saturday Vigil ........5:00 p.m.
Sunday .........................9:00 A.M.
WEEKDAY
MASS SCHEDULE
Monday .........................8:00 a.m.
Tuesday .........................8:00 a.m.
Wednesday .....................(No Mass)
Thursday ....................... 8:00 a.m.
Friday ............................ 8:00 a.m.
HOLY DAYS
8:00 a.m., 7:00 p.m.
SACRAMENT OF
RECONCILIATION:
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& by appointment
ALL ARE WELCOME
We welcome our newcomers. Some have just moved into our parish; others have been here a few months and still, others have discovered St. Mary Church, Newport and appreciate the warm welcome. We strongly urge parishioners to accept Christ’s invitation and call to us to participate in the spiritual life and ministries of St. Mary Church, Newport.
Emergency Requiring a Priest: Call 301-843-8916 x 301
God remains where love remains. When a believer realizes without doubt that God is love, it is a powerful moment. Being able to place our resurrection trust in this fundamental truth allows us to experience God’s presence in all of our experiences: the good and the bad, positive and negative, life enriching and destructive events we encounter. It is no wonder that St. Paul so accurately tells us that it is love that endures all things and lasts. How can God not endure or ever fade away? Because he is God, Jesus also guarded and protected his disciples as the endearing shepherd who always had their best interest at heart.
If we become too immersed in the world, we lose touch with these deeper realities. We can become so preoccupied with preserving what we have created or think that we need, forgetting that it is not building our city that really matters, but God’s. Jesus clearly did not belong to the world and, by virtue of his resurrection, he tries to get us to understand that we do not either. The truth brings us to other worldly, more divine places and takes our eyes off of the concerns that often captivate our fears and storm our senses.
Life can easily erode our faith. Think of your life over the last couple of weeks. What challenged your faith and distracted your divine glance? Even being overly stimulated with technology and social media can erode our sense of confidence and cause us to forget who we really are. We need to distance ourselves from the world in order to experience the joy that Christ offers. The world will never like the word of God. It is too challenging and too perplexing. The world mistakenly believes that it can survive on its own. It is a mistaken judgment that may cost people a lot in the end. It is all so very simple: God remains when we love one another. If in all the business of our lives and all that each day brings, the good and the bad, we follow the call and path of love, we will walk with God. There is nothing to fear and anxiety finds no home.
©LPi
**REMEMBERING THE SICK**
We are asked to pray for: Ralph Andeer, Andeer Family, Carmen Asperas, Noellie Asperas, Brad Ballentine, Debbie Bennett, Frances Bean, Janice Blackstone, Doris Bradburn, Burkey and Margaret Boggs, Sally Davis, George Desmarais, Rosanna DiDomenico, Aidan Asperas Dulay, Sandra Ferguson, Debbie Friedrich, Martha Gray, Ellie Guy, Cathy Floyd, Cindy Kilmon, Fr. Fred MacIntyre, Jesse and Benedict McIntyre, Nicole McIntyre, Dennis Houser, Devon Pascal, Jimmy & Tammy Payne, Fr. Pittman, Deacon Rourke, Paula Stansburg, David Steger, Donald Stevens, Leslie Summers, Phil Wade, Frank & Mildred Wheatley, Kathy Windsor, Leigh Windsor, Laura Yarus, Bobby, Jake. Please also pray for an increase in vocations, especially in our parish; pray for our parish Priests. To add/remove a name on the prayer list, please email or call the parish office.
SOLEMNITY OF THE ASCENSION OF THE LORD
ST. MARY CHURCH, NEWPORT GOOD SHEPHERD FOOD PANTRY—Open the 3rd Saturday of each month from 9:30 a.m. – 11:30 a.m. For more information, you may contact Evelyn Lawrence at 301-643-6597, or call the parish office at 301-934-8825. Check out our Good Shepherd Facebook Page, “Like and Share” our Facebook to help spread the good word about our Food Pantry. https://www.facebook.com/StMaryChurchNewport.
TEXAS ROADHOUSE FUNDRAISER
Would you like to order a to-go/carryout meal to enjoy? Would you like a break from cooking and cleaning dishes? Then head on over to Texas Roadhouse in La Plata on Sunday, May 16 and enjoy some appetizers, lunch, or dinner, while supporting St. Mary Church, Newport at the same time. When you choose Texas Roadhouse in La Plata on the 3rd SUNDAY OF EACH MONTH 10% of your food sales will be donated to our parish. Remember to mention to your server you are with St. Mary Newport Church. Enjoy your meal and thank you for supporting of our parish.
SUNDAY’S READINGS
First Reading:
Then they gave lots to them, and the lot fell upon Matthias, and he was counted with the eleven apostles. (Acts:1:26)
Psalm:
The Lord has set his throne in heaven. (Ps 103)
Or Alleluia.
Second Reading:
Beloved, if God so loved us, we also must love one another. (1 Jn 4:11)
Gospel:
“Holy Father, keep them in your name that you have given me, so that they may be one just as we are one.” (Jn 17:11b)
CONGRATULATIONS!
Congratulations to the winners of the recent online raffle held April 30:
$300 Lotto Bundle: Roberta Hill; Michael Kors Jet Set Large Travel Leather Wallet: Danielle Welch, Michael Kors Drawstring Tote Jet Set Travel Bag: Chris Moore; Yeti Tundra 35 Hard Cooler Dawn Elliott.
Thank you for your participation in our fundraiser and thank you for your continuing support of the Good Shepherd Food Pantry.
WHY DO WE DO THAT? - Question: What is the meaning of the letters that professed religious have after their names?
Answer: The Catholic Church includes hundreds of religious communities. The priests, religious brothers, religious sisters, and nuns of these communities (which are often referred to as “religious orders”) are committed to particular spiritual traditions and often to a particular charism (such as teaching, healthcare, social work, or pastoral care). To help identify a person as a member of a particular religious community, the custom developed of including post-nominal letters that provide a sort of shorthand for the name of the community that the priest, brother, sister or nun is part of. So, for example OSB after a person’s name would indicate that they are a member of the Order of St. Benedict (the Benedictines), just as SJ would indicate that a priest or brother is a member of the Society of Jesus (the Jesuits) or RSM would show that a woman is a Sister of Mercy. Other common examples include: DC = Daughters of Charity; FSC = The Brothers of the Christian Schools/Christian Brothers; OCist = The Order of Cistercians; OCD = Order of Discalced Carmelites; OFM = The Order of Friars Minor (the Franciscans); OFM Cap = The Capuchin Franciscans; OP = The Order of Preachers (Dominicans); OSF=Franciscan Sisters; SC = Sisters of Charity; SDS = Society of the Divine Savior (Salvatorian Priests and Brothers and Salvatorian Sisters); SSND = School Sisters of Notre Dame; SVD = Society of the Divine Word (Divine Word Missionaries).
ANNUAL “PARTY FOR 25” CRAB FEAST RAFFLE
Our annual St. Mary’s Church Seafood Fundraiser will soon draw to a close. If you received your tickets in the mail, please return them at your earliest convenience. If you did not receive tickets or need any more information, please contact Katherine Nutter at 301-643-2243, or call the parish office at 301-934-8825. Anything you can do to help make this parish fundraiser a success would be greatly appreciated. The 1st winner of the raffle will receive: 2 bushels of crabs, 10 lbs. of steamed shrimp, hamburgers, hot dogs, corn on the cob, drinks and more! Our 2nd and 3rd prize winners will also receive spectacular “mystery prizes”! Chances for the raffle are $5.00 for 1 ticket, or 6 tickets for $25.00. NEW THIS YEAR: If you would like to purchase additional tickets, they may be purchased online by visiting our parish website or our parish Facebook page. Ticket purchases are available through Friday, May 28th. The winning tickets will be drawn Sunday, May 30th, following the 9:00 a.m. Mass. Winners: please call the parish office to make arrangements to pick up your prize at the parish office.
16" 1 TOPPING PIZZA $9.99 (CARRYOUT) WITH THIS COUPON
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St. Mary Newport Catholic Church, Charlotte Hall, MD 03-1254 |
THE SUPPLY OF NORTH SEA OIL
by
Paul Leo Eckbo
M.I.T. World Oil Project
Working Paper No. 77-015 WP
July 1977
THE SUPPLY OF NORTH SEA OIL
by
Paul Leo Eckbo
M.I.T. World Oil Project
Working Paper No. 77-015 WP
July 1977
This paper represents a collective effort by the Supply Analysis Group of the M.I.T. World Oil Project. Included in the group are Professors M.A. Adelman, H.D. Jacoby, and G. Kaufmann (M.I.T.) and E. Barouch (Clarkson College); and Research Assistants J. Paddock, J. Smith, and Arlie Sterling. The work was supported by the Norwegian School of Economics and Business Administration, the Norwegian Research Council for Science and the Humanities, and by the U.S. National Science Foundation under Grant No. SIA75-00739. However, any opinions, findings, conclusions, or recommendations expressed herein are those of the author and do not necessarily reflect the views of the sponsoring institutions.
THE SUPPLY OF NORTH SEA OIL
The North Sea is one of the most important non-OPEC-dominated regions both in terms of its supply potential and in providing a laboratory for testing of analytical tools. In the North Sea region, we include the British and the Norwegian sectors between 56° and 62° North latitudes, the boundary between Norway and Denmark, and the zero paleocene depth contour. This area covers the "oil area" of the North Sea as seen by most industry writers [4]. The North Sea sectors of Denmark, Germany, Holland, and France are hence not included.
Exploration in the UK sector of the North Sea started as early as 1964. The first oil discoveries were made in late 1969. Table 1 shows current assessment (June 1976) of recoverable reserves in the area of study, along with order of discovery, field names, and spud dates. Gas reserves have been converted to oil-equivalent values using a conversion factor of 1 billion cubic feet of gas equal to 178 million barrels of oil.
Table 1. Northern North Sea Discoveries, Recoverable Reserves - Oil and Gas
Oil Equivalent (Millions of Barrels)
| Order (j) | Name or Location | Spud Date | Size ($r_j$) |
|-----------|--------------------|-----------|--------------|
| 1 | Cod | 2/68 | 156 |
| 2 | Montrose | 4/69 | 180 |
| 3 | Ekofisk | 9/69 | 1713 |
| 4 | Josephine | 6/70 | 100 |
| 5 | Tor | 8/70 | 243 |
| 6 | Eldfisk | 8/70 | 910 |
| 7 | Forties | 8/70 | 1800 |
| 8 | W. Ekofisk | 8/70 | 490 |
| 9 | Auk | 9/70 | 50 |
| 10 | Frigg | 4/71 | 1325 |
| 11 | Brent | 5/71 | 2500 |
| 12 | Argyll | 6/71 | 70 |
| 13 | Bream | 12/71 | 75 |
| 14 | Lomond | 2/72 | 500 |
| 15 | S.E. Tor | 4/72 | 34 |
| 16 | Beryl | 5/72 | 525 |
| 17 | Cormorant | 6/72 | 165 |
| 18 | Edda | 6/72 | 98 |
| 19 | Heimdal | 7/72 | 300 |
| 20 | Albuskjell | 7/72 | 357 |
| 21 | Thistle | 7/72 | 375 |
| 22 | Piper | 11/72 | 638 |
| 23 | Maureen | 11/72 | 500 |
| 24 | Dunlin | 4/73 | 435 |
| 25 | 3/15-2 | 4/73 | 150 |
| 26 | Hutton | 7/73 | 250 |
| 27 | Alwyn | 7/73 | 350 |
| 28 | E. Frigg | 8/73 | 623 |
| 29 | Heather | 8/73 | 150 |
| 30 | Brisling | 8/73 | 75 |
| Order (j) | Name or Location | Spud Date | Size ($r_j$) |
|-----------|--------------------|-----------|--------------|
| 31 | Ninian | 9/73 | 1000 |
| 32 | Statfjord | 12/73 | 4960 |
| 33 | Odin | 12/73 | 178 |
| 34 | Bruce | 3/74 | 450 |
| 35 | Magnus | 4/74 | 800 |
| 36 | N.E. Frigg | 4/74 | 71 |
| 37 | Balder | 4/74 | 100 |
| 38 | Andrew | 4/74 | 300 |
| 39 | Claymore | 4/74 | 375 |
| 40 | E. Magnus | 6/74 | 250 |
| 41 | 9/13-4 | 6/74 | 220 |
| 42 | 15/6-1 | 9/74 | 150 |
| 43 | Brae | 9/74 | 800 |
| 44 | Sleipner | 11/74 | 50 |
| 45 | Hod | 11/74 | 75 |
| 46 | 211/27-3 | 11/74 | 450 |
| 47 | Gudrun | 11/74 | 450 |
| 48 | 2/10-1 | 11/74 | 100 |
| 49 | 3/4-4 | 12/74 | 100 |
| 50 | 14/20-1 | 1/75 | 75 |
| 51 | Crawford | 1/75 | 150 |
| 52 | 9/13-7 | 1/75 | 350 |
| 53 | 3/8-3 | 1/75 | 100 |
| 54 | Tern | 2/75 | 175 |
| 55 | 21/2-1 | 2/75 | 175 |
| 56 | 3/2-1A | 3/75 | 200 |
| 57 | Valhalla | 4/75 | 50 |
| 58 | 3/4-663/9-1 | 200 |
| 59 | 15/13-2 | 200 |
| 60 | 211/26-4 | 175 |
Source: Beall [4], and estimates by the M.I.T. World Oil Supply Group as of June 1976.
Fourteen oil fields in the UK sector and two major oil fields in the Norwegian sector have been declared commercial. Another fifteen fields are expected to be declared commercial over the coming three years [11]. Current industry expectations, as indicated by Wood, Mackenzie & Co., investment advisers of Edinburgh, Scotland, who have been computing and updating appraisals of North Sea fields since early 1973, are that oil production from these existing fields as well as those most likely to be declared commercial over the next three years, will peak in 1982 at about 4.2 million barrels a day (MMB/D) as indicated in Table 2 below. The recoverable oil reserves of the commercial fields are estimated at 14.6 billion barrels and, of the "probable" fields, at 5.6 billion barrels.
Table 2
EXPECTED NORTH SEA OIL PRODUCTION
(Production Level '000 B/D)
| | 1977 | 1978 | 1979 | 1980 | 1981 | 1982 | 1983 | 1984 | 1985 |
|------------------|------|------|------|------|------|------|------|------|------|
| UK Existing Fields | 875 | 1385 | 1776 | 2017 | 2090 | 2026 | 1800 | 1627 | 1446 |
| UK Probable Fields | | 15 | 105 | 318 | 743 | 1247 | 1440 | 1509 | 1431 |
| TOTAL UK Production | 875 | 1400 | 1881 | 2335 | 2833 | 3273 | 3240 | 3136 | 2877 |
| TOTAL Norwegian Production | 415 | 577 | 747 | 870 | 939 | 918 | 911 | 931 | 940 |
| TOTAL NORTH SEA | 1290 | 1977 | 2628 | 3205 | 3772 | 4191 | 4151 | 4067 | 3817 |
Source: Martin Lovegrove of Wood, Mackenzie & Co. [11].
The major determinants of the supply of oil are the resource base, development costs, government policies, and current and expected prices. The activity in the North Sea has generated an unprecedented wealth of information on these determinants of supply. The major reason for this is that the North Sea developments are being financed mostly by external funds and on a project-by-project basis. Banks and other sources of funds are furnished the estimates of reserves and the schedules of expenditures and outputs, which normally are confidential. Wood, Mackenzie & Co. have compiled and published these estimates in a uniform format.
The controversy over taxes and government participation has also generated more public debate and hence also more information than normally has been the case elsewhere. This wealth of information has allowed us to experiment with various analytical tools that have been designed to represent the process of oil exploration, development, and production [1, 2, 3, 4, 6, 7, 12]. Here we will discuss the application of the disaggregated process model [2, 3, 7, 12] to forecasting the supply of North Sea oil.
Overly simplified, the disaggregated process model consists of a discovery model which tells us how a sequence of reservoir discoveries is being produced by some exploratory effort, and a reservoir model that tells which of the reservoirs discovered will be produced and at what rate. Structural relationships which relate factor inputs and outputs at each stage of the supply process, exploration, reservoir development, and production, are specified and estimated (where possible). Contingent on prices, factor costs, the tax regime, and miscellaneous public policy constraints, activity levels are determined which optimize the economic return to petroleum operators. A forecast of the process output (additions to reserves and petroleum production) is determined along with associated input levels. The need to carry out the supply analysis on a disaggregated, reservoir level is accentuated by the heterogeneous nature of the stock of resource deposits.
The economic viability of a reservoir is determined by the cost of the input factors required to develop and produce the reservoir, the fiscal costs or the government take, and the price of petroleum. In Section 1 we discuss the cost of the input factors and how development costs may be related to the characteristics of a reservoir. The combined effect of development and fiscal costs is discussed in Section 2 and summarized in a relationship between the minimum economic reservoir size (MERS) and the price of oil. How government policy affects the rate and the sequence of discoveries is also discussed in Section 2. In Section 3, we discuss the distinction between the geologic and economic resource base and show how the discovery model and the reservoir model may be used to estimate the annual additions to the productive resource base resulting from drilling up the North Sea. Finally, in Section 4, we summarize the analysis in terms of the implications for future oil production in the North Sea. We also discuss some of the empirical elements that we have not dealt with in a satisfactory fashion and that we expect will influence the supply potential of the Norwegian and British sectors of the North Sea.
1. DEVELOPMENT COSTS
The high cost escalation in the North Sea confirms "Cheops' Law" that nothing ever gets built within the initial cost and time estimates. This "law" seems to characterize the introduction of new technologies in severe operating areas. The trans-Alaskan pipeline (TAPS) is the best known example of this phenomenon. The TAPS costs doubled every three years during 1970-1975, or at a rate of about 26% a year [8]. In an official UK study of the cost escalation in the development of North Sea oil and gas
reserves [13], the cost escalation is estimated in sterling terms at about 140% between autumn 1973 and spring 1975, equivalent to an annual rate of 80%. Cost escalation is defined as the difference between the originally estimated cost of a project and the actual cost or the latest estimate of final cost.
Expressed in U.S. dollars, however, Wood, Mackenzie & Co. estimated that the development costs of all the fields under development in the North Sea by May 1976, had escalated by 57% since the time the original cost estimates were made [15]. The most significant factor contributing to this escalation seems to have been the inadequate technical knowledge in manufacturing and installing complex structures in an extremely hostile environment. There are signs, however, of the maturing of the learning curve as development has progressed.
In late 1973, shortages in raw materials and components developed. The companies were bidding for a limited and fixed supply of materials and components, and their prices "went through the ceiling." The suppliers of these products were able to capture some of the economic rent the companies expected from their field development projects. This "boom" period lasted for about 12 to 15 months. Today, the situation has reversed itself. Excess capacity characterizes many of the input factor markets today.
The inadequate technical experience, the input factor shortages, and, most significantly, the bad weather of the North Sea also caused costly delays. The high fixed back-up costs of the North Sea activity make any delay a costly experience. In addition to these direct costs, delays make the project further exposed to the general rate of inflation. The general
rate of inflation contributed significantly to the cost escalation in the North Sea. In 1974/75, the consumer price annual rate of inflation was about 9% in the U.S., 24% in the UK and 12% in Norway.
Only two North Sea fields so far are fully developed. An analysis of North Sea development costs will therefore have to be based upon the planned development schedules of the oil companies or directly on engineering-type cost analysis. The recent experience of the North Sea indicates that an analysis of the input factor markets as well as the learning curve phenomenon should be included when projecting likely frontier area development costs. Given the maturing of the offshore supply industry in Western Europe and the maturing of the learning curve, a detailed factor market analysis was considered unnecessary. We adopted what seems to be the industry consensus, namely that the cost level of input factors to the activity in the North Sea will most likely increase at a general rate of inflation of about 6% in the years to come.
The development and production schedules published by Wood, Mackenzie & Co. are limited to the individual fields. Development costs and production potential are a function of the characteristics of the individual fields of a supply region. The individual field is therefore a natural unit of analysis. For convenience, we assume that each field in the North Sea consists of only one reservoir (i.e., that each field is one hydrodynamic system). Therefore, we label the micro-unit of analysis a reservoir. A reservoir is characterized for our purposes by a set of physical attributes as listed in Table 3.
Table 3
RESERVOIR CHARACTERISTICS
- recoverable reserves
- average well productivity
- reservoir depth
- water depth
- distance to shore (terminal)
Our concept of a reservoir should be distinguished from the engineering concept of a reservoir. Reservoir engineers usually conceive of a reservoir as a set of geological conditions that could sustain various levels and rates of petroleum production, depending upon the level of investment, the chosen production profile, and other factors. The traditional engineering development model is designed to optimize several of the quantities we have taken as fixed reservoir attributes.
Although our simplified definition of a reservoir prevents fine-tuning of the rate of extraction from economic reserves, there are several compelling arguments for its use. To go beyond our idealized concept of a reservoir would require detailed information on hydrocarbons in place and on the geologic variables that determine the recovery factor and the rate of development and extraction (e.g., permeability, porosity, formation thickness, initial pressure, temperature, etc.). Unfortunately, we have no basis for predicting how each of these variables will behave in the exploration-discovery process. There is, however, a substantial amount of work on how the hydrocarbons in place and (with a fixed recovery factor) the recoverable reserves change as an area is drilled up. As our focus is on the intermediatethe longer-term future, the analysis includes the discovery and development of new reservoirs. It does not make sense to try to analyze a reservoir along more dimensions than can be predicted with reasonable confidence. Our simplifying reservoir definition greatly reduces the complexity of the analysis without being very restrictive when evaluating the reservoirs of particular interest--those on the borderline of economic viability.
The cost categories that can be explained using predictive reservoir characteristics (Table 3) are also more aggregative than those of an engineering-type reservoir development model. Total development and extraction costs are divided into the categories of Table 4. From the point of view of data collection, this level of cost-disaggregation is also as ambitious as we could be in the North Sea.
Table 4
COST CATEGORIES
- development drilling
- platform structures and their installation
- platform equipment
- pipelines/tankers and offshore loading facilities
- terminals
- operating costs, platforms, and equipment
- operating costs, pipelines and terminals/tankers and offshore loading facilities.
The North Sea data base consists of Wood, Mackenzie's estimates of planned investment and operating expenditures for 17 actual and potential crude oil producing fields. The Ekofisk complex is treated as one field. These historic and planned expenditures series were converted into mid-1976 dollars at the historic and expected North Sea cost inflation.
The small number of observations and the homogeneity of the North Sea with respect to non-size characteristics made the coefficients of these characteristics, when included as explanatory variables in the cost relationships, turn out to be not significant. Although engineering-type analysis clearly points out the significance of flow rate and water depth as determinants of total capital expenditures, our North Sea sample did not allow us to verify this. For lack of a broad enough sample, then, we differentiate among individual reservoirs on the basis of size alone. The potential error in doing so within a play (a group of similar geological configurations conceived or proven to contain hydrocarbons) is small, due to the overriding importance of reservoir size in economic calculations. But, although the Wood, Mackenzie sample reflects considerable variation in the size of recoverable reserves, the current sample size is deficiently small. This turns out to be consequential in the estimation attempts, because of our inability to reliably estimate nonlinearities that are inherent in the cost functions.
Among the fields of particular interest to this study, i.e., small fields on the borderline of economic viability, there are three categories: (1) the average isolated field; (2) the special tanker offtake/high peak-ratio field, and (3) the field discovered close to available transportation or other capacity. The first category promises average productivity, but
requires complete build-up of infrastructure. The second category consists of fields which can achieve peak production through the substitution of variable expenses for the high fixed-capital costs associated with permanent infrastructure. The third category is comprised of fields that are able to take advantage of existing infrastructure—thus avoiding both high capital costs and high variable costs. The cost analysis of this study focuses on the fields of category 1. By excluding categories 2 and 3, we bias the minimum field size upwards and the level of ultimate recoverable reserves downwards, even if only slightly so.
A detailed discussion of the problems encountered when estimating the North Sea cost equations based upon our preliminary data analysis is beyond the scope of this paper. These estimation problems are discussed elsewhere [12]. To indicate the exploratory power of recoverable reserves, $R$, (in millions of barrels of oil) for total development expenditures, $CD$, (in millions of mid-1976 dollars), the following equation was estimated in an unconstrained form:
$$CE = 320 + 0.785R \quad (R^2 = 0.8163) \quad (1.1)$$
It is also apparent from equation (1.1) that the cost of the marginal barrel increases rapidly as the size of the reservoir added declines as a function of the discovery decline process. The disaggregated process model thus allows us to identify how the supply curve will move to the left as a function of resource depletion. Because the distortive effect of the fiscal regime is also dependent on the characteristics of the marginal reservoir, a disaggregated approach is required to identify the location of, as well as the dynamics of, the supply curve. The fiscal regime is discussed as part of the government's policy in Section 2.
2. GOVERNMENT POLICY
The governments of UK and Norway influence the activity through the licensing of blocks for exploration and development, through the terms of the concession agreements, and through the tax regime. The governments influence the rate of exploratory drilling through the number of blocks they make available to the oil companies and the work program specifications of the concession agreements, i.e., the minimum number of wells that the companies will have to drill on each block. The rate at which blocks are allocated is determined on the basis of what the likely effect on the aggregate economy would be as a consequence of the resulting exploration, development, and production activity. The Norwegians have been concerned about "over-heating" the economy and thus followed a "go-slow" policy, whereas the British have been more concerned about their balance of payments and unemployment problems and thus followed a more aggressive licensing policy. Both countries have retained certain key blocks as part of a bargaining strategy vis-a-vis the companies. The governments have thereby influenced not only the rate at which discoveries have been made, but also the sequence of discoveries.
For example, the Statfjord field in the Norwegian sector was the 32nd discovery in the North Sea as indicated in Table 1. If exploration were permitted to proceed unrestricted, rather than at the rate at which the Norwegian government chose to license its blocks, this structure would most likely have been drilled at about the same time as the Brent field which was the 11th discovery and adjacent to Statfjord. Such government-induced distortion of the discovery process itself creates problems when estimating the most likely ultimate recoverable reserves of an area as well as the rate at which these
reserves will be produced. The reserve potential is usually calculated by some sort of geologic analogy as is also the case in this study as discussed below. By distorting the process by which geologic data are generated, the government will also distort the estimates of the ultimate resource base. The largest structure in the North Sea is sitting on one of the Norwegian government's key blocks. The information generated from drilling this structure is essential to more accurate evaluation of the North Sea resource base as well as to planning the appropriate development of infrastructure in the North Sea which would also affect the commerciality of smaller reservoirs that presently could not support the infrastructure associated with an average, isolated field as defined above.
In addition to directly influencing the rate and sequence of discovery of recoverable reserves through licensing and concession arrangements, the government also influences the process of adding to the recoverable reserve base through its tax regime. In the North Sea, a tax and participation system, rather than a bidding system, has been designed to capture the economic rent associated with developing and producing oil and gas. An important economic variable then becomes the government's perception of how great a rent exits. The characteristics of the oil industry in particular, and of extractive industries in general, make it more difficult to design an appropriate tax package for such industries than for non-extractive industries. The cost characteristics of each production unit in a non-extractive industry are, except for possible scale effects, relatively homogeneous across a large number of production units. In the petroleum
industry, however, two reservoirs discovered in the same year may have entirely different cost characteristics due to different locations, permeability, porosity, formation thickness, etc. The heterogeneity of the reservoirs and resulting tax package design problems have left much room for misunderstanding which has created additional uncertainty and caused delays in the development and production schedules of the North Sea. The distortive effect of the present tax regimes and the complexity of the issues make revisions and further misunderstanding possible even if the learning curve also applies to government policy-making.
The ideal tax system removes economic rent only, and hence leaves investment unaffected at the margin. The actual tax systems of the North Sea depart so far from the ideal that we must try to capture the effects of that divergence [6]. For this reason, a reservoir development model has been designed to analyze the economic viability of individual reservoirs and to determine the physical characteristics of the marginal reservoir depending upon the prevailing level of economic incentives. By extension, the model also demonstrates the sensitivity of reservoir development to changing economic conditions. The rules and regulations that determine the share of total revenues that are being paid to the government are represented in a detailed fashion in the reservoir model. The fiscal variables include royalty payments, petroleum revenue tax, special tax, corporate tax, special deduction and depreciation rules such as ring fence and uplift provisions, oil allowance and maximum liability provisions, as well as withholding tax on distributed dividends and capital tax. The tax systems of UK and Norway differ in terms of their distortive effects. A discussion of the elements of the two tax systems is beyond the scope of this paper [6, 12]. For
the purpose of this forecasting exercise we may assume that the Norwegian tax system represents the North Sea fiscal regime. A more detailed empirical analysis would have to distinguish between the geopolitical regions of the North Sea.
Figure 1 summarizes the economics of North Sea reservoir development as seen by the private operator, i.e., real and fiscal costs are embedded in the relationship between the minimum economic reservoir (MERS) and the price of oil. The MERS corresponding to a given price is that size which equates the net present value of the operating company's cash flow to zero (assuming a discount factor of 10%). The relationship of Figure 1 is estimated assuming size but not price-sensitive development and production profiles [12]. The cost equations entering into the relationship are those of the average, isolated field. Because the government in some cases owns directly some of the required infrastructure or controls the pricing of infrastructure (e.g., pipeline rates), the government may compensate for the distortive effect of the tax system, i.e., that the social MERS is smaller than the private MERS, by appropriate pricing of this infrastructure. Such policies may shift the curve of Figure 1 to the left.
To summarize the effect of the licensing policy and the concession/work program policy of the North Sea governments, we have relied upon estimates made by the offshore division of the Norwegian shipbroker company, R.S. Platou A/S\(^1\) as to the number of exploratory wells to be drilled in the period 1976 to 1978. If we assume that on the average, four delineation wells will be required to determine the reserves of each discovery, then
\(^1\)R.S. Platou A/S: *Offshore Newsletter*, January 9, 1976, p.2.
Figure 1. Minimum Economic Reservoir Size in the North Sea as a Function of Oil Price (1976 prices)
the Platou estimate implies a rate of 44 exploratory wells per year in the North Sea. For the purpose of this discussion, we will assume that this level of exploratory drilling will be maintained until economic constraints are encountered as a result of the discovery decline behavior of the exploration process.
3. THE RESOURCE BASE
Viewed as an economic process, oil supply is the depletion of a stock, which is constantly being renewed by adding new reservoirs and expanding the limits of the old ones. In this section, we focus on the process of replenishing the stock of reservoirs.
The resource base may be broken down into a number of reserve categories of economic or geologic significance. We distinguish between reservoirs which have already been discovered and declared commercial ("existing" reservoirs); reservoirs which have been discovered but not yet fully evaluated ("probable" reservoirs); and reservoirs to be discovered ("discoverable" reservoirs). Existing North Sea oil reservoirs as discussed in Table 2 contain an estimated 14.6 billion barrels of recoverable reserves, i.e., 14.6 billion barrels is the sum of the annual production profiles presently planned for these reservoirs. This may be considered a conservative estimate. Through a process of extension and revision as a result of production experience and additional development, we could consider this estimate to be increased by 25 - 50%. This process of extension and revision is disregarded in our forecasting.
exercise, thereby biasing the future supply potential downwards.
The information available on probable reservoirs is substantially less extensive than for the commercial reservoirs. The reservoir size estimates of the probable fields as included in the Wood, Mackenzie estimates of Table 2 are all substantially larger than the MERS' of Figure 1 in the $9 - $15 price range (mid-1976 dollars), the price range considered relevant for this exercise. They are hence all candidates for inclusion in the productive resource base as judged by the reservoir model of this study. A number of smaller discoveries has also been made as indicated in Table 1 as well as in more recent listings of North Sea discoveries [11]. On the basis of guesstimates of the size of the smaller probable reservoirs of Table 1, each of these reservoirs were run through the reservoir model to determine the price at which these reservoirs would enter the productive reserve base. The reservoir model was hence used to estimate the supply elasticity of the probable reservoir category [12]. As we are in the process of updating our data base on the potentially probable reservoirs and a fairly extensive discussion of the assumptions entering into such probable reservoir analysis is required to be of empirical interest, we will assume that the probable fields as listed by Wood, Mackenzie exhaust the list of candidates for the probable reservoir category. This simplification biases, of course, the elasticity of supply of North Sea oil downwards. The recoverable reserves estimate of the probable reservoirs as listed in Table 2 is 5.6 billion barrels.
When proceeding to the next category of reservoirs, the discoverable reservoirs, the extent of available information is further reduced and the uncertainty surrounding the estimates is increased. To estimate the supply
potential of the discoverable reservoirs, an analysis of the exploratory process is required, the process by which the geologist's list of prospects is transformed into an inventory of reservoirs to be developed, as determined by the reservoir analysis. By separating the discovery/development process in this fashion, an attempt is made to separate the geological characteristics of an area from the economic attractiveness of the area. The separation is not complete as the selection of the prospects to be drilled is influenced by the expected economics of the reservoirs to be discovered.
There is no basis for predicting how each of the geologic variables that characterize a reservoir will behave as an area is drilled up. By properly idealizing an area, however, we may learn how the most significant geological variable (which is a composite of a number of geological phenomena), the number of and size distribution of the individual reservoirs to be discovered, behaves as the exploration process matures. Such an idealization is a "play". A play is defined as a group of similar geological configurations, generated by a series of common geological events, forming a statistical population and conceived or proved to contain hydrocarbons. There is a substantial amount of work on the size-frequency distribution of reservoirs at the play level [9, 10], and we have some basis for predicting the size of discoveries to be made.
The size-frequency distribution of the discoverable reservoirs may be estimated directly from geologic and judgmental data [8, 12], or statistically as done by Kaufman and Barouch [2, 3]. The approach made here is an adaptation of the Kaufman-Barouch work. The analysis is based on two hypotheses, one about the nature of resource deposition and the other about the character of oil exploration. It is assumed that reservoir size, measured in
terms of recoverable reserves $r$, is a random variable, and that its density function is lognormal [2, 3, 9, 10]. That is, $\log r$ is normally distributed with mean $\mu$ and variance $\sigma^2$. To this hypothesis about nature is added an hypothesis about the process by which oil operators search for and find reservoirs. Following the work of Kaufman and others [2, 3, 9, 10], the exploratory process is characterized as one of random sampling, without replacement, in proportion to reservoir size $r$. With these hypotheses, it is possible to predict the density functions of future discoveries conditional upon the exploratory history already experienced. The mathematics and numerical analysis techniques necessary to do these computations are beyond the scope of this paper. See the work of Barouch and Kaufman [2].
For the purpose of the analysis, the North Sea was treated as one play, whose discovery history is that of Table 1. The discoveries of Table 1 can, however, be assigned to three distinct plays. We were restricted to a "one-play" analysis by the computational resource intensity of the statistical approach. Due to improved computational algorithms, we will be able to perform the three-play analysis of the North Sea shortly. A reordering of the discovery sequence of Table 1 will also be made prior to further analysis to adjust for the effect of government licensing policy on the discovery process.
The nature of the results is shown in Figure 2, which shows predictions of the next three discoveries. For example, the figure shows the rough shape of the density function for the 61st discovery and the conditional expectation of the size of the 61st discovery which, in this case, is 258 million barrels.
Figure 2 indicates how we calculate what output from a sequence of successful discoveries might be. Given an exploratory effort determined by government licensing policy as discussed in Section 2, the number of discoveries is determined by the geologic risk. The geologic risk results from the lack
FIGURE 2. THE SEQUENCE OF PREDICTIVE DISCOVERY DISTRIBUTIONS
of technology to determine, prior to drilling, whether a prospect is in fact a reservoir (i.e., contains hydrocarbons). In the area of analysis, approximately every fourth wildcat has produced a reservoir. We have assumed that this ratio will persist over the forecast period. The government-regulated exploratory effort of Section 2 and a geologic success ratio of 0.25 imply an expected rate of 11 discoveries per year in the North Sea until the economic incentive to further drilling is removed.
The economic risk results from the fact that some of the reservoirs to be discovered may not contain hydrocarbons in commercially attractive quantities. Therefore, recognizing the variability of actual reservoir size around the predictive mean, we need some indication of the expected number of barrels to be found in reservoirs of various sizes. Using the predictive density functions, we can calculate the "partial expectations" i.e., the expected number of barrels to be found in reservoirs of various sizes. In Table 4 below, four size categories have been calculated using the North Sea example. The table shows the partial expectations of the number of barrels to be discovered in each category in the next five successful exploratory wells. It is evident that most of the oil is expected to be found in larger reservoirs and that there is a process of "discovery decline" that governs the exploratory process.
The total increment of economic reserves in year $t$ consists of all current discoveries of oil in reservoirs which satisfy the MERS criterion plus any oil from earlier discoveries which for the first time satisfies this criterion. The cumulative inventory of submarginal reservoirs is thus monitored continuously as economic incentives fluctuate.
Table 4. Predictive Discovery Distributions, Oil and Gas, Millions of Barrels Oil Equivalent
| Size Category, k | Limits | Partial Expectation, $p_{ik}$ for discovery number |
|------------------|------------|---------------------------------------------------|
| | | 61 | 62 | 63 | 64 | 65 |
| 1 | 125 to 250 | 18 | 18 | 18 | 17 | 17 |
| 2 | 250 to 375 | 26 | 25 | 25 | 25 | 24 |
| 3 | 375 to 500 | 31 | 31 | 30 | 30 | 30 |
| 4 | over 500 | 176 | 173 | 169 | 166 | 163 |
| Expected Value, $E(r_i)$ | | 258 | 253 | 249 | 244 | 240 |
The fraction of gas in North Sea hydrocarbon reserves is about 23% [4, 12]. We assume that this ratio will stay constant and that the particular circumstances governing North Sea gas imply that gas can be disregarded in a MERS context. The results of the discovery analysis can then be summarized as done in Table 5 below under an expected $12 and $9 price scenario (mid-1976 dollars). The slow decline of the discovery decline function implies that the ultimate recoverable reserves estimate is fairly sensitive to price or MERS, i.e., the point at which the "discovery tail" is cut off.
Table 5
ESTIMATED ANNUAL DISCOVERIES OF RECOVERABLE RESERVES OF OIL (MILLIONS OF BARRELS)
| Price | Total | 1976 | 1977 | 1978 | 1979 | 1980 | 1981 |
|-------|---------|------|------|------|------|------|------|
| $9 | 5023 | 1911 | 1664 | 1448 | | | |
| $12 | 8459 | 1946 | 1694 | 1475 | 1284 | 1118 | 942 |
The resource base of the North Sea can then be summarized as consisting of 14.6 billion barrels of oil in existing reservoirs, 5.6 billion barrels in probable reservoirs, and 8.5 billion barrels in discoverable reservoirs at an expected price of $12 or 5 billion barrels in discoverable reservoirs if price expectations were an average $9 per barrel of oil. When we disregard the price sensitivity of the probable reserves, the ultimate recoverable oil reserves of the North Sea, or the sum of the three reserves categories is 28.7 billion barrels at an expected price of $12 and 25.2 billion barrels at a $9 price. The elasticity of the resource base within this price range is
thus about .42.
4. NORTH SEA OIL SUPPLY
The result of applying the disaggregated process model to our North Sea data base is indicated in Table 6. The result is, of course, influenced by subjective judgment and interpretation of the data base as well as of the government policy that will regulate the activity in the North Sea in the years to come.
The elasticity of supply of North Sea oil in 1985 is estimated at about .67 in the $9 to $12 price range. It is higher than the elasticity of the resource base of 0.42 because the discoverable reservoirs are smaller than the average for the existing reservoirs and are produced at a faster rate (higher rate of peak production). The elasticity of oil supply is, however, sensitive to the price range. In the $12 to $15 price range, the supply elasticity is only half as high as in the $9 to $12 range.
Table 6
NORTH SEA OIL SUPPLY ESTIMATES
(Million Barrels Per Day, 1976 Prices)
| | 1980 | | 1985 | |
|----------------------|------|-------|------|-------|
| | $9 | $12 | $9 | $12 |
| Existing Reservoirs | 2.89 | 2.89 | 2.39 | 2.39 |
| Probable Reservoirs | 0.32 | 0.32 | 1.43 | 1.43 |
| Discoverable Reservoirs | 0.47 | 0.48 | 1.68 | 2.87 |
| TOTAL | 3.68 | 3.69 | 5.50 | 6.69 |
The estimate of a supply elasticity of 0.67 is conservative as we have assumed away any price elasticity of existing and probable reservoirs. The degree to which we will experience extensions and revisions of existing reservoirs as well as having more recently discovered reservoirs added to the list of probable reservoirs is also a function of the prevailing price expectations. We are in the process of gathering data for an analysis of the elasticity of supply of these reservoir categories.
To increase the empirical validity of the analysis, we are presently gathering data that will allow us to more fully exploit the disaggregated model's ability to handle the complexity of the process of oil supply. As reported above, reservoir size only is determining development and operating costs. Additional data and engineering-type analysis will allow us to specify costs as a function of the five reservoir characteristics of Table 3 [5]. This is significant for the ability to explain costs as drilling is moved into deeper waters or a different environment. The rate of introduction of new technologies is also to be built into the cost equations. The emerging sub-sea completion technology may significantly affect offshore development costs in the years to come.
The discovery analysis as reported above allows us only to predict discoveries within the geographic location of a play. Prospect information is required to determine the likely location of new discoveries relative to existing discoveries and infrastructure. Prospect data would thus allow us to operate with a larger set of reservoir categories for MERS purposes.
The governments of the North Sea also have a number of participation options that affect the MERS as seen by a private operator. The British
version is neutral, the Norwegian version, however, "carried interest" participation, increases the MERS.
There is some administrative freedom in the fiscal regimes as they affect the North Sea activity. Tax and royalty reimbursement and direct and indirect subsidies are possible under the present regulatory regimes. These options may be exploited as the North Sea matures and may decrease the private MERS towards the social MERS. This effect may also be obtained by changing the structure of the fiscal system itself.
A reordering of the discoveries of Table 1 to adjust for the impact of government policy on the discovery process and estimating predictive discovery density functions for three separate North Sea plays are also likely to affect our forecasts, as will more recent discovery data and the likely discovery of additional plays. As an area matures, the geologic risk or the success ratio is likely to be affected. A more sophisticated analysis of the geologic risk and the rate of exploratory drilling is presently being undertaken. The last item on the list of immediate research tasks is the assumption of a constant gas/oil ratio and the economics of North Sea gas which affects the MERS of associated gas fields and the economic incentive to drill.
The single, most important event as far as North Sea supply is concerned, would be the drilling of the largest structure in the North Sea, lying on acreage held by the Norwegian government. This structure, if not dry, might contain 5 to 13 billion barrels of recoverable reserves and thus completely change the supply potential of the region [1]. While waiting for this structure to be drilled, the estimates of Table 6 are our best guesses as to the 1980 and 1985 supply of North Sea oil.
REFERENCES
1. Adelman, M.A. and H.D. Jacoby, "Alternative Methods of Oil Supply Forecasting", prepared for the International Energy Agency Workshop on Energy Supply in Paris, France, November 15-19, 1976.
2. Barouch, E. and G.M. Kaufman, "Oil and Gas Discovery Modeled as Sampling Proportional to Random Size", M.I.T. Sloan School of Management, Working Paper WP 888-76, December 1976.
3. Barouch, E. and G.M. Kaufman, "Probabilistic Modeling of Oil and Gas Discovery", in Energy: Mathematics and Models, SIAM Institute for Mathematics and Society, 1976.
4. Beall, A.O., "Dynamics of Petroleum Industry Investment in the North Sea", M.I.T. Energy Laboratory Working Paper No. 76-007, June 1976.
5. Beck, F.M. and K. Wiig, The Economics of Offshore Oil and Gas Supply, Lexington Press, Lexington, Mass., August 1977.
6. Eckbo, P.L., "Planning and Regulation in the North Sea", Northern Offshore, No. 9, September 1976.
7. Eckbo, P.L., H.D. Jacoby, and J.L. Smith, "Oil Supply Forecasting: A Disaggregated Process Approach", M.I.T. World Oil Project, Working Paper No. MIT-EL 77-007WP, February 1977.
8. Ivanhoe, L.F., "Economic Feasibility Appraised for Petroleum Search in Remote Regions", The Oil and Gas Journal, December 20, 1976.
9. Kaufman, G.M., "Statistical Analysis of the Size Distribution of Oil and Gas Fields", in Symposium on Petroleum Economics and Evaluation, AIME; 1965.
10. Kaufman, G., Y. Balcer and D. Kruyt, "A Probabilistic Model of Oil and Gas Discovery" in Studies in Petroleum Exploration, No. 1 AIME; 1975.
11. Lovegrove, M., "The Development of Oil and Gas Reserves on the UK and Norwegian Sectors of the Continental Shelf Off North-West Europe", Paper presented to an OECD Workshop, November 1976.
12. M.I.T., World Oil Project, Supply Analysis Group, "Supply Forecasting Using Disaggregated Pool Analysis", M.I.T. Energy Laboratory Working Paper No. 76-009WP, May 17, 1976.
13. "Petroleum Economist" August 1976, p. 316.
14. Wood, Mackenzie & Co., "Section 2 of the North Sea Service", Edinburgh, June 9, 1976.
15. Wood, Mackenzie & Co., "North Sea Report", Edinburgh, May 14, 1976.
16. Wood, Mackenzie & Co., "North Sea Report", Edinburgh, February 1977. |
A special meeting of the Board of Directors (the “Board”) of the Aerotropolis Regional Transportation Authority (the “Authority”) was held on Wednesday, June 23, 2021, at 11:00 a.m. Due to the current events and advice from local, state and federal jurisdictions related to COVID-19, this meeting was held via Microsoft Teams.
**Directors In Attendance Were:**
Matthew Hopper, Chairman
Dave Gruber, Vice-Chairman
Steve O’Dorisio, Treasurer
Curtis Gardner, Secretary
The absence of Director Tedesco was excused.
**Also In Attendance via Microsoft Teams Were:**
Lisa Johnson and Nic Carlson; CliftonLarsonAllen LLP
Rick Gonzales; Marchetti & Weaver LLC
Tom George and Nicole Detweiler; Spencer Fane LLP
Jon Hoistad; McGeady Becher P.C.
Jim Mann; Ehlers
Jason Batchelor, Michelle Gardner and Brian Rulla; City of Aurora
Tony DeVito and Tony Felitsky; AECOM
Michael Baldwin Sr. and Aliraza Hassan; Jefferies LLC
**Call to Order:** Chairman Hopper called the meeting to order at 11:13 a.m.
**Disclosures of potential conflicts of interest:** It was noted that disclosures have been filed.
The Board acknowledged the appointment of Curtis Gardner as the City of Aurora’s alternate Board Member and the City’s 2nd member to the ARTA Board.
**Quorum, location of meeting, posting of meeting notices, and agenda:** It was noted that a quorum was present. The location of the meeting and the posting of meeting notices were confirmed. Upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board approved the agenda as amended.
Appointment of Curtis Gardner: Upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board appointed Curtis Gardner as Secretary.
Public Comment: There were no public comments.
Minutes from the May 26, 2021 Special Board Meeting: Upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board approved the Consent Agenda as presented.
Progress report from AACMD regarding the design and construction of the Authority’s Regional Transportation System, and discussion and possible action concerning the same: Mr. DeVito presented the AACMD Progress Report to the Board.
ARTA Project Status:
- Infrastructure work approaching completion on: TAH Parkway/Northbound Main St/42 Ave/Reserve Blvd and H St (formerly Hogan Park St).
- Paving has been completed on:
- TAH Parkway from Main to Denali
- NB Main St from 26th Ave to 42nd, NB side final SMA complete from 26th Ave to south of Pkwy, temporary top mat placed from south of Pkwy to 42nd Ave.
- 42nd from Main to Reserve Blvd
- Denali from 42nd to roundabout at TAH Parkway.
- Reserve Blvd from 38th Pkwy to 42nd
- H St (formerly Hogan Park Blvd) from 38th Pkwy to TAH Pkwy
- Sidewalk and trail construction are ongoing along 42nd Ave east of Denali, Reserve Blvd, and H St with scheduled completion by mid May 2021.
- Construction continues for TAH Pkwy (bridge structures including H St. bridge) east of Denali and Tributary T channel grading and drainage, water quality ponds, concrete trail. TAH Pkwy and Tributary T scheduled substantial completion pushed back a month to September 2021.
- E470 Interchange: Design continues to progress over the next 30 days with anticipated final PS&E package now in August 2021. Proposed architectural presentation on structure aesthetics to E470 Construction Committee on May 27th was well received and followed will a full presentation to the E470 Board on June 10th. (Aesthetic Options presented will be shared) Board gave head nod to E470 staff and
ARTA to proceed with negotiations on specific aesthetic options and most importantly ownership and maintenance IGAs for said improvements.
- I-70 Harvest Rd Interchange: Conversation continue monthly on TDM approach, based on the Transportation Demand Management Analysis Memorandum, previously presented, that HDR prepared. The fundamental recommendation of the memorandum is the creation of or expansion of an existing Transportation Management Association (TMA) or Organization (TMO). Roadway and bridge designs continue to progress over the next 30 days. Negotiations with UP are progressing well with notice this month that their consultant was finishing up the variance request for the crossing at Smith Road.
- Powhaton Road Design: Conceptual design underway with emphasis to look at intersection options that best connects 26th, TAH, Harvest and Powhaton. Meeting with the City of Aurora Traffic, on June 28th to present these various options.
- 26th Avenue Main St to Harvest: Conceptual design underway.
- 38th Avenue: The project has been split into three portions (1. Piccadilly-Tibet; 2. Tibet-E470; 3. Odessa -Piccadilly) to expedite plan approval and facilitate potential construction (by others) of the portion between Piccadilly and Tibet. Phase two Infrastructure plans have been submitted to City of Aurora for review and design team is responding to comments received. Phases three Infrastructure plans are 90% complete with outstanding items related to Tributary T and First Creek crossings and CLOMR process has begun. Grading and some paving of portion 1 was started by Majestic’s Metro District and now completed. Grading of the northern section of portion from Himalaya to Odessa by TCMD. Water line work has been broken out of Construction Drawings and has begun. Design is projected to progress over the next 30 days. AACMD continues to work with ARTA’s counsel and the City to coordinate responsibilities and commitments along the corridor.
**Project costs associated with the Authority’s Regional Transportation System:** After discussion, upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board approved the Engineer’s Report and Verification of Costs No. 25 associated with the Authority’s Regional Transportation System, as presented.
**Planning, design and construction of Authority’s Regional Transportation System and related matters:** Not discussed.
Aurora Highlands Development – Carla Ferreira: Ms. Ferreira communicated to Chairman Hopper that she would not be attending the meeting and would send a written report for transmission to the Board after the meeting.
City of Aurora Development Review – Jason Batchelor: Mr. Batchelor provided a brief update on the mass grading effort related to the Aurora Highlands Development to the Board. President Hopper then reported that the City recently participated in a meeting with the following builders: 1) Taylor Morrison, 2) Bridgewater, 3) DR Horton, 4) Century Communities, 5) Tri-Pointe, and 6) Richmond. The meeting focused on the mass grading effort and building permit process.
May claims totaling $16,175.03: Mr. Gonzales presented the May claims to the Board. Upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board approved the May claims totaling $16,175.03, as presented.
May 31, 2021 Financial Statements: Mr. Gonzales presented the May 31, 2021 Financial Statements to the Board. Upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board accepted the May 31, 2021 Financial Statements as presented.
2020 Audit: Mr. Gonzales reviewed the 2020 Audit with the Board. Following discussion, upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board accepted the 2020 Audit.
AACMD Draw Request(s): Mr. Gonzales reviewed the Draw Request with the Board, totaling $160,872.40. Following discussion, upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board approved the AACMD Draw Request No. 36 in the amount of $160,872.40.
2021 Bond Issue: Mr. Mann provided an update on the 2021 bond issuance.
Mr. Mann then announced that Ehlers will be closing its office in Colorado effective August 27, 2021. He and Ms. Buck will no longer be employed by Ehlers. Mr. Mann will introduce an Ehlers’ representative prior to that date who will work with ARTA to finalize the bond transaction.
Chairman Hopper responded with his disappointment to hear this news and thanked Mr. Mann and Ms. Buck for their hard work and dedication to ARTA over the last several years. Other Board Members expressed the same thoughts
and comments. Chairman Hopper suggested Mr. George draft an RFP for the services currently provided by Ehlers for Board review at a future meeting. The Board agreed.
**Authority Manager Report:** There were no items to report. Vice-Chairman Gruber asked management staff to conduct a thorough review of the ARTA website as he has discovered several broken links in the information on the website.
**Matters Presented by Authority Manager:** None.
**Other:** None.
**Authority Legal Counsel Report:** There were no items to report.
**Contracts, intergovernmental agreements and other legal arrangements related to the planning, design and construction of the Authority’s Regional Transportation System and related matters:** Mr. George reported that he continues to work with the entities on the draft agreements. The Board deferred action at this time.
*Agreement with Green Valley Ranch East Metropolitan District Nos. 6-8 Regarding ARI Mill Levies:* This item was deferred.
*Agreement with Green Valley Ranch East Metropolitan District No. 6 Regarding Project Construction and Funding:* This item was deferred.
*Agreement with ATEC Metropolitan District Nos. 1-2, and AACMD regarding ARI Mill Levies:* This item was deferred.
**Other:** None.
**Quorum for July 14, 2021 and July 28, 2021 Regular meetings:** The Board confirmed a quorum for the June 9, 2021 and June 23, 2021 regular meetings.
Upon a motion duly made by Vice-Chairman Gruber, seconded by Treasurer O’Dorisio and, upon vote, unanimously carried, the Board entered into executive session pursuant to Sections 24-6-402(4)(b) and (e), C.R.S., to confer with legal counsel on specific legal matters and questions, and to determine positions relative to matters that may be subject to negotiations, develop strategy for negotiations, and instructing negotiators on matters related to the financing of the Authority’s Regional Transportation System at 12:16 p.m.
Upon a motion duly made by Chairman Hopper, seconded by Vice-Chairman Gruber, the Board adjourned the executive session at 1:17 p.m.
No action was taken.
**ADJOURNMENT**
As there were no further matters to discuss, upon a motion duly made by Chairman Hopper, the meeting was adjourned at 1:19 p.m.
Respectfully submitted,
[Signature]
Curtis E. Gardner
Secretary for the Meeting
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A Lisp pretty printer is presented which makes it easy for a user to control the format of the output produced. The printer can be used as a general mechanism for printing data structures as well as programs. It is divided into two parts: a set of formatting functions, and an output routine. The user specifies how a particular type of object should be formatted by creating a formatting function for the type. When passed an object of that type, the formatting function creates a sequence of directions which specify how the object should be printed if it can fit on one line and how it should be printed if it must be broken up across multiple lines. A simple template language makes it easy to specify these directions. Based on the line length available, the output routine decides what structures have to be broken up across multiple lines and produces the actual output following the directions created by the formatting functions. The paper concludes with a discussion of how the pretty printing method presented could be applied to languages other than Lisp.
This report describes research done at the Artificial Intelligence Laboratory of the Massachusetts Institute of Technology. Support for the laboratory's artificial intelligence research has been provided in part by the Advanced Research Projects Agency of the Department of Defense under Office of Naval Research contracts N00014-75-C-0643 and N00014-80-C-0505.
The views and conclusions contained in this paper are those of the author, and should not be interpreted as necessarily representing the official policies, either expressed or implied, of the Department of Defense, or the United States Government.
© MASSACHUSETTS INSTITUTE OF TECHNOLOGY 1982
Introduction
Most pretty printers are used solely for formatting program text. They typically operate by reading in a file of program text and producing a formatted text file as output. In general, they have built-in knowledge specifying how each syntactic structure in the programming language should be formatted and do not give the user any significant control over the format of the output produced [1, 2, 4-9]. With such a pretty printer, the lack of user format control mechanisms is tolerable because in most cases the user cannot define any new language constructs and therefore the implementors of the printers can predict in advance all of the structures which the printer can encounter (and though there is no firm consensus on how these structures should be formatted it is possible to select reasonably acceptable formats).
Some pretty printers (such as the Lisp printer presented here) are used as part of the programming environment to display information to the user rather than as text file processors. (Note that an inherent limitation of such printers is that they cannot operate on parts of a program (such as comments) which appear only in text files.) These pretty printers do not have to be relegated solely to printing programs. They can be just as useful for printing data structures. If a pretty printer's use is extended to user defined data structures, user format control mechanisms become essential because it is no longer possible to predict what structures will be encountered.
Extending pretty printers to deal with data is important because user defined data structures are central to almost any program. When debugging a program, a programmer needs to be able to look at various data items. Every interactive programming environment supports the display of the simple atomic data values supported by the language (such as numbers and strings). However, most environments are not prepared to print out the contents of complex user data structures in any useful way.
User defined data abstractions are typically implemented by combining together primitive data structures (e.g. vectors, record structures, and pointers). A pretty printer can be extended to deal with arbitrary user data abstractions by adding print formats for each basic data structure. For example, record structures might be printed as `<field1 field2 ...>` with each field printed on a separate line if the structure cannot be printed on a single line. Vectors could be printed analogously as `[item1 item2 ...]`. Pointers could be printed as `@` followed by what they point to. Suppose that a user has defined a data abstraction which is implemented as a record structure with several fields, one of which is a vector of pointers to records. Using the above default formats, an instance of this abstraction would be printed as follows (assuming that several lines had to be used to print it).
```
<field
field
[@<field ...>
@<field ...>
...]
...
>
```
Unfortunately, this simple approach is not very satisfactory. The direct display of the underlying data structure which implements a data abstraction is not liable to capture the user's idea of what the data abstraction means. For example, some components of the data structure may not be very important and should not be displayed at all. Other kinds of data structure components (for example, circular pointers) cannot be displayed literally and must be abbreviated in some way. Alternately, it may be useful to print out some additional quantities which, though not actually in the structure, are useful for understanding the structure (for example, the names of the fields or derived values computed from the field values).
A collateral advantage of the rigid output format initially proposed is that it can be built into the reader as well as the printer so that it is possible to recreate a data structure by reading in its printed representation. In
order to maintain this readability property when fields are being omitted, abbreviated, and/or added in the printed representations for data structures, the user must be careful to insure that no information is actually being lost, and the reader must be modified to take these special printed representations into account. In Lisp programming environments (for example [10]), this kind of reader modification is usually possible though not necessarily easy. It should be noted that in general it is much more important to print out a data structure in a form which can be easily read and understood by the user than to print it out in a form which can be read by the reader.
Another serious problem with the simple output scheme proposed above is that the kind of default formatting rules proposed almost never lead to output which is aesthetic. The visual appearance of a data structure has a very important effect on its understandability. Perhaps different delimiters or indentation would make the data structure more readable. Perhaps the first two fields are closely related and should always be printed on the same line. Perhaps the structure as a whole has two quite separate logical parts which should always be printed on two lines.
In order to deal with these problems, it is essential that the user be able to control how individual data abstractions are to be printed. The pretty printer for Lisp presented in this paper allows the user to specify for each type of data structure both what components to print, and how these components should be formatted. If the printer is used as the standard printer, then the user will be able to inspect his data structures and see them printed out aesthetically at all times.
Pretty printers are typically conceived of as system utilities for displaying information to the user. However, a pretty printer can be much more useful if it can also be used as an output facility which is called directly from user programs. The advantage of this is that it makes available a new paradigm for specifying output format.
Most high level languages have facilities for specifying how output is to be formatted on the page (e.g. the Fortran FORMAT statement). In general, these facilities are oriented toward printing data structures whose shape is known in advance on a page whose width is known in advance. There are usually no facilities which deal with variability in either the shape of the data or the width of the page. If either of these has to be parameterized, then the programmer has to write code which computes how each particular data structure should be formatted.
Pretty printers are specifically designed to deal with variability in the data and in the space available. When using a pretty printer, instead of specifying a format for the output as a whole, the programmer specifies individual formats for each of the intermediate structures which can occur in the object to be printed. These formats do not have to be particularly concerned with either the line width or how the intermediate structures will be combined together. When printing a structure, the pretty printer automatically combines the individual formats and decides where to insert line breaks and blank space in order to make its output fit readably in the space available.
The sections below describe how a particular Lisp pretty printer (GPRINT) provides for user format control and discuss some of the general issues involved. GPRINT was originally implemented in 1975 as an attempt to improve on an earlier pretty printer implemented by Goldstein [3]. Goldstein's pretty printer is one of the few pretty printers which does include mechanisms providing significant user control over the format produced. Unfortunately, the mechanisms he provides are at the same time complex to use and not very powerful. GPRINT has been rewritten four times most recently in 1981 in a continuing attempt to create a user controllable pretty printer with very good human engineering.
GPRINT is written in Lisp, and was developed in the context of a Lisp programming environment. The Lisp language is used in this paper to display parts of the pretty printing algorithm and Lisp lists are used in examples of how objects are printed. This is done because Lisp has several features which make the
implementation and explication of a pretty printer particularly easy. However, it should be noted that the ideas embodied in GPRINT are not limited to the Lisp domain. In particular, these ideas grow principally out of the requirements for a highly interactive programming environment, rather than out of the Lisp language. The last section of this paper discusses what would be required in order to implement a similar pretty printer for a programming environment other than Lisp.
An Example
Before looking at GPRINT in detail, consider the following example. Suppose a user has defined a data abstraction called NAMED-FORM with four parts: a FORM, which is some arbitrary Lisp expression; a ROOT, which is an identifier associated with the FORM; a SUFFIX, which is used to disambiguate forms which have the same ROOT; and a PARENT, which is a circular pointer pointing up to the NAMED-FORM data structure which contains this one. Together the ROOT and the SUFFIX are a unique name for the FORM. The PARENT links make it possible to go backwards from a NAMED-FORM to the NAMED-FORMs containing it.
The function definitions below implement access functions and a constructor function for this data abstraction implemented as a list. Following common Lisp programming practice, the symbol NAMED-FORM is put in the CAR of this list so that instances of the data type can be recognized at run time.
```
(defun form (x) (cadr x))
(defun root (x) (caddr x))
(defun suffix (x) (cadddr x))
(defun parent (x) (car (cddddr x)))
(defun create-named-form (form root suffix parent)
(list 'named-form form root suffix parent))
```
If nothing more is said, then NAMED-FORMs will be printed out in the default format for lists as follows:
```
(NAMED-FORM (+ A B) ARG 1 ...)
```
There are several problems with this. First, there is no good way to print the circular parent pointer (it is elided as "..." above). Even if some mechanism is used to keep the print form finite, it will probably be too large to be readable. Second, the CAR of the list is important for computational reasons but it is not a logical part of the structure. One might well consider that seeing it printed out is a distraction. Third, the way the remaining three parts of the structure are printed out does nothing to indicate their logical roles in the structure. As a result, it is hard to see what is what.
The following example shows one way in which NAMED-FORMs could be more aesthetically displayed.
ARG1: (+ A B)
The FORM is printed out preceded by a tag formed by printing the ROOT and SUFFIX as a single unit followed by a colon. Note that you would not want to store the ROOT and the SUFFIX as a single unit because it is computationally expensive to break them apart. However this is easy for your eye to do. The PARENT pointer is not printed at all.
The following format definition could be used to specify to GPRINT that NAMED-FORMs should be printed out in the above way. The expression (DEFUN (symbol :GFORMAT) (arg) body) defines the body as a formatting function which will be used to format lists with the indicated symbol as their CAR. When passed such a list, the function creates a sequence of formatting instructions specifying what should be printed corresponding to the list. Formatting functions can be quite complex. However, in this example, the formatting function simply selects three of the components of the data structure and calls the function GF (short for GPRINT-FORMAT) in order to create the formatting instructions.
(defun (named-form :Gformat) (x)
(GF "{2 * * ':' - *}" (root x) (suffix x) (form x)))
The function (GF template arg1 arg2 ...) creates a sequence of formatting instructions for its arguments based on directions specified by the template. (Templates are discussed in detail below.) The template in this example can be understood as follows: The { and } specify that the components between them should be treated as a single logical unit when they are printed out. The 2 after the { specifies that an indentation of 2 should be used inside this structure if it has to be broken up across multiple lines. The three *s show where the three components of the data structure should be printed. The ':' specifies that a colon should be printed after the SUFFIX. Finally, the - specifies a conditional line break. If the whole structure will not fit on one line, then a line break will be inserted at that point. Otherwise a space will be printed.
It is important to realize that the format does not just specify how an individual NAMED-FORM should be printed in isolation. It is used as part of the specification of how complex data structures containing NAMED-FORMs should be printed. For example, a list of two NAMED-FORMs would be printed as follows:
(ARG1: (+ A B)
CALLER3: (- (+ A B) C))
The example assumes that in order to fit the structure into the space available for printing, it had to be broken up across two lines. The outermost set of parentheses and the fact that the two NAMED-FORMs are lined up vertically is controlled by the standard format for lists of data. The individual NAMED-FORMs are formatted as specified above.
The Basic Algorithm
The central feature of the algorithm used by GPRINT is that the pretty printing process is divided into two parts as shown in Figure 1. The formatting routine takes an object and creates a sequence of formatting instructions specifying what to print. These instructions specify how each part of the object is to be printed if it will fit on one line, and how it should be printed if it must be broken up across multiple lines. This information is passed to the output routine as a sequence of entries in a queue. The output routine operates as a coroutine processing the queue entries as they are created. It decides how to fit things into the actual space available and then prints them.
Figure 1: Architecture of the basic pretty printing algorithm.
The importance of dividing the algorithm into two parts comes from the fact that it allows a complete separation between format specification and the output computation. The output routine is complex and computation intensive. Taken separately, it can be designed to be efficient without compromising the need for the formatting process to be as clear and simple as possible. Similarly, when designing the formatting routine and the user format control mechanisms it is possible to concentrate on providing a powerful and convenient interface to the user.
The basic algorithm described above has been independently developed by several people [4, 7] in addition to the author. However, the formatting routines in these other pretty printers are very primitive. They include only a small set of canned formats and do not allow for user format control. In [7], Oppen gives a lucid description of the way the output routine operates. His discussion centers on the fact that if the lookahead used by the output routine when processing queue entries is appropriately limited, then the computation time required by the output routine is linear in the number of queue entries created by the formatting routine. The only difference between his output routine and GPRINT's output routine is that GPRINT's queue entries are more general. This paper focuses on the unique aspect of GPRINT -- the way the formatting process allows for user format control.
The Structure of the Formatting Routine
The structure of the formatting routine is based on the idea that any object to be printed by GPRINT can be viewed as a directed graph where each terminal node is a primitive data object (such as a number or a symbol) and each non-terminal node is a composite data structure (such as a list or array). The formatting routine is organized around a central dispatching function (GDISPATCH). At each node, GDISPATCH selects and calls an appropriate formatting function based on various features of the node (such as its data type). The formatting function takes the node as its argument and pushes entries onto the queue which specify what to print and how it should be formatted. Typically, formatting functions call the dispatching function recursively in order to format the composite components of the node.
Consider the following simplified version of GDISPATCH. This version of GDISPATCH assumes that the item to be formatted must be either a number, a symbol, a string or a list. It first tests the data type of the item. If it is not a list then ATOM-FORMAT enters it directly into the queue as something to be printed out. If the item is a list then GDISPATCH looks at the CAR of the list in order to pick a specific formatting function to call. The association between list CARS and formatting functions is recorded by storing the function as the :GFORMAT property of the CAR.
```lisp
(defun Gdispatch (x)
(cond ((not (listp x)) (atom-format x))
((not (symbolp (car x))) (funcall Gnon-symbol-car-format x))
(((get (car x) ':Gformat)) (funcall (get (car x) ':Gformat) x))
(((fboundp (car x)) (funcall Gfn-format x))
(T (funcall Gsymbol-car-format x))))
```
If there is no special formatting function for a list then GDISPATCH uses either a default format for function applications or a formatter for data lists (these formatters are discussed further below). These default formatters are stored in special variables so that they can be easily modified by the user. In a Lisp system there is no definitive way to distinguish the representation of a function call from other kinds of list data. As a heuristic, GDISPATCH looks to see whether the CAR of the list is the name of a currently defined function.
The actual version of GDISPATCH used by GPRINT is much more general than the one presented here. First, it can dispatch on additional features of a list other than its CAR. Second, you can specify a specific format to use when calling GPRINT which will override any dispatching. Third, GDISPATCH dispatches on many other data types as well as lists (for example, arrays). The user format control mechanisms described here are extended so that they are applicable to these other data types. This is discussed in more detail below.
An important thing to keep in mind about formatting functions is that they do not print anything -- rather they specify a set of directions to be followed when GPRINT prints an object of the associated type. In order to print something you call the function GPRINT. It calls GDISPATCH which calls formatting functions which create queue entries which are interpreted by the output routine in order to determine what to print. It is the output routine which actually does the printing.
How The Queue Entries Specify Formatting Options
In order to fully understand how formats are specified, it is important to understand the entries which are pushed onto the queue. These entries are designed to be a concise language for specifying formatting options. The entries encode two pieces of information: what should be printed if an object can be printed on a single line, and what line breaks and indentation should be used if the object will not fit on one line. The following table describes the basic queue entries.
'literal' - Print the literal text between the apostrophes in the output.
_n_ - (Underscore) Print n (default 1) spaces in the output. The argument can be negative in which case the printing point moves left but only if there is sufficient blank space to back up over.
{n } - These two entries mark the beginning and end of a group of queue entries which form a substructure in the output. This substructure is treated as a single unit when decisions about where to insert line breaks are made. The number following the open bracket specifies how much the indentation should be increased while printing items inside the substructure when they will not fit on a single line. It can be omitted in which case it defaults to the sum of the lengths of the first three things printed in the substructure.
+n - (Plus) This specifies a change in indentation. The indentation level in the current substructure is incremented by n (default 1) which can be negative.
-n - (minus) A conditional line break. Put a line break in the output if the structure immediately containing this entry cannot be printed on a single line. Otherwise, print n (default 1) spaces in the output.
! - Always put a line break here.
As an example of how formatting information is encoded in queue entries consider the NAMED-FORM example used above. When GPRINT is used to print the list (NAMED-FORM (+ A B) ARG 1 ...) the formatting routine calls the specially defined formatting function (reproduced below).
```lisp
(defun (named-form :Gformat) (x)
(GF "{2 * * ':' - *}" (root x) (suffix x) (form x)))
```
Based on the template, the call on GF creates the following queue entries (assuming for simplicity in this example that (+ A B) is formatted as a single atom).
\[
\{2 'ARG' '1' ':' - '(+ A B)' \}
\]
The output routine processes these queue entries as they are created. It lets the entries corresponding to a structure collect in the queue until it can determine whether or not there is enough room to print the structure on a single line. If the available space is long enough then the entire structure will be printed on a single line as follows:
**ARG1:** (+ A B)
If there is not enough room then the structure will be broken up. The - queue entry indicates that in this case a line break should be inserted before (+ A B). The indentation increment specifies that the indentation should be increased by two after the line break.
**ARG1:**
(+ A B)
If there is not enough room to print the two line form, then there is no way to print out the structure which is consistent with the queue entries. This is an example of the finite line length problem. Pretty printers in general suffer from this problem and there is no simple solution to it. However, the problem is usually not severe as long as the line length available for printing is several times larger than the largest indivisible item which must be printed on a single line. GPRINT has a number of built-in features (discussed below) which try to ameliorate this problem by keeping the indentation small in order to maximize the line length available.
Formatting Templates
Queue entries are created exclusively through the use of the function (GF template arg1 arg2...). GF matches its template against zero or more arguments and produces a series of queue entries. Each template is a string built up out of formatting codes. There are two sets of codes. The first set corresponds exactly to the queue entries described in the last section (i.e., 'literal', _n, {n}, +n, -n, and !). The second set of codes specifies how the template is to be matched against the arguments to be printed. These are described in the table below:
* - Call GDISPATCH to determine how to format this object. If it is an atom then this creates a literal queue entry for it. For example, (GF "*" 'ARG) is the same as (GF "'ARG").
I - Ignore the corresponding object.
[subtemplate] - The part of the object being formatted which corresponds to this part of the template must be a list. It is decomposed into its elements. The template between the square brackets specifies how these are to be formatted. For example, (GF "[*_*_*]" '(1 (2 3))) is the same as (GF "*_*_*" 1 2 3). Processing of a subtemplate between [] terminates immediately as soon as the corresponding list is exhausted. For example, (GF "[*:*:*]" '(1)) is the same as (GF "*" 1) and not (GF "*:*" 1). The [] codes have meaning only to GF and do not by themselves create any queue entries.
. - (Period) Valid only inside []. It specifies that the next item is the whole sublist left to process by [] rather than its CAR. For example, (GF "[*_.*]" '(1 2)) is the same as (GF "*_*" 1 '(2)).
< > - This is used inside of [] to specify a template for a list of unknown length. The part of the template between the angle brackets is taken as repeating indefinitely, creating a subpattern of infinite length. For example, "[<_>]" is the same as "[*_*_*_*_*_*_*_...]".
(n subtemplate) - This is an abbreviation for {n '('[subtemplate]'')}. This combines together three ideas. First, it specifies that the list should be treated as a single structure in the output. Second, it specifies that parentheses should be printed as delimiters around the list. Third, it specifies that the list should be decomposed using the subtemplate to specify how its components should be formatted. This format code is a useful abbreviation because many list formats share these ideas.
The number after the open parenthesis specifies the indentation increment to use in the substructure. It can be omitted in which case it defaults to the sum of the lengths of the first three entries in the substructure. In this case the first entry is always an open parenthesis. Typically the second entry will be the first item in the list and the third one will be some amount of blank space after the first item.
# - This can be used in place of an argument to any formatting code (e.g. _, (), +, or -). It specifies that the value is to be taken from the next input to GF. For example, (GF "'A'_#'_B'" 6) specifies that 6 spaces should be printed out between the A and the B.
blank - White space can be inserted into a template to give it added readability. It has no meaning in the template.
Consider again the simple template ("{2 * * ':' ~ *}") used in the examples above. The three *s match against the three arguments to GF causing GDISPATCH to be called on each one in turn. The rest of the format codes directly specify queue entries.
Simple Formatting Functions
This section continues the presentation of formatting templates by discussing several standard Lisp program formats. In GPRINT the user format control mechanisms are used to specify all of the standard program formats. This adds greatly to the clarity of the pretty printing algorithm by separating the format specification from the rest of the algorithm. It also makes it possible for the user to modify the way programs are printed by changing the standard formats. It should be noted that in Lisp, programs are represented as lists and are treated just like any other data object. All the mechanisms which allow the user to control the format of program lists can be used to control the format of data structures implemented as lists.
Lisp function applications are traditionally formatted so that they are printed on a single line or, if there is not enough room, so that the arguments are lined up vertically one to a line. The following function is used as the default value of the variable GFN-FORMAT which controls how function applications are formatted. The example printout shows how a function application looks when it has to be printed on more than one line.
```
(defun :Gfn-format (x) (GF "(*_ <*->)" x))
(LIST Y
Z)
```
The template matches against the list as a whole, printing parentheses around it in the output. The indentation increment is left unspecified so that it will default to the length of the function name plus two (one for the open parenthesis and one for the space printed after the function name). This causes the arguments to line up one under the other. After the function name is printed out followed by a space, the repetitive portion of the template specifies a conditional line break after each argument in the function application. Note that GDISPATCH is called (via the * format code) in order to determine how to format each argument.
Lisp assignments are typically formatted so that each successive variable/value pair appears on a separate line. This can be specified by using the ! format code in a template as shown. The following DEFUN sets up a formatting function which specifies that this format should be used for lists which begin with the atom SETQ.
```
(defun (setq :Gformat) (x) (GF "(*_ <*_!*>)" x))
(SETQ Y 1
Z 2)
```
This template is very similar to the one for function applications. The only difference is that the repeating portion of the template specifies that the arguments are to be formatted in pairs with a mandatory line break after each pair. This forces each pair to appear on a separate line even when the entire SETQ could fit on a single line. Note that there is no line break before the close parenthesis after the last pair because processing in a subtemplate for a list stops immediately as soon as the elements of the list are exhausted.
The LET construct is used to bind a group of variables to initial values and then execute a sequence of statements in this environment. Typically, the variable binding pairs are printed one to a line and the statements are printed one to a line. A small indentation is used for the statements in order to visually differentiate them from the bound variable pairs and in order to keep the total indentation small.
```lisp
(defun (let :Gformat) (x) (GF "(2 *- (1 <*!>) <-*>)" x))
(LET ((Y 1)
(Z 2))
(CONS Y Z))
```
The template specifies an explicit indentation of 2 for the statements in the LET. After the atom LET itself is printed out, a subtemplate specifies how the list of bound variable pairs should be formatted. Here an explicit indentation of 1 is used so that they will line up one under the other. A ! format code is used to force each one to appear on a separate line. The final repetitive portion of the template as a whole specifies a conditional line break before each statement in the LET. Note that if there is only one bound variable pair this allows the let as a whole to be printed on a single line if it will fit.
Conditional expressions are formatted so that each clause of the conditional appears on a separate line. Each clause is composed of a predicate followed by a sequence of statements. If a clause will not fit on a single line, the predicate and statements are printed out one under the other.
```lisp
(defun (cond :Gformat) (x) (GF "(*- < (1 <*->) ! > )" x))
(COND ((MINUSP Y)
(- Y))
(T Y))
```
In this template the repetitive portion of the template as a whole consists of a subtemplate for the clauses and a ! format code which forces each clause onto a separate line. The subtemplate specifies an explicit indentation of 1 and a conditional line break after each expression in the clause.
The following formatting function for MULTIPLE-VALUE-BIND illustrates the use of the + format code. In order to highlight the difference between them, the form which returns the multiple values is printed at an indentation of 4 while the statements which use the bound values are printed at an indentation of 2. The indentation is initially specified as 4. The subtemplate then prints out the list of bound variables. After the multiple value returning form is printed the indentation is decremented by 2. The repetitive portion of the template then prints out the remaining forms one to a line at an indentation of 2.
```lisp
(defun (multiple-value-bind :Gformat) (x) (GF "(4*- (<*->) ~* ++2 <-*>)" x))
(MULTIPLE-VALUE-BIND (SYMBOL ALREADY-THERE-P)
(INTERN STRING)
(COND (ALREADY-THERE-P (ERROR "Symbol already there: " STRING)))
SYMBOL)
```
As a final example, consider the function QUOTE. A list which begins with the atom QUOTE is not printed with parentheses around it. Rather, the argument to QUOTE is printed out following a "'". The example shows the way the list (QUOTE A) is formatted.
\[
\text{(defun (quote :Gformat) (x) (GF "{''''[I *J]" x))}
\]
'A
The template sets up a substructure and prints a "''" (inside of a literal in a template, "''' stands for "'"). It then prints out the argument to QUOTE. Note how it uses the format codes [] and I in order to select out this argument.
**More Complex Formatting Functions**
A wide variety of formats can be specified using simple formatting functions like those above which contain only a single call on the function GF. However, these formats are restricted in several ways. In particular, with these simple formatting functions it is not possible to vary the format based on the actual data values in a structure. More complex formats can be specified by taking advantage of the fact that a formatting function can contain arbitrary computation.
For example, consider the following way in which the format for NAMED-FORMS could be extended. Suppose that the suffix field in a NAMED-FORM is optional and that a value of NIL indicates that there is no suffix. In this case we do not want to print the suffix at all. The example shows how the list (NAMED-FORM (+ A B) ARG NIL ...) should be printed.
\[
\text{(defun (named-form :Gformat) (x)}
\]
\[
\text{(GF "{2 *" (root x))}
\]
\[
\text{(cond ((not (null (suffix x))) (GF "*" (suffix x))))
\]
\[
\text{(GF "'::-*)" (form x)))}
\]
ARG: (+ A B)
In the above format definition the single template used in the format definition in the beginning of this paper is broken into three pieces. A conditional test is inserted so that printing of the suffix only occurs when it is non-null. The { and } indicating the beginning and end of the substructure of queue entries being created are specified in separate calls on GF. This is a common occurrence and is in contrast to [] (and therefore ()) which must be properly nested in a single call on GF.
Of all of the formats in this paper, this is perhaps the best example of the way GPRINT is typically used. Some simple templates are combined with some simple computation in order to define a flexible and aesthetic format for a data object.
Block Form and Tabular Form
In order to save space, long lists of data are often formatted in block form where as many items as possible are put on each line. The language which is used to create formatting templates has two format codes which are useful for specifying this kind of format.
, n - (Comma) A line break is inserted here if and only if the structure immediately following this code will not fit on the end of the current line. Otherwise \( n \) (default 1) spaces are printed.
; n - (Semicolon) This is the same as the comma format except that additional spacing is inserted so that the items printed out line up in a tabular fashion. The argument \( n \) specifies what spacing to use between the columns in the table. If it is omitted a default value will be chosen by the output routine based on the lengths of the items to be printed out.
The following formatting function can be used to print out a list in block form.
\[
\text{(defun :G1block (x) (GF "(1 <*,>)" x))}
\]
\[
\begin{align*}
&\text{ORANGE PEAR (RED APPLE) GRAPEFRUIT} \\
&\text{(HAWAIIAN PINEAPPLE) BANANA} \\
&\text{CANTALOUPE POMEGRANATE TANGERINE}
\end{align*}
\]
There is a problem with printing lists of data in block format. If the elements of a list are themselves lists with a depth of greater than one, then the output is not very aesthetic because it is not easy to identify the elements of the top level list. For example, consider the following list:
\[
\begin{align*}
&((\text{ORANGE (SELL 3)}) (\text{PEAR (BUY 10)}) ((\text{RED APPLE}) (\text{BUY 5})) \\
&(\text{GRAPEFRUIT (BUY 10)}) ((\text{HAWAIIAN PINEAPPLE}) (\text{SELL 8})) \\
&(\text{BANANA (SELL 5)}) (\text{CANTALOUPE (BUY 4)}))
\end{align*}
\]
The following formatting function uses the semicolon format code in order to print out lists in a tabular format. It is used as the default value of the special variables GSYMBOL-CAR-FORMAT and GNON-SYMBOL-CAR-FORMAT which control how lists of data are printed. This makes the output much easier to read without taking up very much more space.
\[
\text{(defun :G1tblock (x) (GF "(1 <*;>")" x))}
\]
\[
\begin{align*}
&((\text{ORANGE (SELL 3)}) & (\text{PEAR (BUY 10)}) \\
&((\text{RED APPLE}) (\text{BUY 5})) & (\text{GRAPEFRUIT (BUY 10)}) \\
&((\text{HAWAIIAN PINEAPPLE}) (\text{SELL 8})) \\
&(\text{BANANA (SELL 5)}) & (\text{CANTALOUPE (BUY 4)}))
\end{align*}
\]
Due to the fact that the output routine uses only limited look ahead, the tab size must usually be chosen before all of the elements in the list have been entered in the queue. As a result, it is not guaranteed to be large enough. In this example, the fourth element in the list was not completely entered in the queue at the time when it was determined that the list had to be put on more than one line. As a result, only the first three elements were used to determine the tab size which turned out to be too small to accommodate the fifth element.
Functional Subtemplates
The following format codes increase the flexibility of the templates by making it possible to call functions at different points in a template.
%f - This specifies that the function $f$ should be called in order to format the corresponding item. The end of the function name is delimited by a space.
$f$ - (Dollar sign) This command specifies that GDISPATCH should be called in order to format the corresponding item, but that the function $f$ should be passed to GDISPATCH as a suggestion of how to format the item. As above, the end of the function name is delimited by a space. The difference between $f$ and %f is that with $f$ GDISPATCH gets control. As a result, if the item is not a list, then the function $f$ will not get used.
The use of the $ code is illustrated in the following format which block formats a tree at all levels. It is capable of formatting trees of arbitrary depth because it explicitly calls itself recursively. GDISPATCH is called at each level of the recursion. As a result, as soon as an atom is encountered, the recursion is terminated and the atom is printed normally.
```lisp
(defun :Gblock (tree) (GF "(1<$:Gblock ,>)" tree))
(ONE (TWO THREE)
((FOUR FIVE) SIX
SEVEN)
EIGHT NINE)
```
The following formatting function for PROG uses % so that it can call a subformat (GPROG-FORMAT2) without GDISPATCH being called. This is necessary so that the labels (which are atoms) in the PROG will be processed by GPROG-FORMAT2. Labels are printed left shifted by computing negative arguments for _.
```lisp
(declare (special Gwas-label))
(defun (prog :Gformat) (list)
(let (Gwas-label)
(GF "(*_$:Gblock <%Gprog-format2 >)" list)))
(defun Gprog-format2 (item)
(cond ((not Gwas-label) (GF "1"))
((atom item) (setq Gwas-label T)
(GF "_#*_" (- (+ (flatsize item))) item))
(t (GF "*" item) (setq Gwas-label nil))))
(PROG (RESULT)
L (COND ((NULL LIST) (GO THE-END)))
(SETQ RESULT (CONS (CAR LIST) RESULT))
(SETQ LIST (CDR LIST))
(GO L)
THE-END (SETQ RESULT (NREVERSE RESULT))
(RETURN RESULT))
```
An important aspect of the last example is the way it interacts with length abbreviation (described below) and other standard facilities provided by GPRINT. Since length abbreviation is implemented by [], in order to get length abbreviation to apply to the formats you write, you have to use []. This is an important reason for writing it in the form given above rather than as a single routine containing a loop which decomposes the list itself and creates the correct format codes.
Miser Mode
GPRINT provides several facilities which help deal with the finite line length problem. The most comprehensive of these is a modified form of the miser mode supported by Goldstein's pretty printer [3]. The point at which miser mode is triggered is controlled by the variable MISER-WIDTH (which defaults to 40). If the line width available for printing is less than MISER-WIDTH, then miser mode is triggered, and formatting is modified in two ways. First, all indentations inside {} formats are forced to be 1 no matter what is specified. Second, all + formats are ignored so that the indentation remains 1 in each substructure. In addition to this, a formatting command (M) is provided so that the user can specify line breaks which should only happen when miser mode is triggered.
M - A line break is inserted here if and only if the containing structure cannot be printed on one line, and the width available for printing is less than MISER-WIDTH.
~n - (Tilde) Print n (default 1) spaces in the output. The argument can be negative in which case the printing point moves left if there is sufficient blank space to back up over.
_n - (Underscore) This is actually an abbreviation for ~nM. It therefore specifies a miser mode line break.
In order to see how miser mode works, consider the format for MULTIPLE-VALUE-BIND reproduced below. The example shows the format which this specifies in miser mode. The indentation increment is reduced to a constant 1, and the occurrences of _ lead to line breaks when misering. The same effects can be seen in the COND.
```lisp
(defun (multiple-value-bind :Gformat) (x) (GF "(4*_ (<*_>) -* ++2 <-*>)" x))
(MULTIPLE-VALUE-BIND
(SYMBOL ALREADY-THERE-P)
(INTERN STRING)
(COND
(ALREADY-THERE-P
(ERROR
"Symbol already there: "
STRING)))
SYMBOL)
```
In order to maintain some of the indentation pattern of MULTIPLE-VALUE-BIND in miser mode, the ~ format code could be used in place of _ and + as shown below.
```lisp
(defun (multiple-value-bind :Gformat) (x) (GF "(2*~ (<*_>) - ~2* <-*>)" x))
(MULTIPLE-VALUE-BIND (SYMBOL
ALREADY-THERE-P)
(INTERN STRING)
(COND
(ALREADY-THERE-P
(ERROR
"Symbol already there: "
STRING)))
SYMBOL)
```
Through judicious choice of when to use ~ instead of _ or +, the user can gain considerable control over how a format will look in miser mode. However, as can be seen above, miser mode is not particularly aesthetic no matter what you do. It exists solely as an emergency measure to prevent printout from overrunning the right margin.
Left Shifting of Major Units
Another way in which GPRINT deals with the finite line length problem is to take logical units of program text (such as LETs, PROGs, and DOs) and shift them left in order to increase the amount of line width available. This process is triggered when the line width available for printing is less than MAJOR-WIDTH (which defaults to 40). Left shifting is illustrated in the example below. The radical reduction in indentation is very effective at increasing the width available. Unfortunately, the nonstandard format reduces readability. This problem is ameliorated by the fact that an entire logical unit is being left shifted, not some arbitrary part of the program.
```
(defun (let :Gformat) (list)
(Gcheck-indentation list
#'(lambda (x) (GF "(2 *_(1 <!*>)<-*>)" x))))
(defun Gcheck-indentation (list format-fn)
(let ((ind (Gestimate-indent)))
(cond ((> (- Glinelen ind) major-width) (GF "%#" list format-fn))
(T (GF "1~#';----------'#'|'" (- ind) (- ind 11.))
(GF "~#%" (- 5 ind) list format-fn)
(GF "1~#';----------'~#'|'" (- ind) (- ind 11.))))))
```
```
(defun roots-of-quadratic (a b c)
(cond ((not (zerop a))
(let ((discriminant (- (* b b) (* 4 a c))))
(cond ((plusp discriminant)
;-------
(let ((term1 (- b))
(term2 (sqrt discriminant))
(term3 (* 2 a)))
(list (/ (+ term1 term2) term3)
(/ (- term1 term2) term3)))
;-------
))))))
```
Left shifting is implemented by the formatting function GCHECK-INDENTATION. The use of this function is illustrated by the formatting function for LET shown above. It calls GCHECK-INDENTATION passing it the simple formatting function for LET which was described in the beginning of this paper. GCHECK-INDENTATION calls the function GESTIMATE-INDENTATION which looks at the queue of formatting commands and determines what indentation will be used when printing out the LET. Note that this must be computed from the queue because there may be many entries in the queue which have not yet been printed.
If the width available for printing is greater than MAJOR-WIDTH then GCHECK-INDENTATION just calls the formatting function passed to it. (Note that if the & format code was used instead of %, GDISPATCH would think that it was encountering a second (circular) reference to the list being printed and abbreviate it as described in the next section). If the width available is less than MAJOR-WIDTH then GCHECK-INDENTATION spaces back to column zero and prints a comment line which indicates that left shifting is occurring using a "I" to show the indentation which otherwise would have been used. On the next line, the format spaces back to column 5 and calls the formatting function passed to it in order to format the list being printed. Finally, it prints another comment line. Note that the templates make heavy use of the # format code so that the function can compute the appropriate negative spacing.
Abbreviation
GPRINT provides several different abbreviation mechanisms. First, there is abbreviation based on PRINLEVEL and PRINLENGTH as in the standard printer. A "<<" is printed for structures which are too deep, and "..." is printed in place of the ends of lists which are too long. The following example shows how the list \((1 (2 (3 (4))) A B C)\) would appear with PRINLEVEL and PRINLENGTH both set to 3.
\[
(1 (2 (3 **)) A ...)
\]
There is a separate abbreviation facility based on the variables PRINSTARTLINE and PRINENDLINE. As GPRINT prints, it counts the lines starting with zero for the line the printer is called on. While the line number is less than PRINSTARTLINE no actual printing is done. If the line number ever becomes greater than PRINENDLINE, then the printer prints "---" to indicate that truncation has occurred and immediately stops printing and returns normally. Experimentation has shown that setting PRINENDLINE to a relatively small number like 4 (while setting PRINLEVEL and PRINLENGTH to NIL) is very useful particularly due to the availability of the continuation facilities described below. The example below shows how an example of output using these settings.
\[
(DEFUN ROOTS-OF-QUADRATIC (A B C)
(COND ((NOT (ZEROP A))
(LET ((DISCRIMINANT (- (* B B) (* 4 A C))))
(COND ((PLUSP DISCRIMINANT) ---
\]
Truncation of the output can also be triggered by typing TERMINAL STOP-OUTPUT. This interrupts the printer immediately, causing it to terminate returning normally.
Whenever output is abbreviated due to any of the methods described above, GPRINT remembers the state of the printing so that it can be resumed. Only a single variable is maintained so that only the most recently abbreviated thing is remembered. If printing was truncated by PRINENDLINE or user intervention, then it can be continued from the point of truncation by typing TERMINAL RESUME.
As an additional feature, you can reprint the last abbreviated thing in full with PRINLEVEL, PRINLENGTH, PRINSTARTLINE, and PRINENDLINE abbreviation disabled by typing TERMINAL 1 RESUME.
As a third kind of abbreviation, if the variable GCHECKRECursion is T then GPRINT checks for circularity in the objects it is printing. When a circular reference to an object is encountered, it is replaced in the output by \(^n\) or \%\(n\). \%\(n\) is only used in a list. It is used when the CDR of a list is EQ to an earlier CDR in the same list. In this case \(n\) is the number of CDRs separating the two positions. \(^n\) is used in other situations. Here, \(n\) indicates that \(n\) selector operations (CAR, CXR, AREF; but not CDR) were performed between the first occurrence of the object and this one. This kind of abbreviation is illustrated below.
\[
\text{the result of} \quad (\text{LET} ((X '(Y (Z 1 2 3) 4)))
(\text{RPLACD} (\text{CDR} X) (\text{CDR} X))
(\text{RPLACA} (\text{CDDADR} X) X)
(\text{RPLACA} (\text{CDDADR} X) (\text{CADR} X))
(\text{RPLACD} (\text{CDDADR} X) (\text{CDADR} X))
X)
\]
\[
\text{prints as} \quad (Y (Z ^2 ^1 . \%2) . \%1)
\]
It is possible (but not easy) to reconstruct the exact shape of the object from what was printed. However, the main purpose is just to print something more readable than what you would otherwise see. An important feature of the way this abbreviation is done is that it is completely orthogonal to the rest of the formatting process so that it works no matter what kinds of user formatting functions are written, and no matter what kind of data objects are being printed.
Data Types Other than Lists
In addition to lists, GPRINT has built in formatters for all of the standard Lisp data types. Symbols, numbers, strings, and things of random types not specifically discussed below are treated as indivisible atoms and printed in the standard ways.
Named structures, entities, and instances are printed in one of two ways depending on whether or not they know how to format themselves. If the object accepts the message :GFORMAT-SELF then GPRINT sends a :GFORMAT-SELF message with the object as argument to the object so that it can format itself.
If the named structure, entity, or instance does not take a :GFORMAT-SELF message, then GPRINT treats it as an atomic object and lets the standard printer print it. This makes it possible to use GPRINT on these objects without having to write formatters for them. However it should be noted that since they are treated as atomic objects, no formatting occurs inside them no matter how large their print form may be. For example, a line break will never be inserted inside one.
If an object is an array (and not a named-structure) it is formatted as follows. GPRINT first checks to see if there is a formatting function for the array. The association between formatting functions and arrays is maintained through a list of functions stored in the variable GARRAY-FORMATTERS. These functions are just like the formatting functions described above except that in addition to creating queue entries in order to format an object, they must also test to see whether they are applicable to the object. This makes it possible for the user to use any kind of applicability test he desires. If the format function is applicable it should format the object and return T. Otherwise it should take no action and return NIL. A function is set up as an array formatter by adding it to the list GARRAY-FORMATTERS. GPRINT calls each of these functions in turn passing it the object. As soon as one of them returns T it stops. If they all return NIL then a default formatter is used.
The default array formatter first prints out the array object in the standard way (e.g. as an atom containing the type and the address). Next, if the variable GPRINT-ARRAY-CONTENTS is T and the array has only one or two dimensions it prints out the contents of the array. The contents are printed as a list (for one dimensional arrays) or a list of lists (for two dimensional ones). Tabular blocking is used to format these lists.
The kind of arbitrary user specified dispatching supported for arrays is also supported for lists. Functions put on the list GLIST-FORMATTERS can be used to associate formats with lists when the association is based on some feature other than the CAR of the list. Similarly, functions put on the list GSPECIAL-FORMATTERS can be used to override all standard dispatching including the initial split based on data type.
Applicability to Languages Other Than Lisp
It is important to note that, though the discussion above was cast in the domain of the Lisp language, the ideas are substantially programming language independent. It should be possible to use these ideas to construct a flexible pretty printer allowing significant user control of format in any programming language environment.
GPRINT makes it possible for the user to control the format of both programs and data. Of these two capabilities, the control over program format is the easiest to export to other language environments. Two basic things are required: a representation for program parse trees, and a method whereby the user can specify formats for non-terminal nodes in these trees. In languages like Lisp where a data representation for parse trees is part of the definition of the language, this is the logical choice for the representation. In other languages some such representation has to be developed. If the pretty printer is intended to accept program text files as input, a parser for the language has to be implemented if one is not already available.
There are two basic ways in which user format control can be supplied. One way is to use the same
mechanisms which are supplied for specifying data formats by simply applying them to the data representations for parse trees. This is the approach taken by GPRINT. Another approach is to follow the suggestion of Oppen [7] and allow the user to specify formats as annotations to the grammar for the programming language. From the point of view of implementation, this approach is essentially identical. However, for a language which (unlike Lisp) has extensive syntax this approach would undoubtedly be aesthetically superior since it uses standard grammatical notation in order to communicate with the user instead of some ad hoc internal representation.
Using GPRINT's approach to the printing of data in other programming environments is more difficult. The key issue is being able to obtain data type information at print time. However, before looking at this problem in detail consider some other issues.
The formatting templates described above could be used with any kind of data. The only thing which has to be changed is that [] has to be extended so that it can decompose other composite data structures besides lists. Logically there is no problem since, in general, any data structure has a default linear ordering for its components. From an implementation standpoint, there is no problem with selecting out components one at a time as long as you can determine the data type of a given structure.
The basic dispatching scheme presented above can be straightforwardly extended as long as type information can be obtained. It is easy to implement an association between types and formatting routines so that each type could have its own format. Further dispatching on subfeatures of individual types could be implemented if desired.
In a language environment such as Lisp where, in general, complete run time type information is available, it is trivial to determine the type of something when it needs to be printed. Unfortunately, in most languages, much of the data type information is used only by the compiler and is not available at run time. In a language with pure strong typing that makes it possible for the compiler to determine the exact data type of every variable, the compiler could be straightforwardly modified in order supply the type information needed by the dispatcher. One way to do this would be to have the compiler create a table of type information which could be referred to by the dispatcher at run time. Alternately, the dispatching needed for individual calls on the printer could be performed at compile time using the compile time type information. In order to make it possible for the user to interactively request the printout of various data items at run time, the tabular approach would be required, just as a dynamic debugger has to have access to the compiler's symbol table in order to use the programmer's variable names.
Unfortunately, few languages have pure strong typing. Most languages support data types such as union types and variant records. Most of the time, this need not be a severe problem because such types are not useful unless there is some way for programs to determine what the actual type of a data item is. For example, the compiler could specify to the dispatcher that a given data item was of a particular union type. The programmer would have to supply a decision procedure which could be used by the dispatcher to determine the exact type of the data item at run time. This would not be a difficult task as long as the union type was straightforward and a single decision procedure for the union type could be implemented which would work in all situations.
There are language environments (for example assembler language) which have little run time type information, little compile time type constraints, and where the user defined data structures are often of such a chaotic nature that it would be virtually impossible to write the kind of data type decision procedures needed by the dispatcher. In such a situation, the kind of pretty printer presented in this paper would not be practical. It should be noted that such an uncontrolled environment presents a number of problems much more serious than the inapplicability of this kind of pretty printing. Current trends have been toward more regularized environments which should be able to support a pretty printer like GPRINT.
Conclusion
GPRINT includes a large number of standard formats and features (such as the ones used as examples above). As a result, a user does not have to write any of his own formats in order to get reasonable output in ordinary situations. However, no amount of anticipation can satisfy every user. This is particularly true when a pretty printer is being used in an interactive programming environment to print data as well as programs, and when it is called by user programs as well as by the system itself.
The principal goal of the design of GPRINT has been to produce a system with good human engineering which gives the user powerful facilities for controlling the format of output and which at the same time makes the specification of simple formats simple. Two key ideas comprise GPRINT's approach to this problem: the basic algorithm chosen, and the existence of multiple levels at which a user can specify formatting information.
The key features of the algorithm underlie the basic simplicity of GPRINT's approach and, at the same time, fundamentally limit its scope. The division of the algorithm into two pieces communicating through a queue makes it possible to separate the simple parts of the algorithm from the complex ones. The decision to use a linear time algorithm in the output routine makes it possible for GPRINT to run with acceptable speed. However, it fundamentally limits the kind of formatting decisions which can be made by the output routine. In particular, when making its decisions, it can only look ahead a very limited distance. An example of this was discussed in the section on tabular form output.
In line with the limited abilities of the output routine the queue entries are designed so that they encode essentially only two formatting options for a given structure: how to print it on one line, and how to print it on multiple lines. (A third miser format is also specified for each structure, however, this format is largely implicit and the user does not have very much control over it.) This design is an important basis for the understandability of the printer because it presents the user with a simple model of how formatting decisions are made. However, one could easily imagine wanting to specify more complex formatting information. For example, one might want to specify two completely different multi-line formats: one to use when there is a lot of room available and the other to use when there is only a little space.
The printer provides three basic levels at which a user can specify formatting information. First, he can simply use the default formats supplied with the printer and does not have to do anything himself. Second, he can use simple templates. These make it very easy for him to describe certain aspects of how a structure is to be formatted. Third, he can write more complex formatting functions. This allows him to exercise much more control over the format to be used, at the cost of greater complexity.
The use of multiple levels of interaction is a generally useful technique for increasing the understandability and availability of a system to a wide range of users. It makes it possible for users who have simple needs to satisfy them without having to learn very much about the system. Users who take the time to learn more can then do more.
References
[1] Conrow, K., and Smith, R.G., "NEATER2: A PL/I Source Program Reformatter", CACM V13 #11, November 1970, 669-675.
[2] Donzeau-Gouge, V. et al, "A Structure-Oriented Program Editor; A First Step Towards Computer Assisted Programming", Proc. Inter. Computing Symp., Antibes, 1975.
[3] Goldstein, I., "Pretty Printing, Converting List to Linear Structure", MIT/AI/MEMO-279, February 1973.
[4] Hearn, A.C. and Norman, A.C., "A One-Pass Pretty Printer", Report UUCS-79-112, Univ. of Utah, Salt Lake City, Utah, 1979.
[5] Heuras, J., and Ledgard, H., "An Automatic Formatting Program for Pascal", SIGPLAN Notices V12 #7, July 1977, 82-84.
[6] McKeeman, W. "Algorithm 268, Algol-60 Reference Language Editor [R2]", CACM V8 #11, November 1965, 667-669.
[7] Oppen, D., "Prettyprinting", ACM Transactions on Programming Languages and Systems, V2 #4, October 1980, 465-483.
[8] Scowen, R. et al, "SOAP - A Program Which Documents and Edits Algol60 Programs", Comput. J. V14 #2, 1971, 133-135.
[9] Teitlebaum, T., "The Cornell Program Synthesizer", Tech. Rep. 79-370, Dept. of Computer Science, Cornell Univ., 1979.
[10] Weinreb, D., and Moon, D., "Lisp Machine Manual", MIT AI Lab., March 1981.
Maclisp Compatibility
The discussion in the main body of this paper is couched in terms of Lisp Machine Lisp, however, GPRINT is substantially Maclisp compatible. Almost everything above applies equally to both versions. This section discusses the few differences between the two versions.
The I/O in Maclisp is quite different than on the Lisp Machine. The Maclisp version follows all of the Maclisp conventions. In particular, you can call GPRINT with a list of files and default output is controlled by the variables TYO, ^R, ^W, OUTFILES, etc.
The compilation environment is somewhat different in Maclisp. GPRINT must be loaded in order for formatting functions to compile correctly because GF is a macro. On the Lisp Machine you don't have to take any special action in order for this to be the case when you are using GPRINT. In Maclisp you have to make sure that it is loaded into the compiler by a DECLARE in any file which defines formats. Also note that in Maclisp the functions which take optional control parameters (e.g. GPRINT, GPRINT1, GPRINC, GEXPLODE, and GEXPLODEC) are lexprs and need *LEXPR declarations.
In Maclisp, the functions triggered by TERMINAL STOP-OUTPUT and TERMINAL RESUME are triggered by typing control characters. The printer can be stopped by typing ^S. Printing can be resumed by typing ^C (^R in TOPS20 versions). Reprinting in full is triggered by ^P. In Maclisp these control characters are not set up by default. You have to call the function GSET-UP-PRINTER in order to get them defined. Note also that in Maclisp, the default symbol for depth abbreviation is "#" instead of "**".
The Maclisp version of GPRINT supports the formatting of hunks. Two basic mechanisms are supplied analogous to the ones described for arrays in the main body of the paper. If a hunk is a USRHUNK which takes messages (note that EXTENDs and the like are all USRHUNKs) then GPRINT checks the messages it accepts. If it takes the message :GFORMAT-SELF then GPRINT sends a :GFORMAT-SELF message with the object as argument to the object so that it can format itself. If a USRHUNK does not take a :GFORMAT-SELF message, but it does take a :PRINT-SELF or PRINT message then GPRINT treats the hunk as an atomic object and lets the standard printer print it. If a USRHUNK does not accept any of these messages, then it is treated as an ordinary hunk.
In order to format an ordinary hunk GPRINT first checks to see if there is a formatting function for the hunk. The user sets up a hunk formatter by adding a function to the list in the variable SHUNK-FORMATTERS. The purpose of this function is two fold: to test whether it is applicable to a hunk (in which case it returns T) and in this case to actually format the hunk. GPRINT calls each of these functions in turn passing it the hunk. As soon as one of them returns T it stops. If they all return NIL then the hunk is printed by default in the normal way (e.g. in parentheses with the CXRs separated by periods) in block format.
Functional Summary
This appendix describes all of the user functions supported by GPRINT.
**GPRINT object &optional stream format level length endline startline**
This is exactly analogous to PRINT except that it does pretty printing. The first argument is the object to be printed. The second argument specifies the stream to use for output. If it is missing then the standard system default is used (e.g., STANDARD-OUTPUT).
The third argument is a formatting function which defaults to NIL. If non-NIL it will be used by GDISPATCH to format the object. For example, `(GPRINT FOO STANDARD-OUTPUT ':GFN-FORMAT)` will use functional format for the top level of FOO no matter what the CAR of foo is. The last four arguments can be used to control abbreviation. They are used to set the values of PRINLEVEL, PRINLENGTH, PRINENDLINE, and PRINSTARTLINE respectively. If they are omitted, then the current bindings of these variables are used to control abbreviation.
**GPRINT1 object &optional stream format level length endline startline**
This is exactly like GPRINT except that it corresponds to PRIN1 instead of PRINT. (Unfortunately, the standard Maclisp grind package has already used up the name GPRINT1.)
**GPRINC object &optional stream format level length endline startline**
This is exactly like GPRINT except that it corresponds to PRINC instead of PRINT.
**PL object &optional stream format**
This is an abbreviation for `(GPRINT object file format NIL NIL NIL NIL)`. It specifies that the object should be printed without abbreviation. It is quite handy at top level.
**GFORMAT stream template &rest args**
This is just like FORMAT except that GPRINT is called to do the printing and the *template* has the same form as a template for GF. For example, `(GFORMAT NIL "(*_<*>)" X)` creates a string containing X printed in functional format at the top level.
**GEXPLODE object &optional format level length**
This is analogous to the function EXPLODE except that it does pretty printing.
**GEXPLODEC object &optional format level length**
This is analogous to the function EXPLODEC except that it does pretty printing.
**PLP "e &rest args**
This is very similar to GRINDEF but calls GPRINT. Each *arg* is either a symbol or a CONS of a symbol and a list of specific properties to print. If it is a symbol then any properties it has which are in the list PLP-PROPERTIES are printed. Otherwise, the specified properties are printed. If no *args* are supplied then PLP is reexecuted on the last set of args it was called on.
**GSET-UP-PRINTER**
Calling this sets up GPRINT as the top level printer. This consists basically of just setting the variable PRIN1 to GPRINT1.
**GF template &rest args**
This is used to define formatting functions. The structure of the *template* is summarized in a separate appendix. Note that unlike GFORMAT this does not actually print anything. Rather, it just makes queue entries when the formatting function it is in is called by GDISPATCH. The fact that GF is a macro saves time by parsing the template at compile time, and producing efficient code to do the formatting. This does waste space however. It is to your advantage to make each template as short as possible.
**GFUNCTION template**
This is an abbreviation for `#'(LAMBDA (X) (GF template X))`.
**FORMAT stream format-string &rest args**
A new format keyword ~N is defined so that you can call GPRINT1 from FORMAT. ~:N invokes GPRINC. Numeric pre-arguments are taken to be PRINLEVEL, PRINLENGTH, etc.
Variable Summary
This appendix summarizes all of the control variables which can be set by the user in order to control the actions of GPRINT.
**PRINLENGTH** *system defined default*
This specifies the maximum length list that will be printed without abbreviation. **NIL** means infinity.
**PRINLEVEL** *system defined default*
This specifies the maximum depth at which any object will be printed. **NIL** means infinity.
**PRINSTARTLINE** *default NIL*
Output is inhibited until the PRINSTARTLINEth line is reached. **NIL** is the same as 0.
**PRINENDLINE** *default 4*
Output is aborted and the printer returns normally as soon as the PRINENDLINEth line is reached.
**PRIMMARGIN** *default NIL*
This specifies the total line length available for printing. If it is **NIL**, then the printer asks the output stream what the line length is.
**MISER-WIDTH** *default 40*
Miser mode printout is triggered if there is less than this amount of width available for printing.
**MAJOR-WIDTH** *default 40*
Left shifting of logical units will occur if there is less than this amount of width available for printing.
**GCHECKRECURSION** *default T*
If this is **T** then GPRINT checks for circular pointers and abbreviates them appropriately.
**GSHOW-ERRORS** *default NIL*
Normally, GPRINT does an ERRSET so that no error which occurs during formatting can cause an error in GPRINT. If this is set to **T** then you will enter the error handler if any error occurs. This is useful for debugging.
**GFORCE-MORES** *default T*
If this is **T** then things are set up so that you get MORE processing all of the time. Otherwise, MORE processing is suppressed if printing is initiated within 7 lines of the bottom of the screen.
**GSPECIAL-FORMATTERS** *default NIL*
This holds a list of formatting functions which are tested for applicability before any other dispatching is done.
**GOVERRIDING-LIST-FORMATTERS** *default NIL*
This holds a list of formatting functions which are tested for applicability to any list which is being printed before any other dispatching is done on it.
GLIST-FORMATTERS default NIL
This holds a list of formatting functions which are tested for applicability to any list which is being printed before any other dispatching is done on it unless dispatch was called with a specific suggesting of how to format the list. (The difference between this and GOVERRIDING-LIST-FORMATTERS is that these are applied in fewer places. For example, they will not be tested against the list of bound variables in a PROG because the format for PROG specifies exactly how this subpart of a PROG should be formatted.)
:GFORMAT property
If the CAR of a list has a value for this property, then the value is called as a formatting function to format the list. (If none of the above cases apply.)
GAPPLY-FORMAT default :GAPPLY-FORMAT
This is used as the format for literal LAMBDA applications.
GFN-FORMAT default :GFN-FORMAT
This is used as the default format for function applications.
GSYMBOL-CAR-FORMAT default :G1TBLOCK
This is used as the default format for lists whose CARS are symbols.
GNON-SYMBOL-CAR-FORMAT default :G1TBLOCK
This is used as the default format for lists whose CARS are not symbols.
:GFORMAT-SELF message
If an instance, entity, or named-structure is set up so that it will process this message type, then it is sent a message in order to format itself. It gets one argument (the object itself) in addition to any arguments which are supplied by the message sending mechanism.
GARRAY-FORMATTERS default NIL
This holds a list of formatting functions which will be tested for applicability to any array being printed which doesn't take a :GFORMAT-SELF message.
GHUNK-FORMATTERS default NIL
This holds a list of formatting functions which will be tested for applicability to any hunk being printed which doesn't take a :GFORMAT-SELF message.
GRIND-MACROEXPANDED default NIL
If this is T then MACROMEMOized macros will printed out as they appear after expansion. Otherwise they will be printed out as they appear before expansion.
PLP-PROPERTIES default (:FUNCTION :VALUE)
This holds the list of values which the function PLP will print out by default. The default specifies that only the function value and value should be printed.
Summary of Formatting Codes
This appendix summarizes the formatting codes which are available for use in the template supplied to the macro GF. The template is a string of single character commands, some of which can be followed by a parameter. There are three kinds of parameters:
- Some commands take a number as a parameter. This number should be an integer optionally beginning with a "-" and/or ending with a ".". Alternately, it can be omitted in which case a default value is used.
- Some commands take a function name as a parameter. This name is an arbitrary symbol possibly containing ":". Case does not matter. The symbol must be terminated by a blank. Function name parameters cannot be omitted. They have no default values.
- This can be used in place of any numeric parameter or any function name parameter. It indicates that the next input to GF should be used as the parameter, instead of a literal value.
The commands which can be used in a template are divided into several categories. The first set is used to parse the structure of the arguments to GF so that their parts can be accessed.
- This is used to access the internal elements of an item which is a list. The template inside the brackets refers to the elements of the list. If the item is not a list, then no formatting of it, or anything inside it, is done. Processing begins by considering each element of this list in turn. As soon as the list is exhausted, control skips out of the subtemplate and continues after its end. This is done even if there is more stuff left in the subtemplate. Special code is included to deal with the possibility of unexpectedly encountering a non-NIL atomic CDR. If this happens it is automatically formatted to appear after a ".". [] also produces special code to deal with length abbreviation. Their only way to get it automatically is to use [].
- (Period) This is valid only inside []. It specifies that the next item is the whole sublist left to process by [] rather than its CAR. For example, (GF "[*_*_]" '(1 2)) is the same as (GF "*_*" 1 '(2)).
Note that when a "." is used, normal checking for the end of the list in the [] is suppressed. For example, (GF "[*_.*_]" '(1)) is equivalent to (GF "*_*_" 1 NIL). The NIL at the end of the list is explicitly picked up by the ".", and a blank will be printed at the end. This happens even though the [] template would normally have terminated right after the first *.
- This can only be used directly inside [] (or ()). It specifies an indefinite repeat block. This is used to specify a template for a list of unknown length.
The next set of commands are used to specify how individual items are printed out.
I - Ignore the corresponding item.
'literal' - Print the indicated literal using PRINC and do not count it as one of the items printed from the point of view of length abbreviation. Note that in the literal "' '" stands for "''".
* - This specifies that GDISPATCH should be called in order to format the corresponding item.
%f - This specifies that the function $f$ should be called in order to format the corresponding item. (Note if $f$ is # then the argument which is used as the function follows the argument which is formatted.)
$f$ - (Dollar sign) This command specifies that GDISPATCH should be called in order to format the corresponding item, but that the function $f$ should be passed to GDISPATCH as a suggestion of how to format the item. (Note if $f$ is # then the argument which is used as the function follows the argument which is formatted.) The difference between $f$ and %f is that with $f$ GDISPATCH gets control. As a result, if the item is not a list, or if some function on GOVERRIDING-LIST-FORMATTERS formats it, then the function $f$ will not get used.
$/"subtemplate/"$ - In addition to the name of a function, the parameter to $ can be a literal template which is converted into a function to use. (Note that the quotes have to be slashified in order to read in inside a quoted string.) The formatting function produced is compiled out of line. As a result, if there is a # format code in it, the argument to GF that this refers to will be compiled out of line. In order for this to work any variables this refers to must be declared special.
The next commands are used to specify the nested structure of the output (which need not be the same as that of the input).
{n} - This indicates a substructural unit in the output. The parameter specifies what indentation to use when printing out the items inside the substructure if the substructure cannot be printed on a single line. (If the indentation is specified to be zero then the substructure is not counted as increasing the depth from the point of view of depth abbreviation.) The default parameter value is calculated as the sum of the lengths of the first thing printed in the substructure, and any literals before it and any spaces after it.
+n - (Plus) This specifies a change in indentation. The indentation level in the current substructure is incremented by n which can be negative. Note that this will not take effect until the next line. For example, the template "(***+2***)" does not increase the indentation until the fourth item is printed while "(***+2***)" prints the third item at an increased indentation.
(n) - This is a useful abbreviation in the situation where the nested structure of the output is the same as the nested structure of the input, and when you want to print parentheses around the structure. It is an abbreviation for {n'('[ ]')'}. Additionally, if the (n) is nested more directly inside [] than inside $ then it is treated as an abbreviation for $/"{n'('[ ]')'}"/". In other words, if the item whose format is being specified by the (n) was not passed through GDISPATCH for dispatching then the $ format code is used to force the list to dispatch through GDISPATCH. This prevents the format from blowing up when the item is not a list. (Note the comment about # inside $/" /" above.)
The next set of commands specifies spacing and where and when carriage returns should be printed. Note that there is actually a complete separation between these two concepts. The format codes used above which combine the two ideas are abbreviations combining the underlying codes.
~n - (Tilde) Print n (default 1) spaces. (Note that spaces are elided if they are the first or last thing on a line).
Tn - Tab over. Moves to a place where the character position relative to the current indentation is congruent to zero modulo n. (Does not move at all if it does not have to.) When necessary, a default tab size is calculated based on the length of the other items in the substructure.
A - Do a line break here always.
! - Same as A.
N - Do a line break here if required for normal mode printing. I.e. if and only if the structure immediately containing this point cannot be printed on a single line.
-n - (Minus) Abbreviation for "~nM" which is what you usually want.
B - Do a line break here if required for block mode printing. This is the same as N except that even if the immediately containing structure is being broken up a line break will not be put here as long as the following structure can be printed on the end of the current line and the prior structure at this level was printed on a single line.
,n - (Comma) Abbreviation for "~nB" which is what you usually want.
;n - (Semicolon) Abbreviation for "~1TnB" which is what you often want.
M - Do a line break here if required for miser mode printing. Put a line break here if the containing structure will not fit on a single line, and the remaining line width available for printing is less than MISER-WIDTH.
_n - (Underscore) Abbreviation for "~nM" which is what you usually want.
The next two formatting codes were not discussed above. They are provided as extra hooks into the GPRINTing process.
&f- The function f is called with no arguments at this point. Note that function is called during the formatting process.
E - When the output routine gets to this point in printing, the arg to GF corresponding to the E is EVALed (out of line). This is useful for getting information about the state of the printing process. It should NOT be used to print anything out because the output routine will not realize that anything was printed and its character position calculations will be wrong. Note that the difference between & and E is the time at which the function evaluation occurs.
The characters SPACE, TAB, CR, and LF are all ignored. Any other character is an error. |
BRUCE DAWSON
VALVE
GETTING STARTED DEBUGGING ON LINUX
(MAKING IT EASY IN LESS THAN AN HOUR)
Linux Debugging
• Challenges:
▪ Default debugger is intimidating to new users
▪ Tough to get symbols and source to show up
▪ Many tricks needed for efficient debugging
• You can be productive on Linux, quickly
Main Topics
• Choosing a debugger
• Getting symbols to show up
• Getting source code to show up
• Tips and tricks
Choosing a Debugger: gdb
Reading symbols from /data/clients/tf2/game/hl2_linux...Reading symbols from /data/clients/tf2/game/hl2_linux.dbg...done.
done.
Breakpoint 3 at 0x80484c0: file /data/clients/tf2/src/launcher_main/main.cpp, line 133.
Setting environment variable "LD_PRELOAD" to null value.
LD_PRELOAD =
[Thread debugging using libthread_db enabled]
Using host libthread_db library "/lib/x86_64-linux-gnu/libthread_db.so.1".
Breakpoint 3, main (argc=10, argv=0xffffffcb34) at /data/clients/tf2/src/launcher_main/main.cpp:133
133 {
Argument list to give program being debugged when it is started is "-game tf -sw -console -dev -w 1280 -h 1024".
(gdb) c
Breakpoint 1, LauncherMain (argc=10, argv=0xffffffcb34) at /data/clients/tf2/src/launcher/launcher.cpp:1182
1182 {
int main( int argc, char *argv[] )
{
void *launcher = dlopen( "bin/launcher" DLL_EXT_STRING, RTLD_NOW );
if ( !launcher )
{
fprintf( stderr, "Failed to load the launcher\n" );
return 0;
}
LauncherMain_t main = (LauncherMain_t)dlsym( launcher, "LauncherMain" );
// ...
}
Setting environment variable "LD_PRELOAD" to null value.
LD_PRELOAD =
[Thread debugging using libthread_db enabled]
Using host libthread_db library "/lib/x86_64-linux-gnu/libthread_db.so.1".
Breakpoint 3, main (argc=10, argv=0xffffffc34) at /data/clients/tf2/src/launcher_main/main.cpp:133
Argument list to give program being debugged when it is started is "-game tf -sw -console -dev -w 1280 -h 1024".
(gdb)
Choosing a debugger: VisualGDB
- Integrates into VisualC++
- Remote build/debug
- Used by some Valve developers
- Commercial product
// Purpose: The real entry point for the application
// Input : hInstance -
// hPrevInstance -
// lpCmdLine -
// nCmdShow -
// Output : int APIENTRY
#ifdef WIN32
extern "C" __declspec(dllexport) int LauncherMain(int argc, char* argv[]);
#else
extern "C" DLL_EXPORT int LauncherMain( int argc, char* argv[]);
#endif
{
#ifdef LINUX
// Linux-specific code here
#else
// Windows-specific code here
#endif
}
QtCreator Demo
- Creating a project
- Building
- Fixing errors
- Debugging
- Code exploration
Getting QtCreator
- Install from http://qt-project.org/downloads#qt-creator
- Latest version is 3.0.0
- Must mark the .run file as executable before running
Getting QtCreator
- Install from [http://qt-project.org/downloads#qt-creator](http://qt-project.org/downloads#qt-creator)
- Latest version is 3.0.0
Getting QtCreator
- Install from [http://qt-project.org/downloads#qt-creator](http://qt-project.org/downloads#qt-creator)
- Latest version
- Standalone installer, how to get the latest Qt Creator running
QtCreator
- Can use for full edit/build/run/debug cycle
- File-> New File or Project-> Import Project-> Import Existing Project
- Imports all files from the specified directory
- Will run ‘make’ in that directory, assumes ‘makefile’
- Can use cmake or run any custom build command you want
QtCreator building
- Summarizes warnings and errors in Issues tab
- Can double-click to jump to location of error/warning
QtCreator Debugging
- VS compatible keyboard shortcuts (F5, F10, F11, etc.)
- Important exception: Ctrl+F5
- Can load core files, attach to processes, launch processes, etc.
- Other debug windows available from Window-> Views
- Threads window
- Registers window
- Debugger log (for invoking raw gdb commands)
QtCreator: Go-to Anything
- Ctrl+K is the universal Go-To command
- Similar to Ctrl+, in VS 2010+
- `<name>` goes to source files
- `: <name>` goes to C++ classes, enums, and functions
- `l <number>` goes to line number
- Fuzzy matching
- F2 goes to the definition of a symbol
- Alt left/right goes back/forward through navigation history
Use **Build Environment** and
Set **LD_LIBRARY_PATH** to :/data/valve/steam-runtime/bin/../runtime/amd64/lib/x86_64-linux-gnu:/data/val
Base environment for this run configuration: Build Environment
| Variable | Value |
|----------------|----------------------------------------------------------------------|
| GREP_COLORS | ms=01;07:mc=01;07:sI=:cx=::fn=01;ln=30:bn=32:se=36 |
| HOME | /data/home/VALVEbruced |
| LANG | en_US.UTF-8 |
| LD_LIBRARY_PATH| :/data/valve/steam-runtime/bin/../runtime/amd64/lib/x86_64-linux-gnu:/data/val |
| LOGNAME | bruced |
| LS_COLORS | no=00:fi=00:di=01;34:ln=01;36:pi=40;33:so=01;35:do=01;35:bd=40;... |
Add
Loading Files from the Terminal
- To open `<filename>` in an existing QtCreator instance:
```
$ qtcreator.sh -client <filename>
```
- Can wrap this in an alias:
```
$ alias qtedit='~/qtcreator-3.0.0/bin/qtcreator.sh -client'
```
Symbols!
Symbol Sanity: Others’ Code
• Getting symbols for libc6
▪ $ sudo apt-get install libc6-dbg (or libc6-dbg:i386)
▪ Puts symbols in /usr/lib/debug/CopyOfSoPath
• Assume libc6 is in /lib/x86_64-linux-gnu/libc-2.15.so
• Installed symbols go to /usr/lib/debug/lib/x86_64-linux-gnu/libc-2.15.so
• gdb and other debuggers automatically look there
▪ Will download and use debug version of runtime (symbols and source)
▪ Or, download steam-runtime SDK
Symbol Stripping
• Our convention is:
▪ `<bin>.so` is code and minimal symbols
▪ `<bin>.so.dbg` is code and full debug info (everything)
▪ `<bin>.so` is shipped, `<bin>.so.dbg` is archived
• Archiving a file with full symbols and full code is useful
▪ One file provides everything
▪ Works with tools that can’t handle stripped symbols
Symbol Stripping
- Copy symbols from `<bin>.so` to `<bin>.so.dbg`
- `objcopy <bin>.so <bin>.so.dbg`
- Optionally add `--only-keep-debug` to strip code
- Add a debug link from `<bin>.so` to `<bin>.so.dbg`
- `objcopy --add-gnu-debuglink=<bin>.so.dbg <bin>.so`
- Remove debug information from `<bin>.so`
- `strip -S <bin>.so`
- Optionally add `-x` to strip more information
- See `gendbg.sh` in the source-sdk-2013 for examples
Symbol Sanity: Your Code
• You can put your symbols in /usr/lib/debug/SoPath
• Or side-by-side with your .so files
• Or leave debuginfo in your .so files
• Better yet, use a symbol server*
* apologies for Microsoft-speak
Symbol Servers (on Linux)
- Just a file server and a convention
- Based on build IDs (40 hex digits)
- Step 1: tell gdb to look for symbols in a second location
- Assume symbol server directory is /mnt/syms
- `(gdb) set debug-file-directory /usr/lib/debug:/mnt/syms`
- Put command in `~/.gdbinit`
Adding to Symbol Servers
• Extract the build ID
$ readelf -n <bin>.so
...
Build ID: 6d5f7575de387ed72286 (shortened for slide purposes)
• Copy the .so.dbg file somewhere and make a link to it
$ cp <bin>.so.dbg (somewhereonserver)
$ mkdir -p /mnt/syms/.build-id/6d
$ ln -s (somewhereonserver) /mnt/syms/.build-id/6d/5f7575de387ed72286
$ ln -s (somewhereonserver) /mnt/syms/.build-id/6d/5f7575de387ed72286.debug
Our Symbol Server
- File paths made from product name, file name, build ID, then file name again
- Archived files contain both binary code and debug info (symbols)
- Two links point to each file
/mnt/syms/.build-id/6d/5f7575de387ed72286
/mnt/syms/.build-id/6d/5f7575de387ed72286.debug
/mnt/syms/tf2/client.so.dbg/6d5f7575de387ed72286/client.so.dbg
Symbol Server Uses
- Debuggers automatically retrieve binary and debug info
- You can put libc6 symbols in symbol server
- You can write scripts to retrieve unstripped symbol files
- Handy for tools that can’t handle stripped symbols or ignore symbol servers
Source Sanity
- Source for locally built binaries will just work
- Build machine binaries need remapping
- `(gdb) set substitute-path /home/buildbot/tf2/build/src /data/clients/tf2/src`
- Put in `~/.gdbinit`
- Get libc6 source and add to gdb search paths:
- `$ apt-get source libc6`
- `(gdb) directory /data/home/bruced/libcsource/eglibc-2.15/stdio-common/`
- `(gdb) directory /data/home/bruced/libcsource/eglibc-2.15/malloc/`
- Put in `~/.gdbinit`
Tips and Tricks
Linux Library Loading
- **Idd**
- prints shared library dependencies
- Used to diagnose why a module won’t load
```
tf2/game$ ldd hl2_linux
linux-gate.so.1 => (0xf7780000)
libtcmalloc_minimal.so.4 => not found
libdl.so.2 => /lib/i386-linux-gnu/libdl.so.2
libc.so.6 => /lib/i386-linux-gnu/libc.so.6
/lib/ld-linux.so.2
```
- Often fixed by setting LD_LIBRARY_PATH
Linux Library Loading
- LD_PRELOAD – specify shared objects to load first, can override symbols
```
$ LD_PRELOAD="/usr/lib/libtcmalloc.so" ls
```
- LD_DEBUG – debug process loading. Example:
```
$ LD_DEBUG=all ls 2>out.txt
```
Better On Linux
- ValGrind – runs process on a virtual CPU, analyzes every memory access. Finds leaks, overruns, and uninitialized variables
- strace – trace system calls. Sample usage:
- $ strace -p $(pidof procname) Attach to process
- $ strace -o out.txt ls Launch process
Dumpbin Replacements
- `nm` – list symbols in a shared object
- `objdump -d` – disassemble an object file
More Tips and Tricks
• Forcing old compilers to add build IDs:
-WI,--build-id
• Getting build IDs from a core file (Linux crash dump)
eu-unstrip -n --core corefile
Ptrace hardening (security)
- Attaching to processes may require root privileges or disabling of ptrace hardening
- ptrace hardening is a security feature to stop debuggers from attaching to running processes
- Either elevate gdb before attaching or disable ptrace hardening:
```
$ sudo -i
# echo 0 > /proc/sys/kernel/yama/ptrace_scope
```
Isof – LiSt Open Files
• List all files opened by a particular process:
$ Isof -p $(pidof steam)
• List all processes that have a file open
$ Isof /lib/i386-linux-gnu/libc-2.15.so
References
- Blogging about symbols:
http://randomascii.wordpress.com/2013/01/19/symbols-on-linux-part-two-symbols-for-other-versions/
- QtCreator:
http://qt-project.org/downloads#qt-creator
http://richg42.blogspot.com/2013/10/a-shout-out-to-qtcreator-28x-on.html
http://richg42.blogspot.com/2013/10/qtcreators-python-debug-visualizers.html
http://linux-debugger-bits.blogspot.com/2014/01/qtcreator-projects.html
- Steam run-time SDK:
https://github.com/ValveSoftware/steam-runtime/blob/master/sdk/README.txt
- Symbol ‘servers’ on Linux:
http://fedoraproject.org/wiki/Releases/FeatureBuildId#Find_files_by_build_ID
- Ptrace hardening:
https://wiki.ubuntu.com/SecurityTeam/Roadmap/KernelHardening#ptrace_Protection
Questions?
- firstname.lastname@example.org
- Ask questions now
- Or drop by the Linux break-out session at 5:00 in this room (6C)
Extra slides follow
QtCreator Disassembly Quirks
- Disassembly is shown when Operate by Instruction
```
40057c: mov edi,0x400747
400581: mov eax,0x0
12 printf("kFooBar == %u\n", kFooBar);
40058b: mov esi,0x10
400590: mov edi,0x40075d
400595: mov eax,0x0
14 double pi = 3.14159265358979323;
40059f: movabs rax,0x400921fb54442d18
4005a9: mov QWORD PTR [rbp-0x8],rax
16 InlineDebugTest();
4005b2: movsd xmm0,QWORD PTR [rbp-0x8]
``` |
STEM FASCIATION IN LILIAM HENRYI CAUSED BY NEMATODES
B. F. A. STUMM-TEGETHOFF and H. F. LINSKENS
Afdelingen Genetica en Plantkunde, Universiteit, Toernooiveld, 6525 Nijmegen
SUMMARY
The spontaneous appearance of fasciation in flower stalks and stems of clones of *Lilium henryi* is not genetically determined. Fasciated plants have been shown to be free of bacterial and virus infections, and phytohormones and wounding as causal agents of fasciations can be excluded. All fasciated plants had an increased population of nematodes in the soil layers surrounding the bulbs. The nematodes were identified as being predominantly from the *Rotylenchus* and *Ditylenchus* species, as well as some others. The injection of a total extract of *Ditylenchus dipsaci* induced fasciation in 56% of the treated plants.
1. INTRODUCTION
Fasciation, a band shaped deformation of the stem, is found widespread in the plant kingdom (reviews White 1948, Gorter 1965). Since the classical investigations of Hugo de Vries (1894, 1899a, b) spontaneous fasciations are assumed to be genetically determined. This is the case with many dicot species where true-breeding, fasciated lines have been found (Gottschalk 1977; Eerick & Gerretsen 1980; Albertsen et al. 1983). However, in many asexually propagated species the origin of fasciation is unknown (Boke & Ross 1978). With the exception of *Narcissus* (Hesling 1968), fasciation in monocots seems to be rare (Anonymus 1869; Huntley 1902; Bairathi & Nathawat 1978).
In the lily species, *Lilium henryi* Bak, which has been cultivated in the Botanical Garden of the University of Nijmegen for more than 25 years, fasciations have been observed in changing proportions through many years. This plant material was originally cultivated for biochemical analyses of developmental processes (e.g. Linskens & Schrauwen 1968), thus the teratological deviations have been documented for a long time. To find out whether or not the fasciation in this species is inherited or caused by natural environmental factors, detailed analyses have been conducted from 1974.
2. MATERIAL
Four clones were reared by vegetative propagation from four equally sized, healthy looking bulbs of *Lilium henryi*, derived from a seed sample originating from the University of Cologne (FRG) in 1959.
Fig. 1. Percentage of fasciated plants of *Lilium henryi* in clone 4 (Botanical Garden of the University Nijmegen). The number of plants in culture varied over the years from between 250 and 500 individuals. The bulbs were transplanted onto new beds every fifth year.
3. RESULTS
3.1. Exclusion of inheritance
In the first two years of cultivation only one clone, no. 4, showed some fasciation, increasing from 1% to 7.4%.
To check if the fasciation had a genetic background, cross- and self-pollinations of fasciated plants have been carried out for many years. These breeding experiments were difficult because of the high percentage (95–100%) of female sterility of flowers from fasciated plants (flowers lacked pistils).
None of the plants originating from seeds of self- and cross-pollinated fasciated plants displayed fasciation within the first two years. From these and many other, equally negative, results it was concluded that in *Lilium henryi* the expression of fasciation is not genetically determined.
3.2. Environmental factors
Based on an extensive literature study the following experiments were carried out in order to find out if natural environmental or artificial applied factors were responsible for fasciation in *Lilium henryi*:
1) Light- and electron-microscopical investigations did not reveal any evidence of bacterial, virus or nematode infections in the leaves, bulb, scales, roots, stems, flowers, or vegetation points of fasciated plants.
2) Infection of healthy lily plants with *Corynebacterium fasciens*, which generates fasciation in many other species (Thimann & Sachs 1966) did not cause
fasciated plants. Extracts from epiphytic bacteria isolated from fasciated plants and then applied to non-fasciated plants (TILFORD 1936) gave no fasciation.
3) The wounding of healthy looking plants in various stages of development by decapitation, defoliation, destruction of the growing points, injection of water into the stems never resulted in fasciation.
4) The application of growth hormones (IAA, gibberellins, kinetin) by injection or by means of wool fat to various organs and at different developmental stages did not result in fasciated plants.
5) Extra manure, higher temperatures, water stress also did not lead to fasciation. These experiments have been carried out also with bulbs derived from plants displaying a high degree of fasciation in the preceding year.
6) The application of pressure juice from fasciated to non-fasciated plants by means of injection, leaf application and continuous application with cotton threads had no effect on the healthy plants.
7) The grafting of fasciated stems as scions onto healthy plants, and vice versa, i.e. a transfer of fasciation, was not possible.
8) The planting of bulbs from normal plants into soil samples in which fasciated individuals had been grown, did not result in fasciation.
9) Vegetatively propagating plants by the rooting of stem sections did not result in fasciated descendents, even when the stocking delivering plant was fasciated.
*L. henryi* plants showed, independent of the fasciation phenomenon, reduction of vigour when planted on the same plot in consecutive years. As the soil was fertilized every year, the reduction of vigour was ascribed to an increase in the abundance of nematodes in the soil. As in the first season after the transfer of bulbs to a new plot no or hardly any fasciation was observed, whereas lilies grown on the same plot for more than one season every year showed a number of fasciations (*fig. 1*), the possibility was envisaged that an increased number of nematodes in the soil might be responsible for an increase in the number of fasciated plants growing in that soil. This supposition could be confirmed by experiments with marigold.
In certain years *Tagetes* plants (*Tagetes patula*, *T. erecta*), plants ascribed to have the ability to prevent fasciation (OOSTENBRINK et al. 1957), were planted between the rows of the lilies after the flowering period. This occurred in 1961, 1966, 1971, 1975, 1980 and in 1982. After this mixed culture of lilies and *Tagetes* a slight decrease of the number of fasciated plants occurred (*fig. 1*). The observations lead to the idea that nematodes could be responsible for the fasciation of *L. henryi*.
### 3.3. Nematodes as a fasciation promoting principle
To test the assumption that the abundance of nematodes is the determining soil condition responsible for the induction of fasciation in our lilies, the relation between the occurrence of nematodes and fasciation was investigated.
A method was developed to collect the nematodes quantitatively from soil samples (see appendix). In soil in which lily bulbs had been grown for four years, in March/April 1977 on an average about 950 nematodes per kg soil were found. During the growing season the number of nematodes in the soil surrounding the bulbs of fasciated plants increased from about 800 in February to about 1300 in the beginning of July and then decreased to about 650 in November (fig. 2) (sampling at two weeks intervals). A similar decrease in the same period was found around the roots of a fasciated plant of *Senecio cineraria*. In the soil around bulbs transferred in April to pots placed in the greenhouse the number of nematodes decreased continuously (fig. 2).
The nematode population consisted predominantly of the species *Ditylenchus dipsaci* (Kühn, 1857; Filipjev 1936; Anonymous 1972) and *Rotylenchus* spec. (fig. 3).
The next step was an experiment to induce fasciation by infecting clean bulbs with various amounts of nematodes isolated from soil samples surrounding fasciated plants, or from manure. Only in 5 plants from 35 grown from treated bulbs was a slight fasciation observed.
The application of water extracts containing nematodes (*D. dipsaci*) to normal plants by injection into bulbs during the months April and May did not give rise to fasciations. The bulbs remained in the soil in the field during a mild winter. In the following vegetation period, however, 56% of all treated plants (n = 20) showed fasciation (*fig. 4b*). One plant had a partial fasciation, but grew during summer into a normal plant. All control plant remained without fasciation.
This experiment provides good evidence that nematodes are responsible for fasciation in *L. henryi*.
4. DISCUSSION
From the observations and data presented here it becomes evident, that fasciation in *L. henryi*, a teratological phenomenon which results in the broadening of the main stem, multiplicity of flower parts and in increased volume and weight of the plant, is not genetically determined. In this lily species fasciation occurs in response to nematodes in the soil surrounding the bulb.
The bulbs of fasciated lily plants were always surrounded by a strongly viable nematode population. The most abundant species was *D. dipsaci*, a species which is known sometimes to inhabit bulbs and stems in many other plant species (Seinhorst 1961).
As only one of the four clones of *L. henryi* under investigation showed fasciation, the possibility of the participation of a genetical factor in the determination of the disposition for fasciation also in our lilies cannot be excluded.
Fig. 4. Fasciated plants of *Lilium henryi*.
a. experimentally induced fasciation after application of water extracts of nematodes.
b. spontaneous fasciation of lily under field conditions.
Dependent on culture conditions, the number of nematodes in the close vicinity of the bulbs can increase. However, nematodes have never been found in the tissue of the bulbs, stems or flower parts. *Ditylenchus dipsaci*, the nematode species found abundantly around *L. henryi*, normally does not enter host plants (Seinhorst 1959, 1961).
The application of total extracts of nematodes to non-fasciated plants lead to fasciation. The inducing effect of the nematodes must be an indirect one. There is some evidence that growth hormones secreted by nematodes (Webster 1968; Cutle & Krusberg 1968; Auding-Halm & Scheibe 1968; Thimann & Sachs 1966) and other organic substances (Myers 1963) play a crucial role in the induction of fasciations but nematodes are able to secrete or excrete a variety of substances which also might be active in the induction of lesions and teratological structures (Krusberg 1963).
Indirect effects of nematodes surrounding the bulb cannot be excluded since they can function as incitants, carriers or vectors for other pathogens (Pitcher 1965; Weischer 1968), as e.g. viruses (Weischer 1969), fungi (Dürschner 1983) and bacteria (Powell 1971).
Also, the protecting effect of mixed cultivation with *Tagetes* (Oostenbrink et al. 1957; Meijneke & Oostenbrink 1958; Oostenbrink 1960), which prevented fasciation in clone 4 of *L. henryi* can now be explained. The root system of *Tagetes* is known to secrete nematocidal substances (Uhlenbrock & Buloo 1958, 1959) which suppress the nematodes. The reduction of the number of fasciations in the field in the years after mixed crop cultivation can be explained by the suppression of nematodes causing fasciation by marigold's root excretion of nematicidal substances.
The question remains: why was it never possible, neither under normal nor under experimental conditions, to obtain 100% fasciated plants among clone populations? This might be explained by the fact that for the teratologically deviated developmental process the external inducer must be present in the right concentration and at the right phase (Scheibe & Wöhrmann-Willmann 1957) of the gene dependent reaction chain.
It can be supposed that clone 4, which in our material showed a certain percentage of fasciation regularly through the years, is genetically different from the other clones. Clone 4 can be considered as less genetically resistant to nematode interactions (Sidhu & Webster 1981), but more sensitive to the morphogenetic substances secreted or excreted by the nematode population which inhabits the soils around the bulb. A certain relationship seems to exist between the size of the nematode populations and its physiological conditions. Complementary genetical systems between plants and nematodes seem to act here.
**APPENDIX**
*Elutriator for the isolation of nematodes from soil samples:* In an upwards moving water stream two forces act on a particle: the downwards directed gravitational force and an upwards directed force of convection due to the friction in the water. The motion of the particle in the medium depends on these two forces (*fig. 5*).
*Principle of elutriation:* In an elutriator particles are classified in an upward directed water flow according to their fall velocities.
The fall velocity $w$ of a particle is given by:
$$w = \sqrt{\frac{2V_p g (\rho_p - \rho_w)}{C_D A_{\perp} \rho_w}}$$
in which
$V_p =$ the volume of the particle ($m^3$)
$g =$ gravity acceleration ($m/s^2$)
$\rho_p =$ particle density ($kg/m^3$)
$\rho_w =$ water density ($kg/m^3$)
$A_{\perp} =$ cross sectional particle area perpendicular to the water velocity ($m^2$)
$C_D =$ drag coefficient ($-$)
Fig. 5. Forces acting on a particle in a moving fluid
$F_g =$ gravity force
$F_{op} =$ buoyance force
$F_d =$ drag force
$d =$ column diameter
$A_\perp =$ cross sectional area of the particle perpendicular to the relative fluid velocity
$V_w =$ water velocity
Particles with a fall velocity smaller than the water velocity applied in the elutriating column are carried upwards by the water flow and leave the elutriator at the top over-flow opening. Particles with a fall velocity larger than the water velocity are sinking down in spite of the upflowing water and end up in the heavy fraction reception vessel. The water velocity is chosen in such a way that a desired separation in top product particles and bottom product particles is achieved. This often requires an estimation of $A_\perp$ and $C_D$, which is difficult for non-spherical particles with no fixed orientation in the water flow. $C_D$ may e.g. vary between the value 0.3 and 1.2 ($C_D = 0.45$ is a typical value for a spherical particle) depending on particle shape, orientation and density. In practice the optimum value for the water velocity is determined experimentally by analysing the separation performance of the column as function of the water velocity applied. By changing the speed of the medium stream, a separation of particles, dependent on the mass $\rho_p$, takes place: heavier particles move downwards, lighter particles move upwards. By interception of the lighter particles in the upper part of the column by adequate sieves, it is possible to obtain the heavier particles separated. By repeated elutrition the separation can be improved.
**Application:** For the isolation of nematodes a column with a diameter of 50 mm was chosen (fig. 6) because it can then be expected that hindering boundary layers at a streaming velocity of 0.114 l/min are negligible. Theoretically, a minimum diameter of 35 mm is necessary. The size and shape of the nematodes is variable since they tumble strongly in the water stream resulting in a variable effective area $A_\perp$. In practice, however, the assumption is made that the nematodes are spheres with a specific mass $\rho_p$ of about $1.05 \times 10^{-3}$ kg m$^3$. It turns out that the results under this assumption are quite reasonable.
**Usage of elutriator:** The soil sample with known weight, is pretreated in an appropriately sized beaker and mixed with water. After some stirring the floating fractions on the surface and the supernatant are discharged. After starting the water stream, the pretreated sample is divided into small portions and applied to the funnel (T). The light fraction in the upper part (A) of the elutriator is collected in sieve Z (mesh size 50 µm). The heavier fraction is collected in the lower part of the column (B) in a flask (O). The light fraction (from sieve Z) can be further cleaned by a repeated treatment in the elutriator, but now at a lower speed waterstream, so that then the nematode fraction results as a heavier fraction and is quantitatively collected in bottle O, from which the nematodes can be isolated using the above mentioned sieve.
Fig. 6. Elutriator, schematic drawing (all dimensions in mm unless indicated otherwise).
→ direction of water flow
→ direction of particle motion
A = elutriating column, classification of the light fraction
B = elutriating column, classification of the heavy fraction
S = water inlet for circular washing tube
T = supply funnel for soil sample
U = top overflow opening
Z = sieving device (mesh width 50 μm)
K = connector for the heavy fraction reception vessel
W = central water inlet for the elutriation
O = heavy fraction reception vessel
Efficiency: With the elutriator method it is possible to recover 90% of the nematodes in a given soil sample, about 5% of the individuals are lost during the procedure.
In comparison with the classical ice method by which only 20% of the individuals could be recovered, about 70% remain in the soil sample, and more than 10% are lost during the procedure. Also, the time of isolation using the elutriator is more efficient than with the ice method: for one sample of about 1000 g with the ice method about 10 to 12 hours are necessary, whereas the elutriator method needs no more than 2 hours.
ACKNOWLEDGEMENTS
During the quarter century of the observation and investigation of fasciation in lily many people have given their assistance and their help. These people are highly appreciated and acknowledged: J. Straub (Köln); W. Floksstra, B. M. van Meurs, A. H. Glaap, J. Derksen, J. J. C. Holten, W. J. P. Verdijk, H. J. M. Spruyt and G. J. H. Uyen (Nijmegen), M. M. C. Senden (Eindhoven); I. van Bezoooyen (Wageningen), as well as the students R. J. van Wijk (1976–77) and W. H. M. Rombouts (1977–78) who collaborated during this study with us.
REFERENCES
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ANONYMOUS (1972): *Ditylenchus dipsaci*. In: Commonwealth Institute of Helminthology. *Descriptions of Plant-parasitic Nematodes*, Set 1, No. 14.
BAIRATHI, M. K. & G. S. NATHAWAT (1978): Morphology and anatomy of fasciated plants in sannhemp (Crotalaria juncea L.). *Flora* **167**: 147–157.
BOKE, N. H. & R. G. ROSS (1978): Fasciation and dichotomus branching in *Echinocerus* (Cactaceae). *Am. J. Bot.* **65**: 522–530.
CUTLER, H. F. & L. R. KRUSBERG (1968): Plant growth regulators in *Ditylenchus dipsaci*, *Ditylenchus triformis* and host tissues. *Plant Cell Physiol.* **9**: 479–497.
DÜRSCHNER, U. (1983): Pilzliche Endoparasiten an beweglichen Nematodenstadien. Mitt. Biol. Bundesanst. Land. Forstwirtsh. (Berlin-Dahlem) **217**.
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OOSTENBRINK, M. (1960): Tagetes patula L. als voorvrucht van enkele land- en tuinbouwgewassen op zand- en dalgrond. *Meded. Landbouwhogesch. Opzoekingsinst. Staat. Gen* **25**: 1065–1975.
—, K. Kuiper & J. J. ’s Jacob (1957): Tagetes als Feindpflanzen von Pratylenchus-Arten. *Nematologica* **11** (suppl.): 424–433.
PITCHER, R. S. (1965): Interrelationships of nematodes and other pathogens of plants. *Helminthological Abstr.* 34(1): 1–17.
POWELL, N. T. (1971): Interaction of plant parasitic nematodes with other disease-causing agents. In: B. M. ZUCKERMANN, W. F. MAI, R. A. RHODE (eds.): *Plant parasitic nematodes* 2: 119–136.
SCHEIBE, A. & B. WÖHRMANN-WILLMANN (1957): Über gengesteuerte Formbildungsprozesse beim Stengelauflauf der Erbse. *Z. Bot.* 45: 97–121.
SEINHORST, J. W.: Biologische rassen van het stengelaltijde Ditylenchus dipsaci (Kühn) Filipjev en hun waardplanten I. *Tijdscchr. Plantenziekten* 62: 179–188.
— (1961): Plant-nematode inter-relationships. *Annu. Rev. Microbiol.* 15: 177–196.
SIDHU, G. S. & J. M. WEBSTER (1981): Genetics of plant-nematode interactions. In B. M. ZUCKERMAN, R. A. RHODE (eds.): *Plant parasitic nematodes* 3: 61–87.
THIMANN, K. V. & T. SACHS (1966): The role of cytokinins in the "fasciation" disease caused by Corynebacterium fascians. *Am. J. Bot.* 53: 731–739.
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— & — (1959): Investigations on nematocides. II. Structure of a second nematicidal principle isolated from Tagetes roots. *Rec. Trav. Chim.* 78: 382–390.
VRIES, H. DE (1894): Over de erfelijkheid der fasciatien. *Biol. Jaarb. Gent* 6: 72–118.
— (1899a): Über die Abhängigkeit der Fasciation vom Alter bei zweijährigen Pflanzen. *Bot. Cbl.* 77: 289.
— (1899b): Sur la culture des fasciations des espèces annuelles et biannuelles. *Rev. gén. bot.* 11: 136–151.
WEBSTER, J. M. (1968): The effect of 2,4-D on plant parasitic nematodes in culture and in vivo. *C. rend. 8em. Symp. intern. Nématologie*, Antibes, 1965, p. 88. E. J. Brill, Leiden.
WEISCHER, B. (1968): Wechselwirkungen zwischen Nematoden und anderen Schaderregern an Nutzpflanzen. *C. rend. 8em. Symp. intern. Nématologie*, Antibes, 1965, E. J. Brill, Leiden.
— (1969): Vermehrung und Schadwirkung von Aphelenchoides ritzemabose und Ditylenchus dipsaci in virusfreiem und in TMV-infiziertem Tabak. *Nematologica* 15: 334–336.
WHITE, O. E. (1948): Fasciation. *Bot. Rev.* 14: 319–358. |
Real-time ground filtering algorithm of cloud points acquired using Terrestrial Laser Scanner (TLS)
Nelson Diaz\textsuperscript{a,*}, Omar Gallo\textsuperscript{b}, Jhon Caceres\textsuperscript{b}, Hernan Porras\textsuperscript{b}
\textsuperscript{a}Department of Computer Science, Universidad de Investigación y Desarrollo, Bucaramanga, 680001 Colombia
\textsuperscript{b}Department of Civil Engineering, Universidad Industrial de Santander, Bucaramanga, 680002 Colombia
Abstract
3D modeling based on point clouds requires ground-filtering algorithms that separate ground from non-ground objects. This study presents two ground filtering algorithms. The first one is based on normal vectors. It has two variants depending on the procedure to compute the k-nearest neighbors. The second algorithm is based on transforming the cloud points into a voxel structure. To evaluate them, the two algorithms are compared according to their execution time, effectiveness and efficiency. Results show that the ground filtering algorithm based on the voxel structure is faster in terms of execution time, effectiveness, and efficiency than the normal vector ground filtering.
Keywords: Ground filter, normal vector, PCA, TLS, voxel.
1. Introduction
Since the development of LIDAR technology, it is easier to acquire the three-dimensional spatial information component in a wide range of scales [1]. In the form of a point cloud, the way this technology captures data presents several challenges when processing this data. Among them, a significant challenge when processing point clouds in urban environments is filtering ground points, as this is essential for later segmentation and classification of objects.
*Corresponding author
Email address: email@example.com (Nelson Diaz)
Several methodologies have been proposed to perform ground filtering in Airborne laser scanning point cloud, such as, [2], [3]. Weighted regression techniques are used in ground filtering in mobile laser scanner [4], [5], [6]. And ground filtering techniques in terrestrial laser scanner usually are based on normal vectors. This approach computes the corresponding normal vector and surface vector from the neighborhood of a point [7]. Once they are calculated, the point is considered as belonging to the ground if the angle between these two vectors is close to 90 degrees. Some points on trees and buildings may be erroneously classified as ground; hence, these points are eliminated by adjusting to a plane. To do this, a best-fitting plane to the points classified as the ground is calculated. Then, the distance from each point to the plane is measured, and the point with the minimum normal distance to the plane is determined. This point is called $Z_0$. After, an elevation threshold is set according to $Z_0$, and the points above and below the threshold are removed. This leads to ground filtering that leaves only the curb’s limits, road lanes, and sidewalks.
Other methods to filter ground are based on structures that divide the point cloud into small cubic sections called voxels [8]. The method identify the lowest cubic section that is full, which means a section that contains at least one point in each of the vertical columns of voxels. Voxels with these characteristics are considered to contain ground points. Subsequently, from the points identified as ground, the plane that best fits these points is calculated. The nearest points to the plane will be classified as ground points. It should be noted that the use of the voxel concept reduces the computational complexity of the problem since it does not work directly on the points but on their aggregation as a voxel. This approach has been successfully used in real-time curb detection applications for mobile laser scanners [8]. Approaches involving voxels have also been used for point cloud segmentation and classification [9].
In [10] the point cloud is divided into vertical columns, and each vertical column is divided into cubes. For each point, the region of the vertical elevation histogram in which it is located is calculated. The vertical elevation histogram shows the number of points in each cube. The lowest cube in the vertical
elevation histogram is then selected as ground.
In order to improve the segmentation of ground points, the point cloud must be organized before processing. This organization reduces the computation time of certain operations, such as nearest neighbors’ calculation, easing the segmentation process. There are different algorithms for structuring a point cloud. Among them, we can mention those based on the creation of a kd-tree [11] and an octree [12]. These algorithms organize the points in a tree-like data structure, which facilitates finding nearby points quickly by searching through the created tree. However, the search of nearby points is possible only after the computation of the tree. Also, the organization of point clouds with these structures is performed on the totality of available data. However, the reorganizing of point cloud is inconvenient at the time of processing because the spatial characteristics of closer points are alike, making it unnecessary to study distant points (the proximity is characterized according to the neighborhood concept between points in space, see proposed methodology). Therefore, it is more convenient to structure the point cloud into smaller sections. From now on, these sections will be referred to as partitions and voxels.
This article presents two ground-filtering algorithms. The first one uses normal vectors and has two versions that vary concerning on calculating k-nearest neighbors. K-nearest neighbors refer to the nearest k points to a $p_i$ point. The first version uses a general-purpose library to calculate k-neighbors called KNN CUDA; the second one uses a point cloud structuring algorithm called kd-tree from the VTK® library. VTK is a C++ library for image processing and graphic computing. In particular, VTK allows structuring point clouds using Kd-trees. The second ground filtering algorithm presented is based on the point cloud’s structuring into voxels, which groups nearby points, enabling operations to be performed on the voxels instead of the points. The results show that the voxel-based ground filtering algorithm is faster in terms of execution time than the normal vector-based ground filtering algorithm.
This work is organized as follows: Section 2 briefly explains the characteristics of the data used to test the algorithms, including the specifications of
the hardware used to implement the proposed algorithms and the detailed description of the ground filtering algorithms developed, i.e., one based on normal vectors and the other based on voxel structuring. In Section 3, the experimentation and discussion of results can be found. Finally, Section 4 presents the conclusions of this paper.
2. Methodology
The experimental scheme used for the present study is detailed below. Section 2.1 explains the data used. Section 2.2 details the hardware used to run the algorithms. Finally, section 2.3 describes the two ground filtering algorithms: the first based on normal vectors, offering two versions that differ in the way they calculate the neighbors of a point, and the second one, based on voxel structuring.
2.1. Data
For the present study, data collected on the Carrera 27 from the 14\textsuperscript{th} to 18\textsuperscript{th} street corners in the city of Bucaramanga, Colombia, were used. The test point cloud was captured using the Riegl VZ-400 terrestrial laser scanner. In total, 11-point clouds were used. The number of points in each cloud is between 1047348 and 5523518.
2.2. Hardware and libraries used
The proposed algorithm was tested on a machine with the following specifications: operating system Windows 10, an intel(R) Core(TM) i7-10750H 2.60 GHz, and a 6 GB NVIDIA GeForce RTX 2060 card. The algorithm was written in C/C++ language, and the compilers used were gcc and g++. In addition, the KNN CUDA and kd-tree VTK\textsuperscript{®} algorithms were used to calculate the k-nearest neighbors. The source code of the proposed approach is available in the following repository\textsuperscript{1}.
\textsuperscript{1}The source code are available in the following GitHub repository.
2.3. Filtering algorithms
In order to establish the nomenclature to be used throughout this paper, the following definitions are proposed. Let \( \mathbf{P} \in \mathbb{R}^{M \times N} \) be the matrix that represents a 3D point cloud with \( N \) points. In more detail, each column of \( \mathbf{P} \) is a 3D vector, such that, \( \mathbf{P} = [\mathbf{p}_1, \ldots, \mathbf{p}_i, \ldots, \mathbf{p}_N] \), where \( \mathbf{p}_i \in \mathbb{R}^M \) is the \( i \)th point in the point cloud denoted by \( \mathbf{p}_i = [p_{(x,i)}, p_{(y,i)}, p_{(z,i)}]^T \), and \( i \) is the index of the columns in \( \mathbf{P} \). The nearest points to point \( \mathbf{p}_j \) are called the neighbors and are grouped according to the neighborhood relationship. Given the query point \( \mathbf{p}_i \), the resulting \( K \)-nearest neighborhood matrix is given by \( \mathbf{Q}_i \in \mathbb{R}^{M \times K} \), where each column is a 3D vector, such that, \( \mathbf{Q}_i = [\mathbf{q}_1, \ldots, \mathbf{q}_k, \ldots, \mathbf{q}_K] \), with \( K \) being the number of neighbors of point \( \mathbf{p}_i \). In the present research, two methodologies for ground filtering were studied to evaluate which of them presented the best performance and efficiency. The first one is based on the calculation of normal vectors for each point, and the second one is based on the voxel construction technique.
2.3.1. Normal vector calculation technique
Figure 1. depicts the flowchart of the proposed approach. Six stages compose the algorithm, standardization, construct of 2D voxel grid, search of the k-nearest neighbors, principal component analysis, adjusting of ground points to a plane, and ground selection. In the following, each stage is explained.
Standardization: Before performing the calculations for the ground filtering algorithm, it is convenient to standardize the data. This is due in principle to two reasons: the overflow of memory by the calculations made on floating data types and eliminating the outliers. In the first one, the coordinates \((x, y, z)\) of the point clouds are floating data types. For this reason, the calculations performed on the video card may overflow the memory as the capacity supported for this type of data is exceeded. This results in a loss of calculation accuracy. On the other hand, the point cloud includes some atypical values that deviate from the main group of points in the scene. These values are called outliers, and their presence increases the extreme values in the coordinates \((x, y, z)\). The
standardization process was carried out by applying the logistics function (Verhulst, 1845) at each coordinate \((x, y, z)\) for all points in the cloud. An example of standardization for the \(x\) coordinate is shown in equation 1, where \(\hat{x}_i\) is the logistics function of the \(i^{th}\) point of the \(x\) dimension. In this, \(\tau_i\) is dependent on four parameters: \(x_i\) is the \(x\) component of the \(i^{th}\) point; the variables \(\bar{p}_x = \frac{1}{N} \sum_{i=1}^{N} p_{(x,i)}\) and \(\sigma_x = \frac{1}{N} (p_{(x,i)} - \bar{p}_x)^2\) are the mean and standard deviation of the \(x\) dimension; and the parameter \(r\) indicates how many standard deviations are considered. In the present case, \(r = 1\). The standardized points are within the interval \([0 - 1]\).
Figure 1: Flowchart of ground filtering algorithm based on normal vector calculation.
\[
\hat{p}_{(x,i)} = \frac{1}{1 + \exp(-\tau_i)}, \quad \text{where} \quad \tau_i = \frac{p_{(x,i)} - \bar{p}_x}{r\sigma_x}.
\]
(1)
**Grid Construction:** To avoid the assignment of points that are far from each other to the same neighborhood, a mechanism was proposed to organize the point cloud spatially and thus achieve better performance in searches. This organization consists of building a 2D grid using the \(x\) and \(y\) axes of the point cloud and then gridding the space at 0.1-meter intervals for each axis. These values were determined by experimentation. It is common in the literature for this parameter to be established experimentally. For instance, [8] have defined 0.2 meters as the voxel dimension. This grid has no limit on the \(z\) coordinate, so each cell contains all the points within its \(x\) and \(y\) cell ranges, forming a type
of vertical columns of points [8], as shown in figure 2(a). These vertical columns are grouped sequentially to form segments of 65,536 points as shown in figure 2(b). The segments have this size since it is the maximum number of points that can be processed with KNN CUDA, according to tests shown in [13], [14]. The $K$-nearest neighbors in the edge of the segment with 65536 are calculated using only points in the segment. This approach does not consider neighbors of adjacent segments because this increases the computational time.
*Normal vector calculation*: The normal vector of each cloud point is calculated by using an algorithm that consists of two stages: the first one searches for the $K$-nearest neighbors (KNN), and the second one uses the analysis of the main components or Principal Component Analysis (PCA).
*Search for $K$-NN*: During this stage, the computing K-NN was conducted in two ways: by structuring the point cloud in the form of a kd-tree via the VTK® library [15], [16], and using the parallel programming paradigm through the KNN CUDA library to calculate $K$-neighbors for each of the query $\mathbf{p}_i$ points [13], [14]. The video card processors of the machine used in this study were also used. The number of neighbors is set to $K = 50$. The comparison of the time
used under both approaches is shown in section 3, corresponding to the results.
**Principal Component Analysis:** The principal component analysis (PCA) is computed from points in the $K$-neighborhood $\mathbf{Q}_i$ of a given query point $\mathbf{p}_i$, where $i \in [1, N]$ is any point in the point cloud. Specifically, the first step to obtain the PCA is computing the covariance matrix $\mathbf{S_q} \in \mathbb{R}^{M \times M}$ using equation the following equation
$$\mathbf{S_q} = \frac{1}{K} \sum_{k=1}^{K} \mathbf{q}_k \mathbf{q}_k^T - \mathbf{m_q} \mathbf{m_q}^T = (\mathbf{q}_k - \mathbf{m_q})(\mathbf{q}_k - \mathbf{m_q})^T,$$
(2)
where $\mathbf{m_q} = \frac{1}{K} \sum_{k=1}^{K} \mathbf{q}_k$ is the mean vector in a $K$-neighborhood. Then, finding a set of $M$ orthonormal eigenvectors $\mathbf{v}_j$ for $j = 1, \ldots, M$ is always possible because $\mathbf{S_q}$ is real and symmetric matrix. Solving the following equation $\mathbf{S_q} \mathbf{v}_j = \lambda_j \mathbf{v}_j$ produces eigenvalues $\mathbf{\lambda} = [\lambda_1, \lambda_2, \lambda_3]^T$, and eigenvectors $\mathbf{v}_j$ for the points in the neighborhood. After that, the eigenvalues are normalized according to
$$Nor(\lambda_j) = \frac{\lambda_j}{\lambda_1 + \lambda_2 + \lambda_3}.$$
(3)
Then, the normal vector to the surface corresponds to the eigenvector of the smallest eigenvalues. Furthermore, three descriptors are defined to characterize the type of shape of each $\mathbf{Q}_i$ neighborhood: linear, flat, and volumetric [17]. Finally, each point is classified as a possible ground according to the angle between the normalized eigenvalues $Nor(\lambda_j)$ and the normal vector to the surface. The angle should be found at the threshold $[80, 100]$ degrees according to [7], and the geometric descriptor should be flat. If these two characteristics are met, the $\mathbf{p}_i$ point is classified as ground. Two matrices result once each point is classified. Specifically, the matrix $\mathbf{G} \in \mathbb{R}^{M \times U}$ represent the $U$ point classified as ground. The matrix $\mathbf{F} \in \mathbb{R}^{M \times V}$ denotes the $V$ points classified as non-ground, where $V = N - U$.
**Naïve Bayes Classifier:** From the previous stage, most of the points that were labeled as ground belongs to it. However, some points belonging to other objects such as trees or buildings also met the condition of the angle between their normalized eigenvalues and the normal vector and were therefore labeled
as ground. In order to improve the previous classification, an algorithm based on the probability of a point belonging to one of the two existing classes (ground and non-ground) called the Naïve Bayes classifier was used. This algorithm performs a neighborhood analysis of each point based on a sample and the total number of points. For the case study, the a priori probability of points on the ground \( P(U) \) is defined as the number of points on the ground \( U \) over the total number of points \( N \), see Equation (4). The a priori probability of points that are not ground \( P(V) \) is defined as the number of points that are not ground \( V \) over the total number of points \( N \), see Equation (5).
\[
P(U) = \frac{U}{N} \tag{4}
\]
\[
P(V) = \frac{V}{N}. \tag{5}
\]
For each \( p_i \), query point, its neighborhood \( Q_i \) and its probability of belonging to \( Q_i \) are calculated using equations (6) and (7), where \( P(U|Q_i) \) and \( P(V|Q_i) \) are the probabilities that the points in the neighborhood have of belonging to one of the two classes. Where the number of ground point in \( Q_i \) is denoted by \( U_{Q_i} \) and the number non-ground points in \( Q_i \) is denoted by \( V_{Q_i} \), and \( K \) is the number of points in the neighborhood of \( p_i \).
\[
P(U_{Q_i}|Q_i) = \frac{U_{Q_i}}{K}, \tag{6}
\]
\[
P(V_{Q_i}|Q_i) = \frac{V_{Q_i}}{K}. \tag{7}
\]
Finally, the a posteriori probability is calculated for the points that belong and do not belong to the ground, see equation (8) and (9).
\[
Pp(U) = P(U)P(U_{Q_i}|Q_i), \tag{8}
\]
\[
Pp(V) = P(V)P(V_{Q_i}|Q_i). \tag{9}
\]
The point is classified as ground if \( Pp(U) > Pp(V) \) or as not ground if \( Pp(U) < Pp(V) \). The application of the Naïve Bayes classifier substantially
improved the classification of the points. However, some points remained misclassified, as shown in Figure 2(c). For this reason, the strategy of adjusting the points that belong to the ground to a plane was used in order to eliminate the points that remain misclassified.
*Adjusting ground points to a plane:* The points that were classified as ground were adjusted to a plane defined by $\alpha x + \beta y + \gamma z + \delta = 0$. The plane is obtained using the RANSAC algorithm that calculates the coefficients $\alpha, \beta, \gamma, \delta$, then the distance of each point $p_i$ to the plane is calculated
$$d_i = \frac{\alpha x_j + \beta y_j + \gamma z_j + \delta}{\sqrt{\alpha^2 + \beta^2 + \gamma^2}}.$$
(10)
Based on the distances $d_i$, the mean distance $\mu$ and its standard deviation $\sigma$ are calculated. The points are then classified as ground if they meet two criteria: the first is that their distance $d_i$ to the plane is within the distance threshold of 10 cm, a value set based on experimentation. The second is that $d_i$ is also within the value of $\mu \pm \sigma$. The result is shown in Figure 2(d).
### 2.3.2. Voxel-based ground filtering algorithm
Another approach studied for ground filtering is the voxel-based filtering algorithm. Figure 3 shows the flowchart for the developed algorithm.
**Figure 3:** Flowchart of voxel-based ground filtering algorithm.
*Division into voxels:* The voxel-based division is a 3D spatial segmentation that splits the 3D space and assigns each point to a segment, based on the three
coordinates \((x, y, z)\) of each point. This division of space into cubes called voxels transforms the point cloud into a three-dimensional mesh, reducing computational complexity in nearest neighbors' calculation. The size of the voxel is 10 cm. This size was determined experimentally and based on the work of [8]. It should be noted that the voxel division is similar to the grid construction of the ground filtering algorithm based on normal vectors, but with the particularity of dividing also the \(z\) dimension. The result can be seen in Fig. 4(a).
**Voxel selection by ranges of height:** The criterion used to detect ground points using the voxel division is based on the fact that ground sections are nearly flat. Therefore, in each voxel, the \(z\) coordinate range is calculated as follows: \(range = max_z - min_z\). This is done to quantify how flat the point cloud section contained in each voxel is. If the range is below 0.04 cm, the voxel is considered a horizontal surface. This parameter was defined by experimentation results are shown in Figure 4(b).
**Voxel organization using kd-trees:** To structure the point cloud, a kd-tree is created using the centroid of each voxel. This organization reduces the complexity of searching for nearest neighbors. The centroid is calculated as shown in equation 11. Let \(V_\ell \in \mathbb{R}^{M \times L}\) be the matrix that groups all the \(L\) points within a \(\ell\text{th}\) voxel. The \(x\)-coordinate of the centroid for the points within the voxel is calculated by
\[
c_{x,\ell} = \frac{max(V_{(x,\ell)}) + min(V_{(x,\ell)})}{2} \quad \ell = (1, \ldots, T),
\]
where \(T\) denotes the total number of voxels. A similar calculation is performed for the \(y\) and \(z\) coordinates, defining the centroid \(c_\ell = [c_{(x,\ell)}, c_{(y,\ell)}, c_{(z,\ell)}]^T\). This point is representative of all points within the voxel. A kd-tree is created with all centroids, which makes it possible to calculate neighborhoods among voxels.
**Statistical filter by height:** In order to reduce the number of voxels that are the farthest from the ground in a preliminary way, a statistical filter by height is applied. More specifically, for voxels with a flat surface, i.e., with a range of
Figure 4: The figure depicts the steps of the voxel algorithm, which has 5 parts. (a) Division into voxels, (b) Voxel selection by ranges of height, (c) Statistical filter by height, (d) voxel segmentation by 3D adjacency, (e) Check of voxel by neighborhood.
0.04 cm, the $z$-coordinate of their respective centroid was averaged. From this average, the horizontal surface threshold, shown in equation 12, was calculated. The threshold is equal to the average of the horizontal surfaces plus one meter.
\begin{equation}
threshold_{sh} = average_{sh} + 1.
\end{equation}
Finally, the voxels below $threshold_{sh}$ are selected (See Fig. 4 (c)), thus discarding the voxels farthest from the ground.
*Voxel segmentation by 3D adjacency:* The voxels resulting from the previous step are arranged into segments. These segments are constructed using a seed growth algorithm [18], which calculates each voxel’s neighborhoods using adjacency 26. Adjacency 26 is defined as the neighborhood around a voxel [9]. See figure 4 (d), showing groups of voxels.
*Adjustment of the centroids to a plane:* After the voxel segmentation, the points within the largest voxel segment are adjusted to a plane. This plane is calculated using the centroids of the largest segment. The distance from each centroid to the plane is then calculated according to Equation (10). The points within the voxels that meet the criterion of adjustment of points from the ground to a plane on section 2.3.1 and then have at least 2 points are selected.
*Check of voxel by neighborhood:* To verify the classification of points within the voxel as ground and not ground, the number of ground and non-ground voxels in adjacency 26 are counted. The points within the considered voxel are reclassified according to the most significant number of neighboring voxels. The filtering result is shown in Figure 4(e).
3. Experimental Results
This section discusses the results of the ground filtering algorithms in terms of effectiveness and efficiency. The analysis includes a comparison between the execution time of the ground filtering algorithm based on normal vectors varying the function that calculates the nearest neighbors since that is the algorithm’s bottleneck.
Furthermore, simulations with a benchmark dataset are included to evaluate the proposed normal-vector and voxel-based ground filtering approaches. The selected benchmark is the Paris-Lille-3D dataset [19], which contains ten classes, i.e., class 0 unclassified, class 1 ground, class 2 building, class 3 pole - road sign - traffic light, class 4 bollard - small pole, class 5 trash can, class 6 barrier, class 7 pedestrian, class 8 car, class 9 natural - vegetation. Specifically, Fig. 5(a) depicts the different classes of one part of the scan of the Paris-Lille-3D dataset. For the present study, it is preserved the ground class, and the other classes are set as non-ground, as it is shown in Fig. 5(b). Four labeled scans of the Paris-Lille-3D dataset are utilized to evaluate the performance of normal-vector and voxel-based ground filtering. In addition, five metrics are included to assess the performance of the ground filtering approaches.
### 3.1. Accuracy Evaluation Metrics
To test the quality performance of the proposed methods, standard metrics for semantic segmentation and binary classification tasks are used. Let TP, FP, FN, and TN represent true positives, false positives, false negatives, and true negatives, respectively. Then, the accuracy is given by
\[
Accuracy = \frac{(TP + TN)}{(TP + FP + TN + FN)}.
\] (13)
The precision/correctness, recall/completeness are computed as follows:
\[
Precision = \frac{TP}{(TP + FP)},
\]
where the precision is the ratio of the true positives over the extracted ground points, and the recall is the ratio of the true positives over the labeled ground-truth ground points. The higher the value of the metrics, the better the performance of the methods.
\[
Recall = \frac{TP}{(TP + FN)}.
\]
Furthermore, it used an F-measure metric derived from the precision and recall values for the point-based overall assessment, which is defined as follows
\[
F-measure = \frac{(1 + \epsilon^2)TP}{((1 + \epsilon^2)TP + \epsilon^2FN + FP)},
\]
where \( \epsilon = 1 \) is assumed. Moreover, the intersection over union (IoU) is utilized. IoU is defined as the quantity of intersection of the prediction and the groundtruth points divided by the union of them, which is given by
\[
IoU = \frac{TP}{(TP + FP + FN)}.
\]
Different metrics are utilized to test the performance of the proposed ground filtering approaches. In particular, Table 1 shows the performance of the two proposed approaches, normal-vector, and voxel-based ground filtering, in terms of accuracy, precision, recall, F-measure, and IoU. Besides, the four scans are evaluated, Paris, Lille11, Lille12, and Lille2. According to the five metrics results, the normal-vector approach slightly outperforms the voxel-based filtering.
We evaluate the effectiveness of the proposed ground filtering approaches using four scans of the benchmark Paris-Lille-3D dataset. Figure 6 depicts the visual comparison of the normal-vector approach and the voxel-based ground filtering against the groundtruth of the benchmark dataset. In accuracy, the normal-vector outperforms the voxel-based ground filtering. Specifically, the normal-vector obtains accuracy 1% higher than the voxel approach. Although
Table 1: Performance of the proposed ground filtering methods on the Paris-Lille-3D dataset for four different scans.
| Algorithm | Metric | Paris | Lille11 | Lille12 | Lille2 |
|-------------|--------------|-------|---------|---------|--------|
| Normal-vector | Accuracy(%) | 98.10 | 99.21 | 98.21 | 99.00 |
| | Precision(%) | 99.41 | 98.61 | 98.89 | 98.06 |
| | Recall(%) | 95.87 | 99.69 | 97.94 | 99.90 |
| | F-measure(%) | 97.61 | 99.15 | 98.41 | 98.97 |
| | IoU(%) | 95.34 | 98.32 | 96.88 | 97.97 |
| Voxel-based | Accuracy(%) | 97.26 | 98.58 | 97.51 | 98.46 |
| | Precision(%) | 95.52 | 97.09 | 97.58 | 96.93 |
| | Recall(%) | 97.82 | 99.93 | 98.05 | 99.95 |
| | F-measure(%) | 96.66 | 98.49 | 97.81 | 98.42 |
| | IoU(%) | 93.53 | 97.03 | 95.73 | 96.89 |
Both approaches are comparable in terms of accuracy, the normal-vector approach is computational slower than the voxel approach. Urban scenarios with high density in the point cloud might be adequate for using a voxel-based ground filtering approach.
Methods of the state-of-art are included to assess the performance of the proposed ground filtering methods. The two methods of the state-of-art are least-square fitting (LS) and principal component analysis (PCA) [20]. In particular, each row of Figure 7 depicts the ground classification results using one out of four scans of the Paris-Lille-3d dataset. Besides, Figure 7(a) shows the ground filtering using least square fitting. Figure 7(b) depicts ground filtering using PCA and, Figure 7(c) corresponds to the groundtruth map. The accuracy of the LS methods is higher than the PCA for whole scans. In general, LS performs better than PCA. However, the proposed approaches overcome the classification ground filtering of both LS and PCA.
3.2. Parameter Sensitivity
3.2.1. Computation of Nearest Neighbor
Table 2 shows the times in minutes of the ground filtering algorithm based on the normal vector, varying the method to calculate the nearest k-neighbors. A GPU is used to implement the KNN algorithm of the CUDA library [13], [14] and
Figure 6: Comparison normal-vector ground filtering, and voxel-based ground filtering using four scans of the Paris-Lille-3D dataset. The first, second, third, and fourth rows correspond to Paris, Lille2, Lille11, and Lille12 scans, respectively. (a) ground filtering using normal-vector approach, (b) ground filtering using voxel-based approach, (c) established groundtruth map.
the kd-tree structuring algorithm of the VTK® library [15], [16]. The average time per section using the KNN CUDA algorithm was 7.0533 minutes compared to the average time per section using the kd-tree data structuring algorithm, which was 5.0705 minutes. In terms of average time, the kd-tree algorithm was faster compared to the parallelized KNN CUDA algorithm. However, the
voxel-based ground filtering algorithm shows an average time of 7.053 seconds for all sections. This is considerably less than the two versions of the ground filtering algorithm based on a normal vector. It is worth emphasizing that the time measured for the normal-based filtering algorithm with its two variants KNN CUDA and kd-tree VTK, and the voxel-based filtering algorithm include all the steps of the algorithm. The algorithms’ lapses based on normal vectors are shown in figure 5.
Figure 7: Comparison least square ground filtering, and PCA ground filtering using four scans of the Paris-Lille-3D dataset. The first, second, third, and fourth rows correspond to Paris, Lille2, Lille11, and Lille12 scans, respectively. (a) ground filtering using least square approach, (b) ground filtering using PCA approach, (c) established groundtruth map.
Table 2: Time of the algorithm using kNN CUDA and kd-tree.
| Section | Total points | Filtering time with kNN CUDA (minutes) | Filtering time with kd-tree VTK® (minutes) | Filtering time with voxel (seconds) |
|---------|--------------|--------------------------------------|------------------------------------------|-------------------------------------|
| 1 | 4531400 | 6.6090 | 5.9525 | 6.592 |
| 2 | 5330969 | 8.4784 | 7.3477 | 7.465 |
| 3 | 4555752 | 9.5016 | 6.0911 | 6.6460 |
| 4 | 1269017 | 1.7851 | 1.7526 | 3.8650 |
| 5 | 5209564 | 11.0656 | 7.0948 | 8.3440 |
| 6 | 5523518 | 7.3780 | 7.5220 | 8.0660 |
| 7 | 3098999 | 6.7554 | 4.0597 | 4.1880 |
| 8 | 3750184 | 9.1994 | 5.0981 | 5.8520 |
| 9 | 4678069 | 12.6099 | 6.4554 | 5.5120 |
| 10 | 1047348 | 2.6767 | 1.3546 | 1.5470 |
| 11 | 2247984 | 1.5271 | 3.0465 | 2.919 |
| Average time | | 7.0533 | 5.0705 | 7.053 |
Figure 8: Computation time of the ground filtering algorithm by varying the function that calculates the k- nearest neighbors.
Table 3 shows ground filtration results using the normal vector method and the voxel method. %C shows the percentage of points correctly filtered, while %E shows the percentage of points incorrectly classified. The two methods’ results are comparable in terms of percentage of points filtered and percentage of error. The normal vector method presents better results for three sections, while the voxel method presents better results for ten sections.
Table 4 shows the confusion matrix for each of the sections used. The confusion matrix compares the ground filtration developed with the normal vector method and the voxel method to the ground truth for each one of the sections. P
Table 3: Percentage of points correctly and incorrectly filtered applying both methods.
| Section | Total points | Normal vector method | Voxel method |
|---------|--------------|----------------------|-------------|
| | | %C | %E | %C | %E |
| 1 | 4531400 | 97.42 | 2.58 | 97.63 | 2.37 |
| 2 | 5330699 | 92.04 | 7.96 | 98.35 | 1.65 |
| 3 | 4555752 | 98.13 | 1.87 | 97.96 | 2.04 |
| 4 | 1474729 | 95.25 | 4.75 | 98.43 | 1.57 |
| 5 | 5290564 | 94.23 | 5.77 | 95.12 | 4.88 |
| 6 | 5523518 | 97.43 | 2.57 | 97.14 | 2.86 |
| 7 | 3098999 | 98.05 | 1.95 | 97.79 | 2.21 |
| 8 | 3750184 | 98.54 | 1.46 | 98.61 | 1.39 |
| 9 | 4678069 | 92.83 | 7.17 | 98.44 | 1.56 |
| 10 | 1047348 | 98.64 | 1.36 | 99.01 | 0.99 |
| 11 | 2247981 | 91.77 | 8.23 | 98.73 | 1.27 |
| Total | 42063030 | 95.67 | 4.33 | 97.64 | 2.36 |
and N are Positive and Negative, respectively. The confusion matrix shows that the Normal vector method and the Voxel method present comparable results with respect to the ground truth.
4. Conclusions
In the experimentation, the average time of all sections for each algorithm was calculated. The voxel-based ground filtering was found to be faster in terms of average time than the normal vector algorithm, i.e., the average time of the voxel algorithm was 7.053 seconds and was less than those of the ground filtering that uses the search for the nearest k-neighbors. Two algorithms were used to structure data using k-neighbors: the kd-tree version that took 5.0705 minutes and the KNN CUDA version of the algorithm took 7.0533 minutes. Both algorithms proved to be effective in recognizing ground in urban settings. As part of future studies, it is planned to make a voxel-based implementation of segmentation and classification algorithms for point clouds that uses the proposed ground filtering algorithm during the preliminary stage. Studies that
Table 4: Confusion matrix for each of the ground filtering methods.
| Section | Groundtruth | Classification |
|---------|-------------|----------------|
| | | Normal vector method | Voxel method |
| | | P | N | P | N |
| 1 | P | 2065224 | 13128 | 2129823 | 68301 |
| | N | 103842 | 2349206 | 39243 | 2294033 |
| 2 | P | 1860416 | 11410 | 2221623 | 36444 |
| | N | 412685 | 3046188 | 51478 | 3021154 |
| 3 | P | 2894538 | 29504 | 2875919 | 18907 |
| | N | 55518 | 1576192 | 74137 | 1586789 |
| 4 | P | 468780 | 1179 | 526872 | 12481 |
| | N | 68812 | 935958 | 10720 | 924656 |
| 5 | P | 2833947 | 266220 | 2784639 | 170330 |
| | N | 33937 | 2066460 | 83245 | 2162350 |
| 6 | P | 3116226 | 115567 | 3092499 | 107531 |
| | N | 26554 | 2265171 | 50281 | 2273207 |
| 7 | P | 2339287 | 40841 | 2314216 | 23938 |
| | N | 19464 | 699407 | 44535 | 716310 |
| 8 | P | 2391553 | 40497 | 2378583 | 25090 |
| | N | 14095 | 1304039 | 27065 | 1319446 |
| 9 | P | 2620212 | 11550 | 2897532 | 26545 |
| | N | 323707 | 1722600 | 46387 | 1707605 |
| 10 | P | 755722 | 8025 | 758565 | 6993 |
| | N | 6197 | 277404 | 3354 | 278436 |
| 11 | P | 1738240 | 5905 | 1898857 | 10033 |
| | N | 179147 | 324689 | 18530 | 320561 |
consider non-urban settings are also recommended.
5. Funding
Nelson Diaz was supported by Colciencias during his doctoral studies with grant “727 Doctorados nacionales de 2015”. Part of this research project was financed by the Geomatics research group, attached to the Civil Engineering School of the Industrial University of Santander. Nelson Díaz is supported Universidad de Investigación y Desarrollo (UDI) under internal grant: “2021-
INV-11-BGA Procesamiento de nubes de puntos adquiridas con un escáner láser terrestre mediante técnicas de aprendizaje de máquina (machine learning)".
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URL https://doi.org/10.1145/142920.134011 |
Routine use of antibiotic prophylaxis in low-risk laparoscopic cholecystectomy is unnecessary: A randomized clinical trial
Jay Narayan Shah*, Shanta Bir Maharjan, Sanjay Paudyal
Department of Surgery, Patan Hospital, Patan Academy of Health Science (PAHS), Lalitpur, Kathmandu, Nepal
Received 20 December 2011; received in revised form 12 May 2012; accepted 31 May 2012
Available online 22 August 2012
KEYWORDS
antibiotic prophylaxis;
laparoscopic cholecystectomy;
surgical site infection;
wound infection
Summary Background: Laparoscopic cholecystectomy uses smaller incision and trocars that lessen the contamination and exposure of wound, resulting in less infection. However, the antibiotic prophylaxis is still widely practiced, like in our institute, a continuation of the era of open surgery. Recent studies reveal no advantage of routine use of antibiotic, and there is growing consensus against it. Besides cost, antibiotic increases emergence of multidrug resistance. Because of the controversies, we conducted this clinical trial.
Methods: This randomized clinical trial, conducted from October 1, 2009 to September 31, 2010 at Patan Hospital, included 154 patients in prophylactic antibiotic group (GrAP) with cefazolin 1 g IV as per existing practice and 156 in no antibiotic group (GrAPn). Symptomatic laparoscopic cholecystectomy patients of American Society of Anesthesiologist (ASA) 1 and 2 (without diabetes) were included. Patients with complicated gall stones (cholangitis, choledolithiasis, and pancreatitis) and who required conversion were excluded. Wound was observed during follow-up within 1 week. Data on patient characteristics, use of antibiotic, bile spillage, and postoperative wound infection were entered in predesigned proforma. Microsoft Excel was used to analyze the data.
Results: In total, 310 patients were eligible for analysis, 154 in GrAP and 156 in GrAPn. Both groups were comparable in patient demographic and clinical characteristics such as average age (40.3 vs. 41.6 years) and sex (female 77.6% vs. 78.6%). Overall wound infection occurred in 4.8% (15/310). There was no significant difference in wound infections among the two groups ($p = 0.442$): GrAP 3.9% and GrAPn 5.8%. There was no mortality in this series.
* Corresponding author. Department of Surgery, Patan Hospital, Patan Academy of Health Science (PAHS), Lalitpur, GPO Box 252, Kathmandu, Nepal.
E-mail addresses: firstname.lastname@example.org, email@example.com (J.N. Shah).
1015-9584/$36 Copyright © 2012, Asian Surgical Association. Published by Elsevier Taiwan LLC. All rights reserved.
http://dx.doi.org/10.1016/j.asjsur.2012.06.011
1. Introduction
Laparoscopic cholecystectomy (LC) has now come of age as a safe surgery for symptomatic cholelithiasis. Regarding the use of antibiotic prophylaxis (AP) in LC, despite the controversies, there is a growing consensus in support of not using AP in uncomplicated cases.\(^1\)–\(^5\) However, clinicians do not give up the traditional practice easily despite the fact that recent meta-analysis and reviews support this view.
Preoperative single-dose cefazolin as an AP has been recommended (by the Centers for Disease Control and Prevention—CDC) and widely used in clean-contaminated surgery such as cholecystectomy and biliary surgery to reduce surgical site infection (SSI).\(^6\)–\(^7\)
The benefit of LC as a minimally invasive surgery has been recognized for its faster recovery, but the use of AP has remained similar to that of the era of open cholecystectomy. This needs re-evaluation because the role of AP to prevent SSIs is controversial in LC due to low risk of SSI. In LC, the incision is smaller and manipulation is done through trocars that lessen the contamination and exposure of wound, unlike in open surgery.\(^8\)–\(^16\)
Unnecessary use of antibiotic adds to the cost and increases emergence of multidrug resistance. Because of the controversies on routine use of AP in LC, we conducted this prospective trial on the necessity of our existing practice of using single-dose cefazolin as AP in LC.
2. Patients and methods
This randomized clinical trial was carried out from October 1, 2009 to September 31, 2010 at Patan Hospital, a university teaching hospital with optimum operating, anesthetic, and recovery facilities, with the aim of including 150 patients in each group. Patients were randomized into two groups by lottery. Odd-numbered (1 and subsequent 3, 5, …) patients received antibiotic prophylaxis (GrAP), whereas even numbered (2 and subsequent 4, 6, …) did not receive antibiotic prophylaxis (GrAPn). Operation-room nurses administered antibiotics to the odd-numbered patients.
Symptomatic patients scheduled for LC of ASA 1 and 2 (without diabetes) who consented for the study were included. Patients with complicated gall stones (cholelithiasis, choledocholithiasis, and pancreatitis) and those who required conversion to open cholecystectomy were excluded. Acute cholecystitis with high leukocyte count (>11,000) and fever (>100°F) prior to surgery were not included in the study. Patients who were found to have suppurative cholecystitis, empyema, or gangrenous gallbladder during surgery were also excluded. However, patients with acute biliary attack of right upper quadrant pain admitted through emergency department were included. The study was approved from the hospital authority. All LCs were performed under general anesthesia with endotracheal intubation. Patients were monitored postoperatively as per our existing practice.
For postoperative analgesia, morphine 4–6 mg (0.1 mg/kg) and Phenergan 25 mg were administered intramuscularly every 4 hour as required, together with oral paracetamol 500 mg and ibuprofen 400 mg. Oral feeding was started after 4 hours of surgery. Drip was stopped 6 hours after surgery, with cannula being locked \textit{in situ}. Patients were discharged on 1\textsuperscript{st} postoperative day (if vitals were stable with no features of peritonitis and if patients could tolerate oral feeding). They were advised to follow up in surgical referral clinic within a week. Status of wound (normal, inflamed, or pus) was recorded and managed accordingly with ciprofloxacin 500 mg twice daily for inflammation, plus gaping/dressing of wound in case of pus.
Patient demographics and clinical characteristics, including gall bladder perforation and bile/stones spillage during surgery, were recorded in a predesigned proforma. Microsoft Excel and SPSS were used to analyze the data.
3. Results
During the study period, a total of 328 LC patients were enrolled out of which 18 were excluded because of incomplete data. Among the remaining 310 patients eligible for analysis, 154 were in GrAP and 156 in GrAPn. Both groups were comparable in patient demographic and clinical characteristics (Table 1).
Inadvertently, perforation and spillage of bile occurred in 96 cases of which 25 also had spillage of stones. Spilled
| Table 1 | Findings in laparoscopic cholecystectomy patients (\(n = 310\)), GrAP and GrAPn. |
|---------|----------------------------------------------------------------------------------|
| | Laparoscopic cholecystectomy patients | GrAP \(n\%\) | GrAPn \(n\%\) |
| Number of patients | 154 | 156 |
| Age (y) | 40.3 (13–76) | 41.6 (10–76) |
| Female | 121 | 78.6 | 121 | 77.6 |
| Male | 33 | 21.4 | 35 | 22.4 |
| Bile spillage | 52 | 33.8 | 46 | 29.5 |
| Acute biliary attack\(^a\) | 11\(^b\) | 7.1 | 20\(^b\) | 12.8 |
| SSI (stitch abscess, erythema, discharge) | 6 | 3.9 | 9 | 5.8 |
GrAP = antibiotic prophylaxis group; GrAPn = no antibiotic prophylaxis group; SSI = surgical site infection.
\(^a\) Without leucocytosis, fever, or findings of suppurative cholecystitis, empyema, or gangrenous gallbladder during surgery.
\(^b\) Two out of 11 and four out of 20 also had bile leak.
Table 2. Wound infection among two groups of LC patients with and without prophylactic antibiotic had no significant difference (chi-square test, $p > 0.05$ or $p = 0.442$).
| LC patients | Wound infection n/% | No wound infection n/% |
|-------------|---------------------|------------------------|
| GrAP, $n = 154$ | 6<sup>a</sup> | 3.9 | 149 | 96.1 |
| GrAPn, $n = 156$ | 9<sup>a</sup> | 5.8 | 147 | 94.2 |
| Total, $n = 310$ | 15 | 4.8 | 295 | 95.2 |
GrAP = antibiotic prophylaxis group; GrAPn = no antibiotic prophylaxis group; LC = laparoscopic cholecystectomy.
<sup>a</sup> None of these patients were from the subgroup of acute cases.
stones were picked up and irrigation with normal saline was performed until the aspirate was clear.
The overall SSI occurred in 4.8% (15/310) of patients. Six SSI out of 154 (3.9%) occurred in GrAP and nine out of 156 (5.8%) in GrAPn. This slightly higher incidence of SSI in GrAPn was not significant (chi-square test, $p > 0.05$ or $p = 0.442$; Table 2). There was no bile duct injury or mortality in this series. Average hospital stay after surgery was 1.27 (range 1–3) days in GrAP and 1.32 (range 1–3) days in GrAPn.
4. Discussion
Protocol to AP at our institutions has continued ever since the era prior to the introduction of minimal invasive LC two decades ago. Like many other institutions in and out of the country, all cholecystectomy patients at our hospital routinely receive AP (cefazolin 1 g IV) prior to surgery. In the present study, the overall SSI was 4.8%. The SSI was 3.9% in GrAP and 5.8% in GrAPn. The slightly higher occurrence of wound infection in GrAPn was statistically not significant (chi-square test, $p > 0.05$ or $p = 0.442$). Our findings are comparable with reported studies.<sup>1–3,5,6,9</sup>
Iatrogenic gallbladder perforation in LC occurs in 2–25% of cases.<sup>2,4,17–19</sup> In the present study, we had higher incidence of bile leakage spillage (30.9%, 96/310). Possible cause could be involvement of acute cases (10%) and different levels of operating surgeons, from lecturer to professors. Findings of this study does not support the general perception that bile leak increases the SSI. Out of 45 bile spillage in GrAPn (156 LC), there were only five SSIs out of the nine that had spill during surgery. Similarly in GrAP (154 LC), there were 50 bile spills, but none of the six SSIs had any history of bile spill. Other studies have reported similar findings.<sup>4,17,20</sup>
We did not include body mass index (BMI) as a possible variable to influence wound infection in open surgery, because BMI is not considered a risk factor in minimal invasive LC with small incision. In case of LC, studies have not found differences in operative time, length of stay, or complications between normal-weight and overweight or obese patients.<sup>1,21</sup> Moreover, BMI of patients we see in our local society seldom exceeds 30.
Our institutional policy is to perform surgery during index admission for acute cases if they can be scheduled within 1 week of attack. In this study, we included patients who were admitted from emergency department with acute biliary pain (without the features of “acute infection” such as high leucocyte count and fever, and findings of empyema, gangrenous or suppurative cholecystitis-thickened and edematous “hot” looking gallbladder during surgery).
Subgroup analysis revealed that 11 acute cases (two also had bile spill during surgery) in GrAP and 20 (with four bile spill) in GrAPn who had LC during the admission did not develop SSIs. Study with larger sample size may be required to generalize our findings that patients with acute attack (but without features of suppurative cholecystitis, empyema, and gangrenous gallbladder) do not benefit from routine AP to prevent SSIs.
There was no difference in average hospital stay after surgery, with 1.27 (range 1–3) days in GrAP and 1.32 (range 1–3) days in GrAPn. Our practice is to discharge patients on the 1<sup>st</sup> postoperative day following LC unless their condition is complicated (example: unstable vitals or peritonitis due to bile leak) or they are not willing to go home (due to transportation problem when living far from the hospital). In this study, we had no bile leak or duct injury. Our hospital policy is to admit patients for elective surgery 1 day (unit-1) and 2 days (unit-2, because hospital is closed on the day prior to surgery) earlier for checkup. Also, because of transportation problem we cater service to patients from all over the country and even from within the town, if required. This is the reason why some of our patients who could be discharged medically stayed 1–2 days more after surgery.
This study has some limitations. We did not include patients with “acute cholecystitis” who had high leucocyte count, fever on admission, or findings of suppurative cholecystitis, empyema, or gangrenous gallbladder during surgery. Thus, our findings cannot be generalized to all patients who undergo surgery for acute cholecystitis because they are already on antibiotic when admitted from emergency department. This will require separate study with different sorts of protocols. At our institute, we perform “emergency” cholecystectomy for patients admitted within a week of attack, on any of the four scheduled operation days. Otherwise, they are advised for surgery after 6 weeks or more. We consider “emergency surgery” out of normal operating schedule when there is a complication such as peritonitis due to gangrenous or gallbladder perforation.
Risk of SSI in LC is low and does not seem to be reduced by the routine use of AP in uncomplicated cases, as we found in this study. Based on recent published evidences and after the completion of our own study, we have now adopted the policy of not administering routine AP in uncomplicated cases of LC. Most of the published data come from developed countries that may have different patient and social structures. We hope that being conducted in a local scenario this study will help other institutions in Nepal as well as in other developing countries with similar socioeconomic condition to benefit from its findings.
5. Conclusions
Already low risk of wound infection following LC was not significantly reduced further with the routine use of
preoperative AP in uncomplicated patients with symptomatic cholelithiasis.
**Funding**
None.
**Competing interest**
No benefits in any form have been or will be received from a commercial party related directly or indirectly to the subject of this article.
**Acknowledgments**
We are thankful to operating-room nurses for helping in randomization and administration of AP.
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Leptin Interferes with the Effects of the Antiestrogen ICI 182,780 in MCF-7 Breast Cancer Cells
Cecilia Garofalo,1 Diego Sisei,2 and Eva Surmacz1
1Kimmel Cancer Center, Thomas Jefferson University, Philadelphia Pennsylvania; and 2Faculty of Pharmacy, University of Calabria, Cosenza, Italy
ABSTRACT
Purpose: Obesity is a risk factor for breast cancer development in postmenopausal women and correlates with shorter disease-free and overall survival in breast cancer patients, regardless of menopausal status. Adipose tissue is a major source of leptin, a cytokine regulating energy balance and controlling different processes in peripheral tissues, including breast cancer cell growth. Here, we investigated whether leptin can interfere with antitumorogenic activities of the antiestrogen ICI 182,780 in breast cancer cells.
Experimental Design: Mitogenic response to leptin and the effects of leptin on ICI 182,780-dependent growth inhibition were studied in MCF-7 estrogen receptor α-positive breast cancer cells. The expression of leptin receptor and the activation of signaling pathways were studied by Western immunoblotting. The interference of leptin with ICI 182,780-induced estrogen receptor α degradation was probed by Western immunoblotting, fluorescence microscopy, and pulse-chase experiments. Leptin effects on estrogen receptor α–dependent transcription in the presence and absence of ICI 182,780 were studied by luciferase reporter assays and chromatin immunoprecipitation.
Results: MCF-7 cells were found to express the leptin receptor and respond to leptin with cell growth and activation the signal transducers and activators of transcription 3, extracellular signal-regulated kinase-1/2, and Akt/GSK3/pRb pathways. The exposure of cells to 10 nmol/L ICI 182,780 blocked cell proliferation, induced rapid estrogen receptor α degradation, inhibited nuclear estrogen receptor α expression, and reduced estrogen receptor α–dependent transcription from estrogen response element–containing promoters. All of these effects of ICI 182,780 were significantly attenuated by simultaneous treatment of cells with 100 ng/mL leptin.
Conclusions: Leptin interferes with the effects of ICI 182,780 on estrogen receptor α in breast cancer cells. Thus, high leptin levels in obese breast cancer patients might contribute to the development of antiestrogen resistance.
INTRODUCTION
Numerous epidemiologic studies documented that obesity is a risk factor for postmenopausal breast cancer (1–4). Furthermore, increased body weight and body mass index have been associated with shorter disease-free and overall survival in breast cancer patients, regardless of age and menopausal status (4). Some studies also suggested that obesity can reduce the efficacy of anti-breast cancer chemotherapy (5). In animal models, high adiposity has been linked with increased incidence of spontaneous and chemically induced mammary tumors (6–9).
Human obesity is associated with increased levels of leptin, a $M_r$ 16,000 circulating hormone controlling food intake and energy balance by providing signals to the hypothalamus (10). In addition to its central nervous system activities, leptin regulates multiple processes in peripheral tissues, including hematopoiesis, immune responses, puberty, pregnancy, and lactation (10–14). In cellular models, leptin has been shown to activate proliferation, angiogenesis, motility, and invasion (10, 15–22). The major source of leptin is adipose tissue; however, leptin can be produced by other organs, including the mammary gland (10–12).
The activities of leptin are mediated through the transmembrane leptin receptor (ObR; ref. 23). In human tissues, at least four isoforms of ObR with different COOH-terminal cytoplasmic domains have been described previously (24). The full (long) form of ObR (ObR$_L$) is 1165 amino acids long ($M_r \sim 150,000–190,000$) and contains extracellular, transmembrane, and intracellular domains. The extracellular domain binds ligand, whereas intracellular tail recruits and activates signaling substrates. Only ObR$_L$ has a full signaling potential, whereas the shorter ObR isoforms have diminished or abolished signaling capability (25–28). The signaling pathways known to be activated by ObR$_L$ include the classic cytokine JAK2/signal transducers and activators of transcription 3 (STAT3) pathway; the Ras/extracellular signal-regulated kinase (ERK) signaling cascade; the kinases phosphatidylinositol 3'-kinase, Akt, p38, and protein kinase C; nitric oxide; and phospholipase Cy (25–27). Ultimately, induction of ObR$_L$ can activate the expression of several genes involved in cell proliferation, including $c-fos$, $c-jun$, $junB$, $egr-1$, and $socs3$ (25, 26).
Although leptin is necessary for normal mammary gland development in rodents and humans (11, 12, 18, 29), recent studies suggested that the hormone might be involved in mammary carcinogenesis (18–22, 30, 31). Notably, leptin (31) and ObR (20) have been detected in human breast cancer specimens. In breast cancer cell lines T47D and MCF-7, leptin has been shown to stimulate DNA synthesis and cell growth acting through the STAT3 and ERK1/2 signaling pathways (18–20, 22). Leptin has also been shown to induce transformation (anchorage-independent growth) of cancer but not normal breast epithelial cells (18). Finally, leptin-deficient mice have decreased incidence of spontaneous and oncogene-induced mammary tumors (30).
The possible impact of leptin produced in mammary tissue on breast cancer development is yet unknown. The role of circulating leptin remains unclear, with clinical studies reporting positive (32), negative (33), or no association (34) of serum leptin levels with breast cancer.
In addition to leptin, adipose tissue is a source of estrogens produced, via aromatase conversion, from androstenedione in postmenopausal women (35). Recent studies suggest that leptin and estrogen systems are involved in functional cross-talk. For instance, leptin has been shown to modulate, either positively (36–38) or negatively (39, 40), aromatase activity. Reciprocally, 17-β-estradiol (E₂) has been found to up-regulate leptin mRNA and protein synthesis in adipocytes (41). E₂ can also modulate ObR expression (42), possibly through the putative estrogen-responsive element in the *ObR* gene promoter (43).
In this study, we explored a new aspect of leptin/estrogen cross-talk. Specifically, we asked whether leptin can interfere with antitumorigenic effects of the antiestrogen ICI 182,780. ICI 182,780 [Faslodex (fulvestrant); AstraZeneca, Macclesfield, United Kingdom], which induces estrogen receptor α degradation through ubiquitin-mediated mechanism (44–47), is currently used for treatment of hormone receptor-positive metastatic breast cancer in post-menopausal women with disease progression following other hormonal therapy (44).
**MATERIALS AND METHODS**
**Cell Lines and Cell Culture.** MCF-7, T47D, MDA-MB-231, and MDA-MB-435 cells were obtained from American Type Culture Collection (Manassas, VA). The cells were grown in Dulbecco’s modified Eagle’s medium:Ham’s F-12 containing 5% calf serum. In the experiments requiring E₂- and serum-free conditions, the cells were cultured in phenol red-free serum-free medium (48, 49).
**Cell Growth.** MCF-7 cells were plated in 35-mm plates at a concentration of 1.5 to 2.0 × 10⁵ cells/plate in Dulbecco’s modified Eagle’s medium:Ham’s F-12 (1:1) containing 5% calf serum. The following day (day 0), the cells at approximately 70% confluence were shifted to serum-free medium and treated with 10 nmol/L E₂ (Sigma, St. Louis, MO), 10 nmol/L ICI 182,780 (Tocris Cookson, Ellisville, MI), 100 ng/mL leptin (R&D Systems, Minneapolis, MN), or 10 nmol/L ICI 182,780 + 100 ng/mL leptin, singly or in combination. Cell number was determined by direct cell counting at days 0, 1, and 3. The number of cells at day 0 was taken as 100%, and the relative values at days 1 and 3 were calculated for each treatment.
**Fluorescence Microscopy.** Fifty percent confluent MCF-7 cells grown on coverslips were fixed in 3% paraformaldehyde, permeabilized with 0.2% Triton X-100, washed three times with PBS, and incubated for 1 hour with 2 μg/mL estrogen receptor α Ab H-184 (Santa Cruz Biotechnology, Santa Cruz, CA). Next, the cells were washed three times with PBS, and incubated with the rhodamine-conjugated goat antirabbit immunoglobulin G (Calbiochem, San Diego, CA) used as a secondary Ab. After this step, the slides were covered with Vectashield containing 4′,6-diamidino-2-phenylindole (Vector Laboratories, Burlingame, CA) to allow visualization of cellular nuclei. Nuclear abundance of estrogen receptor α under different conditions was assessed using Zeiss Axiovert zoom microscope with magnification ×100.
**Immunoprecipitation and Western Blotting.** The expression of ObR, activation of leptin signaling pathways, and the abundance of estrogen receptor α were assessed by Western blotting or immunoprecipitation followed by Western blotting using total protein lysates or fractionated proteins, where appropriate. Total cell proteins were obtained using RIPA buffer containing 1% Nonidet P40, 0.5% sodium deoxycholate, and 0.1% SDS in PBS. Cytoplasmic proteins were obtained using the lysis buffer containing 50 mmol/L HEPES (pH 7.5), 150 mmol/L NaCl, 1% Triton X-100, 1.5 mmol/L MgCl₂, EGTA, 10 mmol/L (pH 7.5), glycerol 10%, and inhibitors (0.1 mmol/L Na₄VO₄, 1% phenylmethylsulfonyl fluoride, and 20 mg/mL aprotinin). After the collection of cytoplasmic proteins, the nuclei were lysed with the nuclear buffer containing 20 mmol/L HEPES (pH 8), 0.1 mmol/L EDTA, 5 mmol/L MgCl₂, 0.5 mol/L NaCl, 20% glycerol, 1% Nonidet P40, and inhibitors (as above). For Western blotting, 50 mg of protein lysates were separated on a 4 to 15% polyacrylamide denaturing gel (PAGE), and proteins of interest were detected with specific antibodies (Abs) and visualized by ECL chemiluminescence (Amersham Biosciences, Piscataway, NJ). The intensity of bands representing relevant proteins was measured by Scion Image laser densitometry scanning program.
For immunoprecipitations, 500 μg of protein lysates were incubated with primary Abs at 4°C or 18 hours in HNTG buffer [20 mmol/L HEPES (pH 7.5), 150 mmol/L NaCl, 0.1% Triton X-100, 10% glycerol, and 0.1 mmol/L Na₄VO₄], and then the antigen/Ab complexes were precipitated with Protein A agarose (Calbiochem) for pAbs or Protein G for mAbs (Calbiochem) at for 2 hours in HNTG buffer. In control samples, primary immunoprecipitating Abs were replaced with normal rabbit immunoglobulin G (Santa Cruz Biotechnology). The immunoprecipitated proteins were washed three times with HNTG buffer, separated on PAGE, and processed by Western blotting.
**Antibodies for Western Blotting and Immunoprecipitation.** ObR expression was studied by Western blotting with the anti-ObR H300 pAb (Santa Cruz Biotechnology). Estrogen receptor α was assessed by Western blotting with the anti-estrogen receptor α F-10 mAb (Santa Cruz Biotechnology). Ubiquitination of estrogen receptor α was assessed by immunoprecipitation/Western blotting in 500 μg of total proteins. In this assay, estrogen receptor α was immunoprecipitated with the anti-estrogen receptor α F10 mAb, and ubiquitination was detected by Western blotting with the anti-ubiquitin P4D1 mAb (Santa Cruz Biotechnology). The expression of STAT3 was probed in 500 μg of total proteins by immunoprecipitation and Western blotting with the anti-STAT 3 pAb (Santa Cruz Biotechnology). The activation of STAT3 was measured in STAT3
immunoprecipitations with the anti-STAT3 Ser\textsuperscript{727} pAb (UBI, Lake Placid, NY) and the anti-STAT Tyr\textsuperscript{705} pAb (Cell Signaling, Beverly, MA). The following Abs were used to study other elements of leptin signaling by Western blotting: anti-phospho-ERK1/2 Thr\textsuperscript{202}/Tyr\textsuperscript{204} mAb (Cell Signaling); anti-p44/42 MAP kinase pAb (Cell Signaling); anti-phospho-Akt Ser\textsuperscript{473} pAb (Cell Signaling); anti-Akt pAb (Cell Signaling); anti-phospho-GSK3β pAb (Cell Signaling); and anti-phospho-pRB pAb (Cell Signaling). The expression of glyceraldehyde-3-phosphate dehydrogenase (GAPDH) and nucleolin was assessed by Western blotting as controls of loading and purity of lysates with the anti-GAPDH mAb (Research Diagnostics Inc., Flanders, NJ) and the anti-nucleolin C23 mAb (Santa Cruz Biotechnology), respectively. The expression of β-catenin was probed with the anti-β-catenin mAb (BD Transduction Laboratories, San Jose, CA). All Abs were used at concentrations recommended by the manufacturers.
**Estrogen Response Element Reporter Assays.** MCF-7 cells were grown in 24-well plates. At 70% confluence, the cultures were transfected for 6 hours with 0.5 μg DNA/well using Fugene 6 (DNA-Fugene 3:1; Roche, Gipf-Oberfrick, Switzerland). All transfection mixtures contained 0.5 μg of the reporter plasmid, estrogen response element-Luc, encoding the firefly luciferase (Luc) cDNA under the control of the TK promoter and three estrogen response element sequences. In addition, to test transfection efficiency, each DNA mixture contained 50 ng of pRL-TKLuc, a plasmid encoding renilla luciferase (RL Luc; Promega, Madison, WI). Upon transfection, the cells were shifted to serum-free medium for 16 hours and then treated with 10 nmol/L E\textsubscript{2}, 10 nmol/L ICI 182,780, 100 ng/mL leptin, and ICI 182,780 + leptin for 24 hours. Untreated cells in serum-free medium served as controls. Luciferase activity (Luc and RL Luc) in cell lysates was measured using Dual Luciferase Assay System (Promega) following the manufacturer’s instructions. The values obtained for Luc were normalized to that of RL Luc to generate relative Luc units.
**Chromatin Immunoprecipitation.** We followed the chromatin immunoprecipitation methodology described by Shang et al. (50) with minor modifications. MCF-7 were grown in 100-mm plates. Ninety percent confluent cultures were shifted to serum-free medium for 24 hours and then treated for 4 hours with 10 nmol/L E\textsubscript{2}, 10 nmol/L ICI 182,780, 100 ng/mL leptin, 10 nmol/L E\textsubscript{2} + 10 nmol/L ICI 182,780, or 100 ng/mL leptin + 10 nmol/L ICI 182,780, or left untreated in serum-free medium. After treatment, the cells were washed twice with PBS and cross-linked with 1% formaldehyde at 37°C for 10 minutes. Next, the cells were washed twice with PBS at 4°C, collected, and resuspended in 200 mL of lysis buffer [1% SDS, 10 mmol/L EDTA, and 50 mmol/L Tris–Cl (pH 8.1)] and left on ice for 10 minutes. Then, the cells were sonicated four times for 10 seconds at 40% maximal power (Fisher Sonic Diseminator, Pittsburgh, PA), and insoluble material was collected by centrifugation at 4°C for 10 minutes at 14,000 rpm. Supernatants were diluted in 1.3 mL of immunoprecipitation buffer [0.01% SDS, 1.1% Triton X-100, 1.2 mmol/L EDTA, 16.7 mmol/L Tris–Cl (pH 8.1), and 16.7 mmol/L NaCl] and precleared with 80 mL of sonicated salmon sperm DNA/protein A agarose (UBI) for 1 hour at 4°C. The precleared chromatin was immunoprecipitated with either the anti-estrogen receptor α mAb F-10 (Santa Cruz Biotechnology) or the anti-polymerase II CTD4H8 mAb (UBI) for 12 hours. After that, 60 mL of salmon sperm DNA/protein A agarose were added, and precipitation continued for 4 hours at 4°C. After pelleting, the precipitates were washed sequentially for 5 minutes with the following buffers: wash A [0.1% SDS, 1% Triton X-100, 2 mmol/L EDTA, 20 mmol/L Tris–Cl (pH 8.1), and 150 mmol/L NaCl], wash B [0.1% SDS, 1% Triton X-100, 2 mmol/L EDTA, 20 mmol/L Tris–Cl (pH 8.1), and 500 mmol/L NaCl], and wash C [0.25 mmol/L LiCl, 1% Nonidet P40, 1% sodium deoxycholate, 1 mmol/L EDTA, and 10 mmol/L Tris–Cl (pH 8.1)]. The precipitates were then washed twice with 10 mmol/L Tris and 1 mmol/L EDTA. The immune complexes were eluted with the buffer containing 1% SDS and 0.1 mol/L NaOH. The eluates were reverse cross-linked by heating at 65°C for 12 hours and digested with 0.5 mg/mL proteinase K at 45°C for 1 hour. DNA was obtained by phenol and phenol/chloroform extractions. Two mL of 10 mg/mL yeast tRNA were added to each sample, and DNA was precipitated with ethanol for 12 hours at 4°C and resuspended in 20 mL of 10 mmol/L Tris and 1 mmol/L EDTA. Four mL of each sample were used for PCR with pS2 promoter sequences containing estrogen response element: upstream, 5'-TGG CCA GGC TAG TCT CAA AC-3'; and downstream, 5'-CTT ATT CCA GGT CCT ACT CAT A-3'. The PCR conditions were: 30 seconds at 94°C, 50 seconds at 60°C, and 2 minutes at 72°C. The amplification products obtained in 35 cycles were analyzed in a 2% agarose gel and visualized by ethidium bromide staining. The intensity of bands was measured by laser scanning.
**Pulse-Chase Labeling.** Seventy percent of cultures were shifted to methionine- and cysteine-free Dulbecco’s modified Eagle’s medium (Life Technologies, Gaithersburg, MD) for 16 hours and then metabolically labeled with 100 mCi/mL \textsuperscript{35}S (Express protein labeling mix; Perkin-Elmer, Fremont, CA) for 1 hour. After that, the labeling medium was replaced with serum-free medium containing 10 nmol/L ICI 182,780 or 10 nmol/L ICI 182,780 + 100 ng/mL leptin, and the cultures were grown for 1, 2, 4, 6, and 8 hours. Untreated cells in serum-free medium served as controls. At specific time points, the cells were lysed in RIPA buffer, and 500 mg of proteins were precipitated with the anti-estrogen receptor α F10 mAb. The estrogen receptor α immunoprecipitations were separated by SDS-PAGE, and labeled estrogen receptor α was identified by autoradiography.
**Statistical Analysis.** Data were analyzed with Student’s \( t \) test, where appropriate. Means ± SE are shown.
**RESULTS**
**ObR\textsubscript{α} Is Expressed in Estrogen Receptor α-Positive Breast Cancer Cell Lines.** To study possible effects of leptin on ICI 182,780 action, we first assessed the expression of ObR\textsubscript{α}, a signaling form of ObR, in different breast cancer cell lines. Several ObR isoforms (\( M_r \sim 190,000–150,000 \)) were detected in estrogen receptor α-positive and estrogen receptor α-negative breast cancer cells by Western blotting (Fig. 1). Notably, the greatest expression of ObR\textsubscript{α} \( M_r \) 190,000 was found in estrogen receptor α-positive cell lines, MCF-7 and T47D. The shorter isoforms of ObR were abundant in estrogen receptor α-negative cells (Fig. 1). For additional experiments, we selected MCF-7
cells because they are E₂- and ICI 182,780-responsive and express high levels of ObR.
**Leptin Induces Multiple Signaling Pathways in MCF-7 Cells.** We examined leptin effects on the activation of different ObR signaling pathways in MCF-7 cells. In addition to ObR pathways known to be induced in breast cancer cells, i.e., STAT3 and ERK1/2 (18–20), we studied whether leptin can activate AKT/GSK3β antiapoptotic signaling and whether it can phosphorylate (and thereby block) a key cell cycle inhibitor, pRb.
The stimulation of ObR by leptin was assessed at different time points, from 5 minutes to 24 hours. We used leptin at a concentration of 100 ng/mL, which in our preliminary dose-response experiments proved to exert maximal mitogenic effects (data not shown). The stimulation of MCF-7 cells with leptin induced multiple signaling elements, including STAT3, ERK1/2, Akt, and GSK3β (Fig. 2). The phosphorylation of STAT3 on Tyr⁷⁰⁵ and on Ser⁷²⁷⁵, reflecting STAT3 activation, was maximal at 5 minutes of leptin treatment and then declined to basal levels (Fig. 2A). The stimulation of ERK1/2 became detectable at 15 minutes, was maximal at 1 hour, and persisted up to 24 hours. The activation of Akt appeared at 15 minutes, was maximal at 1 hour, and was reduced to basal levels at 4 hours. GSK3β, a downstream effector of Akt and other kinases was induced at 5 minutes, reached the maximal activation at 1 hour, and then declined to basal levels at 24 hours (Fig. 2B). These leptin effects coincided with the phosphorylation of pRb on Ser⁷⁹⁵ (maximum at 1–4 hours; Fig. 2B).
**Leptin Stimulates the Proliferation of MCF-7 Cells and Interferes with ICI 182,780-Dependent Growth Inhibition.** The mitogenic effects of leptin at doses 1 to 1000 ng/mL were studied in MCF-7 cells at 1 and 3 days of treatment. Confirming the results of other investigators (18, 20), we found that the highest proliferation rates were induced with 100 ng/mL leptin, whereas lower leptin concentrations (1 and 10 ng/mL) were less mitogenic (data not shown). Increasing the dose over 100 ng/mL did not improve growth response (data not shown).
At days 1 and 3, 100 ng/mL leptin increased cell growth over that seen in serum-free medium by 20 and 38%, respectively (Fig. 3). Leptin did not affect cell proliferation in the presence of E₂ at any time point. However, leptin consistently counteracted cytostatic effects of ICI 182,780. Specifically, at day 1 and 3, the addition of leptin to ICI 182,780-treated cells increased proliferation by ~30 and ~45%, respectively (Fig. 3). In these studies, ICI 182,780 was used at a concentration of 10 nmol/L, which is cytostatic but not cytotoxic for MCF-7 cells, as demonstrated by us previously (48).
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**Fig. 1.** ObR is expressed in breast cancer cell lines. **Left panel.** The expression of ObR was determined by Western blotting in 50 μg of cytoplasmic protein lysates obtained from proliferating estrogen receptor α-positive (MCF-7 and T47D) and estrogen receptor α-negative (MDA-MB-231 and MDA-MB-435) cells. The ObR Ab used for Western blotting recognizes a common domain in ObR, revealing several isoforms of ObR (Mᵢ 150,000, 190,000) indicated by arrows. The Mᵢ 190,000 isoform represents ObR₁, which is highly expressed in MCF-7 and T47D cells. **Right panel.** The specificity of the ObR Ab was tested using 250 ng of a Mᵢ 60,000 ObR-tagged fusion protein (amino acids 541–840 of human ObR) provided as a positive control by the manufacturer of ObR Abs (Santa Cruz Biotechnology). The molecular weight markers are indicated on the left of both panels.
**Fig. 2.** Leptin activates multiple signaling pathways in MCF-7 cells. **A**, activation of STAT3. MCF-7 cells were synchronized in serum-free medium for 16 hours and then stimulated with 100 ng/mL leptin (LPT) for 5 and 10 minutes or left untreated in serum-free medium. STAT3 was immunoprecipitated (IP) with the anti-STAT3 pAb (Santa Cruz Biotechnology) from 500 μg of total protein lysates, and the activation of STAT3 was visualized with the anti-STAT3 Ser⁷²⁷⁵ pAb (STAT3/S727; Cell Signaling), then after stripping of the membrane with the anti-STAT3 Tyr⁷⁰⁵ pAb (STAT3/Y705; Cell Signaling). In control experiments, the proteins were precipitated with control rabbit immunoglobulin G and processed for Western blotting (WB), as described above. **B**, activation of ERK1/2, Akt, GSK3, and Rb. MCF-7 cells were synchronized in serum-free medium for 16 hours and then stimulated with 100 ng/mL leptin (LPT) for 5 minutes to 24 hours or left untreated in serum-free medium. The activation (phospho) and levels of ERK1/2, Akt, GSK3β, and pRb were assessed by Western blotting in 50 μg of proteins using specific Abs.
Leptin stimulates the growth of MCF-7 cells and counteracts the effects of ICI 182,780. Seventy percent confluent MCF-7 cells were synchronized in serum-free medium for 16 hours and treated with 100 ng/mL leptin (LPT), 10 nmo/L ICI 182,780 (ICI), leptin + ICI 182,780 (LPT+ICI), 10 nmo/L E₂ or E₂ + ICI 182,780 (E₂+ICI) for 1 and 3 days or were left untreated (SFM). Cell number was determined by direct cell counting. Plating efficiency of MCF-7 cells grown in serum-free medium due to activation of autocrine pathways was described by us previously (57, 58). Cell number at day 0 in serum-free medium was taken as 100%. The experiments were performed at least four times. The bars demonstrate relative cell number (±SEM) at different time points. The differences between serum-free medium and leptin values and between leptin and ICI 182,780 + leptin values were statistically significant at days 1 and 3 (P < 0.05).
Effects of Leptin on the Nuclear Abundance of Estrogen Receptor α in ICI 182,780-Treated MCF-7 Cells. To study the mechanism of leptin interference with ICI 182,780, we assessed the abundance of cytoplasmic and nuclear estrogen receptor α in MCF-7 cells treated with E₂, E₂ + ICI 182,780, ICI 182,780, ICI 182,780 + leptin, and leptin alone (Fig. 4). As expected, E₂ significantly (by ~50%) decreased the cytoplasmic expression of estrogen receptor α and increased (by ~150%) its nuclear levels, relative to estrogen receptor α under serum-free medium conditions. Also predictably, ICI 182,780 treatment induced the degradation of estrogen receptor α, resulting in reduced estrogen receptor α abundance in the cytoplasm and nucleus (~85 and 70%, respectively). These effects of ICI 182,780 were partially reversed in the presence of E₂ (Fig. 4). The addition of leptin to ICI 182,780-treated cells significantly improved nuclear estrogen receptor α expression but had only minimal effects on the cytoplasmic estrogen receptor α levels. Leptin alone had no significant effects on estrogen receptor α expression in the cytoplasmic and nuclear compartments (Fig. 4).
The above observations were confirmed by fluorescence microscopy of estrogen receptor α in MCF-7 cells treated with ICI 182,780 in the presence or absence of leptin. Estrogen receptor α accumulated in the nucleus upon E₂ stimulation, whereas a 24-hour treatment with ICI 182,780 dramatically reduced nuclear estrogen receptor α expression. The effect of ICI 182,780 was prevented by the addition of leptin (Fig. 4B).
Leptin Increases Estrogen Receptor α Recruitment to the pS2 Promoter in ICI 182,780-Treated MCF-7 Cells. The function of nuclear estrogen receptor α under different conditions was addressed with chromatin immunoprecipitation assay (Fig. 5). We found that the stimulation of MCF-7 cells with E₂ increased (~5-fold) the recruitment of estrogen receptor α to the classical E₂-responsive estrogen response element-containing pS2 gene promoter. This effect coincided with the greater association of polymerase II to the pS2 regulatory sequences (Fig. 5). In the presence of ICI 182,780, the recruitment of estrogen receptor α to the pS2 promoter was similar to that seen in untreated cells, and the recruitment of polymerase II was completely blocked. The addition of leptin counteracted the inhibitory action of ICI 182,780, resulting in a greater association of polymerase II (increased by ~2-fold) and estrogen receptor α (~3-fold) to the pS2 promoter. Leptin alone did not stimulate the recruitment of either estrogen receptor α or polymerase II to the pS2 promoter (Fig. 5).
Effects of Leptin on Estrogen Receptor α Transcriptional Activity in ICI 182,780-Treated MCF-7 Cells. We validated the information obtained with chromatin immunoprecipitation assays using estrogen response element–luciferase reporter system (Fig. 6). In control experiments, E₂ significantly (by ~250%) stimulated estrogen response element-dependent transcription above the basal level, whereas the addition of ICI 182,780 to E₂ abolished this effect (Fig. 6). Leptin alone did not activate estrogen response element transcription above that seen under serum-free medium conditions. Similarly, leptin did not improve E₂-dependent estrogen response element activation. In the presence of ICI 182,780, estrogen response element activity decreased ~60% below basal levels. In contrast, in ICI 182,780 + leptin cotreated cells, estrogen response element activity was increased ~50% above the level recorded in untreated cells (Fig. 6).
Leptin Increases Estrogen Receptor α Half-Life and Reduces Estrogen Receptor α Ubiquitination in ICI 182,780-Treated MCF-7 Cells. ICI 182,780 is known to induce rapid degradation of estrogen receptor α in MCF-7 (46, 51). We probed the possibility that leptin treatment competes with ICI 182,780 action and increases estrogen receptor α stability. Using pulse-chase assay, we confirmed previous observations that estrogen receptor α half-life in untreated cells is ~4 hours, and in ICI 182,780-treated cells, ~1.5 hours (refs. 47 and 51; Fig. 7A). The addition of leptin increased estrogen receptor α half-life to ~2.5 hours (Fig. 7A).
Next, we addressed the mechanism by which leptin might decrease estrogen receptor α turnover. Because ICI 182,780- and E₂-dependent degradation of estrogen receptor α occurs through the ubiquitin-proteasome pathway (46, 47), we studied the effects of leptin on estrogen receptor α ubiquitination (Fig. 7B). The ubiquitination of estrogen receptor α was undetectable in untreated cells, whereas it was increased when the cells were treated for 1 hour with ICI 182,780 or E₂. The addition of leptin greatly reduced estrogen receptor α ubiquitination in ICI 182,780-treated cells (Fig. 7B). Leptin alone did not induce estrogen receptor α ubiquitination. However, estrogen receptor α ubiquitination was still observed when ICI 182,780 was challenged with E₂ (data not shown).
The above treatments had no effects on the expression and ubiquitination of β-catenin, a known target of proteasome (ref. 52; Fig. 7B; data not shown).
DISCUSSION
Obesity is a risk factor for the development of breast cancer in postmenopausal women (1–4) and for tumor recurrence in all breast cancer patients, regardless of age and menopausal status (4). However, molecular mechanisms by which excessive fat accumulation could promote mammary carcinogenesis remain unknown. One possibility is that the process is mediated by elevated estrogen levels produced by adipose tissue in postmenopausal women (35, 53). In addition, it has been suggested that the development and progression of breast cancer could be stimulated by mitogenic and transforming activity of leptin (18), the levels of which rise proportionally to body mass index and...
Leptin Interferes with Antiestrogen ICI 182,780
Fig. 5 Leptin increases estrogen receptor α recruitment to pS2 promoter in ICI 182,780-treated MCF-7 cells. The cells were treated for 4 hours with 10 nM/L E₂, 10 nM/mL ICI 182,780 (ICI), 100 ng/mL leptin (LPT), ICI 182,780 + leptin (ICI+LPT), E₂ + ICI 182,780 (E₂+ICI) and left untreated (SFM). The cells were then cross-linked with formaldehyde and lysed, and soluble, precleared chromatin was obtained. The soluble chromatin was immunoprecipitated with either the anti-estrogen receptor α F-10 mAb (Santa Cruz Biotechnology; ChIP-ERα) or the anti-polymerase II CTDH4R mAb (UBI; ChIP-polII). The estrogen receptor α and polymerase II immunocomplexes were reverse cross-linked, and DNA was recovered by phenol/chloroform extraction and ethanol precipitation. The pS2 promoter sequences containing estrogen response elements were detected by PCR with specific primers, as detailed in Materials and Methods. To control input DNA, pS2 promoter was amplified from 30 μL of initial preparations of soluble chromatin (before immunoprecipitations).
are generally higher in women than in men (10). Furthermore, because estrogen receptor α and ObR have been found coexpressed in malignant mammary tissue and breast cancer cell lines (18–20), it is also possible, that both signaling systems are involved in a functional cross-talk contributing to carcinogenesis. However, leptin/E₂ interactions and their possible role in breast cancer have not been extensively studied. In this work, we investigated whether the presence of leptin could compete with antiestrogenic effects produced by ICI 182,780.
First, we provided evidence that estrogen receptor α–positive breast cancer cells MCF-7 and T47D express higher levels of ObR1 than estrogen receptor α–negative cell lines MDA-MB-231 and MDA-MB-435. These results confirmed the data of other investigators who demonstrated ObR1 expression in T47D and MCF-7 cells (18–20) but lack of ObR1 mRNA in MDA-MB-231 cells (19). As a cellular model of this study, we selected estrogen receptor α–positive and ICI 182,780-sensitive MCF-7 breast cancer cells. We demonstrated that MCF-7 cells respond to leptin stimulation with the activation of several signaling intermediates, including the STAT3, ERK1/2, and Akt pathways (Figs. 1 and 2). In MCF-7 cells, leptin was also able to inactivate the cell cycle inhibitor pRb and stimulate cell growth (Fig. 2). These results extend the observations of Xu et al. (18), Dieudonné et al. (19), Laud et al. (20), and Okamura et al. (22), who described leptin-dependent proliferation and leptin-induced STAT3 and ERK1/2 signaling in different estrogen receptor α–positive breast cancer cell lines. The maximal mitogenic concentrations of leptin used in our and other studies (100 ng/mL) are in the range of serum leptin levels found in obese and morbidly obese (body mass index > 40) individuals (54, 55).
The growth of estrogen receptor α–positive breast cancer cells can be effectively inhibited by ICI 182,780, which induces rapid proteasome-mediated degradation of estrogen receptor α (44–46). We report here, for the first time, that antiestrogenic action of ICI 182,780 can be significantly reduced in the presence of leptin. Specifically, in ICI 182,780-treated MCF-7 cells, leptin increased estrogen receptor α half-life and decreased estrogen receptor α ubiquitination. These effects coincided with elevated nuclear estrogen receptor α expression, increased estrogen receptor α recruitment to the E₂-sensitive gene promoter, and increased estrogen response element–dependent transcription. Leptin also counteracted cytostatic effects of ICI 182,780, resulting in increased cell proliferation (Figs. 3–7).
Interestingly, the mechanism by which leptin competes with ICI 182,780 appears to be different from that exerted by E₂. For instance, estrogen receptor α is still ubiquitinated in ICI 182,780 + E₂-treated cells, whereas it is not ubiquitinated in ICI 182,780 + leptin-treated cells (Fig. 7B; data not shown). Similarly, the abundance of nuclear estrogen receptor α is higher under ICI 182,780 + leptin conditions than that seen in ICI 182,780 + E₂-treated cells (Fig. 4A). In part, this phenomenon could be explained by the recent discovery that estrogen receptor α turnover is differentially regulated depending on whether the receptor is unliganded, agonist bound, or antagonist bound and whether other cellular pathways (e.g., MAP kinases) are induced by cell surface receptors (46). Thus, it is possible that leptin can exert its action only on ICI 182,780-dependent estrogen receptor α processing. Indeed, in different assays, we did not observe any effects of leptin on basal or E₂-induced activity.
Fig. 6 Leptin increases estrogen receptor α transcription at estrogen response element promoters in ICI 182,780-treated cells. MCF-7 cells grown in 24-well plates were transfected for 6 hours with 0.5 mg of DNA per well using Eugene 6. All transfection mixtures contained 0.5 mg of estrogen response element reporter plasmid estrogen response element-TK-Luc. In addition, each of the DNA mixtures contained 50 ng of pRL-TK-Luc plasmid encoding Renilla luciferase to assess transfection efficiency. Upon transfection, the cells were shifted to SFM for 16 hours and then treated for 24 hours with 10 nM/L E₂, 10 nM/L ICI 182,780 (ICI), 100 ng/mL leptin (LPT), ICI 182,780 + leptin (ICI+LPT), E₂ + ICI 182,780 (E₂+ICI) or left untreated (SFM). Luciferase activity (Luc and RL Luc) was measured in cell lysates with a luminometer. Relative luciferase activity in each sample was determined normalization of Luc to RL-Luc values. The mean relative Luc activity (±SEM) obtained in five experiments is shown. The differences between leptin and ICI 182,780 values and between ICI 182,780 and leptin + ICI 182,780 values were statistically significant (P < 0.05).
of estrogen receptor α. These data suggest that in our cell model, leptin did not modulate the synthesis of endogenous E2. This latter point is worth discussion because leptin has been suggested as a potential modulator of E2 production (36–40). In some cell models (36, 37), including breast cancer cells (38), leptin has been shown to stimulate the aromatase gene promoter and aromatase activity. Furthermore, pharmacologic doses of leptin (1000 ng/mL) apparently activate estrogen response element promoters, presumably through the stimulation of E2 synthesis (56), however, increased E2 expression has not been formally shown in this setting. Our data included in Figs. 4A, 5, and 6 suggest that the exogenous E2 levels were similar in untreated and leptin-induced MCF-7 cell cultures.
In summary, we demonstrated that leptin interferes with the action of ICI 182,780 in MCF-7 cells. Our results suggest that the mechanism of this phenomenon involves increased nuclear expression and activity of estrogen receptor α but is independent of E2. Future studies should explore whether obesity might impede the benefits of ICI 182,780 therapy in breast cancer patients.
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Orientationally correlated colloidal polycrystals without long-range positional order
Cristina Arcos,1,2 Kitty Kumar,1 Wenceslao González-Viñas,3 Rafael Serrano,2 Kristin M. Poduska,1 and Anand Yethiraj1
1Department of Physics and Physical Oceanography, Memorial University, St. John’s, NL, Canada A1B 3X7
2Department of Chemistry and Soil Science, Universidad de Navarra, Pamplona, Spain
3Department of Physics and Applied Mathematics, Universidad de Navarra, Pamplona, Spain
(Received 16 January 2008; revised manuscript received 31 March 2008; published 22 May 2008)
We probe the local and global structure of spin-coated colloidal crystals via laser diffraction measurements and scanning electron and atomic force microscopies, and find that they are unique three-dimensional orientationally correlated polycrystals, exhibiting short-range positional order but long-range radial orientational correlations, reminiscent of—but distinct from—two-dimensional colloidal hexatic phases. Thickness and symmetries are controllable by solvent choice and spin speed. While the polycrystallinity of these colloidal films limits their applicability to photonics, we demonstrate their feasibility as templates to make crack-free magnetic patterns.
DOI: 10.1103/PhysRevE.77.050402 PACS number(s): 82.70.Dd, 64.70.pv, 64.75.Yz
The self-assembly of colloidal microspheres has been used to address the fundamental questions of how materials crystallize [1–6] or fail to crystallize [7–9]. Micrometer-scale colloidal crystals can be used as a template that, using further processing methods, can be used to create photonic materials [10–12], optical sensors [13], and antireflection coatings [14]. However, the high density of missing-sphere defects and cracks in photonic crystals produced via self-assembly [15] remains a serious limitation, and thus the study of colloidal defects [16] is an active area of research. Spin-coating of colloidal suspensions is the quickest and most reproducible method to make large-area colloidal crystals. While spin-coating has been proposed to fabricate single crystals for photonic applications [17,18], the symmetric radial optical interference patterns observed were unexpected for single crystals. We find here that spin-coated colloidal films are indeed neither single crystals nor powder polycrystals, but are in fact a unique polycrystal phase. While true single-domain sizes are $\sim 10 \mu m$, there is orientational correlation on the centimeter scale. Our results demonstrate a novel crystal packing strategy by which long-range orientational order develops in the absence of long-range positional order, reminiscent of two-dimensional colloidal hexatic phases [19,20], and leading to crack-free crystals. Distinct from colloidal hexatic phases, our polycrystals exhibit centimeter-scale orientational order, which arises due to the spinning axis and can be produced with fourfold, sixfold, or mixed symmetries for a range of thicknesses as a function of spin speed. The electrodeposition of magnetic material through colloidal polycrystals demonstrates their feasibility for material templating applications.
The standard technique to make large-area close-packed crystals is controlled (vertical) drying, utilizing capillary forces [21–23] to direct self-assembly. Other external shear [24], electric [25], electrohydrodynamic [26,27], and gravitational forces [28] have also been used. Making dried colloidal crystals with these methods is slow, taking from hours to days. Spin-coating has been shown to be a robust technique [17,18,29,30] to make large-area colloidal crystals in minutes. In this work, we correlate measurements of large-scale (mm and cm scale) order with local ($\mu m$ scale) order to elucidate the structure of spin-coated colloidal crystals.
Evaporative colloid spin-coating consists of discharging colloidal fluid on a substrate, followed by simultaneously spinning-induced fluid spreading and drying. Suspensions of silica spheres (5 mL, 20% by volume, $458 \pm 2 \text{ nm}$ diameter) were prepared with volatile solvents (ethanol or acetone) by ultrasonication until opalescent reflections were seen near the edges of the container at 27 °C. The substrates (22 mm × 30 mm, microscope cover slides) were cleaned with H$_2$SO$_4$ and rinsed thoroughly with ultrapure water prior to use and glued to a microscope slide for structural strength. Seconds after commencing spin-coating, intense colors emanating radially from the center of symmetry were observed when the sample was illuminated with diffuse white light. The symmetry of the optical reflections was fourfold for acetone or sixfold for ethanol samples [Figs. 1(a) and 1(b)]. Single-particle-resolution images of the colloidal crystal surfaces, obtained via scanning electron microscopy (SEM) [Figs. 1(c) and 1(d)], and spatially resolved laser diffraction studies using a 1.2-mm-width spatially filtered (405 nm, 25 mW) laser beam operated without any focusing optics [Figs. 1(a) and 1(b)], show particle packings that are consistent with the symmetry of the optical reflections. The nearest-neighbor spacing obtained from laser diffraction was $464 \pm 4 \text{ nm}$ (diffraction grating used for calibration) and $458 \pm 2 \text{ nm}$ by SEM calculated from distances between several touching neighbors in a close-packed crystalline region (since no calibration standard was used, possible systematic errors are $\pm 5\%$). The symmetry of spin-coating results in crack-free crystals, in contrast with spin-coating under identical conditions on a substrate corrugated with parallel lines that breaks center-of-spinning symmetry [Figs. 1(e) and 1(f)]. Other crystal-growth methods also typically produce crystals with cracks between grains (e.g., in dipcoating, cracks appear at $\sim 50 \text{ sphere diameters}$ [15]).
The presence of four-arm or six-arm crosses across the entire sample suggests a high degree of order. This has been interpreted as a globally even distribution of hexagonally packed spheres [17]. We show this to be incorrect by comparing laser diffraction patterns (4 mm from the sample on a paper-backed screen that autofluoresced in violet light, obtained with a monochrome CCD camera equipped with a $0.3 - 1 \times$ macro lens) upon continuous translation of a 1.2-
mm-diam laser beam along radial lines [Fig. 2(a), R arrow] and off-center chords [Fig. 2(a), O arrow] across the sample. If the sample were single-crystalline, then translation in any direction would leave the peak orientations unchanged, while for a polycrystalline powder the peak orientations would change abruptly at grain boundaries. Instead, we found that the orientations of first-order diffraction peaks were unaffected during radial translation from the center, but rotated continuously when translated off-center in a straight line [Fig. 2(b)]. Angular correlations can be visualized by rotating the observed diffraction patterns in order to bring them into registry with the $x=0$ pattern [Figs. 2(b) and 2(c)]. With the spinning center at $(0,0)$, the diffraction pattern for any laser spot position $(x,y)$ on the sample [with polar coordinates $(r,\alpha)$] was rotated with respect to that at a reference point $(r',\alpha')$ by an angle $|\alpha-\alpha'|$. A structure consistent with these observations [Fig. 2(a)] is one of small single-crystalline domains arranged in radial orientational registry; we call this an orientationally correlated polycrystal (OCP).
Correlation analyses of laser diffraction images quantify these observations. We first computed the mean value of diffraction intensity $f_{r,\alpha}(\varphi)$ in the radial direction $\rho$ in the vicinity of the first-order laser diffraction peaks as a function of the angle $\varphi$ ($\rho$ and $\varphi$ are reciprocal space coordinates for the laser diffraction intensity). For crystals with square symmetry, $f_{r,\alpha}(\varphi)$ has four maxima separated by $\Delta \varphi = 90^\circ$. The cross correlation of two diffraction patterns $G(\theta; r, \alpha, r', \alpha') = \langle f_{r,\alpha}(\varphi) f_{r',\alpha'}(\varphi + \theta) \rangle_\varphi$ (where $\theta$ is the angle by which one of the diffraction patterns is rotated) gives relative orientation between them via the angle $\theta_{\text{max}}$ that maximizes $G$. The correlations are calculated relative to $x=0$ for off-center displacements, and relative to the farthest distance for radial ($y=0$) displacements. Figure 2(d) shows that for both radial and off-center translation, the rotation angle was consistent with $\theta_{\text{max}} = |\alpha - \alpha'|$, consistent with the structure proposed in Fig. 2(a). The autocorrelation function measured the correlation of a laser diffraction...
FIG. 3. (a) Red (left) and green (right) channels of a color RGB image of a sample with mixed symmetries: the red channel shows the sixfold symmetry in the bulk of the sample, while the green channel shows the reappearance of fourfold symmetry from the center (colloids in acetone solvent, 7000 rpm). (b) Sample thickness $H$ (average height of uneven colloidal surface, obtained via contact-mode AFM) vs $\omega$ displays control of film thicknesses to between two and four layers. Solid and dashed lines are expected thicknesses for integer number (1 to 4) of “square” [fcc (100) face parallel to substrate] and “hexagonal” [fcc (111) face parallel to substrate] structures.
image with itself (but rotated by angle $\theta$): $G(\theta; r, \alpha) = \langle f_{r,\alpha}(\varphi)f_{r,\alpha}(\varphi+\theta) \rangle_\varphi$. The domain orientational dispersion $\Delta\theta$ (the half-width of the $\theta=90^\circ$ correlation peak at half-height) decreased to a value of $\approx 13^\circ$ for radial distances $r > 2$ mm [Fig. 2(e)].
The most remarkable property of spin-coated polycrystals is that the long-range (cm-length) orientation correlations shown above coexist with short-range positional correlations. Our observations on disparate length scales are unambiguous. First, SEM images near the sample center [Figs. 1(c) and 1(d)], and elsewhere [Fig. 2(f)] show typical single-crystalline regions of $\sim 10$ $\mu$m: true positional order is short-ranged. Second, the region probed by the 1.2-mm laser beam contains thousands of micrometer-scale single domains with surprisingly small dispersion in angle from their average value. The domain dispersion $\Delta\theta=13^\circ \pm 0.22 \pm 0.03$ rad except for regions closest to the center of spinning [Figs. 2(e) and 2(f)]. Indeed, clear diffraction spots are only first observed when the lateral extent of the OCP ($d=r\Delta\theta$) is comparable to the laser beam spot size; in our experiments this corresponded to $r=2$ mm, at which distance the lateral extent of the OCP ($d=r\Delta\theta \sim 0.5$ mm) is a large fraction ($\sim 0.4$) of the laser beam diameter (1.2 mm). Finally, for distances $r > 2$ mm the OCP has long-range (cm scale) radial, but geometrically limited tangential, orientation correlations.
The coexistence of long-range orientational order with short-range positional order is reminiscent of two-dimensional phase transitions [31], in particular the colloidal hexatic phase [19,20]. However, the OCP structure is distinct from the hexatic phases because long-range (cm-scale) orientational correlation exists for a wide range of thicknesses. Moreover, we also observe transitions between fourfold and sixfold symmetry as a function of angular velocity, with mixed symmetries at the transition, where single samples with multiple symmetries as a function of the distance from the spinning center can be created. Figure 3(a) shows the two channels of a color RGB image: the red channel (left) shows sixfold symmetry in most of the sample, while the green channel (right) shows the reappearance of fourfold symmetry in the center. Samples shown in this work are two to four layers thick [Fig. 3(b)]. Mean colloidal crystal thickness (obtained by contact-mode AFM line scans) decreases as the speed of rotation increases [Fig. 3(b)]. Similar OCPs were also obtained with ten-layer-thick samples (data not shown).
Domain size is crucial to many materials science applications. For photonics, the defect density in colloidal crystals is usually unacceptably large and we see here that spin-coated templates are no improvement. A more forgiving application is to use colloidal templates to make magnetic patterns [32], with potential applications as economical lithography for magnetic data storage materials [33]. Colloidal templates were spin-coated on (111)-textured Au/Cr/glass. Cobalt metal was then electrodeposited from an aqueous $0.1M$ CoSO$_4$ electrolyte using a constant applied potential ($-1.10$ V vs Ag/AgCl reference electrode) in a standard three-electrode cell. Optically thick films (> 20 nm) of cobalt metal formed within 10 s and $\mu$m-thick films formed in minutes. Transmission optical microscopy [Fig. 4(a)] confirmed...
that the electrodeposit is dense, uniform, and did not substantially disrupt colloidal order, while a z-sectioned reflectance confocal micrograph [Fig. 4(b)] revealed a patterned electrodeposit just beneath the colloidal crystal surface. X-ray diffraction using Cu $K\alpha$ radiation [Fig. 4(c)] showed predominant hcp Co with smaller amounts of fcc Co. Finally, electrodeposits peeled from the substrate were attracted to a permanent magnet indicating ferromagnetic behavior. Thus, electrodeposition of magnetic material through a spin-coated colloidal template does not distort OCP structure and preserves its crack-free nature.
This work was supported by the Natural Science and Engineering Research Council of Canada, and partly by the Spanish MEC (MAT2003-02369, FIS2007-66004-C02-01). K.M.P. and A.Y. acknowledge discussions with Martin Plumer. C.A. acknowledges partial support from the Asociación de Amigos de la Universidad de Navarra.
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[34] Joint Commission on Powder Diffraction Standards—International Center for Diffraction Data, Powder Diffraction File (Newtown Square, PA, 2003). |
Discovering planar disorder in close-packed structures from x-ray diffraction: Beyond the fault model
D. P. Varn, 1,2 G. S. Canright, 2,3 and J. P. Crutchfield 1
1Santa Fe Institute, 1399 Hyde Park Road, Santa Fe, New Mexico 87501
2Department of Physics and Astronomy, University of Tennessee, Knoxville, Tennessee 37996
3Telenor Research and Development, 1331 Fornebu, Norway
(Received 18 March 2002; published 27 November 2002)
We solve a long-standing problem—determining structural information for disordered materials from their diffraction spectra—for the special case of planar disorder in close-packed structures (CPS’s). Our solution offers the most complete possible statistical description of the disorder and, from it, we find the minimum effective memory length for stacking sequences in CPS’s. We contrast this description with the so-called “fault” model by comparing the structures inferred using both approaches on two previously published zinc sulphide diffraction spectra.
DOI: 10.1103/PhysRevB.66.174110 PACS number(s): 61.72.Dd, 61.10.Nz, 61.43.−j, 81.30.Hd
Stacking faults, 1,2 deviations from crystallinity that result when an entire plane of atoms breaks a stacking rule—are common in a broad class of materials known as polytypes. 2,3 Found in metals such as Li, micas, simple inorganic compounds like ZnS and CdI$_2$, and more complicated materials such as the oxides Ba$_2$Nb$_2$O$_7$ and Ba$_3$FeSbO$_6$, polytypism is defined as the building up of solids from identical modular layers (ML’s) (Ref. 4) that differ only in their stacking orientation. The Bragg peaks in x-ray diffractograms have long been used to infer the crystal structure of ordered solids. While there has been some success in treating weakly disordered crystals, the general problem of extracting structural information about a disordered crystal from its diffraction spectrum has been an unsolved problem for nearly 70 years.
In this paper, we solve the general problem of inferring crystal structure from diffraction spectra for close-packed structures (CPS’s) containing any kind or amount of one-dimensional stacking disorder. Our solution offers the unique, minimal description of the stacking. Our solution is direct because we make no assumptions about either the crystal structure or the kind of disorder. It further represents the most complete possible solution to this problem. We illustrate our method on two previously published diffraction spectra for ZnS and compare our results to the best previous analysis of these spectra.
There has been considerable interest in determining crystal structure from diffraction spectra for quite some time (Refs. 2 and 5–12, for example). Previous attempts for CPS’s have proceeded as follows. Different kinds of stacking faults based on physically plausible mechanisms were postulated, such as growth faults, deformation faults, and layer displacement faults. 5 By examining the intensity, placement, and broadening of the Bragg peaks it was possible to estimate the kind and amount of disorder present. This approach is necessarily confined to those instances where there is weak faulting of a particular type (or at most a few types) in a single parent crystal. This approach is indirect, since one must assume a priori both a crystal structure and a faulting mechanism. These efforts met with good success for weakly faulted specimens as such Co. 7 However, for polytypes such as ZnS and SiC, this approach has not been altogether satisfactory.
We refer to this class of approach as the fault model (FM), which we define as any model that assumes a parent crystal permeated with one or more kinds of stacking faults. Nearly all previous attempts (Refs. 2,8–10,12, and 13, for example) to infer crystal structure from diffuse scattering for disordered crystals have been applications of the FM. There are several drawbacks to the this approach. Among them are (a) the need to assume a single parent crystalline structure into which stacking defects are introduced, precluding the description of disorder interspersed between distinct crystal structures, (b) the limitation to the case of weak faulting, and (c) the restriction of the quantitative analysis to the effects of faulting on the Bragg peaks only, ignoring the information in the diffuse scattering. Other techniques have attempted to include both the Bragg peaks and diffuse scattering, such as the reverse Monte Carlo procedure (see Ref. 23, for example). This generates structures that give good agreement with experiment but are physically implausible. Therefore, one makes assumptions concerning the disorder so that the procedure is not a priori. To our knowledge, reverse Monte Carlo techniques have not yet been applied to planar disorder.
We present a solution that overcomes all of these difficulties. We break our method into three parts.
(i) We note that a polytype is simply described by its stacking sequence—the one-dimensional list of successive orientations found as one moves along the stacking direction. We refer to the effective stochastic process induced by scanning the list as the stacking process. For CPS’s, a stacking sequence is most compactly described by the Hägg notation. 5 One replaces the set \{A,B,C\} of allowed orientations with a binary alphabet $A=\{0,1\}$: a ML is labeled “1,” if it is cyclically related to the preceding ML, or 0, if it is not.
We use the diffraction spectrum to find average correlations between ML’s as a function of the number $n$ of separating layers. We make the usual assumption about ML stacking in CPS’s, namely that the ML’s themselves are undeformed, that each ML has the same scattering power, and that the spacing between ML’s is independent of the local stacking arrangement; then correlation functions (CF’s) $Q_c(n)$ and $Q_d(n)$ (Ref. 14) can be found by Fourier analysis...
of the diffraction spectrum.\textsuperscript{1} $Q_c(n)$ and $Q_a(n)$ are defined as the probability that any two ML’s at separation $n$ are cyclically or anticyclically related, respectively.
(ii) We infer the spatial patterns of ML’s that reproduce these CF’s by reconstructing an $\epsilon$-machine,\textsuperscript{15–17} which describes the minimal effective states of the stacking process. Assume we know the probability $p(\omega)$ of stacking sequences $\omega$. At each ML in a stacking sequence define the “past” $\tilde{\omega}$ as those ML’s already seen and the “future” $\hat{\omega}$ as those yet to be seen: $\omega = \tilde{\omega}\hat{\omega}$. The effective states of the stacking process then are defined as the sets of pasts $\tilde{\omega}$ that lead to statistically equivalent futures:
$$\tilde{\omega}_i \sim \tilde{\omega}_j \text{ if and only if } p(\tilde{\omega}_i|\hat{\omega}_j) = p(\tilde{\omega}_j|\hat{\omega}_i). \quad (1)$$
These equivalence classes of pasts are the stacking process’s causal states. Along with their transitions, they comprise the process’s $\epsilon$-machine—a statistical description of the ensemble of spatial patterns that produces the stacking distribution $p(\omega)$. It has been shown that the $\epsilon$-machine is the minimal-size (as measured by the number of states), optimal predictor of a process, and up to state relabeling, it is the unique such a description.\textsuperscript{13–17}
To find the causal states we must first estimate the probability $p(\omega)$ of stacking sequences $\omega$ averaged over the sample. Note that, from conservation of probability, $p(u) = p(0u) + p(1u) = p(u0) + p(u1)$, for all $u \in A^r$, where $A^r$ is the set of all sequences of length $r$. Additionally, the probabilities for sequences of the same length are normalized: $\sum_{\omega \in A^r} p(\omega) = 1$. Together these constraints provide $2^r$ independent relations among probabilities for the $2^{r+1}$ possible stacking sequences of length $r+1$.
The other $2^r$ constraints come from relating CF’s to sequence probabilities via
$$Q_\alpha(n) = \sum_{\omega \in A^n_\alpha} p(\omega), \quad (2)$$
where $A^n_\alpha$ is that subset of length-$n$ sequences with a cyclic ($\alpha = c$) or an anticyclic ($\alpha = a$) rotation between ML’s at separation $n$. We take as many of these latter relations as necessary to form a complete set of equations. At a fixed $r$, the set of equations describes the stacking sequence as generated by an $r$th-order Markov process. At $r=3$ one encounters the first nonlinearities due to the necessity of using CF’s at $n=5$ to obtain a complete set of equations. We rewrite the probability of sequences of length $n=5$ in terms of the conditional probabilities of those at $n=4$, and it is this mapping that is nonlinear. We solve numerically for the stacking sequence probabilities $p(\omega)$ and then find the set of causal states using the equivalence relation, Eq. (1). The causal-state transitions are estimated from the conditional distributions of the next ML orientation given pasts $\tilde{\omega}$ associated with each causal state.
(iii) We begin with the $r=1$ reconstructed $\epsilon$-machine and use it to generate a sample stacking sequence (here we used length 400 000), and from this we estimate the $\epsilon$-machine’s predicted CF’s and diffraction spectrum. We then compare the latter to the experimental diffraction spectrum. If there is not sufficient agreement, we increment $r$ and repeat the reconstruction and comparison. The resulting $r$ is called the stacking process’s memory length, since it is the amount of history (in ML’s) one must use to optimally predict the process. We note that the reconstruction algorithm has but a single “free” parameter, namely $r$. Once an $r$ is selected, the $\epsilon$-machine is completely determined by the experimental data. We find the minimum $r$ that satisfactorily explains the experimental data.
ZnS can be thought to have a CPS with a basis composed of two atoms, zinc and sulphur, with the sulphurs displaced one quarter of a body diagonal (as referred to the conventional unit cell) along the stacking direction.\textsuperscript{2} We take an ML to be this zinc-sulphur pair arranged in a hexagonal net.\textsuperscript{2} We correct the experimentally obtained diffraction spectrum for the atomic scattering factors, the structure factor, dispersion factors, and the polarization factor.\textsuperscript{18}
We now give the results for $\epsilon$-machine reconstruction for two experimental diffraction spectra, SK134 and SK135 from Ref. 2. Let $l$ be a continuous variable that indexes the magnitude of the perpendicular component of the diffracted wave $k = 2\pi l/c$, where $c$ is the spacing between adjacent ML’s. We select a unit interval in $l$ on which to analyze each spectrum. Since many diffraction spectra suffer from experimental error,\textsuperscript{7} we show elsewhere\textsuperscript{9} that there are relations that the CF’s must obey for any CPS and that we can use these to select a relatively error-free $l$ interval. The spectra from experiment and $\epsilon$-machine reconstruction are normalized.
The triangles in Fig. 1 show the experimental diffraction spectrum SK134 along the 10.$l$ row for an hexagonally close-packed (hcp) ZnS crystal annealed at 300 °C for 1 h. (For the sake of clarity, here we only show a few selected points from the experimental diffraction spectrum. Experimentalists report the spectrum in increments of $\Delta l = 0.005$. For our analysis, we used this finer mesh.) Sebastian and Krishna\textsuperscript{a} attribute the observed disorder to a 5% probability of deformation faulting at each ML. (This is the FM-predicted spectrum given as a dashed line in Fig. 1.) We find
that the smallest-$r$ $\epsilon$-machine that gives adequate agreement (solid line) with experiment is estimated at $r=3$; it is shown in Fig. 2.
It is possible to give an approximate equivalent of this $\epsilon$-machine in terms of the FM, but we stress that this decomposition is not unique. We associate each closed, non-self-intersecting loop [called a simple cycle or SC (Ref. 20)] in the $\epsilon$-machine with either a crystal structure or a fault. In this way, $\epsilon$-machines directly describe familiar structures in polytypes. For instance, the closed loop between causal states C and H in Fig. 2 implies a stacking sequence $\ldots 010101 \ldots$, which is simply the Haigg notation for the hcp structure. One concludes, then, that there is no qualitative difference between what one calls faults and crystal structure. The distinction is, in fact, quantitative and one of convenience—crystal structures have relatively high probabilities, as opposed to the rarer faults. For the most general $r=3$ $\epsilon$-machine, it is known that there are 19 such SC’s.\textsuperscript{21} Since eight independent CF’s are sufficient to specify an $r=3$ $\epsilon$-machine, the problem of decomposing the $\epsilon$-machine into SC’s is underdetermined. This conclusion holds for all $r\geq 2$. Therefore, without a fortuitous vanishing of causal states or transitions, the FM, unlike the $\epsilon$-machine, is not unique.
For the sake of comparison with the previous best FM analysis, we decompose the $\epsilon$-machine in Fig. 2 into SC’s with the assumption that faults corresponding SC’s of length 7 or greater are not present. We define the fault density as the sum of the weights of the arcs forming the fault.\textsuperscript{19} We can then assign a fault-density distribution for SK134 (second column) as follows and compare it to that of Ref. 2 (third column):
| | hcp | ccp | deformation fault | growth fault | layer displacement fault |
|----------------|-----|-----|-------------------|--------------|--------------------------|
| | 64% | 8% | 16% | 6% | 6% |
| | 83% | 0% | 17% | 0% | 0% |
where ccp stands for cubic close packed. Thus, the $\epsilon$-machine description of the crystal differs significantly from that of Sebastian and Krishna.\textsuperscript{2} While we both find qualitatively that deformation faulting is important, we also detect ccp structures, as well as growth faults and layer displacement faults. Overall, $\epsilon$-machine analysis finds a much more disordered crystal. This is borne out when comparing the FM and $\epsilon$-machine diffraction spectra. Figure 1 shows that, while both agree reasonably well with experiment at the broadened peaks at $l=0.5$ and 1, the $\epsilon$-machine is in better agreement along the shoulders of the Bragg peaks, as well as at the rise in broadband intensity at $l=0.67$ (inset in Fig. 1).
Figure 3 plots the experimental diffraction spectrum along the 10.$I$ row (triangles) for a hep ZnS crystal annealed at 500 °C for 1 h. Sebastian and Krishna\textsuperscript{2} find this to be a disordered, twinned-ccp crystal with a twin-fault probability of 12%, calculated from the observed half-widths of the peaks. The diffraction spectrum for such a faulting mechanism is shown in Fig. 3 (dashed line). Only the peak at $l=-0.33$ was used to find the faulting mechanism, and one sees that the FM reproduces it well. However, the second peak at $l=-0.67$ is poorly represented, as is the diffuse scattering between the two peaks. This demonstrates the pitfalls in simply fitting an FM to a single Bragg peak, ignoring the information contained in other peaks and in the diffuse scattering. We also note that the small rise in diffracted intensity at $l$
FIG. 2. The recurrent causal states (A–H) of the reconstructed $\epsilon$-machine estimated from the experimental diffraction spectrum SK134 of Fig. 1 with $r=3$. Asymptotic state probabilities are given in parentheses; edge label $s|p$ indicates a transition on symbol $s$ with probability $p$.
FIG. 3. Comparison of the experimental diffraction spectrum SK135 along the 10.$I$ row (triangles) for a disordered ccp ZnS single crystal [2, p. 135] with the diffraction spectra calculated from the the FM with 12% twinned faulting (dashed line) and $r=3$ $\epsilon$-machine (solid line).
FIG. 4. Recurrent states of the reconstructed $\epsilon$-machine for the experimental diffraction data SK135 of Fig. 3 using $r=3$.
is likewise missed by the FM. The $\epsilon$-machine spectrum (solid line) also misses this rise, but otherwise is in excellent agreement with the experiment. Figure 4 shows the reconstructed $\epsilon$-machine obtained at $r=3$. The large probabilities for causal states A and F and their large self-loop transition probabilities, associated with stacking sequences $\ldots 111\ldots$ and $\ldots 0000\ldots$, indicate that this is a twinned-ccp crystal. The missing H—C causal-state transition—and thus the resulting absence of the $\ldots 0101\ldots$ stacking—implies that the original hcp structure has been eliminated during the annealing.
In conclusion, we have solved the problem of discovering and describing planar disorder and structure in CPS’s from their diffraction spectra. We have demonstrated that the FM—the reigning paradigm for understanding and describing planar disorder in crystals—is necessarily inadequate, both in conception and practice. A simple examination of the effects of faulting on the Bragg peaks is insufficient to properly detect the disorder present. In contrast, (a) $\epsilon$-machines provide the most general description possible of structure in one dimension (1D), (b) No assumptions about the crystal or fault structure need be made, (c) Any amount or kind of planar disorder can be treated, (d) More than one crystal structure may be present, as we found in the first example, (e) All the information in the diffraction spectrum—both Bragg and diffuse scattering—is used to generate the model. Moreover, (f) we quantified the memory length for disordered 1D systems; for the ZnS samples considered, it was 3 ML’s. Thus, we find that the memory length in disordered structures for ZnS (as for long-period ordered structures) clearly extends beyond the calculated range (1 ML) of interlayer interaction.\textsuperscript{25} Additionally, (g) we show elsewhere\textsuperscript{19} that given the coupling constants between ML’s,\textsuperscript{22} we can determine the average stacking-fault energy for a disordered crystal. It is expected that other physical parameters will be amenable to calculation directly from the $\epsilon$-machine. And finally, (h) considering the ubiquity of experimentally accessible power spectra in physics, our technique has implications far beyond its present application in polyytism.
The authors thank D. P. Feldman, C. R. Shalizi, and D. Pandey for comments on the manuscript. This work was supported at the Santa Fe Institute under the Network Dynamics Program funded by Intel Corporation and under the Computation, Dynamics, and Inference Program via SFI’s core grants from the National Science and MacArthur Foundations. Direct support was provided by NSF Grant Nos. DMR-9820816 and PHY-9910217 and DARPA Agreement No. F30602-00-2-0583. D.P.V.’s visit to SFI was supported by the NSF.
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